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United Nations Convention on the Use of Electronic Communications in International Contracts联合国国际合同 使用《电子通信公约》 联合国
United Nations
UNITED NATIONS CONVENTION ON THE USE OF ELECTRONIC COMMUNICATIONS IN INTERNATIONAL CONTRACTS联合国国际合同 使用《电子通信公约》 联合国
UNITED NATIONS
20062006
Contents目录
Page页次
United Nations Convention on the Use of Electronic Communications in International Contracts联合国国际合同使用《电子通信公约》
1
Chapter I. Sphere of application第一章. 适用范围
2
Article 1. Scope of application第1条. 适用范围
2
Article 2.第2条. 不适用情形
Exclusions2
Article 3. Party autonomy第3条. 当事人意思自治
2
Chapter II.第二章. 总则
General provisions3
Article 4.第4条. 定义
Definitions3
Article 5.第5条. 解释
Interpretation3
Article 6. Location of the parties第6条. 当事人的所在地
4
Article 7. Information requirements第7条. 对提供情况的要求
4
Chapter III. Use of electronic communications in international contracts第三章. 国际合同使用电子通信
5
Article 8. Legal recognition of electronic communications第8条. 对电子通信的法律承认
5
Article 9. Form requirements第9条. 形式要求
5
Article 10. Time and place of dispatch and receipt of electronic communications第10条. 发出和收到电子通信的时间和地点
6
Article 11. Invitations to make offers第11条. 要约邀请
6
Article 12. Use of automated message systems for contract formation第12条. 自动电文系统在合同订立中的使用
6
Article 13. Availability of contract terms第13条. 合同条款的备查
7
Article 14. Error in electronic communications第14条. 电子通信中的错误
7
Chapter IV. Final provisions第四章. 最后条款
8
Article 15.第15条. 保存人
Depositary8
Article 16. Signature, ratification, acceptance or approval第16条. 签署、批准、接受或认可
8
Article 17. Participation by regional economic integration organizations第17条. 区域经济一体化组织的参与
8
Article 18. Effect in domestic territorial units第18条. 对本国领土单位的效力
9
Article 19. Declarations on the scope of application第19条. 关于适用范围的声明
9
Article 20. Communications exchanged under other international conventions第20条. 根据其他国际公约进行的通信往来
9
Article 21. Procedure and effects of declarations第21条. 声明的程序和效力
10
Article 22. Reservations第22条. 保留
10
Article 23.第23条. 生效
Entry into force10
Article 24. Time of application第24条. 适用时间
11
Article 25.第25条. 退约
Denunciations11
Explanatory note by the UNCITRAL Secretariat on the United Nations Convention on the Use of Electronic Communications in International Contracts贸易法委员会秘书处关于《联合国国际合同使用电子通信公约》的解释性说明
Paragraphs12 段次
Page页次
1. Introduction1. 导言
1-21-2
12
2. Main features of the Convention2. 公约的主要特点
3-203-20
12
A. Sphere of application (articles 1 and 2)A. 适用范围(第1和第2条)
5-75-7
12
B. Location of the parties and information requirements (articles 6 and 7)B. 当事人的所在地和对提供信息的要求(第6和第7条)
8-98-9
13
C. Treatment of contracts (articles 8, 11, 12 and 13)A. 对合同的处理(第8、11、12和13条)
10-1210-12
13
D. Form requirements (article 9)A. 形式要求(第9条)
13-1413-14
14
E. Time and place of dispatch and receipt of electronic communications (article 10)A. 发出和收到电子通信的时间和地点(第10条)
15-1715-17
14
F. Relationship to other international instruments (article 20)A. 与其他国际文书的关系(第20条)
18-2018-20
14
3. Summary of preparatory work3. 编制工作总结
21-4321-43
15
4.4. 逐条说明
Article-by-article remarks
44-32444-324
Preamble21 序言
44-5244-52
21
Chapter I. Sphere of application第一章. 适用范围
53-8953-89
23
Article 1. Scope of application第1条. 适用范围
53-6953-69
23
Article 2.第2条. 不适用情形
Exclusions
70-8370-83
26
Article 3. Party autonomy第3条. 当事人意思自治
84-8984-89
30
Chapter II.第二章. 总则
General provisions
90-12890-128
32
Article 4.第4条. 定义
Definitions
90-10690-106
32
Article 5.第5条. 解释
Interpretation
107107
34
Article 6. Location of the parties第6条. 当事人的所在地
108-121108-121
35
Article 7. Information requirements第7条. 对提供情况的要求
122-128122-128
38
Chapter III. Use of electronic communications in international contracts第三章. 国际合同使用电子通信
129-250129-250
40
Article 8. Legal recognition of electronic communications第8条. 对电子通信的法律承认
129-132129-132
40
Article 9. Form requirements第9条. 形式要求
133-170133-170
41
Article 10. Time and place of dispatch and receipt of electronic communications第10条. 发出和收到电子通信的时间和地点
171-196171-196
49
Article 11. Invitations to make offers第11条. 要约邀请
197-207197-207
54
Article 12. Use of automated message systems for contracts formation第12条. 自动电文系统在合同订立中的使用
208-215208-215
57
Article 13. Availability of contract terms第13条. 合同条款的备查
216-223216-223
58
Article 14. Error in electronic communications第14条. 电子通信中的错误
224-250224-250
60
Chapter IV. Final provisions第四章. 最后条款
251-324251-324
67
Article 15.第15条. 保存人
Depositary
251-252251-252
67
Article 16. Signature, ratification, acceptance or approval第16条. 签署、批准、接受或认可
253-256253-256
67
Article 17. Participation by regional economic integration organizations第17条. 区域经济一体化组织的参与
257-270257-270
68
Article 18. Effect in domestic territorial units第18条. 对本国领土单位的效力
271-276271-276
71
Article 19. Declarations on the scope of application第19条. 关于适用范围的声明
277-286277-286
72
Article 20. Communications exchanged under other international conventions第20条. 根据其他国际公约进行的通信往来
287-303287-303
75
Article 21. Procedure and effects of declarations第21条. 声明的程序和效力
304-310304-310
78
Article 22. Reservations第22条. 保留
311-317311-317
79
Article 23.第23条. 生效
Entry into force
318-320318-320
81
Article 24. Time of application第24条. 适用时间
321-324321-322 82 第25条. 退约 323-324
82
United Nations Convention on the Use of Electronic Communications in International Contracts联合国国际合同使用《电子通信公约》
The States Parties to this Convention,本公约各缔约国,
Reaffirming their belief that international trade on the basis of equality and mutual benefit is an important element in promoting friendly relations among States,重申相信平等互利基础上的国际贸易是促进各国之间友好关系的一个重要因素,
Noting that the increased use of electronic communications improves the efficiency of commercial activities, enhances trade connections and allows new access opportunities for previously remote parties and markets, thus playing a fundamental role in promoting trade and economic development, both domestically and internationally,注意到电子通信的使用增多提高了商业活动的效率,加强了贸易联系,并为过去相距遥远的当事人和市场提供了新的准入机会,从而对促进国内、国际贸易和经济发展发挥着极其重要的作用,
Considering that problems created by uncertainty as to the legal value of the use of electronic communications in international contracts constitute an obstacle to international trade,考虑到国际合同中使用电子通信的法律效力不确定性所产生的种种问题构成了对国际贸易的障碍,
Convinced that the adoption of uniform rules to remove obstacles to the use of electronic communications in international contracts, including obstacles that might result from the operation of existing international trade law instruments, would enhance legal certainty and commercial predictability for international contracts and help States gain access to modern trade routes,深信采用统一规则消除对国际合同使用电子通信的障碍,包括消除现有国际贸易法文书在执行上可能产生的障碍,将加强国际合同的法律确定性和商业上的可预见性,有助于各国获得现代贸易途径,
Being of the opinion that uniform rules should respect the freedom of parties to choose appropriate media and technologies, taking account of the principles of technological neutrality and functional equivalence, to the extent that the means chosen by the parties comply with the purpose of the relevant rules of law,认为统一规则应当尊重当事人在其所选择的手段符合相关法律规则的目的的限度内选择适当媒介和技术的自由,同时顾及不偏重任何技术和功能等同的原则,
Desiring to provide a common solution to remove legal obstacles to the use of electronic communications in a manner acceptable to States with different legal, social and economic systems,希望以法律制度、社会制度和经济制度不同的国家所能接受的方式对消除电子通信使用中的法律障碍提供一个共同解决办法,
Have agreed as follows:兹商定如下:
Chapter I第一章
Sphere of application适用范围
Article 1第1条
Scope of application适用范围
1. This Convention applies to the use of electronic communications in connection with the formation or performance of a contract between parties whose places of business are in different States.1. 本公约适用于与营业地位于不同国家的当事人之间订立或履行合同有关的电子通信的使用。
2. The fact that the parties have their places of business in different States is to be disregarded whenever this fact does not appear either from the contract or from any dealings between the parties or from information disclosed by the parties at any time before or at the conclusion of the contract.2. 当事人营业地位于不同国家,但这一事实只要未从合同或当事人之间的任何交往中或当事人在订立合同之前任何时候或订立合同之时披露的资料中显示出来,即不予以考虑。
3. Neither the nationality of the parties nor the civil or commercial character of the parties or of the contract is to be taken into consideration in determining the application of this Convention.3. 在确定本公约是否适用时,既不考虑当事人的国籍,也不考虑当事人和合同的民事或商务性质。
Article 2第2条
Exclusions
1. This Convention does not apply to electronic communications relating to any of the following:不适用情形 1. 本公约不适用于与下列情形有关的电子通信:
(a) Contracts concluded for personal, family or household purposes;(a) 为个人、家人或家庭目的订立的合同;
(b) (i) Transactions on a regulated exchange; (ii) foreign exchange transactions; (iii) inter-bank payment systems, inter-bank payment agreements or clearance and settlement systems relating to securities or other financial assets or instruments; (iv) the transfer of security rights in sale, loan or holding of or agreement to repurchase securities or other financial assets or instruments held with an intermediary.(b) ㈠受管制交易所的交易;㈡外汇交易;㈢银行间支付系统、银行间支付协议或者与证券或其他金融资产或票据有关的清算和结算系统;㈣对中间人持有的证券或其他金融资产或票据的担保权的转让、出售、出借或持有或回购协议。
2. This Convention does not apply to bills of exchange, promissory notes, consignment notes, bills of lading, warehouse receipts or any transferable document or instrument that entitles the bearer or beneficiary to claim the delivery of goods or the payment of a sum of money.2. 本公约不适用于汇票、本票、运单、提单、仓单或任何可使持单人或受益人有权要求交付货物或支付一笔款额的可转让单证或票据。
Article 3第3条
Party autonomy当事人意思自治
The parties may exclude the application of this Convention or derogate from or vary the effect of any of its provisions.当事人可以排除本公约的适用,亦可减损或更改其中任何一项规定的效力。
Chapter II第二章
General provisions总则
Article 4第4条
Definitions定义
For the purposes of this Convention:在本公约中:
(a) “Communication” means any statement, declaration, demand, notice or request, including an offer and the acceptance of an offer, that the parties are required to make or choose to make in connection with the formation or performance of a contract;(a) “通信”系指当事人在一项合同的订立或履行中被要求作出或选择作出的包括要约和对要约的承诺在内的任何陈述、声明、要求、通知或请求;
(b) “Electronic communication” means any communication that the parties make by means of data messages;(b) “电子通信”系指当事人以数据电文方式发出的任何通信;
(c) “Data message” means information generated, sent, received or stored by electronic, magnetic, optical or similar means, including, but not limited to, electronic data interchange, electronic mail, telegram, telex or telecopy;(c) “数据电文”系指经由电子手段、电磁手段、光学手段或类似手段生成、发送、接收或存储的信息,这些手段包括但不限于电子数据交换、电子邮件、电报、电传或传真;
(d) “Originator” of an electronic communication means a party by whom, or on whose behalf, the electronic communication has been sent or generated prior to storage, if any, but it does not include a party acting as an intermediary with respect to that electronic communication;(d) 电子通信的“发件人”系指亲自或由他人代表而发送或生成了可能随后备存的电子通信的当事人,但不包括作为中间人处理该电子通信的当事人;
(e) “Addressee” of an electronic communication means a party who is intended by the originator to receive the electronic communication, but does not include a party acting as an intermediary with respect to that electronic communication;(e) 电子通信的“收件人”系指发件人意图中的接收该电子通信的当事人,但不包括作为中间人处理该电子通信的当事人;
(f) “Information system” means a system for generating, sending, receiving, storing or otherwise processing data messages;(f) “信息系统”系指生成、发送、接收、存储或用其他方法处理数据电文的系统;
(g) “Automated message system” means a computer program or an electronic or other automated means used to initiate an action or respond to data messages or performances in whole or in part, without review or intervention by a natural person each time an action is initiated or a response is generated by the system;(g) “自动电文系统”系指一种计算机程序或者一种电子手段或其他自动手段,用以引发一个行动或者全部或部分地对数据电文或执行生成答复,而无须每次在该系统引发行动或生成答复时由自然人进行复查或干预;
(h) “Place of business” means any place where a party maintains a non-transitory establishment to pursue an economic activity other than the temporary provision of goods or services out of a specific location.(h) “营业地”系指当事人为了从事一项经济活动,但并非从某一处所临时提供货物或服务而保持一非短暂性营业所的任何地点。
Article 5第5条
Interpretation解释
1. In the interpretation of this Convention, regard is to be had to its international character and to the need to promote uniformity in its application and the observance of good faith in international trade.1. 在解释本公约时,应当考虑到其国际性以及促进其适用上的统一和在国际贸易中遵守诚信的必要性。
2. Questions concerning matters governed by this Convention which are not expressly settled in it are to be settled in conformity with the general principles on which it is based or, in the absence of such principles, in conformity with the law applicable by virtue of the rules of private international law.2. 涉及本公约所管辖事项的问题,未在本公约中明确解决的,应当按照本公约所依据的一般原则加以解决,在无此种原则时,应当按照国际私法规则指定的适用法律加以解决。
Article 6第6条
Location of the parties当事人的所在地
1. For the purposes of this Convention, a party’s place of business is presumed to be the location indicated by that party, unless another party demonstrates that the party making the indication does not have a place of business at that location.1. 就本公约而言,当事人的营业地推定为其所指明的所在地,除非另一方当事人证明该指明其所在地的当事人在该所在地无营业地。
2. If a party has not indicated a place of business and has more than one place of business, then the place of business for the purposes of this Convention is that which has the closest relationship to the relevant contract, having regard to the circumstances known to or contemplated by the parties at any time before or at the conclusion of the contract.2. 当事人未指明营业地并且拥有不止一个营业地的,就本公约而言,与有关合同关系最密切的营业地为其营业地,但须考虑到双方当事人在合同订立之前任何时候或合同订立之时所知道或所设想的情况。
3. If a natural person does not have a place of business, reference is to be made to the person’s habitual residence.3. 自然人无营业地的,以其惯常居所为准。
4. A location is not a place of business merely because that is: (a) where equipment and technology supporting an information system used by a party in connection with the formation of a contract are located; or (b) where the information system may be accessed by other parties.4. 一所在地并不仅因以下两点之一而成为营业地:(a)系一方当事人订立合同所用信息系统的支持设备和技术的所在地;(b)系其他当事人可以进入该信息系统的地方。
5. The sole fact that a party makes use of a domain name or electronic mail address connected to a specific country does not create a presumption that its place of business is located in that country.5. 仅凭一方当事人使用与某一特定国家相关联的域名或电子信箱地址,不能推定其营业地位于该国。
Article 7第7条
Information requirements对提供情况的要求
Nothing in this Convention affects the application of any rule of law that may require the parties to disclose their identities, places of business or other information, or relieves a party from the legal consequences of making inaccurate, incomplete or false statements in that regard.本公约中的规定概不影响适用任何可能要求当事人披露其身份、营业地或其他情况的法律规则,也不免除当事人就此作出不准确、不完整或虚假说明的法律后果。
Chapter III第三章
Use of electronic communications in international contracts国际合同使用电子通信
Article 8第8条
Legal recognition of electronic communications对电子通信的法律承认
1. A communication or a contract shall not be denied validity or enforceability on the sole ground that it is in the form of an electronic communication.1. 对于一项通信或一项合同,不得仅以其为电子通信形式为由而否定其效力或可执行性。
2. Nothing in this Convention requires a party to use or accept electronic communications, but a party’s agreement to do so may be inferred from the party’s conduct.2. 本公约中的规定概不要求当事人使用或接受电子通信,但可以根据当事人的作为推断其是否同意使用或接受电子通信。
Article 9第9条
Form requirements形式要求
1. Nothing in this Convention requires a communication or a contract to be made or evidenced in any particular form.1. 本公约中的规定概不要求一项通信或一项合同以任何特定形式作出、订立或证明。
2. Where the law requires that a communication or a contract should be in writing, or provides consequences for the absence of a writing, that requirement is met by an electronic communication if the information contained therein is accessible so as to be usable for subsequent reference.2. 凡法律要求一项通信或一项合同应当采用书面形式的,或规定了不采用书面形式的后果的,如果一项电子通信所含信息可以调取以备日后查用,即满足了该项要求。
3. Where the law requires that a communication or a contract should be signed by a party, or provides consequences for the absence of a signature, that requirement is met in relation to an electronic communication if:3. 凡法律要求一项通信或一项合同应当由当事人签字的,或法律规定了没有签字的后果的,对于一项电子通信而言,在下列情况下,即满足了该项要求:
(a) A method is used to identify the party and to indicate that party’s intention in respect of the information contained in the electronic communication;(a) 使用了一种方法来鉴别该当事人的身份和表明该当事人对电子通信所含信息的意图;而且
and
(b) The method used is either:(b) 所使用的这种方法:
(i) As reliable as appropriate for the purpose for which the electronic communication was generated or communicated, in the light of all the circumstances, including any relevant agreement;㈠ 从各种情况来看,包括根据任何相关的约定,对于生成或传递电子通信所要达到的目的既是适当的,也是可靠的;或者
or
(ii) Proven in fact to have fulfilled the functions described in subparagraph (a) above, by itself or together with further evidence.㈡ 其本身或结合进一步证据事实上被证明已履行以上第(a)项中所说明的功能。
4. Where the law requires that a communication or a contract should be made available or retained in its original form, or provides consequences for the absence of an original, that requirement is met in relation to an electronic communication if:4. 凡法律要求一项通信或一项合同应当以原件形式提供或保留的,或规定了缺少原件的后果的,对于一项电子通信而言,在下列情况下,即满足了该项要求:
(a) There exists a reliable assurance as to the integrity of the information it contains from the time when it was first generated in its final form, as an electronic communication or otherwise;(a) 该电子通信所含信息的完整性自其初次以最终形式——电子通信或其他形式——生成之时起即有可靠保障;而且
and
(b) Where it is required that the information it contains be made available, that information is capable of being displayed to the person to whom it is to be made available.(b) 要求提供电子通信所含信息的,该信息能够被显示给要求提供该信息的人。
5. For the purposes of paragraph 4 (a):5. 在第4款第(a)项中:
(a) The criteria for assessing integrity shall be whether the information has remained complete and unaltered, apart from the addition of any endorsement and any change that arises in the normal course of communication, storage and display;(a) 评价完整性的标准应当是,除附加任何签注以及正常通信、存储和显示过程中出现的任何改动之外,信息是否仍然完整而且未被更改;而且
and
(b) The standard of reliability required shall be assessed in the light of the purpose for which the information was generated and in the light of all the relevant circumstances.(b) 所要求的可靠性标准应当根据生成信息的目的和所有相关情况加以评估。
Article 10第10条
Time and place of dispatch and receipt of electronic communications发出和收到电子通信的时间和地点
1. The time of dispatch of an electronic communication is the time when it leaves an information system under the control of the originator or of the party who sent it on behalf of the originator or, if the electronic communication has not left an information system under the control of the originator or of the party who sent it on behalf of the originator, the time when the electronic communication is received.1. 电子通信的发出时间是其离开发件人或代表发件人发送电子通信的当事人控制范围之内的信息系统的时间,或者,如果电子通信尚未离开发件人或代表发件人发送电子通信的当事人控制范围之内的信息系统,则为电子通信被收到的时间。
2. The time of receipt of an electronic communication is the time when it becomes capable of being retrieved by the addressee at an electronic address designated by the addressee.2. 电子通信的收到时间是其能够由收件人在该收件人指定的电子地址检索的时间。
The time of receipt of an electronic communication at another electronic address of the addressee is the time when it becomes capable of being retrieved by the addressee at that address and the addressee becomes aware that the electronic communication has been sent to that address.电子通信在收件人的另一电子地址的收到时间是其能够由该收件人在该地址检索并且该收件人了解到该电子通信已发送到该地址的时间。
An electronic communication is presumed to be capable of being retrieved by the addressee when it reaches the addressee’s electronic address.当电子通信抵达收件人的电子地址时,即应推定收件人能够检索该电子通信。
3. An electronic communication is deemed to be dispatched at the place where the originator has its place of business and is deemed to be received at the place where the addressee has its place of business, as determined in accordance with article 6.3. 电子通信将发件人设有营业地的地点视为其发出地点,将收件人设有营业地的地点视为其收到地点,营业地根据第6条确定。
4. Paragraph 2 of this article applies notwithstanding that the place where the information system supporting an electronic address is located may be different from the place where the electronic communication is deemed to be received under paragraph 3 of this article.4. 即使支持电子地址的信息系统的所在地可能不同于根据本条第3款而认定的电子通信的收到地点,本条第2款依然适用。
Article 11第11条
Invitations to make offers要约邀请
A proposal to conclude a contract made through one or more electronic communications which is not addressed to one or more specific parties, but is generally accessible to parties making use of information systems, including proposals that make use of interactive applications for the placement of orders through such information systems, is to be considered as an invitation to make offers, unless it clearly indicates the intention of the party making the proposal to be bound in case of acceptance.通过一项或多项电子通信提出的订立合同提议,凡不是向一个或多个特定当事人提出,而是可供使用信息系统的当事人一般查询的,包括使用交互式应用程序通过这类信息系统发出订单的提议,应当视作要约邀请,但明确指明提议的当事人打算在提议获承诺时受其约束的除外。
Article 12第12条
Use of automated message systems for contract formation自动电文系统在合同订立中的使用
A contract formed by the interaction of an automated message system and a natural person, or by the interaction of automated message systems, shall not be denied validity or enforceability on the sole ground that no natural person reviewed or intervened in each of the individual actions carried out by the automated message systems or the resulting contract.通过自动电文系统与自然人之间的交互动作或者通过若干自动电文系统之间的交互动作订立的合同,不得仅仅因为无自然人复查或干预这些系统进行的每一动作或由此产生的合同而被否定效力或可执行性。
Article 13第13条
Availability of contract terms合同条款的备查
Nothing in this Convention affects the application of any rule of law that may require a party that negotiates some or all of the terms of a contract through the exchange of electronic communications to make available to the other party those electronic communications which contain the contractual terms in a particular manner, or relieves a party from the legal consequences of its failure to do so.一方当事人通过交换电子通信的方式谈判部分或全部合同条款的,本公约中的规定概不影响适用任何可能要求其以某种特定方式向另一方当事人提供含有合同条款的电子通信的法律规则,也不免除一方当事人未能这样做的法律后果。
Article 14第14条
Error in electronic communications电子通信中的错误
1. Where a natural person makes an input error in an electronic communication exchanged with the automated message system of another party and the automated message system does not provide the person with an opportunity to correct the error, that person, or the party on whose behalf that person was acting, has the right to withdraw the portion of the electronic communication in which the input error was made if:1. 一自然人在与另一方当事人的自动电文系统往来的电子通信中发生输入错误,而该自动电文系统未给该人提供更正错误的机会,在下列情况下,该人或其所代表的当事人有权撤回电子通信中发生输入错误的部分:
(a) The person, or the party on whose behalf that person was acting, notifies the other party of the error as soon as possible after having learned of the error and indicates that he or she made an error in the electronic communication;(a) 该自然人或其所代表的当事人在发现错误后尽可能立即将该错误通知另一方当事人,并指出其在电子通信中发生了错误;而且
and
(b) The person, or the party on whose behalf that person was acting, has not used or received any material benefit or value from the goods or services, if any, received from the other party.(b) 该自然人或其所代表的当事人既没有使用可能从另一方当事人收到的任何货物或服务所产生的任何重大利益或价值,也没有从中受益。
2. Nothing in this article affects the application of any rule of law that may govern the consequences of any error other than as provided for in paragraph 1.2. 本条中的规定概不影响适用任何可能就除了第1款中所提到的错误之外的任何错误的后果作出规定的法律规则。
Chapter IV第四章
Final provisions最后条款
Article 15第15条
Depositary保存人
The Secretary-General of the United Nations is hereby designated as the depositary for this Convention.兹指定联合国秘书长为本公约保存人。
Article 16第16条
Signature, ratification, acceptance or approval签署、批准、接受或认可
1. This Convention is open for signature by all States at United Nations Headquarters in New York from 16 January 2006 to 16 January 2008.1. 本公约自2006年1月16日至2008年1月16日在纽约联合国总部开放供各国签署。
2. This Convention is subject to ratification, acceptance or approval by the signatory States.2. 本公约须经签署国批准、接受或认可。
3. This Convention is open for accession by all States that are not signatory States as from the date it is open for signature.3. 自开放供签署之日,本公约对所有未签署国开放供加入。
4. Instruments of ratification, acceptance, approval and accession are to be deposited with the Secretary-General of the United Nations.4. 批准书、接受书、认可书和加入书应送交联合国秘书长保存。
Article 17第17条
Participation by regional economic integration organizations区域经济一体化组织的参与
1. A regional economic integration organization that is constituted by sovereign States and has competence over certain matters governed by this Convention may similarly sign, ratify, accept, approve or accede to this Convention.1. 由主权国家组成并对本公约管辖的某些事项拥有管辖权的区域经济一体化组织同样可以签署、批准、接受、认可或加入本公约。
The regional economic integration organization shall in that case have the rights and obligations of a Contracting State, to the extent that that organization has competence over matters governed by this Convention.在此情况下,区域经济一体化组织享有的权利和负有的义务应与缔约国相同,但仅限于本组织对本公约管辖的事项具有管辖权的范围。
Where the number of Contracting States is relevant in this Convention, the regional economic integration organization shall not count as a Contracting State in addition to its member States that are Contracting States.当本公约须考虑缔约国的数目时,除一区域经济一体化组织中已成为本公约缔约国的成员国之外,该组织不应算作一个缔约国。
2. The regional economic integration organization shall, at the time of signature, ratification, acceptance, approval or accession, make a declaration to the depositary specifying the matters governed by this Convention in respect of which competence has been transferred to that organization by its member States.2. 区域经济一体化组织在签署、批准、接受、认可或加入时应向保存人提出一项声明,指明对本公约所管辖的哪些事项的管辖权已由其成员国转移给本组织。
The regional economic integration organization shall promptly notify the depositary of any changes to the distribution of competence, including new transfers of competence, specified in the declaration under this paragraph.根据本款提出的声明中所指明的管辖权分配如发生任何变化,包括管辖权的新的转移,区域经济一体化组织应迅速通知保存人。
3. Any reference to a “Contracting State” or “Contracting States” in this Convention applies equally to a regional economic integration organization where the context so requires.3. 在情况需要时,本公约中对“一缔约国”或“各缔约国”的任何提及均同等适用于区域经济一体化组织。
4. This Convention shall not prevail over any conflicting rules of any regional economic integration organization as applicable to parties whose respective places of business are located in States members of any such organization, as set out by declaration made in accordance with article 21.4. 对于任何区域经济一体化组织的规则,凡适用于其各自营业地位于根据第21条作出的声明所列出的任何此种组织的成员国的当事人的,在与本公约发生冲突时,本公约不得优先。
Article 18第18条
Effect in domestic territorial units对本国领土单位的效力
1. If a Contracting State has two or more territorial units in which different systems of law are applicable in relation to the matters dealt with in this Convention, it may, at the time of signature, ratification, acceptance, approval or accession, declare that this Convention is to extend to all its territorial units or only to one or more of them, and may amend its declaration by submitting another declaration at any time.1. 一缔约国拥有两个或多个领土单位,各领土单位对本公约所涉事项适用不同法律制度的,该国得在签署、批准、接受、认可或加入时声明本公约适用于本国的全部领土单位或仅适用于其中的一个或数个领土单位,并且可以随时提出另一声明来修改其所做的声明。
2. These declarations are to be notified to the depositary and are to state expressly the territorial units to which the Convention extends.2. 此种声明应通知保存人,并且明确指明适用本公约的领土单位。
3. If, by virtue of a declaration under this article, this Convention extends to one or more but not all of the territorial units of a Contracting State, and if the place of business of a party is located in that State, this place of business, for the purposes of this Convention, is considered not to be in a Contracting State, unless it is in a territorial unit to which the Convention extends.3. 由于按本条规定作出一项声明,本公约适用于缔约国的一个或数个领土单位但不是全部领土单位,而且一方当事人的营业地位于该国之内的,为本公约之目的,除非该营业地位于本公约适用的领土单位内,否则该营业地视为不在缔约国内。
4. If a Contracting State makes no declaration under paragraph 1 of this article, the Convention is to extend to all territorial units of that State.4. 一缔约国未根据本条第1款作出声明,本公约适用于该国的所有领土单位。
Article 19第19条
Declarations on the scope of application关于适用范围的声明
1. Any Contracting State may declare, in accordance with article 21, that it will apply this Convention only:1. 任何缔约国均可根据第21条声明本国仅在下述情况下适用本公约:
(a) When the States referred to in article 1, paragraph 1, are Contracting States to this Convention;(a) 第1条第1款中提及的国家是本公约的缔约国;或者
or
(b) When the parties have agreed that it applies.(b) 当事人约定适用本公约。
2. Any Contracting State may exclude from the scope of application of this Convention the matters it specifies in a declaration made in accordance with article 21.2. 任何缔约国均可将其在根据第21条所作的声明中指明的事项排除在本公约的适用范围之外。
Article 20第20条
Communications exchanged under other international conventions根据其他国际公约进行的通信往来
1. The provisions of this Convention apply to the use of electronic communications in connection with the formation or performance of a contract to which any of the following international conventions, to which a Contracting State to this Convention is or may become a Contracting State, apply:1. 本公约的规定适用于与订立或履行本公约缔约国已加入或可能加入的下列任何国际公约所适用的合同有关的电子通信的使用:
Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 10 June 1958);《承认及执行外国仲裁裁决公约》(1958年6月10日,纽约);
Convention on the Limitation Period in the International Sale of Goods (New York, 14 June 1974) and Protocol thereto (Vienna, 11 April 1980);《国际货物销售时效期限公约》(1974年6月14日,纽约)及其议定书(1980年4月11日,维也纳);
United Nations Convention on Contracts for the International Sale of Goods (Vienna, 11 April 1980);《联合国国际货物销售合同公约》(1980年4月11日,维也纳);
United Nations Convention on the Liability of Operators of Transport Terminals in International Trade (Vienna, 19 April 1991);《联合国国际贸易运输港站经营人赔偿责任公约》(1991年4月19日,维也纳);
United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 11 December 1995);《联合国独立担保和备用信用证公约》(1995年12月11日,纽约);
United Nations Convention on the Assignment of Receivables in International Trade (New York, 12 December 2001).《联合国国际贸易应收款转让公约》(2001年12月12日,纽约)。
2. The provisions of this Convention apply further to electronic communications in connection with the formation or performance of a contract to which another international convention, treaty or agreement not specifically referred to in paragraph 1 of this article, and to which a Contracting State to this Convention is or may become a Contracting State, applies, unless the State has declared, in accordance with article 21, that it will not be bound by this paragraph.2. 本公约的规定还适用于与订立或履行本公约一缔约国已加入或可能加入但未在本条第1款中具体提及的另一国际公约、条约或协定所适用的合同有关的电子通信,除非该国已根据第21条声明其将不受本款的约束。
3. A State that makes a declaration pursuant to paragraph 2 of this article may also declare that it will nevertheless apply the provisions of this Convention to the use of electronic communications in connection with the formation or performance of any contract to which a specified international convention, treaty or agreement applies to which the State is or may become a Contracting State.3. 根据本条第2款作出声明的国家也可声明,对于与订立或履行该国已加入或可能加入的已指明的国际公约、条约或协定所适用的任何合同有关的电子通信的使用,本国仍将适用本公约的规定。
4.
Any State may declare that it will not apply the provisions of this Convention to the use of electronic communications in connection with the formation or performance of a contract to which any international convention, treaty or agreement specified in that State’s declaration, to which the State is or may become a Contracting State, applies, including any of the conventions referred to in paragraph 1 of this article, even if such State has not excluded the application of paragraph 2 of this article by a declaration made in accordance with article 21.4. 任何国家均可声明,对于与订立或履行该国已加入或可能加入的而且在该国的声明中指明的任何国际公约、条约或协定,包括本条第1款中提及的任何公约所适用的合同有关的电子通信的使用,本国将不适用本公约的规定,即使该国尚未通过根据第21条作出声明的方式排除本条第2款的适用亦如此。
Article 21第21条
Procedure and effects of declarations声明的程序和效力
1.
Declarations under article 17, paragraph 4, article 19, paragraphs 1 and 2, and article 20, paragraphs 2, 3 and 4, may be made at any time.1. 任何时候均可根据第17条第4款、第19条第1和第2款以及第20条第2、第3和第4款作出声明。
Declarations made at the time of signature are subject to confirmation upon ratification, acceptance or approval.在签署时作出的声明须在批准、接受或认可时加以确认。
2. Declarations and their confirmations are to be in writing and to be formally notified to the depositary.2. 声明及其确认,应以书面形式提出,并应正式通知保存人。
3. A declaration takes effect simultaneously with the entry into force of this Convention in respect of the State concerned.3. 声明在本公约对有关国家开始生效时同时生效。
However, a declaration of which the depositary receives formal notification after such entry into force takes effect on the first day of the month following the expiration of six months after the date of its receipt by the depositary.但是,保存人于此种生效后收到正式通知的声明,应于保存人收到该项声明之日起满六个月后的下一个月第一日生效。
4. Any State that makes a declaration under this Convention may modify or withdraw it at any time by a formal notification in writing addressed to the depositary.4. 根据本公约的规定作出声明的任何国家,可以在任何时候以书面形式正式通知保存人更改或撤回该项声明。
The modification or withdrawal is to take effect on the first day of the month following the expiration of six months after the date of the receipt of the notification by the depositary.此种更改或撤回于保存人收到通知之日起满六个月后的下一个月第一日生效。
Article 22第22条
Reservations保留
No reservations may be made under this Convention.不得对本公约提出保留。
Article 23第23条
Entry into force生效
1. This Convention enters into force on the first day of the month following the expiration of six months after the date of deposit of the third instrument of ratification, acceptance, approval or accession.1. 本公约于第三件批准书、接受书、认可书或加入书交存之日起满六个月后的下一个月第一日生效。
2. When a State ratifies, accepts, approves or accedes to this Convention after the deposit of the third instrument of ratification, acceptance, approval or accession, this Convention enters into force in respect of that State on the first day of the month following the expiration of six months after the date of the deposit of its instrument of ratification, acceptance, approval or accession.2. 一国在第三件批准书、接受书、认可书或加入书交存之后才批准、接受、认可或加入本公约的,本公约于该国交存其批准书、接受书、认可书或加入书之日起满六个月后的下一个月第一日对该国生效。
Article 24第24条
Time of application适用时间
This Convention and any declaration apply only to electronic communications that are made after the date when the Convention or the declaration enters into force or takes effect in respect of each Contracting State.本公约和任何声明仅适用于在本公约或该声明对每一缔约国生效或产生效力之日后所进行的电子通信。
Article 25第25条
Denunciations退约
1. A Contracting State may denounce this Convention by a formal notification in writing addressed to the depositary.1. 缔约国得以书面形式正式通知保存人,宣布其退出本公约。
2. The denunciation takes effect on the first day of the month following the expiration of twelve months after the notification is received by the depositary.2. 退约于保存人收到通知之日起满十二个月后的下一个月第一日起生效。
Where a longer period for the denunciation to take effect is specified in the notification, the denunciation takes effect upon the expiration of such longer period after the notification is received by the depositary.凡通知内订明退约的生效需更长期限的,退约于保存人收到通知后该段更长期限届满时生效。
DONE at New York this twenty-third day of November two thousand and five, in a single original, of which the Arabic, Chinese, English, French, Russian and Spanish texts are equally authentic.二ΟΟ五年十一月二十三日订于纽约,正本一份,其阿拉伯文本、中文本、英文本、法文本、俄文本和西班牙文本具有同等效力。
IN WITNESS WHEREOF the undersigned plenipotentiaries, being duly authorized by their respective Governments, have signed this Convention.下列署名全权代表,经各自政府正式授权,在本公约上签字,以昭信守。
Explanatory note by the UNCITRAL secretariat on the United Nations Convention on the Use of Electronic Communications in International Contracts贸易法委员会秘书处关于 《联合国国际合同使用电子通信公约》的 解释性说明
I. Introduction一. 导言
1. The United Nations Convention on the Use of Electronic Communications in International Contracts (hereinafter the “Electronic Communications Convention” or the “Convention”) was prepared by the United Nations Commission on International Trade Law (UNCITRAL) between 2002 and 2005.1. 《联合国国际合同使用电子通信公约》(以下称“电子通信公约”或“公约”)是由联合国国际贸易法委员会在2002至2005年期间编制的。
The General Assembly adopted the Convention on 23 November 2005 by its resolution 60/21 and the Secretary-General opened it for signature on 16 January 2006.2005年11月23日,大会在第60/21号决议中通过了该公约,联合国秘书长于2006年1月16日将其开放供签署。
2. When it approved the final draft for adoption by the General Assembly, at its thirty-eighth session (Vienna, 4-15 July 2005), UNCITRAL requested the Secretariat to prepare explanatory notes on the new instrument.2. 贸易法委员会在第三十八届会议(2005年7月4日至15日,维也纳)上核准最后草案以供大会通过时,请秘书处编写这份新文书的解释性说明。
At its thirty-ninth session (New York, 19 June-7 July 2006), UNCITRAL took note of the explanatory notes prepared by the Secretariat and requested the Secretariat to publish the notes together with the text of the Convention.贸易法委员会在第三十九届会议(2006年6月19日至7月7日,纽约)上注意到了秘书处编写的解释性说明,并请秘书处将该说明与公约文本一起出版。
II. Main features of the Convention二. 公约的主要特点
3. The purpose of the Electronic Communications Convention is to offer practical solutions for issues related to the use of electronic means of communication in connection with international contracts.3. 《电子通信公约》的目的是为涉及国际合同使用电子通信手段的问题提供可行的解决办法。
4. The Convention is not intended to establish uniform rules for substantive contractual issues that are not specifically related to the use of electronic communications.4. 公约的目的不是为与使用电子通信没有特别联系的实质性合同问题设立统一规则。
However, a strict separation between technology-related and substantive issues in the context of electronic commerce is not always feasible or desirable.不过,在电子商务中将有关技术的问题和实质性问题严格分离有时是不可行的,也是不可取的。
Therefore, the Convention contains a few substantive rules that extend beyond merely reaffirming the principle of functional equivalence where substantive rules are needed in order to ensure the effectiveness of electronic communications.因此,对于需要实体规则以确保电子通信有效性的情况,公约载有若干实体规则,不仅仅是重申功能等同原则。
A. Sphere of application (articles 1 and 2)A. 适用范围(第1和第2条)
5. The Electronic Communications Convention applies to the “use of electronic communications in connection with the formation or performance of a contract between parties whose places of business are in different States”.5. 《电子通信公约》适用于“与营业地位于不同国家的当事人之间订立或履行合同有关的电子通信的使用”。
“Electronic communication” includes any statement, declaration, demand, notice or request, including an offer and the acceptance of an offer, made by electronic, magnetic, optical or similar means in connection with the formation or performance of a contract.“电子通信”包括与合同的订立或履行有关的、经由电子手段、电磁手段、光学手段或类似手段生成的、包括要约和接受要约在内的任何陈述、声明、要求、通知或请求。
The word “contract” in the Convention is used in a broad way and includes, for example, arbitration agreements and other legally binding agreements whether or not they are usually called “contracts”.公约中的“合同”一词用法很宽泛,包括诸如仲裁协议和其他具法律约束力的协议,无论这些协议通常是否称为“合同”。
6. The Convention applies to international contracts, that is, contracts between parties located in two different States, but it is not necessary for both of those States to be contracting States of the Convention.6. 公约适用于国际合同,即位于两个不同国家的当事人之间的合同,但不要求这两个国家都是公约的缔约国。
However, the Convention only applies when the law of a contracting State is the law applicable to the dealings between the parties, which is to be determined by the rules on private international law of the forum State, if the parties have not validly chosen the applicable law.不过,只有当缔约国的法律适用于当事双方的交易时,公约才可适用,如果当事双方未有效选择适用法律,则适用法律由法院所在地国关于国际私法的规则确定。
7. The Convention does not apply to electronic communications exchanged in connection with contracts entered into for personal, family or household purposes.7. 公约不适用于涉及为个人、家人或家庭目的订立的合同的电子通信。
However, unlike the corresponding exclusion under article 2 (a) of the United Nations Convention on Contracts for the International Sale of Goods (the “United Nations Sales Convention”), the exclusion of these transactions under the Electronic Communications Convention is an absolute one, meaning that the Convention would not apply to contracts entered into for personal, family or household purposes, even if the particular purpose of the contract was not apparent to the other party.不过,与《联合国国际货物销售合同公约》(“联合国销售公约”)第2 (a)条下的相应除外情形不同的是,公约绝对排除这类交易,也就是说,《电子通信公约》不适用于为个人、家人或家庭目的订立的合同,即使合同的特定目的对另一方当事人来说并不明显。
Furthermore, the Convention does not apply to transactions in certain financial markets subject to specific regulation or industry standards.此外,公约不适用于在某些金融市场中受某些特别规则或行业标准约束的交易。
These transactions have been excluded because the financial service sector is already subject to well-defined regulatory controls and industry standards that address issues relating to electronic commerce in an effective way for the worldwide functioning of that sector.排除这些交易是因为金融服务部门已经有明确的规范管理办法和行业标准,这些管理办法和标准为该部门在全球范围的活动有效处理了电子商务的相关问题。
Lastly, the Convention does not apply to negotiable instruments or documents of title, in view of the particular difficulty of creating an electronic equivalent of paper-based negotiability, a goal for which special rules would need to be devised.最后,公约不适用于可转让的所有权票据或单证,因为很难生成等同于纸面形式可转让性的电子形式的可转让性,对此需要制订特别的规则。
B. Location of the parties and information requirements (articles 6 and 7)B. 当事人的所在地和对提供信息的要求(第6和第7条)
8. The Electronic Communications Convention contains a set of rules dealing with the location of the parties.8. 《电子通信公约》载有一整套关于当事人所在地的规则。
The Convention does not contemplate a duty for the parties to disclose their places of business, but establishes a certain number of presumptions and default rules aimed at facilitating a determination of a party’s location.公约未规定当事人有义务披露营业地点,而是作出若干假定,设立若干默认规则,目的是便于确定当事人的所在地。
It attributes primary — albeit not absolute — importance to a party’s indication of its relevant place of business.公约认为,当事人指明自己的相关营业地,这虽然不是绝对重要,但也是头等重要的。
9.
The Convention takes a cautious approach to peripheral information related to electronic messages, such as Internet Protocol addresses, domain names or the geographic location of information systems, which despite their apparent objectivity have little, if any, conclusive value for determining the physical location of the parties.9. 公约对IP地址、域名或信息系统的地理位置等与电子信息有关的外围信息采取谨慎的方式,虽然这些信息显然是客观存在的,但对确定当事人的实际所在地几乎没有决定性价值。
C. Treatment of contracts (articles 8, 11, 12 and 13)C. 对合同的处理(第8、11、12和13条)
10. The Electronic Communications Convention affirms in article 8 the principle contained in article 11 of the UNCITRAL Model Law on Electronic Commerce that contracts should not be denied validity or enforceability solely because they result from the exchange of electronic communications.10. 《电子通信公约》第8条承认《贸易法委员会电子商务示范法》第11条所载的原则,即不得仅以合同系由电子通信形式产生为由而否定其效力或可执行性。
The Convention does not venture into determining when offers and acceptances of offers become effective for purposes of contract formation.公约没有贸然断定要约和对要约的接受何时产生订立合同的效力。
11. Article 12 of the Convention recognizes that contracts may be formed as a result of actions by automated message systems (“electronic agents”), even if no natural person reviewed each of the individual actions carried out by the systems or the resulting contract.11. 公约第12条承认,可通过自动电文系统(“电子代理”)的动作订立合同,即使无自然人复查这些系统进行的每一动作或由此产生的合同。
However, article 11 clarifies that the mere fact that a party offers interactive applications for the placement of orders — whether or not its system is fully automated — does not create a presumption that the party intended to be bound by the orders placed through the system.不过,第11条解释说,假如一方当事人为订单提供了交互式应用程序——无论其系统是否完全自动——也不应由此推定该当事人打算受通过该系统发出的订单的约束。
12. Consistently with the decision to avoid establishing a duality of regimes for electronic and paper-based transactions, and consistent with the facilitative — rather than regulatory — approach of the Convention, article 13 defers to domestic law on matters such as any obligations that the parties might have to make contractual terms available in a particular manner.12. 按照避免为电子交易和纸面交易设立双重制度的决定,并遵循公约的协助性而非规范性的方式,第13条在当事人可能有义务以某种方式提供合同条款等问题上服从国内法。
However, the Convention deals with the substantive issue of input errors in electronic communications in view of the potentially higher risk of mistakes being made in real-time or nearly instantaneous transactions entered into by a natural person communicating with an automated message system.不过,公约处理了电子通信中输入错误这一实质性问题,因为在自然人与自动电文系统通信而达成的实时交易或近乎即时的交易中发生错误的风险较高。
Article 14 provides that a party who makes an input error may withdraw the part of the communication in question under certain circumstances.第14条规定,在某些情况下,发生输入错误的一方当事人可撤回通信中有输入错误的部分。
D. Form requirements (article 9)D. 形式要求(第9条)
13. Article 9 of the Electronic Communications Convention reiterates the basic rules contained in articles 6, 7 and 8 of the UNCITRAL Model Law on Electronic Commerce concerning the criteria for establishing functional equivalence between electronic communications and paper documents — including “original” paper documents — as well as between electronic authentication methods and handwritten signatures.13. 《电子通信公约》第9条重申了《贸易法委员会电子商务示范法》第6、7、8条所载的关于电子通信和纸面文件——包括“正本”纸面文件——之间以及电子确认办法和手写签名之间功能等同的标准的基本规则。
However, unlike the Model Law, the Convention does not deal with record retention, as it was felt that such a matter was more closely related to rules of evidence and administrative requirements than to contract formation and performance.不过,与示范法不同的是,公约没有处理保留记录的问题,因为据认为这类事项与证据规则和行政要求的关系较紧密,与订立和履行合同关系较小。
14. It should be noted that article 9 establishes minimum standards to meet form requirements that may exist under the applicable law.14. 应该指出,第9条设定了最低标准,以满足适用法律中可能存在的形式要求。
The principle of party autonomy in article 3, which is also contained in other UNCITRAL instruments, such as in article 6 of the United Nations Sales Convention, should not be understood as allowing the parties to go as far as relaxing statutory requirements on signature in favour of methods of authentication that provide a lesser degree of reliability than electronic signatures.第3条中的当事人意思自治原则也载于贸易法委员会的其他文书中,如《联合国销售公约》第6条,这一原则不应理解为允许当事人放宽对签名的法定要求,接受可靠程度低于电子签字的认证办法。
Generally, it was understood that party autonomy did not mean that the Electronic Communications Convention empowered the parties to set aside statutory requirements on form or authentication of contracts and transactions.据认为,一般而言,当事人意思自治并非是指当事人按照《电子通信公约》有权撇开对合同和交易的法定形式要求或认证要求。
E. Time and place of dispatch and receipt of electronic communications (article 10)E. 发出和收到电子通信的时间和地点(第10条)
15.
As is the case under article 15 of the UNCITRAL Model Law on Electronic Commerce, the Electronic Communications Convention contains a set of default rules on time and place of dispatch and receipt of electronic communications, which are intended to supplement national rules on dispatch and receipt by transposing them to an electronic environment.15. 与《贸易法委员会电子商务示范法》第15条下的情况相同的是,《电子通信公约》也载有一整套关于发出和收到电子通信的时间和地点的默认规则,其目的是将关于发出和收到数据电文的国内规则移植到电子环境中,从而使其得到补充。
The differences in wording between article 10 of the Convention and article 15 of the Model Law are not intended to produce a different practical result, but rather are aimed at facilitating the operation of the Convention in various legal systems, by aligning the formulation of the relevant rules with general elements commonly used to define dispatch and receipt under domestic law.公约第10条和示范法第15条之间的措辞区别不是为了产生不同的实际效果,而是为了通过将相关规则的制订与国内法律下定义的发出和收到的一般常用要件接轨,便利公约在各种法律制度中的操作。
16. Under the Convention, “dispatch” occurs when an electronic communication leaves an information system under the control of the originator, whereas “receipt” occurs when an electronic communication becomes capable of being retrieved by the addressee, which is presumed to happen when the electronic communication reaches the addressee’s electronic address.16. 按照公约规定,“发出”系指电子通信离开发件人所控制的信息系统,而“收到”系指电子通信能够由收件人检索,按推定是在电子通信到达收件人的电子地址时。
The Convention distinguishes between delivery of communications to specifically designated electronic addresses and delivery of communications to an address not specifically designated.公约区分了将通信发送到特别指定的电子地址和将通信发送到没有特别指定的地址两种情况。
In the first case, a communication is received when it reaches the addressee’s electronic address (or “enters” the addressee’s “information system” in the terminology of the Model Law).在第一种情况下,通信到达收件人的电子地址(或如示范法用语,“进入”收件人的“信息系统”)时即为收到。
For all cases where the communication is not delivered to a designated electronic address, receipt under the Convention only occurs when (a) the electronic communication becomes capable of being retrieved by the addressee (by reaching an electronic address of the addressee) and (b) the addressee actually becomes aware that the communication was sent to that particular address.对于不将通信发送到指定电子地址的所有情况,公约规定的收到仅为以下两种情况:(a)电子通信(到达收件人的电子地址)能够由收件人检索,(b)收件人实际了解该通信已发送到该特定地址。
17. Electronic communications are presumed to be dispatched and received at the parties’ places of business.17. 推定电子通信是在当事人的营业地发送和收到的。
F. Relationship to other international instruments (article 20)F. 与其他国际文书的关系(第20条)
18. UNCITRAL hopes that States may find the Electronic Communications Convention useful to facilitate the operation of other international instruments — particularly trade-related ones.18. 贸易法委员会希望各国可以发现《电子通信公约》有助于促进其他国际文书的运作——特别是与贸易有关的文书。
Article 20 intends to offer a possible common solution for some of the legal obstacles to electronic commerce under existing international instruments in a manner that obviates the need for amending individual international conventions.第20条的目的是提供可能的通用办法,解决现行国际文书对电子商务构成的一些法律障碍,从而避免逐一修订国际公约。
19. In addition to those instruments which, for the avoidance of doubt, are listed in paragraph 1 of article 20, the provisions of the Convention may also apply, pursuant to paragraph 2 of article 20, to electronic communications exchanged in connection with contracts covered by other international conventions, treaties or agreements, unless such application has been excluded by a contracting State.19. 除了为避免疑问而开列于第20条第1款的文书,公约的条文还可根据第2款适用于其他国际公约、条约或协议中涵盖的合同所涉的电子通信,除非缔约国已排除此类适用情况。
The possibility of excluding this expanded application of the Convention has been added to take into account possible concerns of States that may wish to ascertain first whether the Convention would be compatible with their existing international obligations.一些国家似宜先明确公约是否符合其现有的国际义务,考虑到这些国家可能产生的关切,添加了如此扩大公约适用范围可能受到拒绝的内容。
20.
Paragraphs 3 and 4 of article 20 offer further flexibility by allowing States to add specific conventions to the list of international instruments to which they would apply the provisions of the Convention — even if the State has submitted a general declaration under paragraph 2 — or to exclude certain specific conventions identified in their declarations.20. 第20条第3和第4款允许各国在其适用公约条文的国际文书的列表中添加具体的公约—即使该国已根据第2款提交了一份一般声明——或撤除其声明中指明的某些具体公约。
It should be noted that declarations under paragraph 4 of this article would exclude the application of the Convention to the use of electronic communications in respect of all contracts to which another international convention applies.应该指出,根据本条第4款所作的声明会致使公约不适用于与另一国际公约所适用的一切合同的相关电子通信。
III. Summary of preparatory work三. 编制工作总结
1.
At its thirty-third session (New York, 17 June-7 July 2000), UNCITRAL held a preliminary exchange of views on proposals for future work in the field of electronic commerce.21. 贸易法委员会在其第三十三届会议(2000年6月17日至7月7日,纽约)上就电子商务领域未来工作的提议初步交换了意见。
The three suggested topics were electronic contracting, considered from the perspective of the United Nations Sales Convention; online dispute settlement; and dematerialization of documents of title, in particular in the transport industry.提出的三个议题是:从《联合国销售公约》的角度审议电子订约;网上解决纠纷;所有权凭证的非实物化,特别是在运输业。
2.
The Commission welcomed those suggestions.22. 委员会欢迎上述提议。
The Commission generally agreed that, upon completing the preparation of the Model Law on Electronic Signatures, the Working Group on Electronic Commerce would be expected to examine, at its thirty-eighth session, some or all of the above-mentioned topics, as well as any additional topic, with a view to making more specific proposals for future work by the Commission at its thirty-fourth session, in 2001.委员会大致商定,电子商务工作组完成《电子签字示范法》的编制工作后,预计将在其第三十八届会议上审查上述部分或全部议题和任何补充议题,以便在2001年委员会第三十四届会议上就委员会将来的工作提出更具体的提议。
It was agreed that work to be carried out by the Working Group could involve consideration of several topics in parallel as well as preliminary discussion of the contents of possible uniform rules on certain aspects of the above-mentioned topics.会上商定,工作组要做的工作可以是平行地审议几个议题并初步讨论关于上述议题某些方面的可能的统一规则的内容。
23.
The Working Group considered those proposals at its thirty-eighth session (New York, 12-23 March 2001), on the basis of a set of notes dealing with a possible convention to remove obstacles to electronic commerce in existing international conventions (A/CN.9/WG.IV/WP.89); dematerialization of documents of title (A/CN.9/WG.IV/WP.90); and electronic contracting (A/CN.9/WG.IV/WP.91).23. 工作组第三十八届会议(2001年3月12日至23日,纽约)在关于下述问题的一系列说明的基础上审议了这些提议:为克服现有国际公约中对电子商务的障碍而可能拟订的一项公约(A/CN.9/WG.IV/WP.89);所有权凭证的非实物化(A/CN.9/WG.IV/WP.90);电子订约(A/CN.9/WG.IV/WP.91)。
The Working Group held an extensive discussion on issues related to electronic contracting (A/CN.9/484, paras. 94-127).工作组就电子订约的有关问题进行了广泛的讨论(A/CN.9/484,第94-127段)。
The Working Group concluded its deliberations by recommending to the Commission that it should start work towards the preparation of an international instrument dealing with certain issues in electronic contracting on a priority basis.工作组在结束审议时向委员会建议,应以优先顺序为基础,着手拟订一项关于电子订约某些问题的国际文书。
At the same time, the Working Group recommended that the Secretariat be entrusted with the preparation of the necessary studies concerning three other topics considered by the Working Group: (a) a comprehensive survey of possible legal barriers to the development of electronic commerce in international instruments; (b) a further study of the issues related to transfer of rights by electronic means, in particular rights in tangible goods and mechanisms for publicizing and keeping a record of acts of transfer or the creation of security interests in such goods; and (c) a study discussing the UNCITRAL Model Law on International Commercial Arbitration, as well as the UNCITRAL Arbitration Rules, to assess their appropriateness for meeting the specific needs of online arbitration (A/CN.9/484, para. 134).同时,工作组还建议委员会责成秘书处编写关于工作组所审议的另外三个专题的必要研究报告:(a)全面调查国际文书中可能妨碍电子商务发展的法律障碍;(b)进一步研究电子手段转让权利特别是有形货物权利的有关问题,以及转让行为记录或以这类货物设定担保权益的记录的公布和保存机制问题;(c)研究《贸易法委员会国际商事仲裁示范法》和《贸易法委员会仲裁规则》,以评估其是否适宜满足网上仲裁的特别需要(A/CN.9/484,第134段)。
24. At the thirty-fourth session of the Commission (Vienna, 25 June-13 July 2001), there was wide support for the recommendations made by the Working Group, which were found to constitute a sound basis for future work by the Commission.24. 在委员会第三十四届会议(2001年6月25日至7月13日,维也纳)上,与会者广泛支持工作组提出的建议,认为这些建议构成了委员会今后工作的良好基础。
Views varied, however, as regards the relative priority to be assigned to the different topics.但是,对于这些不同专题的优先顺序,意见各有不同。
One line of thought was that a project aimed at removing obstacles to electronic commerce in existing instruments should have priority over the other topics, in particular over the preparation of a new international instrument dealing with electronic contracting.一种思路是,旨在消除现有文书中对电子商务的障碍的项目应优先于其他专题,特别是应当优先于关于电子订约的新国际文书的拟订工作。
The prevailing view, however, was in favour of the order of priority that had been recommended by the Working Group.但是,普遍意见赞同工作组所建议的优先顺序。
It was pointed out, in that connection, that the preparation of an international instrument dealing with issues of electronic contracting and the consideration of appropriate ways for removing obstacles to electronic commerce in existing uniform law conventions and trade agreements were not mutually exclusive.在这方面,据指出,拟订一项关于电子订约问题的国际文书和审议消除现有统一法律公约和贸易协定中对电子商务的障碍的适当方法并不是互相排斥的。
The Commission was reminded of the common understanding reached at its thirty-third session that work to be carried out by the Working Group could involve consideration of several topics in parallel.有与会者提醒委员会其第三十三届会议达成的共识,即工作组拟开展的工作可以是若干议题同时并行审议。
In order to give States sufficient time to hold internal consultations, the Commission accepted that suggestion and decided that the first meeting of the Working Group on issues of electronic contracting should take place in the first quarter of 2002.为了给各国留出充足的时间进行内部协商,委员会接受了这一提议,决定工作组应在2002年第一季度举行关于电子订约问题的首次会议。
25.
At its thirty-ninth session (New York, 11-15 March 2002), the Working Group considered a note by the Secretariat discussing selected issues on electronic contracting, which contained in its annex I an initial draft tentatively entitled “Preliminary draft convention on [international] contracts concluded or evidenced by data messages” (see A/CN.9/WG.IV/WP.95).25. 工作组第三十九届会议(2002年3月11日至15日,纽约)审议了秘书处的一份说明,其中讨论了所选定的若干电子订约问题,其中的附件一载有一份初稿,暂定标题是“由数据电文订立或证明的[国际]合同公约草案初稿”(见A/CN.9/WG.IV/WP.95)。
The Working Group further considered a note by the Secretariat transmitting comments that had been formulated by an ad hoc expert group established by the International Chamber of Commerce to examine the issues raised in document A/CN.9/WG.IV/WP.95 and the draft provisions set out in its annex I (A/CN.9/WG.IV/WP.96, annex).工作组还审议了秘书处的一份说明,其中转呈了由一个特设专家组拟定的评述意见,该专家组是国际商会设立的,目的是审查A/CN.9/WG.IV/WP.95号文件中提出的问题以及在其附件一中提出的条文草案(A/CN.9/WG.IV/WP.96,附件)。
26. The Working Group considered first the form and scope of the preliminary convention (see A/CN.9/509, paras. 18-40).26. 工作组首先审议了公约初稿的形式和范围(见A/CN.9/509,第18-40段)。
The Working Group agreed to postpone discussion on exclusions from the Convention until it had had an opportunity to consider the provisions related to location of the parties and contract formation.工作组商推迟关于公约不适用情况的讨论,直至有机会审议关于当事方所在地和合同订立的条文为止。
In particular, the Working Group decided to proceed with its deliberations by first taking up articles 7 and 14, both of which dealt with issues related to the location of the parties (see A/CN.9/509, paras. 41-65).具体地说,工作组决定在讨论时先讨论第7条和第14条,这两条都涉及当事方所在地的有关问题(见A/CN.9/509,第41-65段)。
After it had completed its initial review of those provisions, the Working Group proceeded to consider the provisions dealing with contract formation in articles 8 to 13 (A/CN.9/509, paras. 66-121).在完成这些条文的初步审议后,工作组继续审议第8-13条内涉及合同订立的条款(A/CN.9/509,第66-121段)。
The Working Group concluded its deliberations on the Convention with a discussion of draft article 15 (A/CN.9/509, paras. 122-125).工作组在结束对于该公约草案的审议时讨论了第15条草案(A/CN.9/509,第122-125段)。
The Working Group agreed that it should consider articles 2 to 4, dealing with the sphere of application of the Convention, and articles 5 (Definitions) and 6 (Interpretation), at its fortieth session.工作组商定在其第四十届会议上审议关于公约草案适用范围的第2-4条以及第5条(定义)和第6条(解释)。
The Working Group requested the Secretariat to prepare a revised version of the preliminary convention, based on those deliberations and decisions, for consideration by the Working Group at its fortieth session.工作组请秘书处根据这些讨论意见和决定编写该公约初稿的修订本,提交工作组第四十届会议审议。
27. Furthermore, at the closing of that session, the Working Group was informed of the progress that had been made by the Secretariat in connection with the survey of possible legal obstacles to electronic commerce in existing trade-related instruments.27. 此外,工作组在该届会议结束时获悉秘书处调查现有与贸易相关的文书中可能存在的对电子商务法律的障碍的进展情况。
The Working Group noted that the Secretariat had begun the work by identifying and reviewing trade-relevant instruments from among the large number of multilateral treaties that were deposited with the Secretary-General.工作组注意到,秘书处首先是从交存于秘书长的大量多边条约中选定和审查与贸易相关的文书。
The Secretariat had identified 33 treaties as being potentially relevant for the survey and analysed possible issues that might arise from the use of electronic means of communication under those treaties.秘书处共选定了33项条约,认为其可能与此项调查有关,然后分析了按照这些条约使用电子通信手段可能产生的问题。
The preliminary conclusions reached by the Secretariat in relation to those treaties were set out in a note by the Secretariat (A/CN.9/WG.IV/WP.94).秘书处针对这些条约得出的初步结论,载于秘书处的一份说明(A/CN.9/WG.IV/WP.94)。
The Working Group took note of the progress that had been made by the Secretariat in connection with the survey, but did not have sufficient time to consider the preliminary conclusions of the survey.工作组注意到秘书处在该项调查中取得的进展,但没有足够时间审议调查的初步结论。
The Working Group requested the Secretariat to seek the views of member and observer States on the survey and the preliminary conclusions indicated therein and to prepare a report compiling such comments for consideration by the Working Group at a later stage.工作组请秘书处征求各成员国和观察员国家对于该调查以及对其中所提出的初步结论的意见,并编写一份报告,汇编这些意见,供工作组以后某个阶段进行审议。
The Working Group requested the Secretariat to seek the views of other international organizations, including organizations of the United Nations system and other intergovernmental organizations, as to whether there were international trade instruments in respect of which those organizations or their member States acted as depositaries that those organizations would wish to be included in the survey being conducted by the Secretariat (A/CN.9/509, para. 16).工作组请秘书处征求其他国际组织的意见,其中包括联合国系统各组织和其他的政府间组织,以查清在这些组织或其成员国担任交存人的国际贸易文书中是否有其希望列入秘书处调查范围的文书(A/CN.9/509,第16段)。
28.
The Commission considered the Working Group’s report at its thirty-fifth session (New York, 17-28 June 2002).28. 委员会第三十五届会议(2002年6月17日至28日,纽约)审议了工作组的报告。
The Commission noted with appreciation that the Working Group had started its consideration of a possible international instrument dealing with selected issues on electronic contracting.委员会赞赏地注意到,工作组已经开始审议有关电子订约方面若干问题的一份可能的国际文书。
The Commission reaffirmed its belief that an international instrument dealing with certain issues of electronic contracting might be a useful contribution to facilitate the use of modern means of communication in cross-border commercial transactions.委员会重申其相信就电子订约的某些问题订立一项国际文书有可能便利使用现代通信手段进行跨国界商业交易。
The Commission commended the Working Group for the progress made in that regard.委员会赞赏工作组在这方面取得的进展。
However, the Commission also took note of the varying views that had been expressed within the Working Group concerning the form and scope of the instrument, its underlying principles and some of its main features.然而,委员会也注意到,关于该文书的形式和范围,它的基本原则以及某些主要内容,工作组内仍有不同的看法。
The Commission noted, in particular, the proposal that the Working Group’s considerations should not be limited to electronic contracts, but should apply to commercial contracts in general, irrespective of the means used in their negotiation.特别是,委员会注意到有人提议,工作组的审议不应局限于电子订约,而应当针对一般的商业合同,不论其在谈判中使用何种手段。
The Commission was of the view that member and observer States participating in the Working Group’s deliberations should have ample time for consultations on those important issues.委员会认为,参与工作组审议工作的各成员国和观察员国家应有充足时间就这些重要问题开展协商。
For that purpose, the Commission considered that it might be preferable for the Working Group to postpone its discussions on a possible international instrument dealing with selected issues on electronic contracting until its forty-first session, to be held in New York from 5 to 9 May 2003.为此目的,委员会认为,工作组最好是把关于电子订约中某些问题的可能国际文书的讨论,推迟到拟于2003年5月5日至9日在纽约举行的工作组第四十一届会议审议。
29. As regards the Working Group’s consideration of possible legal obstacles to electronic commerce that might result from trade-related international instruments, the Commission reiterated its support for the efforts of the Working Group and the Secretariat in that respect.29. 关于工作组审议某些与贸易相关的国际文书可能产生的对电子商务的法律障碍,委员会重申支持工作组和秘书处在这方面所作的努力。
The Commission requested the Working Group to devote most of its time at its fortieth session, in October 2002, to a substantive discussion of various issues that had been raised in the Secretariat’s initial survey (A/CN.9/WG.IV/WP.94).委员会请工作组在其2002年10月的第四十届会议上将大部分时间用于对秘书处在初步调查中提出的各种问题开展实质性的讨论(A/CN.9/WG.IV/WP.94)。
30. At its fortieth session (Vienna, 14-18 October 2002), the Working Group reviewed the survey of possible legal barriers to electronic commerce contained in document A/CN.9/WG.IV/WP.94.30. 工作组第四十届会议(2002年10月14日至18日,维也纳)审查了A/ CN.9/WG.IV/WP.94号文件中所载关于可能存在的电子商务法律障碍的调查。
The Working Group generally agreed with the analysis and endorsed the recommendations that had been made by the UNCITRAL secretariat (see A/CN.9/527, paras. 24-71).工作组普遍同意所作的分析,并赞同贸易法委员会秘书处提出的建议(见A/CN.9/ 527,第24-71段)。
The Working Group agreed to recommend that the UNCITRAL secretariat take up the suggestions for expanding the scope of the survey so as to review possible obstacles to electronic commerce in additional instruments that had been proposed for inclusion in the survey by other organizations and to explore with those organizations the modalities for carrying out the necessary studies, taking into account the possible constraints put on the secretariat by its current workload.工作组一致同意,间一贸易法委员会秘书处采纳关于扩大调查范围的建议,以便审查由其他组织建议列入调查范围的其他文书中可能存在的对电子商务的障碍,并与这些组织探讨进行必要研究的方式,同时考虑到秘书处因其现有工作量而可能受到的限制。
The Working Group invited member States to assist the UNCITRAL secretariat in that task by identifying appropriate experts or sources of information in respect of the various specific fields of expertise covered by the relevant international instruments.工作组请成员国协助贸易法委员会秘书处开展这项工作,找寻有关国际文书所涉各具体专业领域的有关专家或信息来源。
The Working Group used the remaining time at that session to resume its deliberations on the preliminary convention (see A/CN.9/527, paras. 72-126).工作组利用该届会议的剩余时间继续对公约初稿进行了审议(见A/CN.9/527,第72-126段)。
31. The Working Group resumed its deliberations on the preliminary convention at its forty-first session (New York, 5-9 May 2003).31. 工作组第四十一届会议(2003年5月5日至9日,纽约)继续审议公约初稿。
The Working Group noted that a task force that had been established by the International Chamber of Commerce had submitted comments on the scope and purpose of the Convention (A/CN.9/WG.IV/WP.101, annex).工作组注意到,由国际商会建立的一个工作队提交了关于公约的范围和目的的评论(A/CN.9/WG.IV/WP.101,附件)。
The Working Group generally welcomed the work being undertaken by private-sector representatives, such as the International Chamber of Commerce, which was considered to complement usefully the work being undertaken in the Working Group to develop an international convention.工作组普遍欢迎国际商会等私营部门代表所做的工作,认为这些工作是对工作组拟订一项国际公约的工作的有益补充。
The decisions and deliberations of the Working Group with respect to the Convention are reflected in chapter IV of the report on its forty-first session (see A/CN.9/528, paras. 26-151).工作组关于公约的决定和审议情况见工作组第四十一届会议报告第四章(见A/CN.9/528,第26-151段)。
32. In accordance with a decision taken at its fortieth session (see A/CN.9/527, para. 93), the Working Group also held a preliminary discussion on the question of excluding intellectual property rights from the Convention (see A/CN.9/528, paras. 55-60).32.根据工作组第四十届会议的一项决定(见A/CN.9/527,第93段),工作组还初步讨论了从公约草案中排除知识产权的问题(见A/CN.9/528,第55-60段)。
The Working Group agreed that the Secretariat should be requested to seek the specific advice of relevant international organizations, such as the World Intellectual Property Organization (WIPO) and the World Trade Organization, as to whether, in the view of those organizations, including contracts that involved the licensing of intellectual property rights in the scope of the Convention so as to expressly recognize the use of data messages in the context of those contracts might negatively interfere with rules on the protection of intellectual property rights.工作组商定,应当请秘书处征求世界知识产权组织(知识产权组织)和世界贸易组织等有关国际组织的具体意见,以便了解如果将涉及知识产权许可证签发的合同纳入公约范围,以明确承认在这些合同中可以使用数据电文,那么,在这些组织看来是否会对保护知识产权的规则产生不利的影响。
It was agreed that whether or not such exclusion was necessary would ultimately depend on the substantive scope of the Convention.工作组商定,这种排除是否必要将最终取决于公约的实质性范围。
33. At its thirty-sixth session (Vienna, 30 June-11 July 2003), the Commission noted the progress made by the UNCITRAL secretariat in connection with a survey of possible legal barriers to the development of electronic commerce in international trade-related instruments.33. 委员会第三十六届会议(2003年6月30至7月11日,维也纳)注意到贸易法委员会秘书处就与国际贸易有关的文书中可能存在的妨碍电子商务发展的法律障碍所作调查取得的进展。
The Commission reiterated its belief in the importance of that project and its support for the efforts of the Working Group and the UNCITRAL secretariat in that respect.委员会重申相信这一项目的重要性并支持工作组和贸易法委员会秘书处在这方面的努力。
The Commission noted that the Working Group had recommended that the UNCITRAL secretariat expand the scope of the survey to review possible obstacles to electronic commerce in additional instruments that had been proposed to be included in the survey by other organizations and to explore with those organizations the modalities for carrying out the necessary studies, taking into account the possible constraints put on the secretariat by its current workload.委员会注意到,工作组曾建议贸易法委员会秘书处扩大调查范围,以审查其他组织提议列入这一调查的其他文书中可能存在的妨碍电子商务的障碍,以及与这些组织共同探索进行必要研究的方式,同时考虑到秘书处因目前自身的工作量而可能受到的限制。
The Commission called on member States to assist the UNCITRAL secretariat in that task by inviting appropriate experts or sources of information in respect of the various specific fields of expertise covered by the relevant international instruments.委员会呼吁各成员国协助贸易法委员会秘书处执行这一任务,办法是邀请有关国际文书所涵盖的各种特定专门知识领域的适当专家或资料来源方面的人士参与。
34. The Commission further noted with appreciation that the Working Group had continued its consideration of a preliminary convention dealing with selected issues related to electronic contracting.34. 委员会还赞赏地注意到,工作组已继续审议一项关于电子订约的某些问题的公约初稿。
The Commission reaffirmed its belief that the instrument under consideration would be a useful contribution to facilitate the use of modern means of communication in cross-border commercial transactions.委员会重申相信,正在审议的文书将有助于推动在跨国界商业交易中使用现代化通讯手段。
The Commission observed that the form of an international convention had been used by the Working Group thus far as a working assumption, but that did not preclude the choice of another form for the instrument at a later stage of the Working Group’s deliberations.委员会指出,工作组迄今使用了国际公约的形式作为暂定假设,但这并不排除在工作组审议的以后阶段为该文书选择另一种形式的可能。
35. The Commission was informed that the Working Group had exchanged views on the relationship between the preliminary convention and the Working Group’s efforts to remove possible legal obstacles to electronic commerce in existing international instruments relating to international trade (see A/CN.9/528, para. 25).35. 委员会获悉,工作组就公约初稿同工作组为消除与国际贸易有关的国际文书中可能存在的妨碍电子商务的法律障碍所作努力之间的关系交换了看法(见A/CN.9/528,第25段)。
The Commission expressed support for the Working Group’s efforts to tackle both lines of work simultaneously.委员会表示支持工作组为同时处理这两方面的工作所作的努力。
36. The Commission was informed that the Working Group had held a preliminary discussion on the question of whether intellectual property rights should be excluded from the convention (see A/CN.9/528, paras. 55-60).36. 委员会获悉,工作组初步讨论了是否从公约中排除知识产权的问题(见A/CN.9/528,第55-60段)。
The Commission noted the Working Group’s understanding that its work should not be aimed at providing a substantive law framework for transactions involving “virtual goods”, nor was it concerned with the question of whether and to what extent “virtual goods” were or should be covered by the United Nations Sales Convention.委员会注意到工作组的以下谅解,即其工作不应旨在为涉及“虚拟货物”的交易提供一个实质性法律框架,而且也不涉及《联合国销售公约》是否以及在多大程度上涵盖了或应当涵盖“虚拟货物”问题。
The question before the Working Group was whether and to what extent the solutions for electronic contracting being considered in the context of the preliminary convention could also apply to transactions involving licensing of intellectual property rights and similar arrangements.工作组要讨论的问题是,正在公约初稿范围内审议的电子订约解决办法是否以及在多大程度上也可适用于涉及知识产权许可证的交易和类似的安排。
The Secretariat was requested to seek the views of other international organizations on the question, in particular WIPO.请秘书处征求其他国际组织对这一问题的意见,特别是世界知识产权组织的意见。
37. At its forty-second session (Vienna, 17-21 November 2003), the Working Group began its deliberations by holding a general discussion on the scope of the preliminary convention.37. 工作组第四十二届会议(2003年11月17日至21日,维也纳)开始审议时,首先就公约初稿的范围进行了一般性讨论。
The Working Group, inter alia, noted that a task force had been established by the International Chamber of Commerce to develop contractual rules and guidance on legal issues related to electronic commerce, tentatively called “e-Terms 2004”.工作组注意到,除其他以外,国际商会设立了一个特别工作队,负责拟订暂称作“2004年电子商务术语”的有关电子商务法律问题的合同规则和指导方针。
The Working Group welcomed the work being undertaken by the International Chamber of Commerce, which was considered to complement usefully the work being undertaken in the Working Group to develop an international convention.工作组对国际商会所开展的工作表示欢迎,认为这是对工作组为拟订国际公约而开展的工作的有益补充。
The Working Group was of the view that the two lines of work were not mutually exclusive, in particular since the convention dealt with requirements that were typically found in legislation, and legal obstacles, being statutory in nature, could not be overcome by contractual provisions or non-binding standards.工作组认为,这两种工作并不是相互排斥的,尤其是因为公约所涉要求通常载于立法之中,而且由于法律障碍属于法规性质,因此通过合同条文或不具约束力的标准无法逾越。
The Working Group expressed its appreciation to the International Chamber of Commerce for the interest in carrying out its work in cooperation with UNCITRAL and confirmed its readiness to provide comments on drafts that the International Chamber of Commerce would be preparing (see A/CN.9/546, paras. 33-38).工作组对国际商会有兴趣同贸易法委员会合作开展其工作表示赞赏,并确认工作组愿意就国际商会准备编写的草案提供评论意见(见A/CN.9/546,第33-38段)。
38. The Working Group proceeded to review articles 8 to 15 of the revised preliminary convention contained in the annex to a note by the Secretariat (A/CN.9/WG.IV/WP.103).38. 工作组接着审查了秘书处的说明的附件所载公约初稿修订本第8至15条(A/CN.9/WG.IV/WP.103)。
The Working Group agreed to make several amendments to those provisions and requested the Secretariat to prepare a revised draft for future consideration (see A/CN.9/546, paras. 39-135).工作组商定在这些条文中作出若干修改,并请秘书处编写一份修订草案供今后审议(见A/CN.9/546,第39-135段)。
39. The Working Group continued its work on the preliminary convention at its forty-third session (New York, 15-19 March 2004) on the basis of a note by the Secretariat that contained a revised version of the preliminary convention (A/CN.9/WG.IV/WP.108).39. 工作组第四十三届会议(2004年3月15日至19日,纽约)在载有公约初稿修订本的秘书处说明(A/CN.9/WG.IV/WP.108)的基础上,继续就公约初稿开展工作。
The deliberations of the Working Group focused on draft articles X, Y and 1 to 4 (see A/CN.9/548, paras. 13-123).工作组的审议着重于X条、Y条和第1至4条(见A/CN.9/548,第13-123段)。
The Working Group agreed that it should endeavour to complete its work on the convention with a view to enabling its review and approval by the Commission in 2005.工作组商定,应努力完成公约的有关工作,以期公约能够在2005年得到委员会的审查和核准。
40. At its thirty-seventh session (New York, 14-25 June 2004), the Commission took note of the reports of the Working Group on the work of its forty-second and forty-third sessions (A/CN.9/546 and A/CN.9/548, respectively).40. 委员会第三十七届会议(2004年6月14日至25日,纽约)注意到工作组关于其第四十二和四十三届会议的工作报告(分别为A/CN.9/546和A/CN.9/ 548)。
The Commission was informed that the Working Group had undertaken a review of articles 8 to 15 of the revised text of the preliminary convention at its forty-second session.委员会获悉,工作组第四十二届会议已对公约初稿修订案文第8至15条进行了审查。
The Commission noted that the Working Group, at its forty-third session, had reviewed articles X and Y as well as articles 1 to 4 of the convention and that the Working Group had held a general discussion on draft articles 5 to 7 bis.委员会注意到,工作组第四十三届会议已经审议了公约的X和Y条以及第1至4条,工作组就第5条至第7条之二的草案进行了一般性讨论。
The Commission expressed its support for the efforts by the Working Group to incorporate in the convention provisions aimed at removing possible legal obstacles to electronic commerce that might arise under existing international trade-related instruments.委员会表示支持工作组努力在该公约草案中列入有关条款,以便消除根据现行有关贸易的国际文书会产生的可能妨碍电子商务的法律障碍。
The Commission was informed that the Working Group had agreed that it should endeavour to complete its work on the convention with a view to enabling its review and approval by the Commission in 2005.委员会获悉,工作组一致认为其应努力完成其有关公约的工作,以便使公约能在2005年得到委员会的审查和核准。
The Commission expressed its appreciation for the Working Group’s endeavours and agreed that a timely completion of the Working Group’s deliberations on the convention should be treated as a matter of importance.委员会对工作组的努力表示赞赏,并一致认为,应把工作组及时完成对公约的审议作为一项重要事项来处理。
41.
The Working Group resumed its deliberations at its forty-fourth session (Vienna, 11-22 October 2004), on the basis of a newly revised preliminary convention contained in the annex to a note by the Secretariat (A/CN.9/WG.IV/WP.110).41. 工作组第四十四届会议(2004年10月11日至22日,维也纳)以秘书处的说明(A/CN.9/WG.IV/WP.110)附件中所载经最新修订的公约初稿为基础,继续进行审议。
The Working Group reviewed and adopted draft articles 1 to 14, 18 and 19 of the convention.工作组审查并通过了公约第1至14条、第18条和第19条。
The relevant decisions and deliberations of the Working Group are reflected in its report on the work of its forty-fourth session (A/CN.9/571, paras. 13-206).工作组第四十四届会议工作报告(A/CN.9/571,第13-206段)反映了其相关的决定和审议。
At that time, the Working Group also held an initial exchange of views on the preamble and the final clauses of the convention, including proposals for additional provisions in chapter IV.同时,工作组还就公约的序言和最后条款,包括关于在第四章添加条款的提议,初步交换了意见。
In the light of its deliberations on chapters I, II and III and articles 18 and 19 of the convention, the Working Group requested the Secretariat to make consequential changes in the draft final provisions in chapter IV.工作组鉴于其对公约第一、二、三章及第18和19条所作审议的情况,请秘书处对第四章中的最后条款草案作相应的修改。
The Working Group also requested the Secretariat to insert within square brackets in the final draft to be submitted to the Commission the draft provisions that had been proposed for addition to the text considered by the Working Group (A/CN.9/WG.IV/WP.110).工作组还请秘书处将提议在工作组审议的案文(A/CN.9/WG.IV/WP.110)中添加的条文草案置于方括号内,嵌入拟提交委员会的最后草案中。
The Working Group requested the Secretariat to circulate the revised version of the convention to Governments for their comments, with a view to consideration and adoption of the convention by the Commission at its thirty-eighth session, in 2005.工作组请秘书处将此公约修订本分发给各国政府征求意见,以期委员会2005年第三十八届会议审议并通过公约草案。
42. A number of Governments and international organizations submitted written comments on the convention (see A/CN.9/578 and Add. 1-17).42. 若干政府和国际组织提交了对公约的书面意见(见A/CN.9/578及增编1-17)。
UNCITRAL considered the convention and the comments received at its thirty-eighth session (Vienna, 4-15 July 2005).贸易法委员会第三十八届会议(2005年7月4日至15日,维也纳)审议了公约和所收到的意见。
UNCITRAL agreed to make a few substantive amendments to the draft text and submitted it to the General Assembly for adoption.贸易法委员会一致同意对案文草稿作几处实质性的修订并提交大会通过。
The deliberations of UNCITRAL are reflected in the report on the work of its thirty-eighth session.贸易法委员会第三十八届会议工作报告反映了其审议情况。
43. The General Assembly adopted the Convention on 23 November 2005 and the Secretary-General opened it for signature, from 16 January 2006 to 16 January 2008, by its resolution 60/21, which read as follows:43. 大会2005年11月23日第60/21号决议通过了公约,秘书长于2006年1月16日至2008年1月16日将公约开放供签署。
决议内容如下:
The General Assembly,大会,
Recalling its resolution 2205 (XXI) of 17 December 1966, by which it established the United Nations Commission on International Trade Law with a mandate to further the progressive harmonization and unification of the law of international trade and in that respect to bear in mind the interests of all peoples, in particular those of developing countries, in the extensive development of international trade,回顾其1966年12月17日第2205 (XXI)号决议设立联合国国际贸易法委员会,其任务是促进国际贸易法的逐渐协调和统一,并在这方面念及各国人民,尤其是发展中国家人民在国际贸易广泛发展中的利益,
Considering that problems created by uncertainties as to the legal value of electronic communications exchanged in the context of international contracts constitute an obstacle to international trade,考虑到在国际合同范围内电子通信的法律效力不确定性所产生的问题构成对国际贸易的障碍,
Convinced that the adoption of uniform rules to remove obstacles to the use of electronic communications in international contracts, including obstacles that might result from the operation of existing international trade law instruments, would enhance legal certainty and commercial predictability for international contracts and may help States gain access to modern trade routes,深信采用统一规则消除在国际合同使用电子通信的障碍,包括消除现有国际贸易法文书在执行上可能产生的障碍,将加强国际合同的法律确定性和商业上的可预见性,有助于各国获得现代贸易途径,
Recalling that, at its thirty-fourth session, in 2001, the Commission decided to prepare an international instrument dealing with issues of electronic contracting, which should also aim at removing obstacles to electronic commerce in existing uniform law conventions and trade agreements, and entrusted its Working Group IV (Electronic Commerce) with the preparation of a draft,回顾委员会在2001年第三十四届会议上决定拟订关于电子订约问题的国际文书,目的是消除现行统一法公约和贸易协定对电子商务造成的障碍,并责成第四工作组(电子商务)拟订一个草案,
Noting that the Working Group devoted six sessions, from 2002 to 2004, to the preparation of the draft Convention on the Use of Electronic Communications in International Contracts, and that the Commission considered the draft Convention at its thirty-eighth session, in 2005,注意到工作组从2002年到2004年以六届会议拟订《国际合同使用电子通信公约》草案,委员会则在其2005年第三十八届会议上对公约草案进行了审议,
Being aware that all States and interested international organizations were invited to participate in the preparation of the draft Convention at all the sessions of the Working Group and at the thirty-eighth session of the Commission, either as members or as observers, with a full opportunity to speak and make proposals,意识到所有国家和有关国际组织都获得邀请,在工作组所有届会上并在委员会第三十八届会议上以成员或观察员身份参加公约草案的拟订工作,并有充分机会发言和提出建议,
Noting with satisfaction that the text of the draft Convention was circulated for comments before the thirty-eighth session of the Commission to all Governments and international organizations invited to attend the meetings of the Commission and the Working Group as observers, and that the comments received were before the Commission at its thirty-eighth session,满意地注意到公约草案文本在委员会第三十八届会议前已予分发,请各国政府和获邀以观察员身份出席委员会和工作组会议的国际组织提出意见,收到的意见已提交委员会第三十八届会议,
Taking note with satisfaction of the decision of the Commission at its thirty-eighth session to submit the draft Convention to the General Assembly for its consideration,满意地注意到委员会第三十八届会议决定将公约草案提交大会审议,
Taking note of the draft Convention approved by the Commission,注意到委员会核可的公约草案,
1. Expresses its appreciation to the United Nations Commission on International Trade Law for preparing the draft Convention on the Use of Electronic Communications in International Contracts;201. 感谢联合国国际贸易法委员会拟订《国际合同使用电子通信公约》草案;20
2. Adopts the United Nations Convention on the Use of Electronic Communications in International Contracts, which is contained in the annex to the present resolution, and requests the Secretary-General to open it for signature;2. 通过本决议所附《联合国国际合同使用电子通信公约》,并请秘书长开放公约供签署;
3. Calls upon all Governments to consider becoming party to the Convention.3. 吁请各国政府考虑成为公约缔约方。
IV.四. 逐条说明
Article-by-article remarks Preamble序言
1. Essential objectives of the Convention1. 公约的基本目标
44. The preamble is intended to serve as a statement of the general principles on which the Electronic Communications Convention is based and which, under article 5, may be used in filling the gaps left in the Convention.44. 序言的目的是说明《电子通信公约》所依据的一般性原则,根据第5条,这些一般性原则可用来填补公约留下的空白。
45. The essential objective of the Convention is reflected in the fourth paragraph of the Preamble, that is, to establish uniform rules intended to remove obstacles to the use of electronic communications in international contracts, including obstacles that might result from the operation of existing international trade law instruments, with a view to enhancing legal certainty and commercial predictability.45. 序言第四段反映了公约的根本目标,即设立统一规则,以消除对国际合同使用电子通信的障碍,包括消除现有的国际贸易法文书在操作上可能产生的障碍,以便增强法律确定性和商业上的可预见性。
2. Main principles on which the Convention is based2. 公约所依据的主要原则
46. The fifth paragraph of the Preamble makes reference to two principles that have guided the entire work of UNCITRAL in the area of electronic commerce: technological neutrality and functional equivalence.46. 序言第五段提到了指导贸易法委员会在电子商务领域所有工作的两项原则:技术中性和功能等同。
Technological neutrality技术中性
47. The principle of technological neutrality means that the Electronic Communications Convention is intended to provide for the coverage of all factual situations where information is generated, stored or transmitted in the form of electronic communications, irrespective of the technology or the medium used.47. 技术中性原则系指《电子通信公约》的用意是为以电子通信形式生成、存储或传输信息的所有实际情况做出规定,无论使用的是何种技术或媒介。
For that purpose, the rules of the Convention are “neutral” rules; that is, they do not depend on or presuppose the use of particular types of technology and could be applied to communication and storage of all types of information.为此,公约的规则是“中性”规则;也就是说,这些规则不依赖于或不预先假定使用特定类型的技术,而是可适用于所有类型信息的交流和存储。
48. Technological neutrality is particularly important in view of the speed of technological innovation and development, and helps to ensure that the law is able to accommodate future developments and does not quickly become dated.48. 鉴于技术革新和发展的速度,技术中性尤为重要,它有助于确保法律能够适应未来发展,不会很快过时。
One of the consequences of the approach taken by the Convention, similarly to the UNCITRAL Model Law on Electronic Commerce, which preceded the Convention, is the adoption of new terminology, aimed at avoiding any reference to particular technical means of transmission or storage of information.与之前的《贸易法委员会电子商务示范法》相似的是,公约所采用的方法引起的一个结果是采用了新术语,目的是避免提及传输或存储信息的特定技术手段。
Indeed, language that directly or indirectly excludes any form or medium by way of a limitation in the scope of the Convention would run counter to the purpose of providing truly technologically neutral rules.的确,如果措辞以限制公约范围的方式直接或间接排除任何形式或媒介,就会与提供真正的技术中性规则的意图相抵触。
Lastly, technological neutrality encompasses also “media neutrality”: the focus of the Convention is to facilitate “paperless” means of communication by offering criteria under which they can become equivalents of paper documents, but the Convention is not intended to alter traditional rules on paper-based communications or create separate substantive rules for electronic communications.最后,技术中性还包括“媒介中性”:公约的重点是推动“无纸”通信手段,办法是提供标准,使其按标准等同于纸面文件,但公约的用意不是改变纸面通信的传统规则,也不是为电子通信另外创立实体规则。
49. The concern to promote media neutrality raises other important points.49. 对促进媒介中性的关注引发了另外一些重要的问题。
In the world of paper documents it is impossible to guarantee absolute security against fraud and transmission errors.在纸面文件的世界里,不可能保证绝对能防止欺诈和传输错误。
The same risk exists in principle for electronic communications.电子通信原则上也存在同样的风险。
Conceivably, the law could attempt to mirror the stringent security measures that are used in communication between computers.可以想象,法律可以尝试反映用于计算机之间通信的严格的安保措施。
However, it may be more appropriate to graduate security requirements in steps similar to the degrees of legal security encountered in the paper world and to respect the gradation, for example, of the different levels of handwritten signature seen in documents of simple contracts and notarized acts.但是,更合适的办法可能是将安保要求分级,类似于纸面文件上的法律安全级别,并尊重诸如在简单合同的文件和经公证的行为的文件中所见的不同等级手写签名的分级。
Hence the flexible notion of reliability “appropriate for the purpose for which the electronic communication was generated” as set out in article 9.因此第九条中规定了灵活的可靠性概念,“对于生成电子通信所要达到的目的是适当的”。
Functional equivalence功能等同
50. The Convention is based on the recognition that legal requirements prescribing the use of traditional paper-based documentation constitute a significant obstacle to the development of modern means of communication.50. 公约的基础是,认识到规定使用传统纸面文件的法律要求构成了现代通信手段发展的重大障碍。
An electronic communication, in and of itself, cannot be regarded as an equivalent of a paper document because it is of a different nature and does not necessarily perform all conceivable functions of a paper document.电子通信本身不能被视为等同于纸面文件,因为它性质不同,不一定能履行纸面文件所有可以想象的功能。
Indeed, while paper-based documents are readable by the human eye, electronic communications are not — unless they are printed to paper or displayed on a screen.的确,纸面文件是可以用眼看的,而电子通信不行—除非是打印到纸面上或显示在屏幕上。
The Convention deals with possible impediments to the use of electronic commerce posed by domestic or international form requirements by way of an extension of the scope of notions such as “writing”, “signature” and “original”, with a view to encompassing computer-based techniques.公约通过扩大“书面”、“签名”和“正本”等概念的范围,处理了国内或国际上的形式要求对使用电子通信可能造成的障碍,目的是涵盖计算机技术。
51. In pursuing that purpose, the Convention relies on the “functional equivalent approach” already used by UNCITRAL in the Model Law on Electronic Commerce.51. 为了达到上述目的,公约依赖于贸易法委员会已经在《电子商务示范法》中使用的“功能等同办法”。
The functional equivalent approach is based on an analysis of the purposes and functions of the traditional paper-based requirement with a view to determining how those purposes or functions could be fulfilled through electronic-commerce techniques.功能等同办法以对传统纸面要求的目的和功能所作的分析为基础,以便确定如何通过电子商务技术完成这些目的或功能。
The Convention does not attempt to define a computer-based equivalent to any particular kind of paper document. Instead, it singles out basic functions of paper-based form requirements, with a view to providing criteria which, once they are met by electronic communications, enable such electronic communications to enjoy the same level of legal recognition as corresponding paper documents performing the same function.公约没有试图以任何特定类型的纸面文件限定基于计算机的同等文件,目的是提供标准,使达到这些标准的电子通信能够与相应的、履行相同功能的纸面文件享有同等的法律认可。
52. The Convention is intended to permit States to adapt their domestic legislation to developments in communications technology applicable to trade law without necessitating the wholesale removal of the paper-based requirements themselves or disturbing the legal concepts and approaches underlying those requirements.52. 公约的用意是允许各国调整其国内立法,以适应可应用于贸易法的通信技术的发展,而不必完全废除纸面要求本身或扰乱这些要求所依据的法律概念和方法。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 160-163A/60/17,第160-163段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, para. 10A/CN.9/571,第10段
Working Group IV, 43rd session (New York, 15-19 March 2004)第四工作组,第43届会议(2004年3月15日至19日,纽约)
A/CN.9/548, para. 82A/CN.9/548,第82段
Chapter I. Sphere of application第一章. 适用范围
Article 1. Scope of application第1条. 适用范围
1. Substantive scope of application1. 实质性的适用范围
53. The primary purpose of the Electronic Communications Convention is to facilitate international trade by removing possible legal obstacles or uncertainty concerning the use of electronic communications in connection with the formation or performance of contracts concluded between parties located in different countries.53. 《电子通信公约》的主要目的是,为与所在地位于不同国家的当事人之间订立或履行合同有关的电子通信的使用消除可能的法律障碍或不确定因素,从而便利国际贸易。
However, the Convention does not deal with substantive law issues related to the formation of contracts or with the rights and obligations of the parties to a contract concluded by electronic means.但是,公约并未处理涉及合同的订立或涉及以电子手段缔结的合同当事双方的权利和义务的实体法问题。
By and large, international contracts are subject to domestic law, except for the very few types of contract to which a uniform law applies, such as sales contracts falling under the United Nations Sales Convention.除了适用统一法律的极少数类型的合同,如受《联合国销售公约》管辖的销售合同,一般说来,国际合同受国内法律管辖。
In preparing the Electronic Communications Convention, UNCITRAL therefore was mindful of the need to avoid creating a duality of regimes for contract formation: a uniform regime for electronic contracts under the new Convention and a different, not harmonized regime, for contract formation by any other means (see A/CN.9/527, para. 76).因此,贸易法委员会在拟订《电子通信公约》时,牢记需要避免确立双重合同订立制度:一种是根据新公约确立的电子合同的统一制度,另一种则是以任何其他方式订立的合同的制度,与前者不同而且不统一(见A/CN.9/ 527,第76段)。
54. UNCITRAL nevertheless recognized that a strict separation between technical and substantive issues in the context of electronic commerce was not always feasible or desirable.54. 不过,贸易法委员会认识到,严格区分电子商务中的技术问题和实体法问题,并非总是可行或可取的。
Since the Convention was intended to offer practical solutions to issues related to the use of electronic means of communication for commercial contracting, a few substantive rules were needed beyond the mere reaffirmation of the principle of functional equivalence (see A/CN.9/527, para. 81).既然公约的用意是提供实际办法解决使用电子通信手段订立商业合同所涉及的问题,除了仅仅重申功能等同原则之外,还需制定一些实体规则(见A/CN.9/527,第81段)。
Examples of provisions that highlight the interplay between technical and substantive rules include article 6 (Location of the parties), article 9 (Form requirements), article 10 (Time and place of dispatch and receipt of electronic communications), article 11 (Invitations to make offers) and article 14 (Error in electronic communications).突出技术规则和实体规则之间的相互影响的条款实例有:第6条(当事人的所在地)、第9条(形式要求)、第10条(发出和收到电子通信的时间和地点)、第11条(要约邀请)和第14条(电子通信中的错误)。
As much as possible, however, these provisions focus only on particular issues raised by the use of electronic communications, leaving aspects of substantive law to other regimes such as the United Nations Sales Convention (see A/CN.9/527, paras. 77 and 102).不过,这些条款尽量只侧重于使用电子通信所引起的特定问题,而将实体法的有关问题留给《联合国销售公约》等其他制度来处理(见A/CN.9/527,第77和102段)。
“in connection with the formation or performance of a contract”“订立或履行合同有关”
55. The Electronic Communications Convention applies to any exchange of electronic communications related to the formation or performance of a contract.55. 《电子通信公约》适用于与订立或履行合同有关的任何电子通信交换。
The Convention is meant also to apply to communications that are made at a time when no contract — and possibly not even negotiation of a contract — has yet come into being (see A/CN.9/548, para. 84).公约还意在适用于合同尚未产生、甚至可能尚未开始谈判时的通信(见A/CN.9/ 548,第84段)。
Article 11, dealing with invitations to make offers, is an example of such a case.涉及要约邀请的第11条就是上述情况的实例。
However, the Convention is not confined to the context of contract formation, as electronic communications are used for the exercise of a variety of rights arising out of the contract (such as notices of receipt of goods, notices of claims for failure to perform or notices of termination) or even for performance, as in the case of electronic fund transfers (see A/CN.9/509, para. 35).不过,公约并不局限于订立合同的情形,因为电子通信可用于行使合同所产生的各种权利(例如货物收讫通知、对未履约提出索赔的通知或终止合同的通知)或甚至用于履约,例如电子资金划拨的情况(见A/CN.9/509,第35段)。
56. The focus of the Convention is on the relations between the parties to an existing or contemplated contract.56. 公约的重点放在现有或酝酿中的合同的当事双方之间的关系上。
Thus, the Convention is not intended to apply to the exchange of communications or notices between the parties to a contract and third parties, merely because those communications have a “connection” to a contract covered by the Convention when the dealings between those parties are not themselves subject to the Convention.因此,若合同当事人与第三方的交易本身不受公约约束,公约无意仅仅因为合同当事人与第三方交换的通信同公约所涉及的合同有“联系”而适用于此类通信或通知的交换。
For example, if domestic law requires notification to a public authority in respect of a contract to which the Convention applies (for instance, in order to obtain an export licence), the Convention does not apply to the form in which the domestic notification can be made (see A/CN.9/548, para. 83).例如,假如国内法要求通知公共当局公约所适用的合同的有关情况(例如,以便取得出口许可),则公约不适用于国内通知的发出形式(见A/ CN.9/548,第83段)。
57. In the context of the Convention, the word “contract” should be understood broadly so as to cover any form of legally binding agreement between two parties that is not explicitly or implicitly excluded from the Convention, whether or not the word “contract” is used by the law or the parties to refer to the agreement in question.57. 在公约中,“合同”一词应作广义的理解,以便涵盖公约并未明确或不明确地排除的当事双方之间任何形式的具法律约束力的协议,无论法律或当事双方是否用“合同”一词指代该协议。
Thus, the Convention applies to arbitration agreements in electronic form, even though the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958) and most domestic laws do not use the word “contract” to refer to them.因此,公约适用于电子形式的仲裁协议,即使《承认及执行外国仲裁裁决公约》(1958年,纽约)和多数国内法律并不称这类协议为“合同”。
“parties” and “places of business”“当事人”和“营业地”
58. As used in the Electronic Communications Convention, the word “parties” includes both natural persons and legal entities.58. 《电子通信公约》中所用的“当事人”一词包括自然人和法人。
However, a few provisions of the Convention refer specifically to “natural persons” (for instance, art. 14).不过,公约有若干条款特别提到“自然人”(如第14条)。
59. The Convention applies to international contracts regardless of their nature and qualification under domestic law.59. 公约适用于国际合同,无论该合同在国内法下的性质和资格如何。
However, the reference to “places of business” in article 1 provides a general indication of the trade-related nature of the contracts to which the Convention is intended to apply (see further paras. 70-74 below).不过,第1条中提及了“营业地”,这概略指明了公约有意适用的合同的性质与贸易有关(另见下文第70-74段)。
2. Geographic scope of application2. 适用的地理范围
60. The Electronic Communications Convention is only concerned with international contracts so as not to interfere with domestic law (see A/CN.9/509, para. 31 and A/CN.9/528, para. 33).60. 《电子通信公约》只涉及国际合同,以免干扰国内法(见A/CN.9/509,第31段和A/CN.9/528,第33段)。
For the purposes of the Convention, a contract is international if the parties have their places of business in different States, but the Convention does not require that both States should be contracting States of the Convention, so long as the law of a contracting State applies to the dealings of the parties (see A/CN.9/571, para. 19).在公约中,如果当事双方的营业地位于不同国家,其合同即为国际合同。 不过,公约不要求这两个国家都属于公约缔约国,只要一个缔约国的法律适用于当事人之间的交易即可(见A/CN.9/571,第19段)。
61. The definition of the geographic scope of application of the Convention differs, therefore, from the general rule in article 1 (a) of the United Nations Sales Convention, which — for those States that have excluded the application of the United Nations Sales Convention by virtue of the rules of private international law — makes that Convention applicable only if both parties are located in contracting States.61. 因此,公约的地理适用范围的定义不同于《联合国销售公约》第1 (a)条的一般性规则,因为,对于以国际私法规则为由拒绝适用《联合国销售公约》的国家来说,这一条款使该公约仅适用于当事双方都位于缔约国的情况。
However, the definition of the Electronic Communications Convention’s geographic field of application is not entirely new and has been used, for example, in article 1 of the Uniform Law on the International Sale of Goods, adopted as an annex to the Convention relating to a Uniform Law on the International Sale of Goods (The Hague, 1964).但《电子通信公约》所适用的地理范围的定义并不是全新的,例如《国际货物买卖统一法公约》(1964年,海牙)附件中采用的《国际货物买卖统一法》第1条就使用了这一定义。
62. In the context of the United Nations Sales Convention, the need for both countries involved to be contracting States was introduced to allow the parties to determine easily whether or not that Convention applied to their contract, without having to resort to rules of private international law to identify the applicable law.62. 在《联合国销售公约》中,采用两个相关国家均应是缔约国这一要求是为了使当事双方能够方便地决定其合同是否适用该公约,而不必参考国际私法的规则以确定可适用的法律。
The possibly narrower geographic field of application offered by that option was compensated for by the advantage of the enhanced legal certainty it provided.这种办法可能会使适用的地理范围变窄,但提供了更强的法律确定性,这一优势抵消了所述的劣势。
UNCITRAL had initially contemplated for the new Electronic Communications Convention a rule similar to paragraph 1 (a) of article 1 of the United Nations Sales Convention to ensure consistency between the two texts (see A/CN.9/509, para. 38).贸易法委员会起初曾考虑为新的《电子通信公约》订立类似于《联合国销售公约》第1条第1 (a)款的规则,以确保这两种案文一致(见A/CN.9/509,第38段)。
However, as the deliberations progressed and the impact of the Electronic Communications Convention became clearer, the need for parallelism between that Convention and the United Nations Sales Convention was questioned since it was felt that their respective scopes of application were in any event independent of each other (see A/CN.9/548, para. 89).但是,随着审议的进展,《电子通信公约》的影响越发明显,公约与《联合国销售公约》相对应的必要性受到质疑,因为据认为,在任何情况下,这两份公约各自的适用范围都彼此独立(见A/CN.9/548,第89段)。
63. Two main reasons eventually led UNCITRAL to do away with the requirement of double participation in the Electronic Communications Convention.63. 贸易法委员会最终取消了双方国家都属《电子通信公约》缔约国的要求,主要有两个原因。
First, it was felt that the application of the Convention would be simplified and its practical reach greatly enhanced if it were simply to apply to international contracts, that is, contracts between parties in two different States, without the cumulative requirement that both those States should also be contracting States of the Convention (see A/CN.9/548, para. 87).第一,据认为,如果只规定公约适用于国际合同,也即两个不同国家当事人之间的合同,而没有附带要求这两个国家均应为公约缔约国,则公约的适用将得到简化,而其实际涵盖范围将大大扩展(见A/CN.9/548,第87段)。
Secondly, UNCITRAL considered that, to the extent that several provisions of the Convention were intended to support or facilitate the operation of other laws in an electronic environment (such as, for example, arts. 8 and 9), requiring that both parties be located in contracting States would lead to the undesirable result that a court in a contracting State might be mandated to interpret the provisions of its own laws (for instance, in respect of form requirements) in different ways, depending on whether or not both parties to an international contract were located in contracting States of the Convention (see A/CN.9/548, para. 87; see also A/CN.9/571, para. 17).第二,贸易法委员会考虑到,鉴于公约若干条款的用意是支持或便利其他法律在电子环境中的操作(如第8条和第9条),若要求当事双方都位于缔约国,将会导致令人无法接受的结果,即可能要求缔约国的法庭视国际合同双方当事人是否都位于公约缔约国内,对本国法律规定(例如形式要求)作出不同的解释(见A/CN.9/548,第87段;另见A/CN.9/571,第17段)。
64. Contracting States may however reduce the reach of the Convention by declarations made under article 19, for example by declaring that they will apply the Convention only to electronic communications exchanged between parties located in contracting States.64. 但是,缔约国可能按照第19条作出声明,从而缩小公约的适用范围,例如声明只将公约适用于位于缔约国的当事双方之间交换的电子通信。
3. Relationship to private international law3. 与国际私法的关系
65. It was understood by UNCITRAL that the Electronic Communications Convention applied when the law of a contracting State was the law applicable to the dealings between the parties.65. 贸易法委员会深知,当缔约国的法律可适用于当事双方的交易时,《电子通信公约》才适用。
Whether the law of a contracting State applies to a transaction is a question to be determined by the rules of private international law of the forum State, if the parties have not validly chosen the applicable law.如果当事人未有效选择适用法律,则缔约国的法律是否适用于某项交易的问题应当由法院所在地国的国际私法规则确定。
Accordingly, if a party seizes the court of a non-contracting State, the court would refer to the private international law rules of the State in which it is located, and if those rules designate the law of a contracting State to the Convention, the Convention would apply as part of the substantive law of that State, notwithstanding that the State of the court seized is not a party to the Convention.因此,如一方当事人选择了一个非缔约国的法院,该法院将参照其所在地国家的国际私法规则,如这些规则指定一公约缔约国的法律,则公约将作为该国实体法的一部分而适用,即使受理法院所在国并不是公约的缔约方亦如此。
If a party seizes the court of a contracting State, the court would equally refer to its own rules of private international law and, if they designate the substantive law of that State or of any other State party to the Convention, the Convention would apply.如一方当事人选择一缔约国的法院,则该法院将同样参照本国的国际私法规则,如这些规则指定该国或公约任何其他缔约国的实体法,则将适用公约。
In either case, the court should take into account any possible declarations made pursuant to article 19 or 20 by the contracting State whose law applies.在上述任何一种情况下,法院都应考虑到有适用法律的缔约国可能按照第19条或第20条作出的声明。
66. The Convention contains rules of private law applicable to contractual relations.66. 公约载有可适用于合同关系的私法规则。
Nothing in the Convention creates any obligation for States that do not ratify or accede to the Convention.公约没有任何内容规定不批准或不加入公约的国家的任何义务。
The courts in a non-contracting State will apply the provisions of the Convention only when their own rules of private international law indicate that the law of a contracting State is applicable, in which case the Convention would apply as part of that foreign State’s legal system.非缔约国的法院将只在该国自身国际私法规则表明可适用一缔约国的法律时,方才适用公约的条款,在这种情况下,公约作为该外国法律系统的一部分而适用。
The application of foreign law is a common result of any system of private international law and has been traditionally accepted by most countries.外国法律的适用是任何一个国际私法制度的常见结果,一向为大多数国家所接受。
The Convention has not introduced any new element to this situation.公约并没有为此添加任何新内容。
4. International nature disregarded when not apparent4. 国际性质不明显的从略
67. Paragraph 2 of article 1 of the Electronic Communications Convention contains a rule similar to article 1, paragraph 2, of the United Nations Sales Convention.67. 《电子通信公约》第1条第2款载有一项类似于《联合国销售公约》第1条第2款的规则。
According to this provision, the Electronic Communications Convention does not apply to an international contract when it is not apparent either from the contract or from the dealings between the parties that they are located in two different States.按照这一规定,如果从一国际合同或从当事人之间的交易来看,当事双方位于不同国家的情况不明显,则《电子通信公约》不适用于该国际合同。
In those cases, the Convention gives way to the application of domestic law.在这些情况下,不适用公约,而适用国内法。
The incorporation of this rule in the Convention is intended to protect the legitimate expectations of parties that assume to operate under their domestic regime given the absence of a clear indication to the contrary (see A/CN.9/528, para. 45).在公约中载列这一规则的用意是,在无明确的相反表示的情况下,保护自认根据国内制度行事的当事人的合法期望(见A/CN.9/528,第45段)。
5. “Civil” or “commercial” character, as well as nationality of the parties, are irrelevant5. “民事”或“商事”特征和当事人的国籍都无关紧要
68. As is the case for the United Nations Sales Convention, the application of the Electronic Communications Convention does not depend on whether the parties are considered “civil” or “commercial”.68. 与《联合国销售公约》一样,《电子通信公约》适用与否不取决于当事双方被视为“民事”类还是“商事”类。
Therefore, for the purpose of determining the scope of the Electronic Communications Convention, it does not matter whether a party is a merchant or not in a particular legal system that applies special rules to commercial contracts different from the general rules of contract law.因此,假如一特定的法律制度对商业合同适用不同于合同法一般性规则的特殊规则,则当事人在该法律制度中是不是商人对于确定《电子通信公约》的范围并不重要。
The Convention avoids conflicts that arise between the so-called “dualistic” systems, which distinguish between the civil and commercial character of the parties or the transaction, and “monistic” legal systems, which do not make that distinction.公约避免所谓“二元”制度和“一元”法律制度之间产生的冲突,前者将当事人或交易区分为民事类和商事类,而后者无此分类。
69. The nationality of the parties is also irrelevant.69. 当事双方的国籍也是无关紧要的。
Thus, the Convention applies to nationals of non-contracting States who have their places of business within a contracting State and even a non-contracting State, as long as the law applicable to the contract is the law of a contracting State.因此,公约适用于营业地位于缔约国、甚至非缔约国的非缔约国国民,条件是,适用于该合同的法律是一缔约国的法律。
Under certain circumstances, a contract between two nationals of the same State may also be governed by the Convention, for instance because one of the parties has its place of business or habitual residence in a different country and this fact was known to the other party.在某些情况下,同一国家的两个国民之间的合同也可能受公约的约束,例如,原因是一方当事人的营业地或惯常居所位于另一个国家,而对方当事人了解这一事实。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 16-24A/60/17,第16-24段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 14-27A/CN.9/571,第14-27段
Working Group IV, 43rd session (New York, 15-19 March 2004)第四工作组,第43届会议(2004年3月15日至19日,纽约)
A/CN.9/548, paras. 71-97A/CN.9/548,第71-97段
Working Group IV, 41st session (New York, 5-9 May 2003)第四工作组,第41届会议(2003年5月5日至9日,纽约)
A/CN.9/528, paras. 32-48A/CN.9/528,第32-48段
Working Group IV, 40th session (Vienna, 14-18 October 2002)第四工作组,第40届会议(2002年10月14日至18日,维也纳)
A/CN.9/527, paras. 73-81A/CN.9/527,第73-81段
Working Group IV, 39th session (New York, 11-15 March 2002)第四工作组,第39届会议(2002年 3月11日至15日,纽约)
A/CN.9/509, paras. 28-40A/CN.9/509,第28-40段
Article 2.第2条. 不适用情形
Exclusions 1. Contracts for personal, family or household purposes1. 为个人、家人或家庭目的订立的合同
70. As is the case for other instruments previously prepared by UNCITRAL, the Electronic Communications Convention does not apply to contracts concluded for “personal, family or household purposes”.70. 与贸易法委员会以前拟定的其他文书相同的是,《电子通信公约》不适用于为“个人、家人或家庭目的”缔结的合同。
不适用的理由
Rationale of exclusion 71. There was general agreement within UNCITRAL on the importance of excluding contracts negotiated for personal, family or household purposes since a number of rules in the Convention would not be appropriate in their context.71. 贸易法委员会内部普遍一致认为,将为个人、家人或家庭目的而谈判的合同排除在公约的适用范围之外十分重要,因为公约中有若干规则不宜用于此种情况。
72. For example, a rule such as that contained in article 10, paragraph 2, which presumes receipt of an electronic communication from the moment that the electronic communication becomes capable of being retrieved by the addressee, might not be appropriate in the context of transactions involving consumers, because consumers could not be expected to check their electronic mail regularly nor be able to distinguish easily between legitimate commercial messages and unsolicited mail (“spam”).72. 例如,第10条第2款所载的规则,由于规定收件人能够检索电子通信之时即为该电子通信收到之时,而可能不宜适用于涉及消费者的交易,因为无法期望消费者定期察看其电子邮件,并且消费者也不容易区分合法的商业电文和未经索取而来的邮件(垃圾邮件)。
It was considered that individuals acting for personal, family or household purposes should not be held to the same standards of diligence as entities or persons engaged in commercial activities (see A/CN.9/548, para. 101).据认为,不应按照从事商业活动的实体或个人的勤勉标准来要求为个人、家人或家庭目的行事的个人(见A/CN.9/548,第101段)。
73. Another example of possible tension is the treatment of errors and the consequences of errors in the Convention, which is far from the level of detail that would typically be found in consumer protection rules.73. 可能出现紧张关系的另一个实例是公约中如何对待错误和错误造成的后果,其详细程度远远低于消费者保护规则的一般详细程度。
Also, consumer protection rules typically require vendors to make the contract terms available to consumers in an accessible manner.此外,消费者保护规则通常要求卖方以对消费者便利的方式向消费者提供合同条款。
They often set forth conditions for the enforcement of standard contractual terms and conditions against consumers and specify the conditions under which a consumer could be presumed to have expressed his or her consent to terms and conditions incorporated by reference into the contract.其中往往规定可对消费者援用的标准合同条款和条件的先决条件及何时可推定消费者已对以参引方式纳入合同的条款和条件条款表示同意。
None of those issues are dealt with in the Convention in a manner that would offer the degree of protection that consumers enjoy in several legal systems (see A/CN.9/548, para. 102).公约在处理其中任何一个问题的方式上均未给予在若干法律制度中消费者所享有的同等保护。 (见A/CN.9/ 548,第102段)。
Exclusion not limited to consumer contracts不适用情形不局限于消费者合同
74. In the context of the United Nations Sales Convention, the phrase “personal, family or household purposes” is commonly understood as referring to consumer contracts.74. 在《联合国销售公约》中,“个人、家人或家庭目的”一语通常被理解为系指消费合同。
However, in the context of the Electronic Communications Convention, which is not limited to electronic communications related to purchase transactions, the words in subparagraph 1 (a) of article 2 have a broader meaning and would cover, for example, communications related to contracts governed by family law and the law of succession, such as matrimonial property contracts, to the extent that they are entered into for “personal, family or household purposes”.不过《电子通信公约》不限于与购买交易有关的电子通信,因此第2条第1款(a)项中的这些词语可以作更广泛的解释,以便排除诸如与受家庭法和继承法规范的合同有关的通信,如“为个人、家人或家庭目的”订立的婚姻财产合同。
Absolute nature of exclusion不适用情形的绝对性
75. Unlike the corresponding exclusion under article 2, subparagraph (a), of the United Nations Sales Convention, the exclusion of contracts entered for personal, family or household purposes under the Electronic Communications Convention is an absolute one, meaning that the Convention does not apply to contracts entered into for personal, family or household purposes, even if the purpose of the contract is not apparent to the other party.75. 与《联合国销售公约》第2条(a)项规定的相应不适用情形不同的是,《电子通信公约》不适用于为个人、家人或家庭目的订立的合同这一规定是绝对的,也就是说,公约不适用于为个人、家人或家庭目的而订立的合同,即使该合同的目的在对方当事人看来并不明显。
76. According to its article 2, subparagraph (a), the United Nations Sales Convention does not apply to sales of goods bought for personal, family or household use “unless the seller, at any time before or at the conclusion of the contract, neither knew nor ought to have known that the goods were bought for any such use”.76. 根据《联合国销售公约》第2条(a)项,该公约不适用于购供私人、家人或家庭使用的货物的销售,“除非卖方在订立合同前任何时候或订立合同时不知道而且没有理由知道这些货物是购供任何这种使用”。
That qualification was intended to promote legal certainty.这样限定的目的是增强法律确定性。
Without it, the applicability of the United Nations Sales Convention would depend entirely on the seller’s ability to ascertain the purpose for which the buyer had bought the goods.如果没有这一规定,则《联合国销售公约》的适用将完全取决于卖方查明买方购买货物的用途的能力。
As a result, the personal, family or household purpose of a sales contract cannot be held against the seller, for the purpose of excluding the applicability of the United Nations Sales Convention, if the seller did not know or could not have been expected to know (for instance, having regard to the number or nature of items bought) that the goods were being bought for such purpose.因此,如果卖方不知道或者不可能预期知道(例如,考虑到所购物品的数量或性质)购买的货物将供个人、家属或家庭使用,就不能为了排除公约适用而使销售合同的个人、家人或家庭目的不利于卖方。
The drafters of the United Nations Sales Convention assumed that there might be situations where a sales contract would fall under that Convention, despite the fact of it having being entered into by a consumer, for example.《联合国销售公约》的起草者们设想了可能出现诸如销售合同虽然由消费者订立但也将受该公约管辖的各种情形。
The legal certainty gained with the provision appeared to have outweighed the risk of covering transactions intended to have been excluded.这一规定所取得的法律上的确定性似乎超过了将意欲排除在外的交易包括在内的危险。
It was observed, moreover, that, as indicated in the commentary on the draft Convention on Contracts for the International Sale of Goods, which had been prepared at the time by the Secretariat, article 2, subparagraph (a), of the United Nations Sales Convention was based on the assumption that consumer sales were international transactions only in “relatively few cases” (see A/CN.9/527, para. 86).此外,据认为,正如秘书处当时编写的关于《国际货物销售合同公约》的评注中所指出的,《联合国销售公约》第2条(a)项所依据的是这样一种假定,即消费者交易只在“较少的情况下”成为国际交易(见A/CN.9/527,第86段)。
77. In the case of the Electronic Communications Convention, however, UNCITRAL felt that the formulation of article 2, subparagraph (a), of the United Nations Sales Convention might be problematic, as the ease of access afforded by open communication systems not available at the time of the preparation of the United Nations Sales Convention, such as the Internet, greatly increased the likelihood of consumers purchasing goods from a seller established in another country (see A/CN.9/527, para. 87).77. 不过,就《电子通信公约》而言,贸易法委员会认为《联合国销售公约》第2条(a)项的表达方式可能存在问题,因为《联合国销售公约》拟订之时尚不存在的开放式通信系统(如互联网)所提供的准入便利极大地增加了消费者从在国外开业的卖方购买货物的可能性(见A/CN.9/527,第87段)。
Having recognized that certain rules of the Electronic Communications Convention might not be appropriate in the context of consumer transactions, UNCITRAL agreed that consumers should be completely excluded from the reach of the Convention (see A/CN.9/548, paras. 101 and 102).贸易法委员会认识到,《电子通信公约》的某些规则可能不宜适用于消费者交易,因此一致认为应将消费者完全排除在公约的范围以外(见A/CN.9/548,第101和102段)。
2. Specific financial transactions2. 特定的金融交易
78. Paragraph 1 (b) of article 2 lists a number of transactions excluded from the scope of application of the Electronic Communications Convention.78. 第2条第1款(b)项列出了排除在《电子通信公约》适用范围以外的若干交易。
They relate essentially to certain financial service markets governed by well-defined regulatory and contractual rules that already address issues relating to electronic commerce in a manner that allows for their effective worldwide functioning.其中基本上涉及由完善的监管规则和非监管规则管辖的某些金融服务市场,这些规则已经处理了涉及电子通信的问题,使这些市场可在全球范围内有效运作。
Given the inherently cross-border nature of those markets, UNCITRAL considered that this exclusion should not be left for country-based declarations under article 19 (see A/CN.9/527, para. 95; A/CN.9/528, para. 61; A/CN.9/548, para. 109; and A/CN.9/571, para. 62).鉴于这些市场固有的跨国界性质,贸易法委员会认为该不适用情形不应留给按照第19条所作的国家声明来决定(见A/CN.9/527,第95段;A/CN.9/528,第61段;A/CN.9/548,第109段;A/CN.9/571,第62段)。
79. It should be noted that this provision does not contemplate a broad exclusion of financial services per se, but rather specific transactions such as payment systems, negotiable instruments, derivatives, swaps, repurchase agreements (repos), foreign exchange, securities and bond markets.79. 应当指出,该条款的用意并不是广泛排除金融服务本身,而是排除某些特定的交易,如支付系统、可转让票据、衍生工具、掉期、回购协议(repos)、外汇、证券和债券市场。
The criterion for the exclusion in paragraph 1 (b) of article 2 is not the type of the asset being traded but the method of settlement used.第1款(b)项的排除标准不是交易资产的类型,而是所使用的结算办法。
In addition, not every regulated trading activity is excluded but trading under the auspices of a regulated exchange is (e.g. stock exchange, securities and commodities exchange, foreign currency exchange and precious metal exchange).此外,不适用的不是所有受监管的交易,而是在受监管的交易所(如股票交易所、证券和商品交易所、外币交易所和贵金属交易所)主持下的交易。
As a result, the use of electronic communications in connection with trading of securities, commodities, foreign currency or precious metals outside a regulated exchange is not necessarily excluded merely because it is in connection with the trading of securities (e.g. an e-mail sent by an investor to his or her broker, instructing the latter to buy or sell securities).因此,在受监管的交易所之外进行的证券、商品、外币或稀有金属交易所涉及的电子通信使用不一定仅仅因为其涉及证券交易(例如,投资者向自己的经纪人发出的指示其买卖证券的电子邮件)就不适用本公约。
3. Negotiable instruments, documents of title and similar documents3. 可转让票据、所有权文据和类似凭证
80. Paragraph 2 of article 2 excludes negotiable instruments and similar documents because the potential consequences of unauthorized duplication of documents of title and negotiable instruments — and generally any transferable instrument that entitles the bearer or beneficiary to claim the delivery of goods or the payment of a sum of money — make it necessary to develop mechanisms to ensure the singularity of those instruments.80. 第2条第2款排除了可转让票据和类似单证,因为鉴于未经许可擅自复印所有权文据和可转让票据——以及一般而言复制任何使持有人或受益人有权要求交付货物或支付一笔款项的可转让票据——可能产生的后果,有必要制订可确保此类票据独一无二特性的多种机制。
81. The issues raised by negotiable instruments and similar documents, in particular the need for ensuring their uniqueness, go beyond simply ensuring the equivalence between paper and electronic forms, which is the main aim of the Electronic Communications Convention and justifies the exclusion provided in paragraph 2 of the article.81. 可转让票据和类似单证所引出的问题,尤其是有必要确保其独特性的问题,已经不仅仅是确保纸面形式和电子形式等同的问题,也就是超出了《电子通信公约》的主要目的,因而本条第2款所规定的不适用情形是合理的。
UNCITRAL was of the view that finding a solution for this problem required a combination of legal, technological and business solutions, which had not yet been fully developed and tested (see A/CN.9/571, para. 136).贸易法委员会认为,要找到该问题的解决办法,需要将法律、技术和商业方面的解决办法结合起来,而这些办法尚未得到充分制订和检验(见A/CN.9/571,第136段)。
4. Individual exclusions4. 个别不适用情形
82.
During the preparation of the Electronic Communications Convention, there were suggestions to include a number of other transactions to the list of excluded matters in article 2, such as contracts that created or transferred rights in real estate (except for rental rights), contracts requiring by law the involvement of courts, public authorities or professions exercising public authority, contracts of suretyship granted by and on collateral securities furnished by persons acting for purposes outside their trade, business or profession and contracts governed by family law or by the law of succession (see A/CN.9/548, para. 110).82. 在拟订《电子通信公约》的过程中,有人提议将若干其他交易添入第2条的不适用情形清单,如设定或转让不动产权利的合同(租借权除外);依照法律要求有法院、公共当局或行使公共权力的职业参与的合同;由为本人的行业、事务或者职业范围外的目的行事的人授予和根据抵押担保提供的保证合同;由家庭法或继承法管辖的合同(见A/CN.9/548,第110段)。
83. The preponderant view within UNCITRAL was not in favour of the proposed exclusions.83. 贸易法委员会内部的主要观点不赞成按上述提议规定不适用情形。
Some matters would automatically be excluded under article 1, paragraph 1, or article 2, paragraph 1 (a).一些情形可根据第1条第1款或第2条第1款第(a)项自动排除。
Other matters were regarded as territory-specific issues that should be better dealt with at the domestic level.另有一些情形据认为是地域性强的问题,最好应在国内处理。
UNCITRAL took note of the fact that some States already admitted the use of electronic communications in connection with some, if not all, of the matters contemplated in the proposed exclusions.贸易法委员会注意到,事实上,至少对于上述提议的部分不适用情形,一些国家已经允许使用电子通信。
It was felt that the adoption of an extensive list of exemptions would have the effect of imposing those exclusions even for States that saw no reason for preventing the parties to those transactions from using electronic communications (see A/CN.9/571, para. 63), a result which would hinder the adaptation of the law to technological evolution (see A/CN.9/571, para. 65).据认为,若采用一份范围很广的不适用情形清单,结果是甚至将这些不适用情形强加给认为没有必要阻止这些交易的当事各方使用电子通信的国家(见A/CN.9/571,第63段),这一结果会妨碍法律对技术发展的适应(见A/CN.9/571,第65段)。
However, States that feel that electronic communications should not be authorized in particular cases still have the option of making individual exclusions by declarations under article 19.不过,认为在某些特定情形下不应允许使用电子通信的国家仍可选择按照第十九条作出声明,规定个别的不适用情形。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 25-30A/60/17,第25-30段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 59-69; see also para. 136A/CN.9/571,第59-69段;另见第136段
Working Group IV, 43rd session (New York, 15-19 March 2004)第四工作组,第43届会议(2004年3月15日至19日,纽约)
A/CN.9/548, paras. 98-111; see also paras. 112-118 (on a related draft article since deleted)A/CN.9/548,第98-111段;另见第112-118段
Working Group IV, 41st session (New York, 5-9 May 2003)第四工作组,第41届会议(2003年5月5日至9日,纽约)
A/CN.9/528, paras. 49-64, see also paras. 65-69 (on a related draft article since deleted)A/CN.9/528,第49-64段,另见第65-69段(关于随后删去的一个相关条款草案)
Working Group IV, 40th session (Vienna, 14-18 October 2002)第四工作组,第40届会议(2002年10月14日至18日,维也纳)
A/CN.9/527, paras. 82-98; see also paras. 99-104 (on a related draft article since deleted)A/CN.9/527,第82-98段,另见第99-104段(关于随后删去的一个相关条款草案)
Article 3. Party autonomy第3条. 当事人意思自治
1. Extent of power to derogate1. 减损权的范围
84. In preparing the Electronic Communications Convention, UNCITRAL was mindful of the fact that, in practice, solutions to the legal difficulties raised by the use of modern means of communication were mostly sought within contracts.84. 在拟订《电子通信公约》期间,贸易法委员会牢记,实际上合同内部大多会为使用现代通信手段引发的法律难题寻求解决办法。
The Convention reflects the view of UNCITRAL that party autonomy is vital in contractual negotiations and should be broadly recognized by the Convention.公约反映了贸易法委员会的观点,即当事人意思自治对于合同谈判至关重要,应得到公约的广泛确认。
85. At the same time, it was generally accepted that party autonomy did not extend to setting aside statutory requirements that imposed, for instance, the use of specific methods of authentication in a particular context.85. 同时,据普遍承认,当事人意思自治并未扩展到不顾诸如在特定情况下使用特定认证办法的法定要求的程度。
This is particularly important in connection with article 9 of the Convention, which provides criteria under which electronic communications and their elements (e.g. signatures) may satisfy form requirements, which are normally of a mandatory nature since they reflect decisions of public policy.这对于公约第9条尤其重要,因该条规定了电子通信及其要素(如签名)能否满足形式要求的标准,这些要求反映了公共政策的决定,因而通常是强制性的。
Party autonomy does not allow the parties to relax statutory requirements (for example, on signature) in favour of methods of authentication that provide a lesser degree of reliability than electronic signatures, which is the minimum standard recognized by the Convention (see A/CN.9/527, para. 108; see also A/CN.9/571, para. 76).当事人意思自治不允许当事各方放松法定要求(如对签名的法定要求),而采用可靠程度低于电子签字的认证方法,因为这是公约所确认的最低标准(见A/CN.9/527,第108段;另见A/CN.9/ 571,第76段)。
86. Nevertheless, as provided in article 8, paragraph 2, the Convention does not require the parties to accept electronic communications if they do not want to.86. 尽管如此,按照第8条第2款的规定,如果当事人不愿意,公约也不要求当事人接受电子通信。
This also means, for instance, that the parties may choose not to accept electronic signatures (see A/CN.9/527, para. 108).举例来说,这也意味着当事人可以选择不接受电子签字(见A/CN.9/527,第108段)。
87. Under the Convention, party autonomy applies only to provisions that create rights and obligations for the parties, and not to the provisions of the Convention that are directed to contracting States (see A/CN.9/571, para. 75).87. 根据公约,当事人意思自治只适用于创设当事人权利和义务的规定,而不适用于公约中针对缔约国的规定(见A/CN.9/571,第75段)。
2. Form of derogation2. 减损的形式
88. Article 3 is intended to apply not only in the context of relationships between originators and addressees of data messages but also in the context of relationships involving intermediaries.88. 第3条意在不仅适用于数据电文的发件人和收件人之间的关系,还适用于涉及中间人的各种关系。
Thus, the provisions of the Electronic Communications Convention can be varied either by bilateral or multilateral agreements between the parties, or by system rules agreed to by them.因此,《电子通信公约》的规定可随当事人之间的双方协议或多方协议而变化,或随当事人商定的系统规则而变化。
89. It was the understanding of UNCITRAL that derogations from the Convention did not need to be explicitly made but could also be made implicitly, for example by parties agreeing to contract terms at variance with the provisions of the Convention (see A/CN.9/548, para. 123).89. 贸易法委员会的理解是,不一定必须明确对公约作出减损,减损也可以是隐含其中的,如当事人达成的合同条款与公约条文不一致(见A/CN.9/548,第123段)。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 31-34A/60/17,第31-34段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 70-77A/CN.9/571,第70-77段
Working Group IV, 43rd session (New York, 15-19 March 2004)第四工作组,第43届会议(2004年3月15日至19日,纽约)
A/CN.9/548, paras. 119-124A/CN.9/548,第119-124段
Working Group IV, 41st session (New York, 5-9 May 2003)第四工作组,第41届会议(2003年5月5日至9日,纽约)
A/CN.9/528, paras. 70-75A/CN.9/528,第70-75段
Working Group IV, 40th session (Vienna, 14-18 October 2002)第四工作组,第40届会议(2002年10月14日至18日,维也纳)
A/CN.9/527, paras. 105-110A/CN.9/527,第105-110段
Chapter II.第二章. 总则
General provisions
Article 4.第4条. 定义
Definitions
90. Most of the definitions contained in article 4 are based on definitions used in the UNCITRAL Model Law on Electronic Commerce. “Communication”90. 第4条载列的多数定义是根据《贸易法委员会电子商务示范法》使用的定义而来的。
“通信”
91. The definition of “communication” is intended to make clear that the Electronic Communications Convention applies to a wide range of exchanges of information between parties to a contract, whether at the stage of negotiations, during performance or after a contract has been performed.91. “通信”的定义意在阐明《电子通信公约》适用于合同当事人之间广泛的信息交换,无论是在谈判阶段、履约期间还是履约之后。
“Electronic communication” and “data message”“电子通信”和“数据电文”
92. The definition of “electronic communication” establishes a link between the purposes for which electronic communications may be used and the notion of “data messages”, which already appeared in the UNCITRAL Model Law on Electronic Commerce and has been retained in view of the wide range of techniques it encompasses, beyond purely “electronic” techniques (see A/CN.9/571, para. 80).92. “电子通信”的定义将使用电子通信的目的和“数据电文”的概念联系起来,这一联系已经出现在《贸易法委员会电子商务示范法》中,并得到保留,因为它涵盖纯“电子”技术以外的各种技术(见A/CN.9/571,第80段)。
93. The aim of the definition of “data message” is to encompass all types of messages that are generated, stored, or communicated in essentially paperless form.93. “数据电文”定义的目的是包括以基本上无纸的形式生成、存储或互发的所有类型的电文。
For that purpose, all means of communication and storage of information that might be used to perform functions parallel to the functions performed by the means listed in the definition are intended to be covered by the reference to “similar means”, although, for example, “electronic” and “optical” means of communication might not be, strictly speaking, similar.为此,对于所有信息交流和存储手段,凡是可用来履行等同于以定义中所列手段所履行的功能的,公约都有意通过提及“类似手段”而将其包括在内,尽管以“电子”和“光学”通信手段为例,这两者严格说来可能不太相似。
For the purposes of the Convention, the word “similar” connotes “functionally equivalent”.在公约中,“类似”一词的含义是“功能等同”。
The reference to “similar means” indicates that the Convention is not intended only for application in the context of existing communication techniques but also to accommodate foreseeable technical developments.对“类似手段”的提及表明,公约的用意不仅是适用于现有的通信技术环境,还要适应可预见的技术发展。
94. The examples mentioned in the definition of “data message” highlight that this definition covers not only electronic mail but also other techniques that may still be used in the chain of electronic communications, even if some of them (such as telex or telecopy) may not appear to be novel (see A/CN.9/571, para. 81).94.“数据电文”的定义中提到的例子突出了该定义不仅包括电子邮件,还包括可能仍在电子通信链中使用的其他技术,尽管其中一些技术(如电传或传真)可能已经过时(见A/CN.571,第81段)。
The reference to “Electronic Data Interchange (EDI)” has been retained in the definition of “data messages” for illustrative purposes only, in view of the widespread use of EDI messages in electronic communications of messages from computer to computer.考虑到电子数据交换信息在计算机到计算机的电子信息通信中广泛使用,在“数据电文”的定义中保留了“电子数据交换”,只是作为示例。
According to the definition of EDI adopted by the Working Party on Facilitation of International Trade Procedures of the Economic Commission for Europe, which is the United Nations body responsible for the development of technical standards related to United Nations rules for Electronic Data Interchange for Administration, Commerce and Transport (UN/EDIFACT), EDI means the electronic transfer from computer to computer of information using an agreed standard to structure the information.根据负责制订联合国行政、商业和运输电子数据交换规则技术标准的联合国机构——欧洲经济委员会简化国际贸易手续工作组——采用的电子数据交换定义,电子数据交换系指计算机之间使用某种商定标准来规定信息结构的信息电子传输。
95. The definition of “data message” focuses on the information itself, rather than on the form of its transmission.95. “数据电文”的定义侧重于信息本身,而不是传输的形式。
Thus, for the purposes of the Electronic Communications Convention it is irrelevant whether data messages are communicated electronically from computer to computer, or whether data messages are communicated by means that do not involve telecommunications systems, for example, magnetic disks containing data messages delivered to the addressee by courier.因此,在《电子通信公约》中,数据电文是否在计算机之间以电子方式交流无关紧要,数据电文是否以不涉及电信系统的手段交流也是无关紧要的,例如,由信差递送给收件人的载有数据电文的磁盘。
96. The notion of “data message” is not limited to communication but is also intended to encompass computer-generated records that are not meant for communication.96. “数据电文”的概念不限于通信,还意在包括由计算机生成但不作传输的记录。
Thus, the notion of “message” includes the notion of “record”.故此,“电文”的概念包括“记录”的概念。
Lastly, the definition of “data message” is also intended to cover the case of revocation or amendment.最后,“数据电文”的定义还意在涵盖撤销或修改的情况。
A data message is presumed to have a fixed information content but it may be revoked or amended by another data message.据推定,数据电文有固定的信息内容,但可以通过另一个数据电文取消或修改。
“Originator” and “addressee”“发件人”和“收件人”
97. The definition of “originator” should cover not only the situation where information is generated and communicated, but also the situation where such information is generated and stored without being communicated.97. “发件人”的定义应不仅包括生成和传递信息的情况,还包括信息生成并存储但未加传送的情况。
However, the definition of “originator” is intended to eliminate the possibility that a recipient who merely stores a data message might be regarded as an originator.不过,“发件人”的定义意在排除将仅存储数据电文的接收人视为发件人的可能性。
98. The “addressee” under the Electronic Communications Convention is the person with whom the originator intends to communicate by transmitting the electronic communication, as opposed to any person who might receive, forward or copy it in the course of transmission.98. 根据《电子通信公约》,“收件人”系指发件人意图通过传输电子通信而与之取得联系的人,不是在传输过程中任何可能接收、转发或复制该电子通信的人。
The “originator” is the person who generated the electronic communication even if that communication was transmitted by another person.即使传输电文的另有其人,“发件人”仍是生成电子通信的人。
The definition of “addressee” contrasts with the definition of “originator”, which is not focused on intent.“收件人”的定义与“发件人”的定义相对应,其重点不在意图。
It should be noted that, under the definitions of “originator” and “addressee” in the Convention, the originator and the addressee of a given electronic communication could be the same person, for example in the case where the electronic communication was intended for storage by its author.应当指出,按照公约中“发件人”和“收件人”的定义,某一电子通信的发件人和收件人可能是同一个人,例如打算将本人电子通信所写内容存储起来的情况。
However, the addressee who stores an electronic communication transmitted by someone else is not intended to be covered by the definition of “originator”.不过,“发件人”的定义无意包括将别人所发的电子通信存储起来的收件人。
99. The focus of the Convention is on the relationship between the originator and the addressee, and not on the relationship between either the originator or the addressee and any intermediary.99. 公约的重点在于发件人和收件人之间的关系,而不是发件人或收件人与任何中间人之间的关系。
The fact that the Convention does not refer expressly to intermediaries (such as servers or web hosts) does not mean that the Convention ignores their role in receiving, transmitting or storing data messages on behalf of other persons or performing other “value-added services”, such as when network operators and other intermediaries format, translate, record, authenticate, certify or preserve electronic communications or provide security services for electronic transactions.公约没有明确提到中间人(如服务器或网络主机运营人),但这并不意味着公约忽略了其代表其他人接收、传输或存储数据电文或履行其他“增值服务”的作用,如网络运营人和其他中间人对电子通信进行格式化操作、翻译、记录、鉴别、核证或保存,或为电子交易提供安全保障服务。
However, as the convention was not conceived as a regulatory instrument for electronic business, it does not deal with the rights and obligations of intermediaries.不过,公约不是作为电子商务规范文书制订的,所以不涉及中间人的权利和义务问题。
100. As used in the Convention, the notion of “party” designates the subjects of rights and obligations and should be interpreted as covering both natural persons and corporate bodies or other legal entities. Where only “natural persons” are meant, the Convention expressly uses those words.100.在本公约中,“当事人”的概念指定了权利和义务的主体,应解释为包含自然人和法人团体或其他法律实体。在仅表示“自然人”的地方,公约明确使用“自然人”一词。
“Information system”“信息系统”
101. The definition of “information system” is intended to cover the entire range of technical means used for transmitting, receiving and storing information.101. “信息系统”的定义意图包含用于传输、接收和存储信息的所有技术手段。
For example, depending on the factual situation, the notion of “information system” could refer to a communications network, and in other instances could include an electronic mailbox or even a telecopier.例如,按照实际情况,“信息系统”的概念可以指一个通信网络,在其他情况下可以包括电子信箱或甚至一台电传机。
102. For the purposes of the Electronic Communications Convention it is irrelevant whether the information system is located on the premises of the addressee or on other premises, since location of information systems is not an operative criterion under the Convention.102. 在《电子通信公约》中,信息系统是位于收件人的处所还是别的地方并无关系,因为按照公约,信息系统的所在地不是有效的标准。
“Automated message systems”“自动电文系统”
103. The notion of “automated message system” refers essentially to a system for automatic negotiation and conclusion of contracts without involvement of a person, at least on one of the ends of the negotiation chain.103. “自动电文系统”的概念基本上是指自动谈判和缔结合同的系统,至少在谈判环节的一端无人参与。
It differs from an “information system” in that its primary use is to facilitate exchanges leading to contract formation.它不同于“信息系统”,因其首要的用途是便利交流以订立合同。
An automated message system may be part of an information system, but that need not necessarily be the case (see A/CN.9/527, para. 113).自动电文系统可以是信息系统的一部分,但也不是必然如此(见A/CN.9/527,第113段)。
104. The critical element in this definition is the lack of a human actor on one or both sides of a transaction.104. 这一定义的关键内容是在交易的一端或两端无人操作。
For example, if a party orders goods through a website, the transaction would be an automated transaction because the vendor took and confirmed the order via its machine.例如,如果一方当事人通过网站订购货物,这项交易就是自动交易,因为卖方是通过机器接收并确认订单的。
Similarly, if a factory and its supplier do business through EDI, the factory’s computer, upon receiving information within certain pre-programmed parameters, will send an electronic order to the supplier’s computer.同样,如果一家工厂和其供应商通过电子数据交换进行交易,则工厂的计算机在收到预设参数范围内的信息后,会马上向供应商的计算机发出一份电子订单。
If the supplier’s computer confirms the order and processes the shipment because the order falls within pre-programmed parameters in the supplier’s computer, this would be a fully automated transaction.如果订单进入供应商的计算机符合预设的参数范围内因而供应商的计算机确认该订单并安排送货,这就是完全自动的交易。
If, instead, the supplier relies on a human employee to review, accept, and process the factory’s order, then only the factory’s side of the transaction would be automated.如果供应商靠所雇人员审查、接受并处理工厂的订单,则该项交易只在工厂一端是自动的。
In either case, the entire transaction falls within the definition.在上述两种情况下,整个交易都在定义范围之内。
“Place of business”“营业地”
105. The definition of “place of business” reflects the essential elements of the notions of “place of business”, as understood in international commercial practice, and “establishment”, as used in article 2, subparagraph (f), of the UNCITRAL Model Law on Cross-Border Insolvency (see A/CN.9/527, para. 120).105. “营业地”的定义反映了国际商业惯例中理解的“营业地”和《贸易法委员会跨国界破产示范法》第2条(f)项中使用的“营业所”概念的基本要素(见A/CN.9/527,第120段)。
This definition has been included to support the operation of articles 1 and 6 of the Electronic Communications Convention and is not intended to affect other substantive law relating to places of business.列入这一概念是为了支持《电子通信公约》第1至6条的操作,其用意不是影响其他有关营业地的实体法。
106. The notion of “non-transitory” qualifies the word “establishment”, whereas the words “other than the temporary provision of goods or services” qualify the nature of the “economic activity” (see A/CN.9/571, para. 87).106. “非短暂性”的概念限定了“营业所”一词,而“并非……临时提供货物或服务”一语限定的是“经济活动”的性质(见A/CN.9/571,第87段)。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 35-37A/60/17,第35-37段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 78-89A/CN.9/571,第78-89段
Working Group IV, 41st session (New York, 5-9 May 2003)第四工作组,第41届会议(2003年5月5日至9日,纽约)
A/CN.9/528, paras. 76-77A/CN.9/528,第76-77段
Working Group IV, 40th session (Vienna, 14-18 October 2002)第四工作组,第40届会议(2002年10月14日至18日,维也纳)
A/CN.9/527, paras. 111-122A/CN.9/527,第111-122段
Article 5.第5条. 解释
Interpretation 107. The principles reflected in article 5 of the Electronic Communications Convention have appeared in most of the UNCITRAL texts, and its formulation mirrors article 7 of the United Nations Sales Convention.107. 《电子通信公约》第五条中反映的原则已出现在贸易法委员会的大多数文本中,其措词仿照《联合国销售公约》的第7条。
The provision is aimed at facilitating uniform interpretation of the provisions in uniform instruments on commercial law.本条规定的目的是便利对商业法统一文书中的条文作统一的解释。
It follows a practice in private law treaties to provide self-contained rules of interpretation, without which the reader would be referred to general rules of public international law on the interpretation of treaties that might not be entirely suitable for the interpretation of private law provisions (see A/CN.9/527, para. 124).它遵循了私法条约中的惯例,即规定自成一体的解释规则,否则读者将需要参照国际公法关于条约解释的一般规则,而这些规则可能并不完全适用于对私法条文的解释(见A/CN.9/527,第124段)。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 38 and 39A/60/17,第38和39段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 90 and 91A/CN.9/571,第90和91段
Working Group IV, 41st session (New York, 5-9 May 2003)第四工作组,第41届会议(2003年5月5日至9日,纽约)
A/CN.9/528, paras. 78-80A/CN.9/528,第78-80段
Working Group IV, 40th session (Vienna, 14-18 October 2002)第四工作组,第40届会议(2002年10月14日至18日,维也纳)
A/CN.9/527, paras. 123-126A/CN.9/527,第123-126段
Article 6. Location of the parties第6条. 当事人的所在地
1. Purpose of the article1. 本条的目的
108. The purpose of article 6 is to offer elements that allow the parties to ascertain the location of the places of business of their counterparts, thus facilitating a determination, among other elements, as to the international or domestic character of a transaction and the place of contract formation.108. 第6条的目的是提供若干要素,使当事人能查明对方营业地的位置,从而便利确定交易是国际交易还是国内交易以及订立合同的地点等要素。
As such, this article is one of the central provisions in the Electronic Communications Convention.因此,本条是《电子通信公约》的核心条文之一。
109. Considerable legal uncertainty is caused at present by the difficulty of determining where a party to an online transaction is located.109. 由于难以确定网上交易的当事人所在地,因而造成了目前严重的法律不确定性。
While that danger has always existed, the global reach of electronic commerce has made it more difficult than ever to determine location.虽然这种危险一直存在,但由于电子商务遍布全球,所以比以往任何时候都更难以确定所在地。
This uncertainty could have significant legal consequences, since the location of the parties is important for issues such as jurisdiction, applicable law and enforcement.这种不确定性可能产生严重的法律后果,因为当事人的所在地对诸如管辖权、适用法律和执行等问题有重要关系。
Accordingly, there was wide agreement within UNCITRAL as to the need for provisions that would facilitate a determination by the parties of the places of business of the persons or entities they had commercial dealings with (see A/CN.9/509, para. 44).因此,贸易法委员会内部普遍同意需要做出规定,便于当事人判断其商业交易对方个人或实体的营业地(见A/CN.9/509,第44段)。
2. Nature of presumption of location2. 所在地推定的性质
110. At the early stages of its deliberations, UNCITRAL had considered the possibility of including a positive duty for the parties to disclose their places of business or provide other information.110. 贸易法委员会在审议的早期阶段考虑了列入当事人披露其营业地或提供其他信息的主动义务的可能性。
However, it was eventually agreed that inclusion of such an obligation would be inappropriate in a commercial law instrument, in view of the difficulty of setting out the consequences of failing to comply with such an obligation.不过,最后一致同意,此种义务放在商业法文书中不合适,因为难以阐明未遵守此种义务所产生的后果。
111. Accordingly, article 6 merely creates a presumption in favour of a party’s indication of its place of business, which is accompanied by conditions under which that indication can be rebutted, and by default provisions that apply if no indication has been made.111. 因此,第6条只是创设了有利于当事人指明其营业地的一条推定,该推定附有可对此种指明加以反驳的种种条件和若未指明则予以适用的缺省条文。
The article is not intended to allow parties to invent fictional places of business that do not meet the requirements of article 4, subparagraph (h).本条无意允许当事人凭空创设不符合第4条第(h)项要求的虚假营业地。
This presumption, therefore, is not absolute and the Convention does not uphold an indication of a place of business by a party even where such an indication is inaccurate or intentionally false (see A/CN.9/509, para. 47).因此,这种推定不是绝对的,如果一方当事人所指明的营业地不准确或故意作假,则公约不予支持(见A/CN.9/509,第47段)。
112. The rebuttable presumption of location established by paragraph 1 of article 6 serves important practical purposes and is not meant to depart from the notion of “place of business”, as used in non-electronic transactions.112. 第6条第1款所规定的可予以反驳的所在地推定有重要的实际意义,而不是意味着背离非电子交易中使用的“营业地”概念。
For example, an Internet vendor maintaining several warehouses at different locations from which different goods might be shipped to fulfil a single purchase order effected by electronic means might see a need to indicate one of such locations as its place of business for a given contract.例如,互联网上的卖主在不同的所在地维持有数个仓库并且有可能从中运出不同的货物以履行以电子手段订立的某一单项购货单,则该网上卖主可能认为有必要从这些所在地中指明一个作为其针对一项特定合同的营业地。
Article 6 recognizes that possibility, with the consequence that such an indication could only be challenged if the vendor does not have a place of business at the location it indicated.第6条认可这种可能性,而后果是,只有在该卖主在其指明的所在地没有营业地的情况下才可质疑这种指明。
Without that possibility, the parties might need to enquire, in respect of each contract, which of the vendor’s multiple places of business has the closest connection to the relevant contract in order to determine what is the vendor’s place of business in that particular case (see A/CN.9/571, para. 98).如果不可能作出这种指明,各当事人则可能有必要就每一项合同查询在该卖主的多个营业地中哪一个与相关合同的关系最密切,以便确定在这一特定情况下究竟哪一个才是该卖主的营业地(见A/CN.9/571,第98段)。
If a party has only one place of business and has not made any indication, it would be deemed to be located at the place that meets the definition of “place of business” under article 4, subparagraph (h).如果当事人只有一处营业地,但没有作出任何指明,则将认为符合第4条第(h)项的“营业地”定义的地点为其营业地。
3. Plurality of places of business3. 多个营业地
113. Paragraph 2 of article 6 is based on article 10, subparagraph (a), of the United Nations Sales Convention.113. 第6条第2款是以《联合国销售公约》第10条(a)项为基础的。
However, unlike that provision, which refers to a place of business that has “the closest relationship to the contract and its performance”, article 6, paragraph 2, of the Electronic Communications Convention refers only to the closest relationship to the contract.不过不同之处是,那条规定提及“与合同及合同的履行关系最密切”的营业地,而《电子通信公约》第6条第2款只提及与合同关系最密切。
In the context of the United Nations Sales Convention the cumulative reference to the contract and its performance had given rise to uncertainty, since there might be situations where a given place of business of one of the parties is more closely connected to the contract, but another of that party’s places of business is more closely connected to the performance of the contract.在《联合国销售公约》中,同时提及合同及其履行造成了不确定情形,因为有些情况下可能是一方当事人的某个营业地与合同关系较为密切,而该当事人的另一个营业地则与合同的履行关系较为密切。
These situations are not rare in connection with contracts entered into by large multinational companies and may become even more frequent as a result of the current trend towards increased decentralization of business activities (see A/CN.9/509, para. 51; see also A/CN.9/571, para. 101).在涉及大型多国公司订立的合同时,这类情形并非罕见,而且随着目前企业活动日趋分散化的趋势,这类情形可能变得甚至更加屡见不鲜(见A/CN.9/509,第51段;另见A/CN.9/571,第101段)。
It was felt that this minor departure from similar wording in the United Nations Sales Convention would not generate an undesirable duality of regimes in view of the limited scope of the Electronic Communications Convention (see A/CN.9/571, para. 101).据认为,鉴于《电子通信公约》的范围有限,与《联合国销售公约》的类似措词稍有差异不会形成不应有的双重制度(见A/CN.571,第101段)。
114. The application of paragraph 2 of article 6 would be triggered by the absence of a valid indication of a place of business.114. 若未有效指明营业地即可适用第6条第2款。
The default rule provided here applies not only when a party fails to indicate its place of business, but also when such indication has been rebutted under paragraph 1 of the article.此处所载的缺省规则不仅适用于一当事人未指明其营业地的情况,而且还适用于根据本条第1款此种指明已被推翻的情况。
4. Place of business of natural persons4. 自然人的营业地
115. This paragraph does not apply to legal entities, since it is generally understood that only natural persons are capable of having a “habitual residence”.115. 本款不适用于法人,因为按通常的理解,只有自然人才能有“惯常居所”。
5. Limited value of communications technology and equipment for establishing place of business5. 通信技术和设备对于判定营业地的作用有限
116. UNCITRAL carefully avoided devising rules that would result in any given party being considered as having its place of business in one country when contracting electronically and in another country when contracting by more traditional means (see A/CN.9/484, para. 103).116. 贸易法委员会谨慎地避免所订规则会造成任何特定当事人以电子方式订约时其营业地被视为位于一国而以较传统方式订约时其营业地被视为位于另一国的情形(见A/CN.9/484,第103段)。
117. Therefore, the Electronic Communications Convention takes a cautious approach to peripheral information related to electronic messages, such as Internet Protocol addresses, domain names or the geographic location of information systems, which despite their apparent objectivity have little, if any, conclusive value for determining the physical location of the parties.117. 因此,《电子通信公约》对信息系统的IP地址、域名或地理位置等与电子信息有关的外围信息采取谨慎的方式,虽然这些信息显然是客观存在的,但对确定当事人的实际所在地几乎没有决定性作用。
Paragraph 4 of article 6 reflects that understanding by providing that the location of equipment and technology supporting an information system or the places from where the information system may be accessed by other parties do not by themselves constitute a place of business.第6条第4款反映了上述理解,其中规定,信息系统的支持设备和技术的所在地或其他当事人可以进入该信息系统的地方本身不构成营业地。
However, nothing in the Electronic Communications Convention prevents a court or arbitrator from taking into account the assignment of a domain name as a possible element, among others, to determine a party’s location, where appropriate (see A/CN.9/571, para. 113).然而,《电子通信公约》中任何内容均不妨碍法院或仲裁员酌情考虑将域名的分配作为确定当事人所在地的一个可能的要素(见A/CN.9/571,第113段)。
118. UNCITRAL acknowledged that there might be legal entities, such as so-called “virtual companies”, whose establishment might not meet all requirements of the definition of “place of business” in article 4, subparagraph (h) of the Convention.118. 贸易法委员会承认,可能存在所谓的“虚拟公司”等法人,其营业所不一定符合公约第4条第(h)项中“营业地”定义的所有要求。
It was also noted that some business sectors increasingly regarded their technology and equipment as significant assets.还据指出,一些商业部门越来越多地将其技术和设备视为重要资产。
However, it was felt that it would be difficult to attempt to formulate universally acceptable criteria for a default rule on location to cover those situations, in view of the variety of options available (e.g. place of incorporation and place of principal management, among others), location of equipment technology being only one — and not necessarily the most significant — of these factors.不过,据认为,鉴于可供选择的标准各式各样(例如公司注册地、主要管理地,等等),而设备技术的所在地只是这些要素之一,而且不一定是最重要的要素,因而难以制定普遍接受的标准使一项关于所在地的缺省规则涵盖这些情形。
In any event, if an entity does not have a place of business, the Convention would not apply to its communications under article 1, which depends on transactions applying between parties having their places of business in different States (see A/CN.9/571, para. 103).无论怎样,如果一个实体没有营业地,根据第1条,公约将不适用于该实体进行的通信,因为这取决于开民交易的当事人营业地在不同的国家(见A/CN.9/571,第103段)。
119. Paragraph 5 of article 6 reflects the fact that the current system for assignment of domain names was not originally conceived in geographical terms.119. 第6条第5款所反映的事实是,目前的域名分配系统原本不是根据地理位置设计的。
Therefore, the apparent connection between a domain name and a country is often insufficient to conclude that there is a genuine and permanent link between the domain name user and the country.因此,域名和国家之间表面上的联系往往不足以确定域名使用者和国家之间真实而永久的联系。
Also, differences in national standards and procedures for the assignment of domain names make them unfit for establishing a presumption, while the insufficient transparency of the procedures for assigning domain names in some jurisdictions makes it difficult to ascertain the level of reliability of each national procedure (see A/CN.9/571, para. 112).而且,各国分配域名的标准和程序有差异,因此不宜用于确立一项推定,而在某些法域中,分配域名的程序不够透明,因此难以确定每个国家的程序的可靠程度(见A/CN.9/571,第112段)。
120. UNCITRAL nevertheless recognized that, in some countries, the assignment of domain names was only made after verification of the accuracy of the information provided by the applicant, including its location in the country to which the relevant domain name related.120. 尽管如此,贸易法委员会认识到,在有些国家,只有核实了域名申请人提供的信息的准确性,包括核实申请人在与所申请的域名有关的国家中的所在地,才分配域名。
For those countries, it might be appropriate to rely, at least in part, on domain names for the purpose of article 6 (see A/CN.9/509, para. 58; see also A/CN.9/571, para. 111).对于这些国家来说,为了第6条的目的至少部分上以域名为准或许是可以的(见A/CN.9/509,第58段;另见A/CN.9/571,第111段)。
Therefore, paragraph 5 only prevents a court or arbitrator from inferring the location of a party from the sole fact that the party uses a given domain name or address.因此,第5款只是防止法院或仲裁员仅仅根据当事人使用的某一域名或地址来推断当事人的所在地。
Nothing in this paragraph prevents a court or arbitrator from taking into account the assignment of a domain name as a possible element, among others, to determine a party’s location, where appropriate (see A/CN.9/571, para. 113).该款草案中的任何内容均不妨碍法院或仲裁员酌情考虑将域名的分配作为确定当事人所在地的一个可能的要素(见A/CN.9/571,第113段)。
121. The formulation of paragraph 5 of article 6 is not open-ended, as the provision is concerned with certain existing technologies in respect of which UNCITRAL was of the view that they did not offer, in and of themselves, a sufficiently reliable connection to a country so as to authorize a presumption of a party’s location.121. 对于本规定涉及的某些现有技术,贸易法委员会的看法是,这些技术本身不能表明与一国有充分而可靠的关联,很难认可藉此推断出的当事人所在地,因此,第6条第5款的措词不是开放性的。
It would have been unwise for UNCITRAL to rule out the possibility that new as yet undiscovered technologies may appropriately create a strong presumption as to a party’s location in a country to which the technology used would be connected.贸易法委员会若排除下述可能性并非明智之举:新的但尚未发现的技术有可能以适当的方式十分有把握地推定当事人的所在地在哪个国家,因为那时所使用的技术将与国家有关联。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 40-47A/60/17,第40-47段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 92-114A/CN.9/571,第92-114段
Working Group IV, 41st session (New York, 5-9 May 2003)第四工作组,第41届会议(2003年5月5日至9日,纽约)
A/CN.9/528, paras. 81-93A/CN.9/528,第81-93段
Working Group IV, 39th session (New York, 11-15 March 2002)第四工作组,第39届会议(2002年3月11日至15日,纽约)
A/CN.9/509, paras. 41-59A/CN.9/509,第41-59段
Article 7. Information requirements第7条. 对提供情况的要求
1. Information requirements in electronic commerce1. 电子商务中对提供情况的要求
122. Article 7 of the Electronic Communications Convention reminds the parties of the need to comply with possible disclosure obligations that might exist under domestic law.122. 《电子通信公约》第7条提醒当事人,有必要履行国内法可能规定的披露义务。
UNCITRAL considered at length various proposals that contemplated a duty for the parties to disclose their places of business, among other information (see A/CN.9/484, para. 103; see also A/CN.9/509, paras. 60-65).贸易法委员会详细审议了为规定当事人披露营业地等信息的义务而提出的若干建议(见A/CN.9/484,第103段;另见A/CN.9/509,第60-65段)。
UNCITRAL was sensitive to possible gains in legal certainty, transparency and confidence in electronic commerce that might result from promoting good business standards, such as basic disclosure requirements (see A/CN.9/546, para. 91).贸易法委员会敏感地注意到,促进基本的披露要求等良好商业标准可能有助于提高法律确定性、透明度和对电子商务的信任(见A/CN.9/546,第91段)。
123. However, the consensus that eventually emerged was that it would be preferable to address the matter from a different angle, namely by a provision that recognized the possible existence of disclosure requirements under the substantive law governing the contract and reminded the parties of their obligations to comply with such requirements.123. 不过,最后达成的协商一致意见是,从另一个角度来处理这一事项较为可取,即规定,承认根据管辖合同的实体法可能存在有关披露的要求并提醒当事人有义务遵守这类要求。
124. UNCITRAL recognized that trading partners acting in good faith would normally be expected to provide accurate and truthful information concerning the location of their places of business.124. 贸易法委员会认识到,一般认为以善意行事的贸易伙伴都会提供关于其营业地的准确和真实信息。
The legal consequences of false or inaccurate representations made by them were not primarily a matter of contract formation, but rather a matter of criminal or tort law.他们作出错误陈述或不准确陈述而产生的法律后果主要不是订立合同的问题,而是刑法或侵权法的问题。
To the extent that those questions are dealt with in most legal systems, they would be governed by the applicable law outside the Electronic Communications Convention (see A/CN.9/509, para. 48).由于大多数法律制度都处理这些问题,因此这些问题将由《电子通信公约》以外的适用法律管辖(见A/CN.9/509,第48段)。
125. It was also felt that obligations to disclose certain information would be more appropriately placed in international industry standards or guidelines, rather than in an international convention dealing with electronic contracting.125. 另据认为,披露某些信息的义务放在国际行业标准或准则中会更合适,而不应放在一项处理电子订约的国际公约中。
Another possible source of rules of that nature might be domestic regulatory regimes governing the provision of online services, especially under consumer protection regulations.这类规则的另一个可能来源可以是国内有关提供网上服务的规章制度,特别是保护消费者条例下的规章制度。
The inclusion of disclosure requirements in the Convention was regarded as particularly problematic since the Convention could not provide for the consequences that might flow from failure by a party to comply with them.在公约中列入披露要求被认为是尤其有问题的,因为公约不能规定当事方未遵守披露要求会产生什么后果。
On the one hand, rendering commercial contracts invalid or unenforceable for failure to comply with the Convention was said to be an undesirable and unreasonably intrusive solution.一方面,据指称,未遵守本条款草案而使商事合同失效或无法执行,这是一个不可取的和侵犯权利的不合理解决办法。
On the other hand, providing for other types of sanctions, such as tort liability or administrative sanctions, would have been clearly outside the scope of the Convention (see A/CN.9/509, para. 63; see also A/CN.9/546, paras. 92 and 93).另一方面,规定其他类型的制裁,例如侵权赔偿责任或行政制裁,则明显地超出了公约的范围(见A/CN.9/509,第63段;另见A/CN.9/546,第92和93段)。
126. Another reason for deferring to domestic law on the matter was that no similar obligations existed for business transactions in a non-electronic environment so that the interest of promoting electronic commerce would not be served by subjecting it to such special obligations.126. 在该事项上服从国内法的另一个原因是,对非电子商业交易未规定任何类似的义务,规定电子商务必须遵守此类特别义务不利于促进电子商务。
Under most circumstances, the parties would have a business interest in disclosing their names and places of business, without needing to be required to do so by law.在绝大多数情形下,当事人出于商业上的利益是可以披露其名称和营业地的,而不需要法律作出此类规定。
However, in particular situations, such as in certain financial markets or in business models such as Internet auction platforms, it is common for both sellers and buyers to identify themselves only through pseudonyms or codes throughout the negotiating or bidding phase.然而,在某些金融市场或互联网拍卖平台等商业模式的特定情形下,卖方和买方在整个谈判或竞标阶段自始至终只是以假名或代号代表各自的身份是很平常的事。
There are also systems involving trading intermediaries where the identity of the ultimate supplier is not disclosed to potential buyers.在涉及买卖中间人的另外一些系统中,始发端供应方的身份是不会披露给潜在买方的。
The parties in those cases may have various legitimate reasons for not disclosing their identities, including their negotiating strategy (see A/CN.9/546, para. 93).在此类情形下,当事人可能出于各种合理的理由对其身份保密,包括对其谈判战略保密(见A/CN.9/546,第93段)。
2. Nature of legal information requirements2. 法定信息要求的性质
127. The phrase “any rule of law” in article 7 has the same meaning as the words “the law” in article 9.127. 第7条中“任何……法律规则”一语和第9条中“法律”一词意思相同。
They encompass statutory, regulatory and judicially created laws as well as procedural laws but do not cover laws that have not become part of the law of the State, such as lex mercatoria, even though the expression “rules of law” is sometimes used in that broader meaning.其中包括成文法、规范法和司法判例创立的法律,以及诉讼程序法,但不包括诸如商法等尚未成为国家法律一部分的法律,尽管“法律规则”有时也用来表达这种广泛的含义。
128. Given the nature of article 7, which defers to domestic law on disclosure requirements, these requirements remain applicable even if the parties attempt to escape them by excluding the application of the article (see A/CN.9/546, para. 104).128. 第7条规定,披露要求应服从国内法,鉴于本条的这一性质,即使当事人企图通过排除该条的适用而规避这些要求,这些要求仍然是适用的(见A/CN.9/ 546,第104段)。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 48-50A/60/17,第48-50段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 115 and 116A/CN.9/571,第115和116段
Working Group IV, 42nd session (Vienna, 17-21 November 2003)第四工作组,第42届会议(2003年11月17日至21日,维也纳)
A/CN.9/546, paras. 87-105 (at that time, art. 11)A/CN.9/546,第87-105段(当时为第11条)
Working Group IV, 39th session (New York, 11-15 March 2002)第四工作组,第39届会议(2002年3月11日至15日,纽约)
A/CN.9/509, paras. 60-65A/CN.9/509,第60-65段
Chapter III. Use of electronic communications in international contracts第三章. 国际合同使用电子通信
Article 8. Legal recognition of electronic communications第8条. 对电子通信的法律承认
1. Non-discrimination of electronic communications1. 不歧视电子通信
129. Paragraph 1 of article 8 of the Electronic Communications Convention restates the general principle of non-discrimination that is contained in article 5 of the UNCITRAL Model Law on Electronic Commerce.129. 《电子通信公约》第8条第1款重申了《贸易法委员会电子商务示范法》第5条所载的不歧视这一一般原则。
This provision means that there should be no disparity of treatment between electronic communications and paper documents, but is not intended to override any of the requirements contained in article 9 of the Convention.这条规定意味着不应区别对待电子通信和纸面文件,但它无意超越公约第九条中的任何要求。
By stating that information “shall not be denied validity or enforceability on the sole ground that it is in the form of an electronic communication”, article 8, paragraph 1, merely indicates that the form in which certain information is presented or retained cannot be used as the only reason for which that information would be denied legal effectiveness, validity or enforceability.通过指出对于信息“不得仅以其是电子通信形式为由而否定其效力或可执行性”,第8条第1款仅仅表明,不能将出示或保存某一信息的形式作为否定该信息具有法律效力、有效性或可执行性的唯一理由。
However, this provision should not be misinterpreted as establishing the absolute legal validity of any given electronic communication or of any information contained therein (see A/CN.9/546, para. 41).但是,不应将这项规定错误地解释为确立了任何特定的电子通信或其中所载的任何信息的绝对法律效力(见A/CN.9/546,第41段)。
130. No specific rule has been included in the Convention on the time and place of formation of contracts in cases where an offer or the acceptance of an offer is expressed by means of an electronic communications message, in order not to interfere with national law applicable to contract formation.130. 对于以电子通信电文的方式提出或接受要约的情况,公约并未包含关于在这类情况下订立合同的时间和地点的特定规则,以便不影响适用于合同订立的国内法。
UNCITRAL was of the view that such a provision would exceed the aim of the Convention, which is limited to providing that electronic communications would achieve the same degree of legal certainty as paper-based communications.贸易法委员会认为这样一项规定会超出公约的目标,因为公约的目标仅限于规定电子通信将具有与纸面信函同等的法律确定性。
The combination of existing rules on the formation of contracts with the provisions contained in article 10 of the Convention is designed to dispel uncertainty as to the time and place of formation of contracts in cases where the offer or the acceptance are exchanged electronically (see also paras. 171-196 below).将订立合同方面的现有规则与公约第10条所载的各项规定结合起来,是为了消除在以电子方式发出或接受要约的情况下订立合同的时间和地点的不确定性(见下文第171-196段)。
2. Consent to use electronic communications2. 同意使用电子通信
131. Provisions similar to paragraph 2 of article 8 have been included in a number of national laws relating to electronic commerce to highlight the principle of party autonomy and make it clear that the legal recognition of electronic communications does not require a party to use or accept them (see also A/CN.9/527, para. 108).131. 许多与电子商务有关的国内法都包含与第8条第2款相类似的规定,以强调当事人意思自治原则,同时指明对电子通信的法律承认并不需要当事人使用或接受电子通信(另见A/CN.9/527,第108段)。
132. However, the consent to use electronic communications does not need to be expressly indicated or be given in any particular form.132. 但并不需要明确表明或以任何特定形式表示同意使用电子通信。
While absolute certainty can be accomplished by obtaining an explicit contract before relying on electronic communications, such an explicit contract should not be necessary.虽然可以在依赖电子通信之前通过获得明示合同来实现绝对的确定性,但明示合同不应成为一个必要条件。
Indeed, such a requirement would itself be an unreasonable barrier to electronic commerce.实际上,这种要求本身就是使用电子商务的一个不合理的障碍。
Under the Electronic Communications Convention, the consent to use electronic communications is to be found from all circumstances, including the parties’ conduct.根据《电子通信公约》,可以从各种情形中发现当事人同意使用电子通信的表示,包括当事人的行为。
Examples of circumstances from which it may be found that a party has agreed to conduct transactions electronically include the following: handing out a business card with a business e-mail address; inviting a potential client to visit a company’s website or accessing someone’s website to place an order; and advertising goods over the Internet or through e-mail.关于可以发现当事人已经同意进行电子交易的情形,例如包括:分发含有企业电子邮件地址的商务卡;邀请潜在客户访问公司网站或通过访问某个人的网站来发出订单;在互联网上或通过电子邮件为货物做广告等。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 51-53A/60/17,第51-53段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 117-122A/CN.9/571,第117-122段
Working Group IV, 42nd session (Vienna, 17-21 November 2003)第四工作组,第42届会议(2003年11月17日至21日,维也纳)
A/CN.9/546, paras. 44 and 45A/CN.9/546,第44和45段
Working Group IV, 41st session (New York, 5-9 May 2003)第四工作组,第41届会议(2003年5月5日至9日,纽约)
A/CN.9/528, paras. 94-108; see also paras. 121-131 (on related draft provisions subsequently deleted)A/CN.9/528,第94-108段;另见第121-131段(关于后来已删除的相关条款草案)
Working Group IV, 39th session (New York, 11-15 March 2002)第四工作组,第39届会议(2002年3月11日至15日,纽约)
A/CN.9/509, paras. 86-92; see also paras. 66-73 (on related draft provisions subsequently deleted)A/CN.9/509,第86-92段;另见第66-73段(关于后来已删除的相关条款草案)
Article 9. Form requirements第9条. 形式要求
1. General remarks1. 总论
133. Like the UNCITRAL Model Law on Electronic Commerce, on which it is based, the Electronic Communications Convention relies on what has become known as the “functional equivalence approach” with a view to determining how the purposes or functions of paper-based documents could be fulfilled through electronic-commerce techniques.133. 公约同其所依据的《贸易法委员会电子商务示范法》一样,依赖于一种目前所说的“功能等同办法”,以确定如何通过电子商务技术实现纸面文件的目的或功能。
For example, a paper document may serve any of the following functions: to ensure that a record would be legible by all; to ensure that a record would remain unaltered over time; to allow for the reproduction of a document so that each party would hold a copy of the same data; to allow for the authentication of data by means of a signature;例如,一份纸面文件可能会具有下列功能:确保一份记录可为所有人识读;确保记录长期保持不变;一份文件可以复制,使得每个当事人均可掌握一份同一数据的副本;可以通过签字方式认证数据;以及使得一份文件采用可为公共机构和法院接受的形式。
and to provide that a document would be in a form acceptable to public authorities and courts. 134. In respect of all of the above-mentioned functions of paper, electronic records can provide the same level of security as paper and, in most cases, a much higher degree of reliability and speed, especially with respect to the identification of the source and content of the data, provided that a number of technical and legal requirements are met.134. 在纸面文件的上述所有功能方面,电子记录可以提供与纸面文件同样的安全度,而且,在大多数情况下,其可靠性更强,速度更快,特别是在确定数据的来源和内容方面——如果能够满足若干技术和法律要求的话。
However, the adoption of the functional-equivalent approach should not result in imposing on users of electronic commerce more stringent standards of security (and the costs associated with them) than in a paper-based environment.不过,不得因为采用功能等同的方法而要求电子商务用户遵守比纸面文件环境下更加严格的安全标准(并增加与其相关的费用)。
135. The functional-equivalent approach has been taken in article 9 of the Convention with respect to the concepts of “writing”, “signature” and “original” but not with respect to other legal concepts dealt with by domestic law.135. 公约第9条在“书面形式”、“签字”和“原件”概念上采用了功能等同方法,但不涉及国内法中的其他法律概念。
For example, the Convention does not attempt to create a functional equivalent of existing storage requirements, because record storage requirements often serve administrative and regulatory objectives in connection with matters not directly related to the formation or performance of private contracts (such as taxation, monetary regulation, or customs controls).例如,公约并未尝试对现有的存储要求确立功能等同的规定,因为记录存储要求经常是服务于与私人合同的订立或履行没有直接关系的事项方面的行政和管理目的(如税收、货币管理或海关控制)。
In view of the public policy considerations related to those objectives and the varying degree of technological development in different countries, it was felt that record storage should be left outside the scope of the Convention.考虑到与这些目的相关的公共政策因素,以及不同国家的技术发展程度不同,据认为应将记录存储排除在公约范围之外。
2. Freedom of form2. 形式自由
136. Paragraph 1 of article 9 of the Electronic Communications Convention reflects the general principle of freedom of form, as stated in article 11 of the United Nations Sales Convention, with a view to making it clear that the reference to possible form requirements under other law does not imply that the Electronic Communications Convention itself establishes any form requirement.136. 《电子通信公约》第9条第1款反映了《联合国销售公约》第11条规定的形式自由这一一般原则,以便明确:提及其他法律中可能的形式要求并不意味着《电子通信公约》本身确立了任何形式要求。
137. Nevertheless, the Convention recognizes that form requirements exist and that they may limit the ability of the parties to choose their means of communication.137. 不过,公约承认存在形式要求,而且承认这些要求可能会限制当事人选择其通信方式的能力。
The Convention offers criteria under which electronic communications can meet general form requirements.公约提供了电子通信满足一般形式要求的一些标准。
However, nothing in the Convention implies that the parties have an unlimited right to use the technology or medium of their choice in connection with formation or performance of any type of contract, so as not to interfere with the operation of rules of law that may require, for instance, the use of specific authentication methods in connection with particular types of contract (see A/CN.9/571, para. 119).不过,公约中的规定并不意味着当事人在使用自行选择的技术或媒介订立或履行任何类型的合同方面享有无限的权利,这样的规定是为了不干扰某些法律规则的适用,例如要求就某些类型的合同使用特定认证方法的法律规则(见A/CN.9/ 571,第119段)。
138. The Convention does not link the validity of an electronic communication or a contract concluded through electronic means to the use of an electronic signature, as most legal systems do not impose a general signature requirement as a condition for the validity of all types of contract (see A/CN.9/571, para. 118)138. 公约未将电子通信或通过电子方式订立的合同的有效性与使用电子签字联系起来,因为大多数法律制度都未将一般签字要求规定为各类合同有效性的一项先决条件(见A/CN.9/571,第118段)。
3. Notion of legal requirement3. 法律要求的概念
139. In certain common law countries the words “the law” would normally be interpreted as referring to common law rules, as opposed to statutory requirements, while in some civil law jurisdictions the word “the law” is typically used to refer narrowly to legislation enacted by Parliament.139. 在某些普通法系国家,“法律”一词通常被理解为是指与法定要求相对的普通法规则,而在有些大陆法系法域中,“法律”则一般用于仅指议会颁布的法律。
In the context of the Electronic Communications Convention, however, the words “the law” refer to those various sources of law and are intended to encompass not only statutory or regulatory law, including international conventions or treaties ratified by a contracting State, but also judicially created law and other procedural law.不过,在《电子通信公约》中,“法律”一词指各种法律来源,其原意不仅包括成文法或规范法(包括缔约国通过的国际公约或条约),也包括司法判例创立的法律和其他程序法。
140. However, the words “the law” do not include areas of law that have not become part of the law of a State and are sometimes referred to by expressions such as “lex mercatoria” or “law merchant”.140. 但“法律”一词不包括尚未成为一国法律之一部分的法律领域,对这些法律领域,有时使用“商法”等用语。
This is a corollary of the principle of party autonomy.这是当事人意思自治原则的一个必然结果。
To the extent that trade usages and practices develop through industry standards, model contracts and guidelines, it should be left for the drafters and users of those instruments to consider when and under what circumstances electronic communications should be admitted or promoted in the context of those instruments.如果贸易惯例和做法是通过行业标准、示范合同和准则而形成的,那么应由这些文书的起草者和使用者决定在这些文书范围内何时以及在何种情形下承认或促进电子通信。
Parties who incorporate into their contracts standard industry terms that do not expressly contemplate electronic communications remain free to adapt the standard terms to their concrete needs.即使当事人在其合同中列入的标准行业条件没有明确规定电子通信,依然可以自由按其具体需要对该标准条件加以调整。
141. Although the article does not refer to the “applicable” law, it is understood, in the light of criteria used to define the geographic field of application of the Convention, that the “law” referred to in this article is the law that applies to the dealings between the parties in accordance with the relevant rules of private international law.141. 虽然本条没有提到“适用”法,但是,鉴于界定本公约适用的地理区域所使用的标准,本条中的“法律”指根据国际私法相关规则适用于当事人之间交易的法律。
4. Relationship to article 54. 与第5条的关系
142. As indicated above, the principle of party autonomy does not empower the parties to displace legal form requirements by agreeing to use a standard lower than what is provided in article 9.142. 如上文所述,当事人意思自治原则并不授予当事人通过商定使用低于第9条规定的标准来取代法律形式要求的权力。
The provisions on general form requirements in the Electronic Communications Convention are only facilitative in nature.《电子通信公约》中关于一般形式要求的规定本质上只是为了提供方便。
The consequences of parties using different methods would simply be that they would not be able to meet the form requirements contemplated under article 9 (see A/CN.9/548, para. 122).当事人使用不同方法所造成的后果也只是他们将无法满足第9条规定的形式要求(见A/CN.9/548,第122段)。
5. Written form5. 书面形式
143. Paragraph 2 of article 9 of the Electronic Communications Convention defines the basic standard that electronic communications need to meet in order to satisfy a requirement that information be retained or presented “in writing” (or that the information be contained in a “document” or other paper-based instrument).143. 《电子通信公约》第9条第2款规定了电子通信为了满足以“书面形式”保留或提供信息(或以“文件”或其他纸面文书形式记载信息)这一要求所必须达到的基本标准。
144. In the preparation of the Convention, UNCITRAL paid attention to the functions traditionally performed by various kinds of “writings” in a paper-based environment.144. 在拟订公约时,贸易法委员会注意到各种“书面形式”历来在纸面环境中所发挥的功能。
National laws require the use of “writings” for various reasons, such as: (a) to ensure that there would be tangible evidence of the existence and nature of the intent of the parties to bind themselves; (b) to help the parties be aware of the consequences of their entering into a contract; (c) to provide that a document would be legible by all; (d) to provide that a document would remain unaltered over time and provide a permanent record of a transaction;各国的法律要求使用“书面形式”是出于种种原因的,例如:(a)确保存在有形证据,证明当事人具有约束自己的意向和这种意向的性质;(b)帮助当事人意识到订立合同的后果;(c)使一份文件可为所有人识读;(d)使一份文件在长时间内保持不变,并成为交易的永久记录;(e)使得可以复制一份文件以便每个当事人均掌握同一数据的一份副本;(f)使得可通过签字认证数据;(g)使得一份文件的形式能够为公共当局和法院所接受;(h)将“书面形式”作者的意向最终确定下来,并提供关于这种意向的记录;(i)使得易于以有形形式储存数据;(j)便于为会计、税收或管理目的进行控制和日后审计;或者(k)在为了生效目的而要求“书面形式”的情况下确立法律权利和义务。
(e) to allow for the reproduction of a document so that each party would hold a copy of the same data;
(f) to allow for the authentication of data by means of a signature;
(g) to provide that a document would be in a form acceptable to public authorities and courts;
(h) to finalize the intent of the author of the “writing” and provide a record of that intent;
(i) to allow for the easy storage of data in a tangible form;
(j) to facilitate control and subsequent audit for accounting, tax or regulatory purposes;
or (k) to bring legal rights and obligations into existence in those cases where a “writing” is required for validity purposes.
145. However, it would be inappropriate to adopt an overly comprehensive notion of the functions performed by a “writing”.145. 不过,关于“书面形式”所发挥的功能,不适合采用一个过于全面的概念。
The requirement of written form is often combined with other concepts distinct from writing, such as signature and original.对书面形式的要求通常是和不同于书面形式的其他概念,如签字和原件结合在一起的。
Thus, the requirement of a “writing” should be considered as the lowest layer in a hierarchy of form requirements, which provides distinct levels of reliability, traceability and integrity with respect to paper documents.因此,对“书面形式”的要求应被视为各种层次的形式要求中的最低一层,这些要求规定了与纸面文件有关的不同程度的可靠性、可追踪性和完整性。
The requirement that data be presented in written form (which can be described as a “threshold requirement”) should thus not be confused with more stringent requirements such as “signed writing”, “signed original” or “authenticated legal act”.因此,以书面形式提供数据的要求(可以将此称为“门槛要求”)不应和“经签字的书面形式”、“经签字的原件”或“经认证的法律行为”等更严格的要求混为一谈。
For example, under certain national laws, a written document that is neither dated nor signed, and the author of which either is not identified in the written document or is identified by a mere letterhead, would still be regarded as a “writing” although it might be of little evidential weight in the absence of other evidence (e.g. testimony) regarding its authorship.例如,根据某些国内法,既没有日期也未签字、并且作者不明或者只有信笺抬头的书面文件,尽管由于缺乏关于作者的其他证据(如证言)而几乎不具备证据效力,但仍可视为“书面形式”。
Also, the concept of writing does not necessarily denote inalterability since a “writing” in pencil might still be considered a “writing” under certain existing legal definitions.此外,书面形式的概念不一定包含不可更改性,因为根据某些现行的法律定义,用铅笔书写的“书面文件”也可被视为“书面形式”。
In general, notions such as “evidence” and “intent of the parties to bind themselves” are to be tied to the more general issues of reliability and authentication of the data and should not be included in the definition of a “writing”.一般来说,“证据”和“当事人约束自己的意向”等概念应与数据的可靠性和认证等更加一般性的问题联系起来,而不应包含在“书面形式”的定义中。
146. The purpose of article 9, paragraph 2, is not to establish a requirement that, in all instances, electronic communications should fulfil all conceivable functions of a writing.146. 第9条第2款的目的并不是要求电子通信在所有情况下都要发挥书面形式可能发挥的一切功能。
Rather than focusing upon specific functions that a “writing” may fulfil in a particular context, article 9 focuses on the basic notion of the information being reproduced and read.第9条所侧重的并不是“书面形式”在特定背景下可能发挥的具体功能,而是侧重于信息可被再现和可被读取这一基本概念。
That notion is expressed in article 9 in terms that were found to provide an objective criterion, namely that the information in an electronic communication must be accessible so as to be usable for subsequent reference.第9条中用于表述这一概念的词语提供了一个客观标准,即电子通信中所包含的信息必须“可以调取”以便日后查用。
The use of the word “accessible” is meant to imply that information in the form of computer data should be readable and interpretable, and that the software that might be necessary to render such information readable should be retained.“可以调取”的含义是指采用计算机数据形式的信息应当具有可读性和可解释性,并应保存使这种信息具有可读性而可能需要的软件。
The word “usable” is intended to cover both human use and computer processing.“可用”一词的含义不只包括人的使用,还包括计算机处理。
The notion of “subsequent reference” was preferred to notions such as “durability” or “non-alterability”, which would have established too harsh standards, and to notions such as “readability” or “intelligibility”, which might constitute too subjective criteria.“日后查用”优于“持久性”或“不可更改性”等概念,因为后两个概念确立的标准可能过于严格;也优于“可读性”或“清晰性”,因为这些标准可能过于主观。
6. Signature requirements6. 签字要求
147. The increased use of electronic authentication techniques as substitutes for handwritten signatures and other traditional authentication procedures has created a need for a specific legal framework to reduce uncertainty as to the legal effect that may result from the use of such modern techniques, to which the Electronic Communications Convention generally refers with the expression “electronic signature”.147. 电子认证技术作为手写签字和其他传统认证程序的替代形式,得到日益广泛的使用,因此有必要制定一个具体的法律框架,以减少使用这些现代技术所可能产生的法律效力上的不确定性。
公约将这些技术统称为“电子签字”。
The risk that diverging legislative approaches might be taken in various countries with respect to electronic signatures calls for uniform legislative provisions to establish the basic rules of what is inherently an international phenomenon, where legal harmony as well as technical interoperability are desirable objectives.各国对电子签字可能采取不同的立法方式,这就要求有统一的立法规定,对这种本质上的国际现象制订基本规则。 在这方面,法律上的协调一致和技术上的通用性是可行的目标。
Notion and types of electronic signatures电子签字的概念和类型
148. In an electronic environment, the original of a message is indistinguishable from a copy, bears no handwritten signature, and is not on paper.148. 在电子环境下,电文的原件与副本无法区分,没有手写签字,也不在纸面上。
The potential for fraud is considerable, due to the ease of intercepting and altering information in electronic form without detection and the speed of processing multiple transactions.由于很容易在不被发现的情况下截获和篡改电子形式的信息,而且处理多笔交易的速度很快,因此欺诈的可能性非常大。
The purpose of various techniques currently available on the market or still under development is to offer the technical means by which some or all of the functions identified as characteristic of handwritten signatures can be performed in an electronic environment.目前市场上已启用或仍处于开发阶段的各种技术的目的是要提供一些技术手段,借助于这些手段,将能够在电子环境下履行被认定为手写签字所独具的某些或全部功能。
Such techniques may be referred to broadly as “electronic signatures”.这类技术可以统称为“电子签字”。
149. In considering uniform rules on electronic signatures, UNCITRAL has examined various electronic signature techniques currently being used or still under development.149. 贸易法委员会在审议电子签字统一规则的过程中,审查了目前使用的或仍处于开发阶段的各种电子签字技术。
The common purpose of those techniques is to provide functional equivalents to (a) handwritten signatures; and (b) other kinds of authentication mechanisms used in a paper-based environment (e.g. seals or stamps).这些技术的共同目的是为了提供下列手段的等同功能:(a)手写签字;(b)纸面环境下使用的其他各种认证机制(例如印章)。
The same techniques may perform additional functions in the sphere of electronic commerce, which are derived from the functions of a signature but correspond to no strict equivalent in a paper-based environment.在电子商务领域内,这些技术还可履行其他功能,这些功能由签字功能衍生而来,但与纸面环境下的功能不完全等同。
150.
Electronic signatures may take the form of “digital signatures” based on public-key cryptography, which are often generated within a “public-key-infrastructure” where the functions of creating and verifying the digital signature are supported by certificates issued by a trusted third party. However, there are various other devices, also covered in the broad notion of “electronic signature”, which may currently be used, or considered for future use, with a view to fulfilling one or more of the above-mentioned functions of handwritten signatures. For example, certain techniques would rely on authentication through a biometric device based on handwritten signatures. In such a device, the signatory would sign manually, using a special pen, either on a computer screen or on a digital pad.150.电子签字可能会采取“数字签字”形式,这种形式以公用钥匙加密为基础,并且经常是在“公用钥匙基础设施”内生成,受托第三方签发的证书为在该基础设施中创建和验证数字签字的功能提供了支持。不过,还存在着也包括在广义的“电子签字”概念中的其他各种装置,这些装置现在可能已投入使用,或考虑今后使用,以便履行上述手写签字的一种或数种功能。例如,某些技术将依靠采用以手写签字为基础的生物识别装置进行认证。在这种装置中,签字人将亲手签字,使用一支特殊的笔,在计算机屏幕上或数字输入板上签字,然后由计算机对手写签字进行分析并作为一组数值储存起来。这种签字可以附在数据电文之后,由依赖方显示出来加以认证。这种认证体系将有一个先决条件,即手写签字的式样事先已由生物识别装置作过分析并已储存下来。其他技术包括使用个人识别码、手写签字的数字版以及其他方法,如点击“OK框”。
The handwritten signature would then be analysed by the computer and stored as a set of numerical values, which could be appended to a data message and displayed by the relying party for authentication purposes.
Such an authentication system would presuppose that samples of the handwritten signature had been previously analysed and stored by the biometric device.
Other techniques would involve the use of personal identification numbers (PINs), digitized versions of handwritten signatures and other methods, such as clicking an “OK box”.技术中性
Technological neutrality
151. Article 9, paragraph 3, is based on the recognition of the functions of a signature in a paper-based environment.151. 第9条第3款是以承认在纸面环境下签字的各项功能为基础的。
In the preparation of the Electronic Communications Convention, the following functions of a signature were considered: to identify a person; to provide certainty as to the personal involvement of that person in the act of signing; and to associate that person with the content of a document.在拟订《电子通信公约》的过程中,考虑了签字的下列功能:识别某一个人;提供该个人亲自参与签字行为的确定性;将该个人与文件的内容联系起来。
It was noted that, in addition, a signature could perform a variety of functions, depending on the nature of the document that is signed.此外,有人指出,签字还可以履行其他各种功能,具体视所签署的文件的性质而定。
For example, a signature might attest to the intent of a party to be bound by the content of a signed contract, to endorse authorship of a text, to associate itself with the content of a document written by someone else or to show when and at what time a person had been at a given place.例如,签字可以证实某一方的以下意图:受已签署的合同内容约束;认可文本出自本人之手;将本人同另一人编写的文件内容联系起来;或表明某人曾于何时到过何种地点。
152. Alongside the traditional handwritten signature, there are several procedures (e.g. stamping and perforation), sometimes also referred to as “signatures”, that provide varying levels of certainty.152. 除传统的手写签字外,还有几种有时也称为“签字”的其他程序(如盖章、打孔),这些程序所提供的确定性各不相同。
For example, some countries generally require that contracts for the sale of goods above a certain amount should be “signed” in order to be enforceable.例如,有些国家一般要求在货物超过一定数量的销售合同上“签字”,以便这些合同能够执行。
However, the concept of signature adopted in that context is such that a stamp, perforation or even a typewritten signature or a printed letterhead might be regarded as sufficient to fulfil the signature requirement.但这种情况下的签字概念使得印章、打孔甚至是打字机打上的签字或印刷信笺抬头均有可能被认为能够满足签字要求。
At the other end of the spectrum, there are requirements that combine the traditional handwritten signature with additional security procedures such as the confirmation of the signature by witnesses.另一个极端是,有些规定要求结合并用传统的手写签字与其他安全措施,如证人对签字的确认。
153. In theory, it may seem desirable to develop functional equivalents for the various types and levels of signature requirements in existence, so that users would know exactly the degree of legal recognition that could be expected from the use of the various means of authentication.153. 从理论上讲,似乎可以针对现有各个类型和层次的签字要求开发同等功能,以便使用户确切了解使用各种认证方式所能获得的法律承认程度。
However, any attempt to develop rules on standards and procedures to be used as substitutes for specific instances of “signatures” might create the risk of tying the legal framework provided by the Convention to a given state of technical development.但是,如果试图就用来替代特定类型的“签字”的标准和程序制定规则,就有可能将公约提供的法律框架限定在某种技术发展状态。
154. Therefore, the Convention does not attempt to identify specific technological equivalents to particular functions of handwritten signatures.154. 因此,公约并不打算确定与手写签字的特定功能相对应的具体技术手段。
Instead, it establishes the general conditions under which electronic communications would be regarded as authenticated with sufficient credibility and would be enforceable in the face of signature requirements.相反,公约规定了一些一般条件,按照这些一般条件,可以将电子通信视为已经经过认证,具有足够的可信度,并且在存在签字要求的情况下也可执行。
Focusing on the two basic functions of a signature, paragraph 3 (a) of article 9 establishes the principle that, in an electronic environment, the basic legal functions of a signature are performed by way of a method that identifies the originator of an electronic communication and indicates the originator’s intention in respect of the information contained in the electronic communication.第9条第3款第(a)项以签字的两种基本功能为重点确定了一项原则,即在电子环境中,履行签字的基本法律功能的办法是,确定电子通信的发件人,并表明发件人对电子通信所含信息的意图。
155. Given the pace of technological innovation, the Convention provides criteria for the legal recognition of electronic signatures irrespective of the technology used, for example, digital signatures relying on asymmetric cryptography; biometric devices (enabling the identification of individuals by their physical characteristics, whether by hand or face geometry, fingerprint reading, voice recognition or retina scan, etc.);155. 鉴于技术革新的速度之快,公约规定了电子签字的法律承认标准,而不论所采用的是何种技术,例如,利用非对称加密法的数字签字(生物识别装置能够通过人的自然特征鉴别个人,包括手形或面形几何识别法、指纹读取、声音识别或视网膜扫描等);对称密码法;使用个人识别码;通过签字人持有的智能卡或其他装置,使用“令牌”作为认证电子通信的一种方式;手写签字的数字版;签字动态法以及诸如点击“OK框”等其他方法。
symmetric cryptography;
the use of PINs;
the use of “tokens” as a way of authenticating electronic communications through a smart card or other device held by the signatory;
digitized versions of handwritten signatures;
signature dynamics;
and other methods, such as clicking an “OK box”.
Extent of legal recognition法律承认的程度
156. The provisions of article 9, paragraph 3, are only intended to remove obstacles to the use of electronic signatures and do not affect other requirements for the validity of the electronic communication to which the electronic signature relates.156. 第9条第3款的规定只是为了消除使用电子签字的障碍,并不影响为了使电子通信有效而与电子签字有关的其他要求。
Under the Convention, the mere signing of an electronic communication by means of a functional equivalent of a handwritten signature is not intended, in and of itself, to confer legal validity on the electronic communication.根据公约,仅仅以具备与手写签字同等功能的方式签署电子通信,这一行为就其本身而言并无赋予电子通信以法律效力的含义。
Whether an electronic communication that fulfils the requirement of a signature has legal validity is to be settled under the law applicable outside the Convention.符合签字要求的电子通信是否具有法律效力,应根据公约以外的适用法来确定。
157. For the purposes of paragraph 3 of article 9, it is irrelevant whether the parties are linked by prior agreement setting forth procedures for electronic communication (such as a trading partner agreement) or whether they had no prior contractual relationship regarding the use of electronic commerce.157. 在第9条第3款中,当事人是通过规定电子通信程序的事先协议(如贸易伙伴协议)相联系,还是在使用电子商务方面不存在事先的合同关系,这些都无关紧要。
The Convention is thus intended to provide useful guidance both in a context where national laws would leave the question of authentication of electronic communications entirely to the discretion of the parties and in a context where requirements for signature, which are usually set by mandatory provisions of national law, should not be made subject to alteration by agreement of the parties.因此,公约旨在提供下列两个方面的有益指导,一是国内法将电子通信的认证问题完全留给当事人自己解决;二是当事人不应通过协议更改通常由国内法的强制性条款所规定的签字要求。
158. The place of origin of an electronic signature, in and of itself, should in no way be a factor determining whether and to what extent foreign certificates or electronic signatures should be recognized as capable of being legally effective in a contracting State.158. 电子签字的来源地本身绝对不应成为是否承认外国证书或电子签字在缔约国具有法律效力以及具有多大的法律效力的一个决定因素。
Determination of whether, or the extent to which, an electronic signature is capable of being legally effective should not depend on the place where the electronic signature was created or where the infrastructure (legal or otherwise) that supports the electronic signature is located, but on its technical reliability.决定证书或电子签字是否具有或具有多大的法律效力,不应取决于证书或电子签字的生成地或支持电子签字的基础设施(法定基础设施或其他设施)的所在地,而应取决于其技术可靠性。
Basic conditions for functional equivalence功能等同的基本条件
159. According to paragraph 3 (a) of article 9, an electronic signature must be capable of identifying the signatory and indicating the signatory’s intention in respect of the information contained in the electronic communication.159. 根据第9条第3(a)款,电子签字必须能够鉴别签字人的身份并表明该签字人对电子通信所含信息的意图。
160. The formulation of paragraph 3 (a) differs slightly from the wording of article 7, paragraph 1, of the UNCITRAL Model Law on Electronic Commerce, where reference is made to an indication of the signatory’s “approval” of the information contained in the electronic communication.160. 第3(a)款的行文与《贸易法委员会电子商务示范法》第7条第1款略有不同,该款提到的是表明签字人“认可”电子通信所含的信息。
It was noted that there might be instances where the law required a signature, but that signature did not have the function of indicating the signing party’s approval of the information contained in the electronic communication.但有人指出,在有些情形下法律可能要求有签字,但该签字并不具备表明签字当事人认可电子通信中所载信息的功能。
For example, many countries have requirements of law for notarization of a document by a notary or attestation by a commissioner for oaths.举例来说,许多国家的法律都要求由公证人对文件进行公证或由监誓人对文件加以证明。
In such cases, the signature of the notary or commissioner merely identifies the notary or commissioner and associates the notary or commissioner with the contents of the document, but does not indicate the approval by the notary or commissioner of the information contained in the document.在这种情形下,公证人或监誓人的签字仅表明公证人或监誓人的身份,并将公证人或监誓人与文件的内容联系在一起,但并不表明公证人或监誓人认可文件中所载的信息。
Similarly, some laws require the execution of a document to be witnessed by witnesses, who may be required to append their signatures to that document.同样,有些法律要求文件的执行应由证人作证,而后者可能被要求在该文件上附上其签字。
The signatures of the witnesses merely identify them and associate them with the contents of the document witnessed, but do not indicate their approval of the information contained in the document.证人的签字只是表明其身份并将证人与所作证的文件的内容联系在一起,但并不表明其认可该文件中所载的信息。
The current formulation of paragraph 3 (a) was agreed upon to make it abundantly clear that the notion of “signature” in the Convention does not necessarily and in all cases imply a party’s approval of the entire content of the communication to which the signature is attached.贸易法委员会就第3(a)款当前的行文达成了一致,以充分明确:公约中的“签字”概念不一定表明当事人认可附有签字的通信的全部内容。
Reliability of signature method签字方法的可靠性
161. Paragraph 3 (b) of article 9 establishes a flexible approach to the level of security to be achieved by the method of identification used under paragraph 3 (a).161. 第9条第3(b)款对根据该款(a)项使用的鉴别方法将会达到的可靠程度规定了一种灵活的原则。
The method used under paragraph 3 (a) should be as reliable as is appropriate for the purpose for which the electronic communication is generated or communicated, in the light of all the circumstances, including any agreement between the originator and the addressee.按照第3(a)款的规定所使用的方法,从根据发件人和收件人之间的任何约定等各种情况来看,对于生成或传递电子通信所要达到的目的应既是适当的,也是可靠的。
162.
Legal, technical and commercial factors that may be taken into account in determining whether the method used under paragraph 3 (a) is appropriate, include the following: (a) the sophistication of the equipment used by each of the parties; (b) the nature of their trade activity; (c) the frequency at which commercial transactions take place between the parties; (d) the kind and size of the transaction;162. 在决定根据第3(a)款所使用的方法是否适宜时,可以考虑的法律、技术和商业因素包括:(a)每一当事人所用设备的先进程度;(b)其贸易活动的性质;(c)当事人之间进行商业交易的频度;(d)交易的种类和数额;(e)在特定的法规和管理环境下签字要求的功能;(f)通信系统的能力;(g)是否遵行由中间人提出的认证程序;(h)可由中间人提供的各种认证程序;(i)是否遵行贸易惯例和做法;(j)有无防范未经授权而发出通信的保险机制;(k)电子通信所含信息的重要性和价值;(l)利用其他鉴别方法的可能性和实施费用;(m)有关行业或领域在商定该鉴别方法时以及在电子通信发出时,对于该鉴别方法的接受或不接受程度;以及(n)任何其他有关因素。
(e) the function of signature requirements in a given statutory and regulatory environment;
(f) the capability of communication systems;
(g) compliance with authentication procedures set forth by intermediaries;
(h) the range of authentication procedures made available by any intermediary;
(i) compliance with trade customs and practice;
(j) the existence of insurance coverage mechanisms against unauthorized communications;
(k) the importance and the value of the information contained in the electronic communication;
(l) the availability of alternative methods of identification and the cost of implementation;
(m) the degree of acceptance or non-acceptance of the method of identification in the relevant industry or field both at the time the method was agreed upon and the time when the electronic communication was communicated;
and (n) any other relevant factor.
163. Paragraph 3 (b)(i) establishes a “reliability test” with a view to ensuring the correct interpretation of the principle of functional equivalence in respect of electronic signatures.163. 第3(b)㈠款规定了“可靠性检验”,以确保对电子签字方面的功能等同原则做出正确的解释。
The “reliability test”, which appears also in article 7, paragraph 1 (b), of the UNCITRAL Model Law on Electronic Commerce, reminds courts of the need to take into account factors other than technology, such as the purpose for which the electronic communication was generated or communicated, or a relevant agreement of the parties, in ascertaining whether the electronic signature used was sufficient to identify the signatory.《贸易法委员会电子商务示范法》第7条第1(b)款中也出现了“可靠性检验”一词,提醒法院有必要考虑技术以外的因素,如电子通信生成或传递的目的,或者当事人为确定所用的电子签字是否足以鉴别签字人而达成的有关协议。
Without paragraph 3 (b) of article 9 of the Convention, the courts in some States might be inclined to consider, for instance, that only signature methods that employed high-level security devices are adequate to identify a party, despite an agreement of the parties to use simpler signature methods.如果没有公约第9条第3(b)款,举例来说,一些国家的法院可能会倾向于认为,即使各方当事人之间的协议同意使用更简单的签字方法,但只有采用高度安全装置的签字方法才足以鉴别一方当事人。
164. However, UNCITRAL considered that the Convention should not allow a party to invoke the “reliability test” to repudiate its signature in cases where the actual identity of the party and its actual intention could be proved.164. 不过,贸易法委员会认为,公约不应允许一方当事人在其实际身份及实际意图可以被证明的情况下仍然借助“可靠性检验”来否认其签字。
The requirement that an electronic signature needs to be “as reliable as appropriate” should not lead a court or trier of fact to invalidate the entire contract on the ground that the electronic signature was not appropriately reliable if there is no dispute about the identity of the person signing or the fact of signing, that is, no question as to authenticity of the electronic signature.电子签字必须“既是适当的,也是可靠的”这一要求不应使法院或事实检验者即便在对签字人的身份或签字这一事实没有任何争议,即电子签字的真实性没有任何问题的情况下,仍以电子签字并不适当可靠为由判定整个合同无效。
Such a result would be particularly unfortunate, as it would allow a party to a transaction in which a signature was required to try to escape its obligations by denying that its signature (or the other party’s signature) was valid — not on the ground that the purported signer did not sign, or that the document it signed had been altered, but only on the ground that the method of signature employed was not “as reliable as appropriate” in the circumstances.这种结果将非常令人遗憾,因为这将允许一桩需要签字的交易的当事人以否认其签字(或另一当事人的签字)有效的方式来设法逃避承担其义务,其所持的理由并不是所称的签字人未予签字或所签字的文件遭到篡改,而只是所使用的签字方法在这些情形中既不可靠也不适当。
In order to avoid these situations, paragraph 3 (b)(ii) validates a signature method — regardless of its reliability in principle — whenever the method used is proven in fact to have identified the signatory and indicated the signatory’s intention in respect of the information contained in the electronic communication.为了避免出现这种情况,第3(b)㈡款规定,所用的签字方法无论原则上是否可靠,只要事实上被证明已经鉴别了签字人的身份并表明了该签字人对电子通信所含信息的意图,即应认为该签字方法有效。
165. The notion of “agreement” in paragraph 3 (b) of article 9 is to be interpreted as covering not only bilateral or multilateral agreements concluded between parties directly exchanging electronic communications (e.g. “trading partners agreements”, “communication agreements” or “ interchange agreements”) but also agreements involving intermediaries such as networks (e.g. “third-party service agreements”).165. 第9条第3(b)款中的“约定”概念应解释为不仅包括当事人缔结的直接交换电子通信的双边或多边协定(如“贸易伙伴协定”、“通信协定”或“互换协定”),还应包括涉及网络等中间人的协定(如“第三方服务协定”)。
Agreements concluded between users of electronic commerce and networks may incorporate “system rules”, i.e. administrative and technical rules and procedures to be applied when communicating electronic communications.电子商务用户和网络之间缔结的协定可能包括“系统规则”,即进行电子通信时所适用的行政和技术规则和程序。
7. Electronic originals7.电子原件
166. If “original” were defined as a medium on which information was fixed for the first time, it would be impossible to speak of “original” electronic communications, since the addressee of an electronic communication would always receive a copy thereof.166. 如果将“原件”定义为初次载含信息的媒介,那么电子通信“原件”就无从谈起,因为电子通信收件人收到的总是副本。
However, paragraphs 4 and 5 of article 9 of the Electronic Communications Convention should be put in a different context.不过,应将《电子通信公约》第9条第4和第5款放在另一个背景中来看。
The notion of “original” in paragraph 4 is useful since in practice many disputes relate to the question of originality of documents, and in electronic commerce the requirement for presentation of originals constitutes one of the main obstacles that the Convention attempts to remove.第4款给出的“原件”概念是有益的,因为实际上许多争议都与文件是否是原件有关,在电子商务中,关于提供原件的要求是公约试图消除的主要障碍之一。
Although in some jurisdictions the concepts of “writing”, “original” and “signature” may overlap, the Convention approaches them as three separate and distinct concepts.虽然在有些法域中,“书面形式”、“原件”和“签字”的概念可能相互重叠,但公约将这三者视为不同的独立概念。
167. Paragraphs 4 and 5 of article 9 are also useful in clarifying the notions of “writing” and “original”, in particular in view of their importance for purposes of evidence.167. 第9条第4和第5款还有助于澄清“书面形式”和“原件”的概念,特别是考虑到它们在提供证据方面的重要性。
Examples of documents that might require an “original” are trade documents such as weight certificates, agricultural certificates, quality or quantity certificates, inspection reports, insurance certificates, etc. While such documents are not negotiable or used to transfer rights or title, it is essential that they be transmitted unchanged, that is in their “original” form, so that other parties in international commerce may have confidence in their contents.重量证书、农业证书、质量或数量证书、检查报告、保险证书等贸易文件都是可能要求提供“原件”的文件。 虽然这些文件不可流通,也不是用来转让权利或所有权,但是必须不加改动地以“原件”形式传递,以便使国际商务中的其他当事人能够相信其内容。
In a paper-based environment, these types of document are usually only accepted if they are “original” to lessen the chance that they have been altered, which would be difficult to detect in copies.在纸面环境下,人们通常只接受这些文件的“原件”,以减少它们被改动的可能性,因为改动从副本上是很难发现的。
Various technical means are available to certify the contents of an electronic communication to confirm its “originality”.可以利用多种技术手段来证明电子通信内容的“原件性质”。
Without this functional equivalent of originality, the sale of goods using electronic commerce would be hampered since the issuers of such documents would be required to retransmit their electronic communication each and every time the goods are sold, or the parties would be forced to use paper documents to supplement the electronic commerce transaction.如果不是这种与原件同等的功能,使用电子商务进行货物销售就会受到阻碍,因为这些文件的发件人在每次销售货物时都会被要求重新发送其电子函件,各方当事人也可能被迫使用纸张文件来补充电子商务交易。
168. Paragraphs 4 and 5 should be regarded as stating the minimum acceptable form requirement to be met by an electronic communication in order for it to be regarded as the functional equivalent of an original.168. 第4和第5款应被视为规定了电子通信为被看作具有与原件同等的功能所应达到的可接受的最低标准。
These provisions should be regarded as mandatory, to the same extent that existing provisions regarding the use of paper-based original documents would be regarded as mandatory.这些规定同关于使用纸质原件的现行规定一样,应被视为强制性规定。
The indication that the form requirements stated in paragraphs 4 and 5 are to be regarded as the “minimum acceptable” should not, however, be construed as inviting States to establish requirements stricter than those contained in the Convention by way of declarations made under article 19, paragraph 2.但是,此处指出将第4和第5款规定的形式要求视为“可接受的最低标准”,不应被解释为鼓励各国通过作出第19条第2款规定的声明的方式确立比公约所载要求更加严格的要求。
169. Paragraphs 4 and 5 emphasize the importance of the integrity of the information for its originality and set out criteria to be taken into account when assessing integrity by reference to systematic recording of the information, assurance that the information was recorded without lacunae and protection of the data against alteration.169. 第4和第5款强调了信息完整性对于其是否为原件的重要性,规定了评价其完整性时应当考虑的标准,即信息必须是系统记录的信息,应保证所记录的信息没有缺失,数据有防改保护。
It links the concept of originality to a method of authentication and puts the focus on the method of authentication to be followed in order to meet the requirement.其中将原件概念和认证方法联系起来,强调为了满足要求必须遵循的认证方法。
It is based on the following elements: a simple criterion as to “integrity” of the data; a description of the elements to be taken into account in assessing the integrity; and an element of flexibility in the form of a reference to the surrounding circumstances.依据的要点如下:关于数据“完整性”的简单标准;说明在评价完整性时需要考虑的因素;以及灵活性,即依情况而定。
As regards the words “the time when it was first generated in its final form” in paragraph 4 (a), it should be noted that the provision is intended to encompass the situation where information was first composed as a paper document and subsequently transferred on to a computer.关于第4(a)款中的“其初次以最终形式生成之时”,应当指出的是,这项规定的原意包括信息最初是制成纸质文件,后来才输入计算机的情况。
In such a situation, paragraph 4 (a) is to be interpreted as requiring assurances that the information has remained complete and unaltered from the time when it was composed as a paper document onwards, and not only as from the time when it was translated into electronic form.在这种情况下,第4(a)款应理解为要求保证信息自制成纸质文件时起,而不仅是自其转换成电子形式时起,一直保持完整和未被更改。
However, where several drafts were created and stored before the final message was composed, paragraph 4 (a) should not be misinterpreted as requiring assurance as to the integrity of the drafts.不过,在编写和储存了几份草稿之后才制成最后电文的情况下,不应将第4(a)款错误地解释为要求确保这些草稿的完整性。
170. Paragraph 5 of article 9 sets forth the criteria for assessing integrity, taking care to except necessary additions to the first (or “original”) electronic communication such as endorsements, certifications, notarizations etc. from other alterations.170. 第9条第5款列出了评价完整性的标准,并注意将对最初的(或“原始的”)电子通信所作的必要添加,如签注、证明、公证等等同其他改动区分了开来。
As long as the contents of an electronic communication remain complete and unaltered, necessary additions to that electronic communication would not affect its “originality”.只要一份电子通信的内容保持完整和未被更改,对该电子通信的必要添加将不影响其“原件性质”。
Thus, when an electronic certificate is added to the end of an “original” electronic communication to attest to the “originality” of that electronic communication, or when data is automatically added by computer systems at the start and the finish of an electronic communication in order to transmit it, such additions would be considered as if they were a supplemental piece of paper with an “original” piece of paper, or the envelope and stamp used to send that “original” piece of paper.因此,如果在一份电子通信“原件”后面添加一份电子证书来证明该电子通信的“原件性质”,或者由计算机系统在电子通信前后自动添加数据以便进行传递,这种添加将被视为等同于对纸张“原件”的一纸补充,或者等同于用来寄送纸张“原件”的信封和邮票。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第三十八届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 54-76A/60/17,第54-76段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第四十四届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 123-139A/CN.9/571,第123-139段
Working Group IV, 43rd session (New York, 15-19 March 2004)第四工作组,第四十三届会议(2004年3月15日至19日,纽约)
A/CN.9/548, paras. 120-122 (on the relationship between articles 3 and 9)A/CN.9/548,第120-122段(关于第三条和第九条之间的关系)
Working Group IV, 42nd session (Vienna, 17-21 November 2003)第四工作组,第四十二届会议(2003年11月17日至21日,维也纳)
A/CN.9/546, paras. 46-58A/CN.9/546,第46-58段
Working Group IV, 39th session (New York, 11-15 March 2002)第四工作组,第三十九届会议(2002年3月11日至15日,纽约)
A/CN.9/509, paras. 112-121A/CN.9/509,第112-121段
Article 10. Time and place of dispatch and receipt of electronic communications第10条. 发出和收到电子通信的时间和地点
1. Purpose of the article1. 本条的目的
171. When the parties deal through more traditional means, the effectiveness of the communications they exchange depends on various factors, including the time of their receipt or dispatch, as appropriate.171. 在当事人通过较为传统的手段进行交易时,他们之间交换的通信的效力将取决于若干因素,其中酌情包括收到或发出通信的时间。
Although some legal systems have general rules on the effectiveness of communications in a contractual context, in many legal systems general rules are derived from the specific rules that govern the effectiveness of offer and acceptance for purposes of contract formation.尽管有些法律制度对与合同有关的通信的效力规定了一般规则,但在许多法律制度中,一般规则来自于为订立合同而对要约和承诺的效力加以规范的特定规则。
The essential question before UNCITRAL was how to formulate rules on time of receipt and dispatch of electronic communications that adequately transpose to the context of the Electronic Communications Convention the existing rules for other means of communication.贸易法委员会所面临的基本问题是,如何通过制订有关电子通信收发时间的规则,将其他通信手段方面的现行规则适当转化后纳入《电子通信公约》。
172. Domestic rules on contract formation often distinguish between “instantaneous” and “non-instantaneous” communications of offer and acceptance or between communications exchanged between parties present at the same place at the same time (inter praesentes) or communications exchanged at a distance (inter absentes).172. 各国的合同订立规则通常区分要约和承诺的“即时”通信和“非即时”通信,或同一时间同一地点的当事人之间(在场者之间)的通信和相隔一定距离的当事人之间(不在场者之间)的通信。
Typically, unless the parties engage in “instantaneous” communication or are negotiating face-to-face, a contract will be formed when an “offer” to conclude the contract has been expressly or tacitly “accepted” by the party or parties to whom it was addressed.一般来说,除非当事人进行“即时”通信或面对面谈判,当一项订立合同的要约被对方明示或默示“接受”时,合同即告成立。
173. Leaving aside the possibility of contract formation through performance or other actions implying acceptance, which usually involves a finding of facts, the controlling factor for contract formation where the communications are not “instantaneous” is the time when an acceptance of an offer becomes effective.173. 姑且不论通过履约或其他暗示承诺的行动而成立合同的可能性(在这种情况下通常需要寻找事实依据),当通信并非“即时”通信时,合同成立的决定因素就是承诺何时生效。
There are currently four main theories for determining when an acceptance becomes effective under general contract law, although they are rarely applied in pure form or for all situations.在根据一般合同法决定承诺何时生效方面,目前主要有四种理论,不过其很少以纯粹的形式适用,也很少能够适用于所有情况。
174. Pursuant to the “declaration” theory, a contract is formed when the offeree produces some external manifestation of its intent to accept the offer, even though this may not yet be known to the offeror.174. 根据“声明”理论,当受要约人为其接受要约的意图作出外在表示时,合同即告成立,尽管要约人可能尚不知晓。
According to the “mailbox rule”, which is traditionally applied in most common law jurisdictions, but also in some countries belonging to the civil law tradition, acceptance of an offer is effective upon dispatch by the offeree (for example, by placing a letter in a mailbox).根据传统上适用于大多数普通法法域但也适用于某些大陆法系国家的“信箱规则”,在受要约人发函(例如将信函投入信箱)时,对要约的承诺即告生效。
In turn, under the “reception” theory, which has been adopted in several civil law jurisdictions, the acceptance becomes effective when it reaches the offeror.而根据一些大陆法系法域采用的“收到”理论,当信函到达要约人时,承诺方告生效。
Lastly, the “information” theory requires knowledge of the acceptance for a contract to be formed.最后,“知悉”理论要求将知悉承诺作为合同成立的条件。
Of all these theories, the “mailbox rule” and the reception theory are the most commonly applied for business transactions.在所有这些理论中,商业交易中最常采用的是“信箱规则”和收到理论。
175. In preparing article 10 of the Electronic Communications Convention, UNCITRAL recognized that contracts other than sales contracts governed by the rules on contract formation in the United Nations Sales Convention are in most cases not subject to a uniform international regime.175. 在拟订《电子通信公约》第10条时,贸易法委员会认识到,受《联合国销售公约》的合同订立规则管辖的销售合同以外的合同在大多数情况下并不受制于统一的国际制度。
Different legal systems use various criteria to establish when a contract is formed and UNCITRAL took the view that it should not attempt to provide a rule on the time of contract formation that might be at variance with the rules on contract formation of the law applicable to any given contract (see A/CN.9/528, para. 103; see also A/CN.9/546, paras. 119-121).在确定合同订立的时间问题上,不同的法律制度有着不同的标准,贸易法委员会采用的观点是,在合同订立的时间问题上不应试图订立一条与任何具体合同所适用的法律的合同订立规则相悖的规则(见A/CN.9/ 528,第103段;另见A/CN.9/546,第119-121段)。
Instead, the Convention offers guidance that allows for the application, in the context of electronic contracting, of the concepts traditionally used in international conventions and domestic law, such as “dispatch” and “receipt” of communications.实际上,公约提供的指导是,允许在电子订约方面适用国际公约和国内法传统上使用的“发出”和“收到”函件等概念。
To the extent that those traditional concepts are essential for the application of rules on contract formation under domestic and uniform law, UNCITRAL considered that it was very important to provide functionally equivalent concepts for an electronic environment (see A/CN.9/528, para. 137).鉴于这些传统概念对于适用国内法和统一法范围内的合同订立规则十分必要,贸易法委员会认为规定电子环境中的功能等同概念是很重要的(见A/CN.9/528,第137段)。
176. However, article 10, paragraph 2, does not address the efficacy of the electronic communication that is sent or received.176. 不过,第10条第2款并未涉及发出或收到的电子通信的效力。
Whether a communication is unintelligible or unusable by a recipient is therefore a separate issue from whether that communication was sent or received.因此,收件人能否识读或使用通信是一个单独的的问题,与通信是否发出或收到无关。
The effectiveness of an illegible communication, or whether it binds any party, are questions left to other law.难以识读的通信的效力以及该通信是否对当事人具有约束力,是留待其他法律解决的问题。
2. “Dispatch” of electronic communications2. 电子通信的“发出”
177. Paragraph 1 of article 10 of the Electronic Communications Convention follows in principle the rule set out in article 15 of the UNCITRAL Model Law on Electronic Commerce, although it provides that the time of dispatch is when the electronic communication leaves an information system under the control of the originator rather than the time when the electronic communication enters an information system outside the control of the originator.177. 《电子通信公约》第10条第1款原则上遵守了《贸易法委员会电子商务示范法》第15条中的规则,尽管该款规定,发出时间是电子通信离开发件人控制范围之内的信息系统的时间,而不是电子通信进入发件人控制范围以外的信息系统的时间。
The definition of “dispatch” as the time when an electronic communication left an information system under the control of the originator — as distinct from the time when it entered another information system — was chosen so as to mirror more closely the notion of “dispatch” in a non-electronic environment (see A/CN.9/571, para. 142), which is understood in most legal systems as the time when a communication leaves the originator’s sphere of control.之所以将“发出”定义为电子通信离开发件人控制范围之内的信息系统的时间——有别于电子通信进入另一个信息系统的时间——是为了更接近非电子环境下的“发出”概念(见A/CN.9/571,第142段),大多数法律制度都将这一概念理解为通信离开发件人控制范围的时间。
In practice, the result should be the same as under article 15, paragraph 1, of the UNCITRAL Model Law on Electronic Commerce, since the most easily accessible evidence to prove that a communication has left an information system under the control of the originator is the indication, in the relevant transmission protocol, of the time when the communication was delivered to the destination information system or to intermediary transmission systems.实际上,该结果应与《贸易法委员会电子商务示范法》第15条第1款的结果相同,因为为了证明通信已离开发件人所控制的信息系统,最易获取的证据是相关的传输协议指明的将通信发送给目的地信息系统或中介传递系统的时间。
178. Article 10 also covers situations where an electronic communication has not left an information system under the control of the originator.178. 第10条还包括电子通信没有离开发件人控制范围之内的信息系统的情况。
This hypothesis, which is not covered in article 15 of the UNCITRAL Model Law on Electronic Commerce, may happen, for example, when the parties exchange communications through the same information system or network, so that the electronic communication never really enters a system under the control of another party.这种假设是《贸易法委员会电子商务示范法》第15条所没有涉及的,它可能会发生在双方当事人通过同一个信息系统或网络交换通信的情况下,这样电子通信实际上从未真正进入另一方当事人控制范围内的系统。
In such cases, dispatch and receipt of the electronic communication coincide.在这种情况下,电子通信的发出和收到是同时发生的。
3. “Receipt” of electronic communications3. 电子通信的“收到”
179. The time of receipt of an electronic communication is the time when it becomes capable of being retrieved by the addressee at an electronic address designated by the addressee.179. 电子通信的收到时间是其能够由收件人在其所指定的电子地址检索的时间。
This is presumed to occur when the electronic communication reaches the addressee’s electronic address.这一时间可推定为电子通信抵达收件人电子地址的时间。
Paragraph 2 of article 10 is based on a similar rule in article 15, paragraph 2, of the UNCITRAL Model Law on Electronic Commerce, although with a different wording.第10条第2款所依据的规则与《贸易法委员会电子商务示范法》第15条第2款相似,只是使用的措辞不同。
“Capable of being retrieved”“能够检索”
180. Paragraph 2 of article 10 is conceived as a set of presumptions, rather than a firm rule on receipt of electronic communications.180. 第2款被认为是关于收到电子通信的一些推定,而不是某种确定的规则。
Paragraph 2 aims at achieving an equitable allocation of the risk of loss of electronic communications.该款是为了实现公平分配电子通信遗失风险。
It takes into account the need to offer the originator an objective default rule to establish whether a message can be seen as having been received or not.它考虑到在确定电文是否可被视为已经收到方面,须向收件人提供一条客观的缺省规则。
At the same time, however, paragraph 2 recognizes that concerns over security of information and communications in the business world have led to the increased use of security measures such as filters or firewalls which might prevent electronic communications from reaching their addressees.但第2款同时认识到,由于商业界对信息和通信安全的担忧导致采用的过滤网和防火墙等安全措施增加,这些措施可能会妨碍电子通信抵达收件人。
Using a notion common to many legal systems, and reflected in domestic enactments of the UNCITRAL Model Law on Electronic Commerce, this paragraph requires that an electronic communication be capable of being retrieved in order to be deemed to have been received by the addressee.该款采用了许多法律制度所共有并且反映在《贸易法委员会电子商务示范法》国内立法中的一个概念,规定电子通信为了被视为已由收件人收到,其内容必须能够被检索。
This requirement is not contained in the Model Law, which focuses on timing and defers to national law on whether electronic communications need to meet other requirements (such as “processability”) in order to be deemed to have been received.《示范法》并未载有这一要求,因为《示范法》侧重的是时间问题,在电子通信为了被视为已经收到而是否需要满足其他要求(例如“可处理性”)的问题上尊重各国的法律。
181. The legal effect of retrieval falls outside the scope of the Convention and is left for the applicable law.181. 检索的法律效力不属于本公约的范围,被留待适用法处理。
Like article 24 of the United Nations Sales Convention, paragraph 2 is not concerned with national public holidays and customary working hours, elements that would have led to problems and to legal uncertainty in an instrument that applied to international transactions (see A/CN.9/571, para. 159).同《联合国销售公约》第24条一样,第2款没有涉及各国公共假日和习惯的工作时间,这些内容如果列入适用于国际交易的文书,会产生一些问题,造成法律上的不确定性(见A/CN.9/571,第159段)。
182. By the same token, the Electronic Communications Convention does not intend to overrule provisions of domestic law under which receipt of an electronic communication may occur at the time when the communication enters the sphere of the addressee, irrespective of whether the communication is intelligible or usable by the addressee.182. 同样,《电子通信公约》无意否定国内法的有关规定,根据这些规定,收到电子通信系指通信进入收件人的范围,不论其是否能够被收件人识读或使用。
Nor is the Convention intended to run counter to trade usages, under which certain encoded messages are deemed to be received even before they are usable by, or intelligible for, the addressee.公约也不想违背贸易惯例,按照贸易惯例,有些密码电文并非要等到收件人可以使用或识读时才算收到。
It was felt that the Convention should not create a more stringent requirement than currently existed in a paper-based environment, where a message can be considered to be received even if it is not intelligible for the addressee or not intended to be intelligible to the addressee (for example, where encrypted data is transmitted to a depository for the sole purpose of retention in the context of protection of intellectual property rights).有人认为,公约不应提出比目前纸面环境下所采用的规定更为严格的要求,在纸面环境中,即使收件人无法识读电文或某项电文有意使收件人不能识读(例如,编成密码的数据被传送到保存人之处,目的仅仅是为了留存备案以便保护知识产权),也可认为电文已被收到。
183. Despite the different wording used, the effect of the rules on receipt of electronic communications in the Electronic Communications Convention is consistent with article 15 of the UNCITRAL Model Law on Electronic Commerce.183. 尽管使用了不同的措词,但《电子通信公约》中关于收到电子通信的各项规则的效果与《贸易法委员会电子商务示范法》第15条是一致的。
As is the case under article 15 of the Model Law, the Convention retains the objective test of entry of a communication into an information system to determine when an electronic communication is presumed to be “capable of being retrieved” and therefore “received”.同《示范法》第15条一样,公约保留了对通信进入信息系统的客观检验,以确定何时电子通信据认为是“能够检索”因而也“已经收到”。
The requirement that an electronic communication should be capable of being retrieved, which is presumed to occur when the communication reaches the addressee’s electronic address, should not be seen as adding an extraneous subjective element to the rule contained in article 15 of the Model Law.在电子通信到达收件人的电子地址时即应当能够被检索,这一要求不应被视为给《示范法》第15条所载的规则加上了一个不相干的主观因素。
In fact “entry” in an information system is understood under article 15 of the Model Law as the time when an electronic communication “becomes available for processing within that information system”, which is arguably also the time when the communication becomes “capable of being retrieved” by the addressee.事实上,按照《示范法》第15条,“进入”信息系统是指电子通信“在该信息系统内可供处理”的时间,似可将该时间视为收件人“能够检索”通信的时间。
184. Whether or not an electronic communication is indeed “capable of being retrieved” is a factual matter outside the Convention.184. 是否“能够检索”电子通信的问题是公约范围以外的一个事实问题。
UNCITRAL took note of the increasing use of security filters (such as “spam” filters) and other technologies restricting the receipt of unwanted or potentially harmful communications (such as communications suspected of containing computer viruses).贸易法委员会注意到,使用的安全过滤网(如“垃圾邮件”过滤网)和其他限制接收不愿收到或可能有害的通信(如被怀疑含有计算机病毒的通信)的技术日益增加。
The presumption that an electronic communication becomes capable of being retrieved by the addressee when it reaches the addressee’s electronic address may be rebutted by evidence showing that the addressee had in fact no means of retrieving the communication (see also A/CN.9/571, paras. 149 and 160).如果有证据表明收件人实际上无法检索通信,则电子通信在到达收件人的电子地址时即能由收件人检索这一推定可能会被推翻(另见A/CN.9/571,第149和160段)。
“Electronic address”“电子地址”
185. Similar to a number of domestic laws, the Convention uses the term “electronic address”, instead of “information system”, which was the expression used in the Model Law.185. 与一些国内法类似,公约使用了“电子地址”一词,而不是示范法中所用的“信息系统”。
In practice, the new terminology, which appears in other international instruments such as the Uniform Customs and Practices for Documentary Credits (“UCP 500”) Supplement for Electronic Presentation (“eUCP”), should not lead to any substantive difference.实际上,《跟单信用证统一惯例》(“UCP 500”)——《电子交单附则》(“eUCP”)等其他国际文书中出现的这一新术语不会造成任何实质性的区别。
Indeed, the term “electronic address” may, depending on the technology used, refer to a communications network, and in other instances could include an electronic mailbox, a telecopy device or another specific “portion or location in an information system that a person uses for receiving electronic messages” (see A/CN.9/571, para. 157).因为根据所使用的技术,“电子地址”这一用语可以指通信网络,而在其他情形下可包括电子信箱、传真设施或“信息系统中一人用于接收电文的另一个特定部分或区域”(见A/CN.9/571,第157段)。
186. The notion of “electronic address”, like the notion of “information system”, should not be confused with information service providers or telecommunications carriers that might offer intermediary services or technical support infrastructure for the exchange of electronic communications (see A/CN.9/528, para. 149).186. 与“信息系统”的概念一样,不应将“电子地址”的概念与可能为交换数据电文提供中间服务或技术支持基础设施的信息服务供应商或电信经营机构相混淆(见A/CN.9/571,第149段)。
“Designated” and “non-designated” electronic addresses“指定”和“非指定”电子地址
187. The Electronic Communications Convention retains the distinction made in article 15 of the Model Law between delivery of messages to specifically designated electronic addresses and delivery of messages to an address not specifically designated.187. 《电子通信公约》保留了《示范法》第15条对发送电文至具体指定的电子地址和发送电文至未具体指定的地址所作的区分。
In the first case, the rule of receipt is essentially the same as under article 15, paragraph (2) (a)(i), of the Model Law, that is, a message is received when it reaches the addressee’s electronic address (or “enters” the addressee’s “information system” in the terminology of the Model Law).在第一种情形下,关于收到电文的规则与《示范法》第15条第(2)(a)㈠款下的规则基本相同,即电文在到达收件人的电子地址(或使用《示范法》中的术语,“进入”收件人的“信息系统”)时即为收到。
The Convention does not contain specific provisions as to how the designation of an information system should be made, or whether the addressee could make a change after such a designation.公约不包含关于如何指定信息系统,或收件人在这种指定后是否可以更改的具体规定。
188. In distinguishing between designated and non-designated electronic addresses, paragraph 2 aims at establishing a fair allocation of risks and responsibilities between originator and addressee.188. 第2款之所以区分指定和非指定电子地址,是为了在发件人和收件人之间公平划分风险和责任。
In normal business dealings, parties who own more than one electronic address could be expected to take the care of designating a particular one for the receipt of messages of a certain nature and to refrain from disseminating electronic addresses they rarely use for business purposes.在正常的商业交往中,当事人拥有一个以上电子地址的,应注意将某一电子地址指定为接受具备某种特定性质的电文的地址,并避免给出其很少用于商业用途的电子地址。
By the same token, however, parties should be expected not to address electronic communications containing information of a particular business nature (e.g. acceptance of a contract offer) to an electronic address they know or ought to know would not be used to process communications of such a nature (e.g. an e-mail address used to handle consumer complaints).但当事人同样不得将包含具备某一特定商业性质的信息(例如,接受合同要约)的电子通信发送给其知悉或应该知悉不会用于处理此类性质通信的电子地址(如处理消费者投诉的电子邮件地址)。
It would not be reasonable to expect that the addressee, in particular large business entities, should pay the same level of attention to all the electronic addresses it owns (see A/CN.9/528, para. 145).希望收件人尤其是大型企业实体对其拥有的所有电子地址给予同等程度的注意是不合理的(见A/CN.9/528,第145段)。
189. One noticeable difference between the Electronic Communications Convention and the UNCITRAL Model Law on Electronic Commerce, however, concerns the rules for receipt of electronic communications sent to a non-designated address.189. 但在接收发往非指定地址的电子通信规则方面,《电子通信公约》与《贸易法委员会电子商务示范法》存在着一个明显的区别。
The Model Law distinguishes between communications sent to an information system other than the designated one and communications sent to any information system of the addressee in the absence of any particular designation.《示范法》对发往非指定信息系统的通信和在未具体指定情况下发往收件人任何信息系统的通信作了区分。
In the first case, the Model Law does not regard the message as being received until the addressee actually retrieves it.在第一种情形下,《示范法》认为只有在收件人实际检索电文以后方可认为收到电文。
The rationale behind this rule is that if the originator chooses to ignore the addressee’s instructions and sends the electronic communication to an information system other than the designated system, it would not be reasonable to consider the communication as having been delivered to the addressee until the addressee has actually retrieved it.这一规则背后的理由是,如果发件人决定无视收件人的指示,将电文发往非指定系统的信息系统,则在收件人实际检索该通信之前没有理由认为该通信已送达收件人。
In the second situation, however, the underlying assumption of the Model Law was that for the addressee it was irrelevant to which information system the electronic communication would be sent, in which case it would be reasonable to presume that it would accept electronic communications through any of its information systems.但是,在第二种情形下,《示范法》的基本假设是,对收件人而言,电子通信究竟发往哪一个信息系统无关紧要,此时有理由推定收件人将接受通过其任何信息系统传送的电子通信。
190. In this particular situation, the Convention follows the approach taken in a number of domestic enactments of the Model Law and treats both situations in the same manner.190. 在这种特定情况下,公约沿用了《示范法》在一些国内立法中采取的做法,以同样的方式对待这两种情形。
Thus for all cases where the message is not delivered to a designated electronic address, receipt under the Convention only occurs when (a) the electronic communication becomes capable of being retrieved by the addressee (by reaching an electronic address of the addressee) and (b) the addressee actually becomes aware that the communication was sent to that particular address.因此,对于电文未送达指定电子地址的所有情形,根据公约只在下述情况下方为收到:(a)电子通信(通过抵达收件人的某一电子地址而)能够为收件人所检索和(b)收件人实际知悉通信已发送至某一特定地址。
191. In cases where the addressee has designated an electronic address, but the communication was sent elsewhere, the rule in the Convention is not different in result from article 15, paragraph (2) (a)(ii), of the Model Law, which itself requires, in those cases, that the addressee retrieves the message (which in most cases would be the immediate evidence that the addressee has become aware that the electronic communication has been sent to that address).191. 对于收件人已指定电子地址但通信发往别处的情形,公约中所载的这一规则就结果而言无异于《示范法》第15条第(2)(a)㈡款,后者规定,在此类情形下的要求是,收件人检索电文(检索电文在大多数情形下将成为收件人知悉电子通信已发送至该地址的直接证据)。
192. The only substantive difference between the Convention and the Model Law, therefore, concerns the receipt of communications in the absence of any designation.192. 因此,公约和《示范法》唯一的实质性区别是在未作任何指定的情况下接收通信。
In this particular case, UNCITRAL agreed that practical developments since the adoption of the Model Law justified a departure from the original rule.对于这种特定情况,贸易法委员会一致认为,鉴于《示范法》颁布以后的实际发展,有理由偏离最初的规则。
It also considered, for instance, that many persons have more than one electronic address and could not be reasonably expected to anticipate receiving legally binding communications at all addresses they maintain.贸易法委员会还考虑到,举例来说,许多人都拥有不止一个电子地址,因此期望他们能够预想到在其拥有的所有地址中均收到具有法律约束力的通信是不合理的。
Awareness of delivery“知悉已经发送”
193. The addressee’s awareness that the electronic communication has been sent to a particular non-designated address is a factual manner that could be proven by objective evidence, such as a record of notice given otherwise to the addressee, or a transmission protocol or other automatic delivery message stating that the electronic communication had been retrieved or displayed at the addressee’s computer.193. 收件人知悉电子通信已经发送至一个特定的非指定地址,这个事实可以通过客观证据证实,例如以其他方式发送给收件人的通知记录,或传输协议或其他自动传送的电文,声明电子通信已经被检索或已显示在收件人的计算机上。
4. Place of dispatch and receipt4. 发出和收到的地点
194. The purpose of paragraphs 3 and 4 of article 10 is to deal with the place of receipt of electronic communications.194. 第10条第3和第4款的目的是处理接收电子通信的地点问题。
The principal reason for including these rules is to address a characteristic of electronic commerce that may not be treated adequately under existing law, namely, that very often the information system of the addressee where the electronic communication is received, or from which the electronic communication is retrieved, is located in a jurisdiction other than that in which the addressee itself is located.列入这些规则的主要原因是为了解决按照现行法律可能得不到适当处理的电子商务的某个特点,即收件人接收或检索电子通信的信息系统经常位于收件人本身所处法域以外的另一个法域。
Thus, the rationale behind the provision is to ensure that the location of an information system is not the determinant element, and that there is some reasonable connection between the addressee and what is deemed to be the place of receipt and that this place can be readily ascertained by the originator.因此,作出这一规定的出发点是要确保信息系统所在地不作为决定性因素,并确保收件人与视作收信地点的所在地有着某种合理的联系,而且发件人能很容易查明该地点。
195. Paragraph 3 contains a firm rule and not merely a presumption.195. 第3款包含一条确定的规则,而不仅仅是一个推定。
Consistent with its objective of avoiding a duality of regimes for online and offline transactions and taking the United Nations Sales Convention as a precedent, where the focus was on the actual place of business of the party, the phrase “deemed to be” has been chosen deliberately to avoid attaching legal significance to the use of a server in a particular jurisdiction other than the jurisdiction where the place of business is located simply because that was the place where an electronic communication had reached the information system where the addressee’s electronic address is located.与该款为了避免在网上交易和网下交易方面产生双重制度的目的相一致,并以《联合国销售公约》作为先例(该公约的侧重点是当事人的实际营业地),特意选择了“视为”一词,以避免仅仅因为与营业地所处法域不同的某一特定法域是电子通信到达收件人的电子地址所处信息系统的地点,而对在该法域使用服务器赋予法律意义。
196. The effect of paragraph 3 therefore is to introduce a distinction between the deemed place of receipt and the place actually reached by an electronic communication at the time of its receipt under paragraph 2.196. 因此第3款的效果是区分了电子通信被视为收到的地点和按照第2款收到该通信时其真正抵达的地点。
This distinction is not to be interpreted as apportioning risks between the originator and the addressee in case of damage or loss of an electronic communication between the time of its receipt under paragraph 2 and the time when it reached its place of receipt under paragraph 3.这种区分不应被理解为在一则电子通信按照第2款被收到和按照第3款抵达接收地点的这段时间内遭到损坏或遗失的情况下在发件人和收件人之间所作的风险划分。
Paragraph 3 establishes a rule on location to be used where another body of law (e.g. on formation of contracts or conflict of laws) requires determination of the place of receipt of an electronic communication.第3款确立了在另一法律体系(如有关订立合同或法律冲突的法律)要求确定电子通信的接收地点时将使用的地点规则。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第三十八届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 77-84A/60/17,第77-84段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第四十四届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 140-166A/CN.9/571,第140-166段
Working Group IV, 42nd session (Vienna, 17-21 November 2003)第四工作组,第四十二届会议(2003年11月17日至21日,维也纳)
A/CN.9/546, paras. 59-86A/CN.9/546,第59-86段
Working Group IV, 41st session (New York, 5-9 May 2003)第四工作组,第四十一届会议(2003年5月5日至9日,纽约)
A/CN.9/528, paras. 132-151A/CN.9/528,第132-151段
Working Group IV, 39th session (New York, 11-15 March 2002)第四工作组,第三十九届会议(2002年3月11日至15日,纽约)
A/CN.9/509, paras. 93-98A/CN.9/509,第93-98段
Article 11. Invitations to make offers第11条. 要约邀请
1. Purpose of the article1. 本条的目的
197. Article 11 of the Electronic Communications Convention is based on article 14, paragraph 1, of the United Nations Sales Convention.197. 《电子通信公约》第11条所依据的是《联合国销售公约》第14条第1款。
Its purpose is to clarify an issue that has raised considerable debate since the advent of the Internet, namely the extent to which parties offering goods or services through open, generally accessible communication systems, such as an Internet website, are bound by advertisements made in this way (see A/CN.9/509, para. 75).其目的是澄清一个自互联网问世以来引起大量讨论的问题,即:通过互联网的网站等普遍可查询的公开通信系统提供货物或服务的当事人在多大程度上应受其网站上广告的约束(见A/CN.9/509,第75段)。
198. In a paper-based environment, advertisements in newspapers, radio and television, catalogues, brochures, price lists or other means not addressed to one or more specific persons, but generally accessible to the public, are regarded as invitations to submit offers (according to some legal writers, even in those cases where they are directed to a specific group of customers), since in such cases the intention to be bound is considered to be lacking.198. 在纸面环境中,报纸、广播电视、商品目录、产品手册、价目表或其他媒体上的广告,如果是普遍面向公众的,而不是针对某一个或多个特定的人,一般都视为要约邀请(在某些法律文献作者看来,甚至还包括广告针对某一特定顾客群体的情形),因为在这些情形下,可以认为不存在受约束的意图。
By the same token, the mere display of goods in shop windows and on self-service shelves is usually regarded as an invitation to submit offers.同样,如果只是在商店橱窗中和自选货架上陈列货物,一般也视为要约邀请。
This understanding is consistent with article 14, paragraph 2, of the United Nations Sales Convention, which provides that a proposal other than a proposal addressed to one or more specific persons is to be considered as merely an invitation to make offers, unless the contrary is clearly indicated by the person making the proposal (see A/CN.9/509, para. 76).这种理解与《联合国销售公约》第14条第2款是一致的,该款规定,一项提议并非针对一个或多个特定人的,只应视为要约邀请,除非提出该提议的人明确作出相反表示(见A/CN.9/509,第76段)。
199. In keeping with the principle of media neutrality, UNCITRAL took the view that the solution for online transactions should not be different from the solution used for equivalent situations in a paper-based environment.199. 贸易法委员会本着不偏重任何媒介的原则,认为对网上交易采用的办法不应有别于对纸面环境中同等情形所采用的办法。
UNCITRAL therefore agreed that, as a general rule, a company that advertises goods or services on the Internet or through other open networks should be considered as merely inviting those who accessed the site to make offers.因此,贸易法委员会一致认为,作为一般规则,一家公司在互联网上或通过其他开放的网络为其货物或服务作广告,仅应视为邀请那些访问其网站的人提出要约。
Thus, an offer of goods or services through the Internet does not prima facie constitute a binding offer (see A/CN.9/509, para. 77).因此,通过互联网作出的货物或服务要约,并不能初步推定构成有约束力的要约(见A/CN.9/509,第77段)。
2. Rationale for the rule2. 规则的依据
200. If the United Nations Sales Convention’s notion of “offer” is transposed to an electronic environment, a company that advertises its goods or services on the Internet or through other open networks should be considered to be merely inviting those who access the site to make offers.200. 如果将《联合国销售公约》中“要约”的概念转用于电子环境,那么一家公司在互联网上或通过其他开放的网络为其货物或服务作广告,应视为只是邀请其网站访问者提出要约。
Thus, an offer of goods or services through the Internet would not prima facie constitute a binding offer.因此,从表面上看,通过互联网作出的货物或服务的要约不构成具有约束力的要约。
201. The difficulty that may arise in this context is how to strike a balance between a trader’s possible intention (or lack thereof) of being bound by an offer, on the one hand, and the protection of relying on parties acting in good faith, on the other.201. 在这方面有可能产生的困难是,如何平衡兼顾买卖方可能打算(或不打算)受要约约束的意图和对善意行事的依赖方提供保护。
The Internet makes it possible to address specific information to a virtually unlimited number of persons and current technology permits contracts to be concluded nearly instantaneously, or at least creates the impression that a contract has been so concluded.互联网使得人们有可能把特定的信息发送给几乎无数的人,当前的技术使得人们有可能近即时订立合同或至少造成已经以这类方式订立合同的印象。
202.
In legal literature, it has been suggested that that the “invitation to treat” model might not be appropriate for uncritical transposition to an Internet environment (see A/CN.9/WG.IV/WP.104/Add.1, paras. 4-7).202. 在法律文献中,存在着可能不宜不加区别地将“要约邀请”模式转用于互联网环境的说法。 (见A/CN.9/WG.IV/WP.104/Add.1,第4-7段)。
One possible criterion for distinguishing between a binding offer and an invitation to treat may be based on the nature of the applications used by the parties.或许可根据当事双方使用的应用程序的性质而确定可用于区分具有约束力的要约和要约邀请的标准。
Legal writings on electronic contracting have proposed a distinction between websites offering goods or services through interactive applications and those that use non-interactive applications.关于电子订约的法律著作曾提出,对于提供货品或服务的网站,应当区分使用交互式应用程序的网站和使用非交互式应用程序的网站。
If a website only offers information about a company and its products and any contact with potential customers lies outside the electronic medium, there would be little difference from a conventional advertisement.如果某个网站仅提供有关某一公司或其产品的信息,而同潜在客户的任何联系均不依赖电子手段,这便同传统广告没有什么区别了。
However, an Internet website that uses interactive applications may enable negotiation and immediate conclusion of a contract (in the case of virtual goods even immediate performance).然而,使用交互式应用程序的互联网网站可进行谈判和立即订立一项合同(在虚拟货品的情况下,甚至可立即履行合同)。
Legal writings on electronic commerce have proposed that such interactive applications might be regarded as an offer “open for acceptance while stocks last”, as opposed to an “invitation to treat”.电子商务法律著作建议可以将此类交互式应用程序视为一种“公开求售,售完为止”的要约,而不是“要约邀请”。
This proposition is at least at first sight consistent with legal thinking for traditional transactions.这种建议与关于传统交易的法律见解至少初看起来是一致的。
Indeed, the notion of offers to the public that are binding upon the offeror “while stocks last” is recognized also for international sales transactions.实际上,对公众的要约在“售完为止”之前对要约人具有约束力,这一概念在国际销售交易中也得到承认。
203. In support of this approach, it has been argued that parties acting upon offers of goods or services made through the use of interactive applications might be led to assume that offers made through such systems were firm offers and that by placing an order they might be validly concluding a binding contract at that point in time.203. 支持这种做法者指出,当事人按照通过使用交互式应用程序提出的货物或服务要约行事,可能会由此以为,通过此种系统提出的要约是实盘要约,当事人发出订单就可能是在那一时刻有效地订立了具有约束力的合同。
Those parties, it has been said, should be able to rely on such a reasonable assumption in view of the potentially significant economic consequences of contract frustration, in particular in connection with purchase orders for commodities or other items with highly fluctuating prices.据指出,这些当事人应当能够依赖此种合理的假设,因为合同不能履行就可能会产生严重的经济后果,特别是如果涉及价格大幅度波动的商品或其他物品的订单。
Attaching consequence to the use of interactive applications, it was further said, might help enhance transparency in trading practices by encouraging business entities to state clearly whether or not they accepted to be bound by acceptance of offers of goods or services or whether they were only extending invitations to make offers (see A/CN.9/509, para. 81).另据指出,附列使用交互式应用程序所造成的后果或许会有助于增进交易惯例的透明度,因为可以鼓励商业实体明确说明其是否同意在货物或服务要约被接受时受之约束,或者说明其是否只是在发出要约邀请(见A/CN.9/509,第81段)。
204. UNCITRAL considered these arguments carefully.204. 贸易法委员会认真研究了这些观点。
The final consensus was that the potentially unlimited reach of the Internet called for caution in establishing the legal value of these “offers”.最后形成的协商意见是,由于互联网所能达到的范围可能是无限的,因此在确定这些“要约”的法律价值方面必须谨慎行事。
It was found that attaching a presumption of binding intention to the use of interactive applications would be detrimental for sellers holding a limited stock of certain goods, if the seller were to be liable to fulfil all purchase orders received from a potentially unlimited number of buyers (see A/CN.9/546, para. 107).据认为,如果卖方有责任履行从可能无限人数的买方收到的所有定购单,那么若推定使用互动式应用软件即为有意约束,就会有损于持有有限库存的某些货物的卖方(见A/CN.9/546,第107段)。
In order to avert that risk, companies offering goods or services through a website that uses interactive applications enabling negotiation and immediate processing of purchase orders for goods or services frequently indicate in their websites that they are not bound by those offers.为了避免这种风险,公司通过网站提供货物或服务,使用的是允许议价并可立即处理货物或服务订单的互动式应用软件,经常在其网站上声明其不受这些要约的约束。
UNCITRAL felt that, if this was already the case in practice, the Convention should not reverse it (see A/CN.9/509, para. 82; see also A/CN.9/528, para. 116).贸易法委员会认为,如果实际做法已经如此,公约不应该反其道而行之(见A/CN.9/509,第82段;另见A/CN.9/528,第116段)。
3. Notion of interactive applications and intention to be bound in case of acceptance3. 交互式应用程序的概念和受承诺约束的意图
205. The general principle that offers of goods or services that are accessible to an unlimited number of persons are not binding applies even when the offer is supported by an interactive application.205. 若能够查阅有关物品和服务要约的人数不限,则该要约不具约束力,这一一般原则即便在该要约得到互动式应用程序支持的情况下也仍应予以适用。
Typically an “interactive application” is a combination of software and hardware for conveying offers of goods and services in a manner that allows for the parties to exchange information in a structured form with a view to concluding a contract automatically.“互动式应用程序”通常由传送物品和服务要约的软件和硬件组成,使当事人得以使用一定结构的方式交换信息以便自动订立合同。
The expression “interactive applications” focuses on what is apparent to the person accessing the system, namely that it is prompted to exchange information through that information system by means of immediate actions and responses having an appearance of automaticity.“互动式应用程序”一语侧重于对于任何进入一个系统的人来说都十分明显的情形,即通过看上去具有自动化特征的即刻行动和回应来提示进入者交换信息。
It is irrelevant how the system functions internally and to what extent it is really automated (e.g. whether other actions, by human intervention or through the use of other equipment, might be required in order to effectively conclude a contract or process an order) (see A/CN.9/546, para. 114).系统在内部如何运作以及其究竟在多大程度上确实为自动化系统(例如,为有效订立合同或处理订单是否可能需要通过人力干预或使用其他设备来采取其他行动)并不重要(见A/CN.9/546,第114段)。
206. UNCITRAL recognized that in some situations it may be appropriate to regard a proposal to conclude a contract that was supported by interactive applications as evidencing the party’s intent to be bound in case of acceptance.206. 贸易法委员会承认,在某些情形下似宜把以互动式应用程序为支持的订立合同建议视为当事人有意在得到承诺后即受合同约束。
Some business models are indeed based on the rule that offers through interactive applications are binding offers.现有一些业务往来模式依据的确实是用互动式应用软件提出的要约是有约束力的要约这一规则。
In those cases, possible concerns about the limited availability of the relevant product or service are often addressed by including disclaimers stating that the offers are for a limited quantity only and by the automatic placement of orders according to the time they were received (see A/CN.9/546, para. 112).在这些情况下,可通过载列免责条款申明要约只是为有限的数量而设以及根据订单的收到时间自动处理这些订单等方法,来解决对相关产品或服务有限可获量的担心(见A/CN.9/546,第112段)。
UNCITRAL also noted that some case law seemed to support the view that offers made by so-called “click-wrap” agreements and in Internet auctions may be interpreted as binding (see A/CN.9/546, para. 109; see also A/CN.9/WG.IV/WP.104/Add.1, paras. 11-17).贸易法委员会还注意到,有些判例法似乎支持这样一种观点,即由所谓的“点击——封包”协议以及在互联网拍卖中提出的要约可能被解释为具有约束力(见A/CN.9/546,第109段,另见A/CN.9/ WG.IV/WP.104/Add.1,第11-17段)。
However, the extent to which such intent indeed exists is a matter to be assessed in the light of all the circumstances (for example, disclaimers made by the vendor or the general terms and conditions of the auction platform).但此种意图究竟在多大程度上的确存在,系拟根据所有各种情况(举例说,卖方所作的免责声明或拍卖平台的一般条款和条件)而加以评估的事项。
As a general rule, UNCITRAL considered that it would be unwise to presume that persons using interactive applications to make offers always intended to make binding offers, because that presumption would not reflect the prevailing practice in the marketplace (see A/CN.9/546, para. 112).作为一条一般性规则,贸易法委员会认为,推定使用互动式应用软件提出要约的人总是打算提出有约束力的要约是不明智的,因为这一推定并未反映市场上的普遍做法(见A/CN.9/546,第112段)。
207. It should be noted that a proposal to conclude a contract only constitutes an offer if a number of conditions are fulfilled.207. 应该指出的是,关于一项订立合同的提议仅在一些条件得到满足的情况下构成一项要约。
For a sales contract governed by the United Nations Sales Convention, for example, the proposal must be sufficiently definite by indicating the goods and expressly or implicitly fixing or making provision for determining the quantity and the price.例如,对于受《联合国销售公约》管辖的销售合同,该提议应是充分明确的,其中指明了货物,并为确定数量和价格而明示或默示地作出规定。
Article 11 of the Electronic Communications Convention is not intended to create special rules for contract formation in electronic commerce.《电子通信公约》第11条无意创设电子商务合同订立的特别规则。
Accordingly, a party’s intention to be bound would not suffice to constitute an offer in the absence of those other elements (see A/CN.9/546, para. 111).因此,在没有其他这些要素的情况下,当事人受约束的意图尚不足以构成要约(见A/CN.9/546,第111段)。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 85-88A/60/17,第85-88段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 167-172A/CN.9/571,第167-172段
Working Group IV, 42nd session (Vienna, 17-21 November 2003)第四工作组第42届会议(2003年11月17日至21日,维也纳)
A/CN.9/546, paras. 106-116A/CN.9/546,第106-116段
Working Group IV, 41st session (New York, 5-9 May 2003)第四工作组第41届会议(2003年5月5日至9日,纽约)
A/CN.9/528, paras. 109-120A/CN.9/528,第109-120段
Working Group IV, 39th session (New York, 11-15 March 2002)第四工作组第39届会议(2002年3月11日至15日,纽约)
A/CN.9/509, paras. 74-85A/CN.9/509,第74-85段
Article 12. Use of automated message systems for contract formation第12条. 自动电文系统在合同订立中的使用
1. Purpose of the article1. 本条的目的
208. Automated message systems, sometimes called “electronic agents”, are being used increasingly in electronic commerce and have caused scholars in some legal systems to revisit traditional legal theories of contract formation to assess their adequacy to contracts that come into being without human intervention.208. 自动电文系统,有时称作“电子代理人”,正越来越多地用于电子商务,促使某些法律体系中的学者对有关合同订立的传统法律理论加以重新审视,以评估这些理论是否充分适用于未加人力干预而产生的合同。
209. Existing uniform law conventions do not seem in any way to preclude the use of automated message systems, for example for issuing purchase orders or processing purchase applications.209. 现行统一法公约看来未以任何方式排除使用自动电文系统来签发采购单或处理采购申请等。
This seems to be the case in connection with the United Nations Sales Convention, which allows the parties to create their own rules, for example in an EDI trading partner agreement regulating the use of “electronic agents”.《联合国销售公约》似乎就是如此,该公约允许双方当事人在诸如规范“电子代理人”使用问题的电子数据交换贸易伙伴协议中自行设定其规则。
The UNCITRAL Model Law on Electronic Commerce also lacks a specific rule on the matter.《贸易法委员会电子商务示范法》也缺少有关这一事项的具体规则。
While nothing in the Model Law seems to create obstacles to the use of fully automated message systems, it does not deal specifically with those systems, except for the general rule on attribution in article 13, paragraph 2 (b).尽管《示范法》看来完全没有给使用全自动电文系统造成障碍,但除了第13条第2(b)款关于归属问题的一般规则外,未专门述及这些系统。
210. Even if no modification appeared to be needed in general rules of contract law, UNCITRAL considered that it would be useful for the Electronic Communications Convention to make provisions to facilitate the use of automatic message systems in electronic commerce.210. 贸易法委员会认为,即便似乎无须对合同法一般规则作任何修改,《电子通信公约》也似宜对便利在电子商务中使用自动电文系统作出规定。
A number of jurisdictions have found it necessary or at least useful to enact similar provisions in domestic legislation on electronic commerce (see A/CN.9/546, paras. 124-126).一些法域均认为在本国立法中颁布有关电子商务的类似条文是必要的,或至少是有益的(见A/CN.9/546,第124-126段)。
Article 12 of the Convention embodies a non-discrimination rule intended to make it clear that the absence of human review of or intervention in a particular transaction does not by itself preclude contract formation.公约第12条所载不歧视规则意在表明,对某具体交易未加人力复查或干预本身并不排除合同的订立。
Therefore, while a number of reasons may otherwise render a contract invalid under domestic law, the sole fact that automated message systems were used for purposes of contract formation will not deprive the contract of legal effectiveness, validity or enforceability.因此,尽管根据国内法还有其他一些原因可令合同无效,但不得纯粹以使用自动电文系统订立合同这一事实来否定合同的法律有效性、效力和可执行性。
2. Attribution of actions performed by automated message systems2. 由自动电文系统执行的行动归属问题
211. At present, the attribution of actions of automated message systems to a person or legal entity is based on the paradigm that an automated message system is capable of performing only within the technical structures of its preset programming.211. 目前,将自动电文系统的行动归属于一人或一法律实体是基于自动电文系统只能够在其现行编程技术结构的范围内运作的范式。
However, at least in theory it is conceivable that future generations of automated information systems may be created with the ability to act autonomously and not just automatically.不过至少从理论上讲,不难想象今后几代的自动信息系统可能会具有自主行动的能力,而不只是自动行动的能力。
That is, through developments in artificial intelligence, a computer may be able to learn through experience, modify the instructions in its own programs and even devise new instructions.也就是说,通过人工智能的发展,计算机或许能够做到通过经验来不断学习,对其程序中的指令作出修改或甚至创造新的指令。
212. Already during the preparation of the Model Law on Electronic Commerce, UNCITRAL had taken the view that that, while the expression “electronic agent” had been used for purposes of convenience, the analogy between an automated message system and a sales agent was not appropriate.212. 还在拟订《电子商务示范法》期间,贸易法委员会就认为,虽然为了便利起见已采用了“电子代理人”一词,但是,如果将一种自动电文系统类比为一个销售代理人并不恰当。
General principles of agency law (for example, principles involving limitation of liability as a result of the faulty behaviour of the agent) could not be used in connection with the operation of such systems.针对此类系统的运作,不可采用代理法的一般原则(例如关于因该代理人的过失行为而引起的赔偿责任的限额的一些原则)。
UNCITRAL also considered that, as a general principle, the person (whether a natural person or a legal entity) on whose behalf a computer was programmed should ultimately be responsible for any message generated by the machine (see A/CN.9/484, paras. 106 and 107).贸易法委员会还认为,作为一项一般原则,计算机的编程所代表的人(自然人或法律实体)终究应当对该机器生成的任何电文承担责任(见A/CN.9/484,第106和107段)。
213. Article 12 of the Electronic Communications Convention is an enabling provision and should not be misinterpreted as allowing for an automated message system or a computer to be made the subject of rights and obligations.213. 《电子通信公约》第12条是一项赋权条文,不应被错误地解释为允许自动电文系统或计算机成为权利和义务的主体。
Electronic communications that are generated automatically by message systems or computers without direct human intervention should be regarded as “originating” from the legal entity on behalf of which the message system or computer is operated.由电文系统或计算机未经人力直接干预而自动生成的电子通信应被视为“源自于”电文系统或计算机的操作所代表的法律实体。
Questions relevant to agency that might arise in that context are to be settled under rules outside the Convention.在这方面可能产生的与代理相关的问题必须根据公约以外的规则加以解决。
3. Means of indicating assent and extent of human intervention3. 表示同意的手段和人力干预的程度
214. When a contract is formed by the interaction of an automated message system and a natural person, or by the interaction of automated message systems, there are several ways to indicate the contracting parties’ assent.214. 通过自动电文系统和自然人的互动或通过自动电文系统之间的互动订立合同的,可以有几种方式来表示订约方的同意。
Computers may exchange messages automatically according to an agreed standard, or a person may indicate assent by touching or clicking on a designated icon or place on a computer screen.计算机可按照商定的标准自动交换电文,或一人可通过触摸或者点击计算机屏幕上的某一指定图标或位置来表示同意。
Article 12 of the Electronic Communications Convention does not attempt to illustrate the ways in which assent may be expressed out of a concern to respect technological neutrality and because any illustrative list would carry the risk of being incomplete or becoming dated, as other means of indicating assent not expressly mentioned might already be in use or might possibly become widely used in the future (see A/CN.9/509, para. 89).《电子通信公约》第12条无意举例说明表示同意的各种方式,这样做既是为了尊重技术中立,也是因为示例清单存在着不完全或变得过时的可能性,因为案文中未明确提及的表示同意的其他手段可能已经在使用之中,而且今后可能得到广泛使用(见A/CN.9/509,第89段)。
215. The central rule in the article is that the validity of a contract does not require human review of each of the individual actions carried out by the automated message system or the resulting contract.215. 本条中的核心规则是,合同的效力无须由人对自动电文系统执行的每一项个别行动或由此订立的合同加以复查。
For the purposes of article 12 of the Convention, it is irrelevant whether all message systems involved are fully automated or merely semi-automated (for example, where some actions are only effected following some form of human intervention), as long as at least one of them does not need human “review or intervention”, to complete its task (see A/CN.9/527, para. 114).在公约第12条中,所涉的所有电文系统究竟是全自动的还只是半自动的(举例说,有些行动只是在某种形式的人力干预以后方能得以实施)无关紧要,只要其中至少某一种行动无须人的“复查或干预”来完成其任务(见A/CN.9/527,第114段)。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 89-92A/60/17,第89-92段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 173 and 174A/CN.9/571,第173和174段
Working Group IV, 39th session (New York, 11-15 March 2002)第四工作组第39届会议(2002年3月11日至15日,纽约)
A/CN.9/509, paras. 99-103A/CN.9/509,第99-103段
Article 13. Availability of contract terms第13条. 合同条款的备查
1. Contract terms in electronic commerce1. 电子商务中的合同条款
216. Except for purely oral transactions, most contracts negotiated through traditional means result in some tangible record of the transaction to which the parties can refer in case of doubt or dispute.216. 除纯口头交易外,使用传统手段谈判而成的多数合同均会形成某种有形的交易记录,双方当事人在有疑问或发生纠纷时可加以参照。
In electronic contracting, such a record, which may exist as a data message, may be retained only temporarily or may be available only to the party through whose information system the contract was concluded.在电子订约中,可作为数据电文存在的这种记录或许只能临时保存,或只能提供给通过其信息系统订立合同的当事人。
Thus, some recent legislation on electronic commerce requires that a person offering goods or services through information systems accessible to the public should provide means for storage or printing of the contract terms.因此,最近有关电子商务的一些法规要求凡通过向公众开放的信息系统来提供货物或服务者须提供储存或打印合同条款的手段。
217. The rationale for creating such specific obligations seems to be an interest in enhancing legal certainty, transparency and predictability in international transactions concluded by electronic means.217. 设定此种具体义务的依据似乎是关心提高使用电子手段缔结的国际交易的法律确定性、透明度和可预见性。
Thus, some domestic regimes require certain information to be provided or technical means to be offered in order to make available contract terms in a way that allows for their storage and reproduction, in the absence of a prior agreement between the parties, such as a trading partner agreement or other type of agreement.因此,某些国内制度要求提供某种信息或技术手段,以便在双方当事人没有事先约定——如贸易伙伴之间的约定或其他某种约定——的情况下,能够加以储存和复制的合同条款。
218. Domestic laws contemplate a wide variety of consequences for failure to comply with requirements concerning the availability of contract terms negotiated electronically.218. 各国在其国内法律中设想未遵守有关以电子手段谈判而成的合同条款备查的要求可能会产生的各种后果。
Some legal systems provide that failure to make the contract terms available constitutes an administrative offence and subject the infringer to payment of a fine.有些法律制度规定,未提供合同条款备查构成行政罪,可对触犯者加以罚款。
In other jurisdictions, the law gives the customer the right to seek an order from any court having jurisdiction in relation to the contract requiring that service provider to comply with that requirement.在另一些法域中,法律规定客户有权请求对合同享有管辖权的任何法院下达令状,命令服务供应商遵守该要求。
Under yet other systems, the consequence is an extension of the period within which a consumer may avoid the contract, which does not begin to run until the time when the merchant has complied with its obligations.在另外一些制度中,此种后果是造成客户可撤销合同的期限延长,该期限将从供货商遵守其义务时起算。
In most cases, these sanctions do not exclude other consequences that may be provided in law, such as sanctions under fair competition laws.在多数情况下,此种处罚并不排除法律可能规定的其他后果,例如公平竞争法所规定的处罚。
2. Non-interference with domestic requirements2. 不得与国内要求相抵触
219. UNCITRAL considered carefully the desirability of including provisions that required a party to make available the terms of contracts negotiated electronically.219. 贸易法委员会认真研究了列入有关条文要求当事人提供以电子手段谈判而成的合同条款备查是否可取的问题。
It was noted that no similar obligations existed under the United Nations Sales Convention or most international instruments dealing with commercial contracts.据指出,在《联合国销售公约》或关于商事合同的多数国际文书中均不存在类似的义务。
UNCITRAL was therefore faced with the question of whether, as a matter of principle, it should propose specific obligations for parties conducting business electronically that did not exist when they contracted through more traditional means.因此,贸易法委员会所面临的问题是,原则上是否应该对使用电子手段经营业务的当事人提出其在使用较传统手段订约时并不存在的具体义务。
220. UNCITRAL recognized that, when parties negotiated through open networks, such as the Internet, there may be a concrete risk that they would be requested to agree to certain terms and conditions displayed by a vendor, but might not have access to those terms and conditions at a later stage.220. 贸易法委员会承认,在双方当事人通过互联网之类的开放网络谈判时,可能有一个具体的风险,即当事人可能被要求同意由销售商昭示的某些条款和条件,但可能在之后无法再检索到这些条款和条件。
This situation, which does not only concern consumers, as it may happen in negotiations between business entities or professional traders, may be unfavourable to the party accepting the contractual terms of the other party.这种情况不只关系到消费者,也可能出现在商业实体或专业交易员的谈判之中,这对接受对方当事人的合同条款的一方当事人来说可能是不利的。
It was argued that this problem did not have the same magnitude in the non-electronic environment, since, except for purely oral contracts, the parties would in most cases have access to a tangible record of the terms governing their contract (see A/CN.9/546, para. 134).据指出,上述这一问题在非电子环境中影响没有这么大,因为除了纯粹口头合同以外,大多数情况下当事人可以得到其合同条款的有形记录(见A/CN.9/546,第134段)。
It was also argued that a duty to make available the terms of contracts negotiated electronically, and possibly also subsequent changes in standard contractual conditions, would encourage good business practice and would be equally beneficial for business-to-business and for business-to-consumer commerce (see A/CN.9/571, para. 178).另据称,如果规定有义务提供使用电子手段谈判而成的合同条款,如有可能也提供随后对标准合同条件作出的修改,这将有助于鼓励良好的商务惯例,并将使企业到企业的商务和企业到消费者的商务同等受益(见A/CN.9/571,第178段)。
221. The final decision, however, was not in favour of introducing a duty to make available contract terms, as it was felt that that approach would result in imposing rules that did not exist in the context of paper-based transactions, thus departing from the policy that the Electronic Communications Convention should not create a duality of regimes governing paper-based contracts on the one hand and electronic transactions on the other (see A/CN.9/509, para. 123).221. 但最后作出的决定是不赞成规定提供合同条款的义务,因为据认为这种做法将导致实行一些在纸面交易中不存在的规则,从而偏离《电子通信公约》不应造成分别管辖纸面合同和电子交易的双重制度这一政策,(见A/CN.9/509,第123段)。
It was also considered that it would not be feasible to formulate an appropriate set of possible consequences for failure to comply with a requirement to make available contract terms and that it would be pointless to establish this type of duty in the Convention if no sanction was created (see A/CN.9/571, para. 179).还有人认为,酌情列出未遵守提供合同条款之要求而可能产生的一系列后果并不可行,如果未设定任何处罚的话则在公约中对此种义务作出规定毫无意义(见A/CN.9/571,第179段)。
For example, UNCITRAL discarded the possibility of rendering commercial contracts invalid for failure to comply with a duty to make contract terms available, because of the unprecedented nature of that solution, as other texts, such as the United Nations Sales Convention, had not dealt with the validity of contracts.举例说,贸易法委员会排除了规定因未履行提供合同条款之义务而致使商事合同无效的可能性,其原因是,鉴于《联合国销售公约》等其他法规未述及合同效力的问题,此种解决办法没有先例。
On the other hand, providing for other types of sanction, such as tort liability or administrative sanctions, was felt to be outside the scope of a uniform instrument on commercial law (see A/CN.9/571, para. 177).另一方面,据认为,对侵权行为赔偿责任或行政处罚等其他类型的处罚作出规定,这超出了统一商法文书的范围(见A/CN.9/571,第177段)。
222. Article 13 of the Convention was retained as a reminder for parties that the facilitative rules on the Convention did not relieve them from any obligation they may have to comply with domestic legal requirements that may impose a duty to make contract terms available, for instance, pursuant to regulatory regimes governing the provision of online services, especially under consumer protection regulations (see A/CN.9/509, para. 63).222. 之所以保留公约第13条是为了提醒双方当事人,公约中的便利规则并没有免除其遵守国内法律要求的义务,这些法律要求可能规定有义务诸如依照国内管辖提供网上服务的规章制度,特别是根据保护消费者的规章制度而提供合同条款(见A/CN.9/509,第63段)。
3. Nature of legal requirements on availability of contract terms3. 有关提供合同条款的法律要求的性质
223. The phrase “any rule of law” in this article has the same meaning as the words “the law” in article 9. They encompass statutory, regulatory and judicially created laws as well as procedural laws but do not cover laws that have not become part of the law of the State, such as lex mercatoria, even though the expression “rules of law” is sometimes used in that broader meaning.223. 本条中“任何……法律规则”一语与第9条中的“法律”一词含义相同,其中包括了法律、法规和判例法以及程序法,但不包括诸如商法等尚未成为国家法律一部分的法律,尽管“法律规则”一语有时也用来表达这种广泛的含义。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 93 and 94A/60/17,第93和94段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 175-181A/CN.9/571,第175-181段
Working Group IV, 42nd session (Vienna, 17-21 November 2003)第四工作组第42届会议(2003年11月17日至21日,维也纳)
A/CN.9/546, paras. 130-135A/CN.9/546,第130-135段
Working Group IV, 39th session (New York, 11-15 March 2002)第四工作组第39届会议(2002年3月11日至15日,纽约)
A/CN.9/509, paras. 122-125A/CN.9/509,第122-125段
Article 14. Error in electronic communications第14条. 电子通信中的错误
1. Electronic commerce and errors1. 电子商务和错误
224. The question of mistakes and errors is closely related to the use of automated message systems in electronic commerce.224. 差错和错误的问题与在电子商务中使用自动电文系统有着密切的关系。
Such errors may be either the result of human actions (for example, typing errors) or the consequence of malfunctioning of the message system used.这种错误既有可能是人为行动所致(例如,打字错误),也有可能是由于所使用的电文系统发生故障。
225. Recent legislation on electronic commerce, including some domestic enactments of the UNCITRAL Model Law, contain provisions dealing with errors made by natural persons when dealing with an automated computer system of another person, typically by setting out the conditions under which a natural person is not bound by a contract in the event that the person made an error in an electronic communication.225. 最近有关电子商务的法规,包括参照《贸易法委员会示范法》而颁布的某些国内立法,载有关于自然人在与另一人的自动计算机系统打交道时发生的错误的条文,这些条文一般规定了该自然人在电子通信中出错时不受合同约束的条件。
The rationale for these provisions seems to be the relatively higher risk that an error made in transactions involving a natural person, on the one hand, and an automated computer system, on the other, might not be noticed, as compared with transactions that involve only natural persons.这些条文的理由似乎是,在自然人和自动计算机系统之间的交易中发生的错误相对于只涉及自然人的交易更有可能不被注意到。
Errors made by the natural person in such a situation may become irreversible once acceptance is dispatched.一旦发出承诺,自然人在此种情形下所犯的错误就无可挽回了。
Indeed, in a transaction between individuals there is a greater ability to correct the error before parties have acted on it.事实上,在个人与个人之间的交易中,双方当事人在行动以前更有可能做到更正错误。
However, when an individual makes an error while dealing with the automated message system of the other party, it may not be possible to correct the error before the other party has shipped or taken other action in reliance on the erroneous communication.但如果个人在同对方当事人的自动电文系统打交道时出错,则可能无法在对方当事人依赖错误的通信启运或采取其他行动之前更正错误。
226. UNCITRAL considered carefully the desirability of dealing with errors in the Electronic Communications Convention.226. 贸易法委员会认真研究了在《电子通信公约》中论及这些错误是否可取的问题。
It was noted that the UNCITRAL Model Law on Electronic Commerce, which was not concerned with substantive issues that arose in contract formation, did not deal with the consequences of mistake and error in electronic contracting.据指出,并不述及合同订立中出现的实质性问题的《贸易法委员会电子商务示范法》未论及在电子订约中出现差错和错误的后果。
Furthermore, article 4, subparagraph (a), of the United Nations Sales Convention expressly provided that matters related to the validity of a sales contract were excluded from its scope, although other international texts, such as the Principles of International Commercial Contracts of the International Institute for the Unification of Private Law (Unidroit), dealt with the consequences of errors for the validity of the contract, albeit restrictively.此外,《联合国销售公约》第4条(a)项明确规定,与销售合同效力有关的事项不在其范围之内,但《统法协会国际商事合同通则》等其他国际法规述及在合同效力上发生错误的后果,不过有所限制。
227. UNCITRAL was mindful of the need to avoid undue interference with well-established notions of contract law and to avoid creating specific rules for electronic transactions that might vary from rules that applied to other modes of negotiation.227. 贸易法委员会铭记必须避免与合同法方面的成规概念发生不应有的抵触,并且必须避免为电子交易设定特别规则而可能有别于适用于其他谈判模式的规则。
Nevertheless, it felt that there was a need for a specific provision dealing with narrowly defined types of error in the light of the relatively higher risk of human errors being made in online transactions made through automated message systems than in more traditional modes of contract negotiation (see A/CN.9/509, para. 105).不过据认为,鉴于通过自动电文系统进行的网上交易中发生人为错误的可能性相对来说要大于传统的合同谈判方式,因此有必要制订一项关于几类狭义错误的具体条文(见A/CN.9/509,第105段)。
The contract law of some legal systems further confirms the need for the article, for example in view of rules that require a party seeking to avoid the consequences of an error to show that the other party knew or ought to have known that a mistake had been made.某些法律制度中的合同法更加证实了本条的必要性。 例如,有些规则要求寻求避免差错后果的当事人必须证明对方当事人知道或本应知道出现了差错。
While there are means of making such proof if there is an individual at each end of the transaction, awareness of the mistake is almost impossible to demonstrate when there is an automated process at the other end (see A/CN.9/548, para. 18).虽然当交易两端都有人时有办法提供这种证据,但当另一端是自动程序时,要证明知道出现差错则几乎是不可能的(见A/CN.9/548,第18段)。
2. Scope and purpose of the article2. 本条的范围和目的
228. Article 14 of the Electronic Communications Convention applies to a very specific situation.228. 《电子通信公约》第14条适用于十分特别的情形。
It is only concerned with errors that occur in transmissions between a natural person and an automated message system when the system does not provide the person with the possibility to correct the error.本条仅涉及在自动电文系统未向自然人提供纠正错误的机会时自然人与自动电文系统之间的传输上发生的错误。
The conditions for withdrawal or avoidance of electronic communications affected by errors that occur in any other context are left for domestic law.对于因在其他任何情况下发生错误而受到影响的电子通信,其撤回或废止的条件由国内法加以规定。
229. The article deals only with errors made by a natural person, as opposed to a computer or other machine.229. 本条仅涉及自然人的错误,而不涉及计算机或其他机器的错误。
However, the right to withdraw the portion of the electronic communication is not a right of the natural person but of the party on whose behalf the person was acting (see A/CN.9/548, para. 22).但撤回这部分电子通信的权利并不是自然人所享有的权利,而是该个人的行为所代表的当事人的权利(见A/CN.9/548,第22段)。
230. Generally, errors made by any automated system should ultimately be attributable to the persons on whose behalf the system is operated.230.一般来说,任何自动系统所犯的错误最终都应归属于该系统的操作所代表的人。
However, already during the preparation of the UNCITRAL Model Law on Electronic Commerce, it was argued that some circumstances might call for a mitigation of that principle, such as when an automated system generated erroneous messages in a manner that could not have reasonably been anticipated by the person on whose behalf the messages were sent.但在拟订《贸易法委员会电子商务示范法》期间,已有与会者说,比如,电文以某人的名义发出,自动系统产生了错误的电文,而这是该人无法合理预期的,在这类情况下,可能有理由削弱该项原则。
In practice, the extent to which the party on whose behalf an automated message system is operated is responsible for all its actions may depend on various factors such as the extent to which the party has control over the software or other technical aspects used in programming the system (see A/CN.9/484, para. 108).在实践中,自动电文系统的操作所代表的当事人究竟在多大程度上对其所有行动负责,可能取决于系统编程中所用的对软件或其他技术内容的控制程度等各种因素(见A/CN.9/ 484,第108段)。
Given the complexity of those questions, in respect of which domestic law may give varying answers depending on the factual situation, it was felt that it would not be appropriate to attempt to formulate uniform rules at the current stage and that jurisprudence should be allowed to evolve.鉴于这些问题十分复杂,国内法可能会根据实际情况而提供不同的答案,所以据认为,现阶段不宜尝试拟订统一规则,应允许法理学不断发展。
3. “Opportunity to correct errors”3. “更正错误的机会”
231. Article 14 authorizes a party who makes an error to withdraw the portion of the electronic communication where the error was made if the automated message system did not provide the person with an opportunity to correct errors.231. 第14条允许发生错误的当事人在自动电文系统未向其提供更正错误的机会时撤回电子通信中发生错误的部分。
The article does oblige the party on whose behalf the automated message system operates to make available procedures for detecting and correcting errors in electronic contract negotiation.本条确实规定,自动电文系统的操作所代表的人有义务为发现和更正电子订约谈判中发生的错误提供程序。
232. UNCITRAL considered the desirability of introducing such a general obligation, as an alternative for dealing with the rights of the parties after an error had occurred.232. 贸易法委员会审议了规定此种一般义务以作为在发生错误后处理双方当事人权利的一种备选办法是否可取的问题。
Such an obligation exists in some domestic systems, but the consequences for a party’s failure to provide procedures for detecting and correcting errors in electronic contract negotiation vary greatly from country to country.此种义务存在于一些国家的国内制度中,但对于当事人因未提供程序以发现和纠正电子订约谈判中发生的错误而承担的后果,各国的规定千差万别。
In some jurisdictions, such failure constitutes an administrative offence and subjects the infringer to payment of a fine.在有些法域中,未予提供这种程序构成行政犯罪,须对触犯者施以罚款。
In other countries, the consequence is either to entitle a customer to rescind the contract or to extend the period within which a consumer may unilaterally cancel an order.在另外一些国家,其所造成的后果是客户有权取消合同或将消费者可单方面废除订单的期限延长。
The type of consequence provided in each case depends on the type of regulatory approach taken to electronic commerce.每一种情形中所规定的后果的类型取决于对电子商务所采取的做法的类型。
During the preparation of the Electronic Communications Convention it was felt that, however desirable such an obligation might be in the interest of promoting good business practices, the Convention would not be an appropriate place for it, since the Convention could not provide a complete system of sanctions appropriate for all circumstances (see A/CN.9/509, para. 108).在拟订《电子通信公约》期间,有与会者认为,无论此种义务可能如何有利于促进良好的商业做法,公约均不适宜于规定此种义务,因为公约无法提供适合所有情形的完备的处罚体系。 (见A/CN.9/509,第108段)。
The agreement eventually reached on this point was that, instead of requiring generally that an opportunity to correct errors should be provided, the Convention should limit itself to providing a remedy for the person making the error (see A/CN.9/548, para. 19).在这一问题上最后形成的共识是,公约不应泛泛地要求提供纠错机会,而应限于对出错者提供救济(见A/CN.9/548,第19段)。
233. Article 14 of the Electronic Communications Convention deals with the allocation of risks concerning errors in electronic communications in a fair and sensible manner.233. 《电子通信公约》第14条述及以公平合理的方式划分在电子通信中发生错误的相关风险。
An electronic communication can only be withdrawn if the automated message system did not provide the originator with an opportunity to correct the error before sending the electronic communication.只有在自动电文系统未向发件人提供在发出电子通信以前更正错误的机会的情况下,方可撤回电子通信。
If no such system is in place, the party on whose behalf the automated message system operates bears the risk of errors that may occur.如果没有此种系统,则由自动电文系统的操作所代表的人承担有可能发生的错误的风险。
Thus, the article gives an incentive to parties acting through automated message systems to build in safeguards that enable their contract partners to prevent the sending of an erroneous communication, or correct the error once sent.因此,本条鼓励通过自动电文系统行事的当事人拟订保障措施,使其合同伙伴得以避免发送错误通信或一旦发生错误可加更正。
For example, the automated message system may be programmed to provide a “confirmation screen” to the person setting forth all the information the individual initially approved.例如,可设计自动电文系统的程序,以便向使用者提供一个“确认画面”,载列其初步认可的所有信息。
This would provide the person with the ability to prevent the erroneous communication from ever being sent.这就使其能够防止发送错误通信。
Similarly, the automated message system might receive the communication sent by the person and then send back a confirmation which the person must again accept before the transaction is completed.同样,自动电文系统可接收使用者发送的通信,然后发回一项确认,在其再次接受确认后交易才告完成。
This would allow for correction of an erroneous communication.这样将能允许错误的通信得到更正。
In either case, the automated message system would “provide an opportunity to correct the error,” and the article would not apply. Rather, other law would govern the effect of any error.在上述任一情形中,自动电文系统均能“提供更正错误的机会”,因此本条将不予适用,而任何错误的后果将由其他法律管辖。
4. Notion and proof of “input error”4. “输入错误”的概念和证据
234. Article 14 of the Electronic Communications Convention is only concerned with “input” errors, that is, errors relating to inputting wrong data in communications exchanged with an automated message system.234. 《电子通信公约》第14条仅涉及“输入”错误,即在与自动电文系统往来的通信中输入错误数据所引起的错误。
These are typically unintentional keystroke errors, which are felt to be potentially more frequent in transactions made through automated information systems than in more traditional modes of contract negotiation.这些通常属于无意中的按键错误,据认为同使用较为传统的合同谈判方式相比,这些错误在通过自动信息系统进行的交易中可能更为常见。
For example, while it would be unlikely for a person to deliver documents unintentionally to a post office, in practice there were precedents where persons had claimed not to have intended to confirm a contract by hitting “Enter” on a computer keyboard or clicking on an “I agree” icon on a computer screen.举例说,某人不可能在无意中将文件送到邮局,而在实践当中,某人声称不打算确认一项合同,但确误击了计算机键盘上的“回车”键或点击了计算机荧屏上的“同意”图符,这种事情确有其先例。
235. The article is not intended to be media-neutral, since it deals with a specific issue affecting certain forms of electronic communications.235. 本条无意做到不偏重任何媒介手段,因为本条所涉及的是影响某些电子通信形式的特殊问题。
In doing so, article 14 does not overrule existing law on error, but merely offers a meaningful addition to it by focusing on the importance of providing means of having the error corrected (see A/CN.9/548, para. 17).不过,第14条作此规定并不是要否定关于差错的现行法律,而只是通过强调提供纠错手段的重要性为该现行法律提供重要的补充(见A/CN.9/548,第17段)。
Other types of error are left for the general doctrine of error under domestic law (see A/CN.9/571, para. 190).其他类型的错误留待国内法中有关错误的一般规则来处理(见A/CN.9/571,第190段)。
236. As is already the case in a paper-based environment, the factual determination as to whether or not an input error has indeed occurred is a matter that needs to be assessed by the courts in the light of the entire evidence and relevant circumstances, including the overall credibility of a party’s assertions (see A/CN.9/571, para. 186).236. 同在纸面环境下一样,关于是否的确发生输入错误的事实判定,也必须由法院根据所有证据和相关情形,包括当事人主张的总体可信度加以评价(见A/CN.9/571,第186段)。
The right to withdraw an electronic communication is an exceptional remedy to protect a party in error and not a blank opportunity for parties to repudiate disadvantageous transactions or nullify what would otherwise be valid legal commitments freely accepted.电子通信撤回权是对发生错误的当事人提供保护的一种特殊救济,而不是使当事人可趁机拒不接受对其不利的交易或否认原本经自由接受的有效法定承诺。
This right is justified by the consideration that a reasonable person in the position of the originator would not have issued the electronic communication, had that person been aware of the error at that time.该权利之所以有必要是因为考虑到发件人是有理性的人,如果当时意识到发生了错误就不会发出电子通信。
However, article 14 does not require a determination of the intent of the party who sent the allegedly erroneous message.不过第14条并不要求判断发送所谓错误电文的当事人的意图。
If the operator of the automated message system fails to offer means for correcting errors despite the clear incentive to do so in article 14, it is reasonable to make such party bear the risk of errors being made in electronic communications exchanged through the automated message system.如果第14条虽明确鼓励提供纠错手段但自动电文系统的操作人仍未提供此种手段,则有理由令此种当事人承担通过自动电文系统往来的电子通信发生错误的风险。
Limiting the right of the party in error to withdraw the messages would not further the intended goal of the provision to encourage parties to provide for an error-correction method in automated message systems.如果对发生错误的当事人撤回电文的权利予以限制,将无助于实现本条文的预期目标,即鼓励当事人就自动电文系统中更正错误的方法作出规定。
5. “Withdraw”5. “撤回”
237. Article 14 does not invalidate an electronic communication in which an input error is made.237. 第14条并未否认发生输入错误的电子通信的效力。
It only gives the person in error the right to “withdraw” the portion of the electronic communication in which the error was made.本条只是使发生错误的人有权利“撤回”电子通信中发生错误的部分。
The term “withdraw” was deliberately used instead of other alternatives, such as “avoiding the consequences” of the electronic communication or similar expressions that might be interpreted as referring to the validity of an act and lead to discussions as to whether the act was null and void or avoidable at the party’s request.此处故意使用了“撤回”一语,而未使用其他词语,例如“避免电子通信所造成的后果”或类似的表述方式,这是因为这些表述方式有可能会被解释为是指一行为的效力并在该行为是否无效或是否可经当事人的请求加以撤销的问题上产生争论。
238. Furthermore, article 14 does not provide for a right to “correct” the error made.238. 此外,第14条未就“更正”所犯错误的权利作出规定。
During the preparation of the Convention it was argued that the remedy should be limited to the correction of an input error, so as to reduce the risk that a party would allege an error as an excuse to withdraw from an unfavourable contract.在拟订公约期间,有与会者指出,应将补救办法局限于更正输入错误,目的是降低当事人以发生错误为由撤回不利合同的可能性。
Another proposal was that the person who has made an input error should have a choice to “correct or withdraw” the electronic communication in which the error was made.另一个建议是,发生输入错误的人对发生错误的电子通信应该享有“更正或撤回”的选择权。
This possibility, it was argued, would cover both situations where correction was the appropriate remedy for the error (such as typing the wrong quantity in an order) and situations where withdrawal would be a better remedy (such as when a person has unintentionally hit a wrong key or an “I agree” button and sent a message he or she did not intend to send) (see A/CN.9/571, para. 193).据指出,这种可能性可以同时顾及更正系补救错误的正确做法的情形(例如在订单中键入数量时出错)和更好的补救办法是撤回的情形(例如某人无意中按错键或按了“同意”键后发送出一个原本不打算发送的电文)(见A/CN.9/571,第193段)。
239. After extensive consideration of those options, UNCITRAL agreed that the person who has made an error should only have the right to withdraw the portion of the electronic communication in which the error was made.239. 在对这些备选案文作了广泛研究以后,贸易法委员会一致认为,出错的人只应有权撤回电子通信中出错的部分。
In most legal systems, the typical consequence of an error is to make it possible for the party in error to avoid the effect of the transaction resulting from its error, but not necessarily to restore the original intent and enter into a new transaction.在大多数法律制度中,发生错误之后的结果通常是,发生错误的一方当事人有可能得以避免承担因错误而造成的交易所产生的影响,但却不一定能恢复初衷,订立新的交易。
While withdrawal may in most cases equate to nullification of a communication, correction would require the possibility to modify the previous communication.撤回在多数情形下可能等同于取消通信,而更正则为有可能对以前的通信作出修改。
UNCITRAL was not willing to create a general right to “correct” erroneous communications, as this would have introduced additional costs for system providers and would leave given remedies with no parallel in the paper world, a result which UNCITRAL had previously agreed to avoid.贸易法委员会不愿意创设“更正”错误通信的一般权利,因为这会增加系统供应商的费用,其所提供的救济在纸面文件中也是没有先例的,工作组此前曾商定应避免造成此种后果。
A right to correct electronic communications would also cause practical difficulties, as operators of automated message systems may more readily provide an opportunity to nullify a communication already recorded than an opportunity to correct errors after a transaction has been concluded.更正电子通信的权利也会造成一些实际困难,因为自动电文系统的运营人可能更愿意提供废除已作记录的通信的机会,而不是提供在交易完成以后更正错误的机会。
Furthermore, a right to correct errors would have entailed that an offeror who has received an electronic communication later alleged to contain errors must keep its original offer open since the other party would have effectively replaced the withdrawn communication.此外,更正错误的权利,要求收到后来据称含有错误的电子通信的要约人始终将最初的要约视作尚可能作出修改,因为对方当事人将可能已实际更换了已撤回的通信。
6. The “portion of the electronic communication in which the input error was made”6. “电子通信中发生输入错误的部分”
240. The right to withdraw relates only the part of the electronic communication where the error was made, if the information system so allows.240. 如果信息系统允许的话,撤回权仅涉及电子通信中发生错误的部分。
This has the dual scope of granting to parties the possibility to redress errors in electronic communications, when no means of correcting errors are made available, and of preserving as much as possible the effects of the contract, by correcting only the portion vitiated by the error, in line with the general principle of preservation of contracts (see A/CN.9/571, para. 195).该权利导致两种可能性,一种是在没有提供纠错手段的情况下给予当事人对电子通信中的错误作出补救的可能性,另一种是根据保留合同的一般原则,通过仅仅更正因错误而受损的部分,尽可能保留合同的效力(见A/CN.9/571,第195段)。
241. Article 14 does not expressly establish the consequences of the withdrawal of the portion of an electronic communication in which an error was made.241. 第14条未就撤回电子通信中发生错误的部分所造成的后果作出明确规定。
It is understood that, depending on the circumstances, the withdrawal of a portion of an electronic communication may invalidate the entire communication or render it ineffective for purposes of contract formation.根据与会者的理解,撤回部分电子通信可视具体情况而使整个通信归于无效或使其对合同订立而言无效。
For example, if the portion withdrawn contains the reference to the nature of the goods being ordered, the electronic communication would not be “sufficiently definite” for purposes of contract formation under article 14, paragraph 1, of the United Nations Sales Convention.举例说,如果撤回部分提及拟订购之物品的性质,根据《联合国销售公约》第14条第1款的规定,该电子通信就“不够确定”,不足以订立合同。
The same conclusion should apply if the portion withdrawn concerns price or quantity of goods and there are no other elements left in the electronic communication according to which they could be determined.如果撤回部分涉及物品的价格和数量而电子通信的剩余内容中又没有可确定价格和数量的依据,那么结果与上一种情形相同。
However, withdrawal of a portion of the electronic communication that concerns matters that are not, by themselves or pursuant to the intent of the parties, essential elements of the contract, may not necessarily devoid the entire electronic communication of its effectiveness.不过,撤回的部分电子通信所涉事项本身或根据当事人的意图不属于合同基本内容的,就不一定能使整个电子通信失效。
7. Conditions for withdrawing an electronic communication7. 撤回电子通信的先决条件
242. Paragraphs 1 (a) and (b) of article 14 establish two conditions for a party to exercise the right to withdraw: to notify the other party as soon as possible, and not to have used or received any material benefit or value from the goods or services, if any, received from the other party.242. 第14条第1(a)和(b)款规定了当事人行使撤回权的两个先决条件:尽快通知对方当事人,以及既没有使用可能从对方当事人收到的任何货物或服务所产生的任何重大利益或价值,也没有从中受益。
243. UNCITRAL considered extensively whether the right to withdraw the electronic communication should be limited in any way, in particular as the conditions contemplated in article 14 may differ from the consequences of avoidance of contracts under some legal systems (see A/CN.9/548, para. 23).243. 贸易法委员会广泛研究了是否应以任何方式对撤回电子通信的权利加以限制,尤其是因为第十四条所述的先决条件可能有别于某些法律体系所规定的后果,即废止合同(见A/CN.9/548,第23段)。
It was, however, felt that the conditions set forth in paragraphs 1 (a) and 1 (b) provided a useful remedy for cases in which the automated message system proceeded to deliver physical or virtual goods or services immediately upon conclusion of the contract, with no possibility to stop the process.但有与会者认为,对于自动电文系统一俟合同订立就立即开始交付有形或虚拟货物或服务而不可能中止这一过程的情况,第1(a)和1(b)款所述的先决条件提供了有用的救济。
UNCITRAL considered that in those cases paragraphs 1 (a) and 1 (b) provided a fair basis for the exercise of the right of withdrawal and would also tend to limit abuses by parties acting in bad faith (see A/CN.9/571, para. 203).贸易法委员会认为在这些情形下,第1(a)和1(b)款为行使撤回权提供了一个公平的基础,也将易于限制恶意行事的当事人的滥用行为(见A/CN.9/571,第203段)。
(a) Notice of error and time limit for withdrawing an electronic communication(a) 错误通知和撤回电子通信的时限
244. Paragraph 1 (a) of article 14 requires the natural person or the party on whose behalf the person was acting to take prompt action to advise the other party of the error and of the fact that the individual did not intend to approve the electronic communication.244. 第14条第1(a)款要求该自然人或其所代表的当事人迅速将发现的错误通知对方当事人并指出其在电子记录中发生的错误并非其本来意图。
Whether the action is prompt must be determined from all the circumstances including the person’s ability to contact the other party.其行动是否迅速必须根据所有各种情况,包括该人与对方当事人接洽的能力来加以确定。
The natural person or the party on whose behalf the person was acting should advise the other party both of the error and of the lack of intention to be bound (i.e. avoidance) by the portion of the electronic communication in which the error occurred.自然人或其所代表的当事人应将错误及其无意受电子通信中发生错误的部分约束(即,宣布其无效)通知对方当事人。
However, the party receiving the message should be able to rely on the message, despite the error, up to the point of receiving a notice of error (see A/CN.9/548, para. 24).不过,收到电文的当事人,在接到纠错通知之前,即使电文有误也应当能够依赖该电文(见A/CN.9/548,第24段)。
245. In some domestic systems that require the operator of automated message systems used for contract formation to provide an opportunity to correct errors, the right to withdraw or avoid a communication must be exercised at the moment of reviewing the communication before dispatch. Under those systems, the party who makes an error cannot withdraw the communication after it has been confirmed.245. 某些国家的国内制度规定,用于合同订立的自动电文系统的操作人必须提供更正错误的机会,撤回或撤销通信的权利只能在发出通信之前审查该通信的那一时刻适用,根据这些制度,出错的当事人在对通信加以确认以后就不得撤回其通信。
Article 14 does not limit the right to withdrawal in this way, since in practice, a party may only become aware that it has made an error at a later stage, for instance, when it receives goods of a type or in a quantity different from what it had originally intended to order (see A/CN.9/571, para. 191).第14条未以此种方式对撤回权加以限制,因为在实践中,当事人只有在事后才会意识到其发生了错误,例如收到的货物与其最初打算订购的货物在类型或数量上有差别时(见A/CN.9/571,第191段)。
246. Furthermore, article 14 does not deal with the time limit for exercising the right of withdrawal in case of input error, as time limits are a matter of public policy in many legal systems.246. 此外,第14条未论及在发生输入错误时行使撤回权的时限,因为在许多法律制度中,时限系公共政策问题。
Nevertheless, the parties are not exposed to indefinite withdrawal.但双方当事人均不得无限制撤回。
The combined impact of paragraphs 1 (a) and (b) of article 14 limits the time within which an electronic communication could be withdrawn, since withdrawal has to occur “as soon as possible”, but in any event not later than the time when the party has used or received any material benefit or value from the goods or services received from the other party.在第14条第1(a)和(b)款的共同作用下,撤回电子通信的时间受到限制,因为撤回实际上必须“尽快”进行,但无论如何不得迟于一方当事人使用或获得从对方当事人收到的货物或服务所产生的任何重大利益或价值的时间。
(b) Loss of right to withdraw an electronic communication(b) 撤回电子通信权利的丧失
247. It should be noted that goods or services may have been provided on the basis of an allegedly erroneous communication before receipt of the notice required by paragraph 1 (a) of article 14.247. 应该指出的是,可能会在收到第14条第1(a)款所要求的通知以前根据所谓错误的通信而提供货物或服务。
Paragraph 1 (b) avoids unjustified windfalls to the natural person or the party on whose behalf that person was acting by erecting stringent requirements before the party in error may exercise the right of withdrawal under the paragraph.第1(b)款对发生错误的当事人可根据该款行使撤回权规定了严格的要求,从而避免了自然人或其所代表的当事人获得不当暴利。
Under this provision, a party looses the right to withdrawal when it has received material benefits or value from the vitiated communication.根据该条的规定,当事人如果从失效的通信中获得了重大利益或价值,则丧失其撤回权。
248. UNCITRAL recognized that such a limitation in the right to invoke an error in order to avoid the consequences of a legally relevant act may not exist in all legal systems under general contract law.248. 贸易法委员会承认,对以错误为由避免一种法律相关行为所造成的后果这一权利作此限制,这可能不是所有法律体系的一般合同法都有规定的。
The risk of illegitimate windfalls for a person who successfully avoids a contract is usually dealt with by legal theories such as restitution or unjust enrichment.对于成功废止合同的人获取不当暴利的风险,通常使用恢复原状或不当获利等法律理论来加以化解。
Nevertheless, it was felt that the particular context of electronic commerce justified establishing a particular rule to avoid that risk.不过,仍有人认为,鉴于电子商务的特殊情况,应当拟订特殊规则以避免此种风险。
249. Various transactions in electronic commerce may be concluded nearly instantaneously and generate immediate value or benefit for the party purchasing the relevant goods or services.249. 电子商务中的各种交易均可近即时缔结,并对购买相关物品或服务的当事人立即产生价值或利益。
In many cases, it may be impossible to restore the conditions as they existed prior to the transaction.在许多情况下,可能无法恢复交易前的原状。
For example, if the consideration received is information in electronic form, it may not be possible to avoid the benefit conferred.举例说,如果收到的对价为电子信息,则可能无法使已赋予的利益归于无效。
While the medium containing the information could be returned, mere access to the information, or the ability to redistribute the information, would constitute a benefit that could not be returned.尽管载有信息的媒介可以归还,但获取信息的机会或重新传递信息的能力即构成一种无法返还的利益。
It may also occur that the mistaken party receives consideration that changes in value between the time of receipt and the first opportunity to return. In such a case restitution cannot be made adequately.还有可能发生的情况是,造成错误的当事人收到的对价的价值从收到对价至第一次有机会返还期间有所改变。
在此种情况下,无法适当地恢复原状。
In all these cases it would not be equitable to allow that, by withdrawing the portion of the electronic communication in which an error was made, a party could avoid the entire transaction while effectively retaining the benefit gained from it.在上述所有情况下,允许一方当事人通过撤回电子通信中发生错误的部分而使整个交易无效同时却有效地保留从交易中所获利益,这是有失公平的。
This limitation is further important in view of the large number of electronic transactions involving intermediaries that may be harmed because transactions cannot be unwound.考虑到大量电子交易有中间人参与,这些中间人可能会因无法撤销交易而受损失,这一限制就更为重要了。
8. Relationship to general law on mistake8. 与关于错误的一般法律之间的关系
250. The underlying purpose of article 14 is to provide a specific remedy in respect of input errors that occur under particular circumstances and not to interfere with the general doctrine on error under domestic laws.250. 第14条的基本目的是就为特殊情况下发生的输入错误提供特别救济,同时避免同各国国内法律有关错误的一般性理论相抵触。
If the conditions set forth in paragraph 1 of article 14 are not met (that is, if the error is not an “input” error made by a natural person, or if the automated message system did in fact provide the person with an opportunity to correct the error), the consequences of the error would be as provided for by other laws, including the law on error, and by any agreement between the parties (see A/CN.9/548, para. 20).如果未满足第十四条第一款所述的先决条件(即,如果错误并非是自然人的“输入”错误,或如果自动电文系统事实上向该人提供了更正错误的机会),则错误的后果将以其他法律的规定为准,包括关于错误的法律和当事人之间的任何约定(见A/CN.9/548,第20段)。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 95-103A/60/17,第95-103段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 182-206A/CN.9/571,第182-206段
Working Group IV, 43rd session (New York, 15-19 March 2004)第四工作组第43届会议(2004年3月15日至19日,纽约)
A/CN.9/548, paras. 14-26A/CN.9/548,第14-26段
Working Group IV, 39th session (New York, 11-15 March 2002)第四工作组第39届会议(2002年3月11日至15日,纽约)
A/CN.9/509, paras. 99 and 104-111A/CN.9/509,第99段及第104-111段
Chapter IV. Final provisions第四章. 最后条款
Article 15.第15条. 保存人
Depositary
251. Articles 15 to 25 form part of the final provisions of the Electronic Communications Convention.251. 第15至第25条是《电子通信公约》的最后条款部分。
Most of them are customary provisions in multilateral treaties and are not intended to create rights and obligations for private parties.其中大部分是多边条约中的习惯规定,并非为了设定私营当事人的权利和义务。
However, as these provisions regulate the extent to which a contracting State is bound by the Convention, including the time the Convention or any declaration submitted thereunder enter into force, they may affect the ability of the parties to rely on the provisions of the Convention.不过,由于这些条款规定了缔约国受公约约束的程度,包括公约或根据公约提交的任何声明的生效时间,因此可能会影响到当事人援用公约条文的能力。
252. Article 15 designates the Secretary-General of the United Nations as depositary of the Convention.252. 第15条指定联合国秘书长为公约保存人。
The depositary is entrusted with the custody of the authentic texts of the Convention and of any full powers delivered to the depositary and performs a number of administrative services in connection therewith, such as preparing certified copies of the original text; receiving signatures to the Convention and receiving and keeping custody of any instruments, notifications and communications relating to it; and informing the contracting States and the States entitled to become contracting States of acts, notifications and communications relating to the Convention.保存人受托保管公约的正式文本和送交保存人的任何全权证书,并履行与之有关的一些行政事务,如准备原始文本经核证的副本;接收对公约的签字,以及接收和保管与公约有关的任何文书、通知和函件;向缔约各国和有资格成为缔约国的国家通报与公约有关的行为、通知和函件。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 106 and 107A/60/17,第106-107段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, para. 10A/CN.9/571,第10段
Article 16. Signature, ratification, acceptance or approval第16条. 签署、批准、接受或认可
1.1. “各国”方法
The “all States” formula
253. According to a formula frequently used in multilateral treaties in order to promote widest possible participation, article 16 declares the Electronic Communications Convention open for signature by “all States”.253. 根据多边条约为了促进尽可能广泛的参与而经常使用的方法,第16条宣布《电子通信公约》开放供“各国”签署。
254. It should be noted, however, that the Secretary-General, as depositary, has stated on a number of occasions that it would fall outside his competence to determine whether a territory or other such entity would fall within the “all States” formula.254. 不过,应当指出的是,秘书长作为保存人,曾多次声明,确定一个领土或其他此类实体是否属于“各国”的措词范畴不属于秘书长的职权范围。
Pursuant to a general understanding adopted by the General Assembly on 14 December 1973, in discharging his functions as a depositary of a convention with the “all States” clause, the Secretary-General will follow the practice of the General Assembly and, whenever advisable, will request the opinion of the Assembly before receiving a signature or an instrument of ratification or accession.根据大会1973年12月14日通过的一项一般谅解,秘书长在作为包含“各国”条款的公约的保存人而行使其职能时,将遵循大会的做法,并在可行情况下,先征求大会的意见,再接收签字或批准书或加入书。
2. Consent to be bound by ratification, acceptance, approval or accession2. 同意受批准、接受、认可或加入的约束
255. While some treaties provide that States may express their consent to be legally bound by signature alone, the Electronic Communications Convention, like most modern multilateral treaties, provides that it is subject to ratification, acceptance or approval by the signatory States.255. 虽然有些条约规定,各国可以只通过签署来表示其同意接受法律上的约束,但《电子通信公约》同大多数现代多边条约一样,规定公约须经签署国批准、接受或认可。
Providing for signature subject to ratification, acceptance or approval allows States time to seek approval for the Convention at the domestic level and to enact any legislation necessary to implement the Convention internally, prior to undertaking the legal obligations from the Convention at the international level.规定签署之后必须经过批准、接受或认可,是为了让各国在国际一级履行公约规定的法律义务之前,有时间征得国内对公约的认可,并颁布在国内执行公约所需的任何立法。
Upon ratification, the Convention legally binds the States.公约一经国家批准,即对批准国具有法律约束力。
256. Acceptance or approval of a treaty following signature has the same legal effect as ratification, and the same rules apply.256. 一项条约签署后的接受或认可具有与批准相同的法律效力,并适用同样的规则。
Accession has the same legal effect as ratification, acceptance or approval.加入具有与批准、接受或认可相同的法律效力。
However, unlike ratification, acceptance or approval, which must be preceded by signature, accession requires only the deposit of an instrument of accession.但不同之处是,批准、接受或认可要求必须首先签署,而加入只要求交存加入书。
Accession as a means of becoming party to a treaty is generally used by States wishing to express their consent to be bound by a treaty if, for whatever reason, they are unable to sign it.加入是成为条约缔约方的一种方式,使用这一方式的国家通常无论出于何种原因无法签署一项条约,但希望表示同意受该条约约束。
This may occur if the deadline for signature has passed or if domestic circumstances prevent a State from signing a treaty.如果签署的最后期限已过,或者国内情势使一国无法签署条约,则可能会出现这种情况。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 108-110A/60/17,第108-110段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, para. 10A/CN.9/571,第10段
Article 17. Participation by regional economic integration organizations第17条. 区域经济一体化组织的参与
1. Notion of “regional economic integration organization”1. “区域经济一体化组织”的概念
257. In addition to “States”, the Electronic Communications Convention allows participation by international organizations of a particular type, namely “regional economic integration organizations”.257. 除了“国家”之外,《电子通信公约》还允许某一特定类型的国际组织,即“区域经济一体化组织”参与。
In introducing this article, which had not appeared in its previous texts, UNCITRAL acknowledged the growing importance of regional economic integration organizations, which are already allowed to participate in several trade-related treaties, including recent international conventions in the field of international commercial law, such as the Unidroit Convention on International Interests in Mobile Equipment (Cape Town, 2001) (the “Cape Town Convention”).贸易法委员会以前的法规中从未出现这样的条款,通过列入这样的条款,贸易法委员会承认区域经济一体化组织所发挥的日益重要作用。 已有若干与贸易有关的条约允许这些组织参加,其中包括近来在国际商法领域通过的国际公约,如国际统一私法协会《移动设备国际利益公约》(2001年,开普敦)(“开普敦公约”)。
258. The Electronic Communications Convention does not contain a definition of “regional economic integration organizations”. Nevertheless, it could be said that the notion of “regional economic integration organizations” used in article 17 encompasses two key elements: the grouping of States in a certain region for the realization of common purposes, and the transfer of competencies relating to those common purposes from the members of the regional economic integration organization to the organization.258. 《电子通信公约》不包含“区域经济一体化组织”的定义,但可以指出的是,第17条所用的“区域经济一体化组织”的概念包括两个关键要素:一是某个特定区域为了实现共同目的而组成的国家集团,二是区域经济一体化组织的成员国将与这些共同目的有关的管辖权转移给该组织。
259. Although the notion of “regional economic integration organization” is a flexible one, participation in the Convention is not open to international organizations at large.259. 虽然“区域经济一体化组织”的概念比较灵活,但公约并不对所有国际组织开放。
It was noted that, at the current stage, most international organizations did not have the power to enact legally binding rules having a direct effect on private contracts, since that function typically required the exercise of certain attributes of State sovereignty that only few organizations, typically regional economic integration organizations, had received from their member States.据指出,在现阶段,大多数国际组织都无权颁布直接影响私人合同的具有法律约束力的规则,因为行使此种职能通常需要具备国家主权的某些属性,而从其成员国获得此类属性的组织(一般是区域经济一体化组织)为数很少。
2. Extent of competence of the regional economic integration organization2. 区域经济一体化组织的管辖权范围
260. The Electronic Communications Convention is not concerned with the internal procedures leading to signature, acceptance, approval or accession by a regional economic integration organization.260. 《电子通信公约》不涉及最终使区域经济一体化组织签署、接受、认可或加入的内部前期程序。
The Convention itself does not require a separate act of authorization by the member States of the organization and does not answer, in one way or the other, the question as to whether a regional economic integration organization has the right to ratify the convention if none of its member States decides to do so.公约本身并不要求这种组织成员国的单独授权行为,也未以任何方式回答区域经济一体化组织在其所有成员国均决定不予批准公约的情况下是否享有批准公约的权利的问题。
For the Convention, the extent of treaty powers given to a regional economic integration organization is an internal matter concerning the relations between the organization and its own member States.就公约而言,赋予区域经济一体化组织多大的条约权限范围属于有关该组织及其成员国之间关系的内部事项。
Article 17 does not prescribe the manner in which regional economic integration organizations and their member States divide competences and powers among themselves.第17条没有规定区域经济一体化组织与其成员国划分管辖权和权限的方式。
261. Notwithstanding its neutral approach in respect of the internal affairs of a regional economic integration organization, the Convention only allows ratification by an organization that “has competence over certain matters governed by this Convention”, as clearly stated in paragraph 1 of article 17.261. 尽管公约在区域经济一体化组织的内部事务方面采取了中立方法,但如第17条第1款所明确指出的,只允许由“对本公约管辖的某些事项拥有管辖权的”组织批准公约。
This competence needs further to be demonstrated by a declaration made to the depositary pursuant to paragraph 2 of the article, specifying the matters governed by the Convention in respect of which competence has been transferred to that organization by its member States.这种管辖权需经根据本条第2款向保存人提出的一项声明来进一步表明,指出对公约所管辖的哪些事项的管辖权已由其成员国移交给该组织。
Article 17 does not provide a basis for ratification if the regional economic integration organization has no competence on the subject matter covered by the Convention.对于区域经济一体化组织对公约所涉主题事项不享有管辖权的情形,第17条没有提供批准依据。
262. However, the regional economic integration organization does not need to have competence over all the matters covered by the Convention, which admits that such competence may be partial or concurrent.262. 不过,区域经济一体化组织无需对公约所涉一切主题事项享有管辖权,公约承认此种管辖权可以是部分或并行管辖权。
Regional economic integration organizations typically derive their powers from their member States.区域经济一体化组织的权力通常来自其成员国。
By their very nature, as international organizations, regional economic integration organizations have competences in the areas that have been expressly or implicitly transferred to their sphere of activities.根据其作为国际组织的基本性质,区域经济一体化组织仅在已经明示或默示移交到其活动范围的领域内享有权限。
Several provisions of the Convention, in particular those in chapter IV, imply the exercise of full State sovereignty and the Convention is not in its entirety capable of being applied by a regional economic integration organization.公约的几则条文,尤其是第四章的条文含有行使完全国家主权的意思,因此区域经济一体化组织并不能够适用公约的全部条款。
Furthermore, the legislative authority over the substantive matters dealt with by the Convention may be shared to some extent between the organization and its member States.而且,对公约所涉实质性事项的立法权在某种程度上可能由该组织与其成员国共享。
3. Coordination between regional economic integration organizations and their member States3. 区域经济一体化组织与其成员国之间的协调
263. By acceding to the Electronic Communications Convention, a regional economic integration organization becomes a contracting party in its own right and has, therefore, the right to submit declarations excluding or including matters in the scope of application of the Convention pursuant to articles 19 and 20.263. 区域经济一体化组织加入《电子通信公约》,本身即成为一个缔约方,因此有权根据第19条和第20条提交声明,将某些事项纳入公约的适用范围或排除在其适用范围之外。
The Convention itself does not set forth mechanisms to ensure the consistency between declarations made by a regional economic integration organization and those made by its member States.公约并没有规定机制以确保区域经济一体化组织所作的声明及其成员国声明之间的一致性。
264. Possible inconsistencies between declarations submitted by a regional economic integration organization and declarations submitted by its member States would create considerable uncertainty in the application of the Convention and deprive private parties of the ability to easily ascertain beforehand to which matters the Convention applied in respect of which States. They would therefore be highly undesirable.264. 区域经济一体化组织及其成员国提交的声明可能不一致,这会给公约的适用带来很大的不确定性,使私营当事人难以事先确定公约在哪些事项上对哪些国家适用,因此这种情况很不可取。
265. In practice, however, it is expected that conflicting declarations by a regional economic integration organization and its member States would be unlikely.265. 但事实上,区域经济一体化组织及其成员国不太可能提交互有冲突的声明。
Indeed, paragraph 2 of article 17 already imposes a high standard of coordination by requiring the regional economic integration organization to declare the specific matters for which it has competence.第17条第2款要求区域经济一体化组织声明其享有管辖权的具体事项,这实际上已在协调方面设定了一个很高的标准。
Under normal circumstances, careful consultations would take place, as a result of which, if declarations under article 19 or 20 were found to be necessary, there would be a set of common declarations for the matters in respect of which the regional economic integration organization was competent, which would be mandatory for all member States of the organization.在通常情况下都会进行认真磋商,磋商以后如果认为必须根据第19条和第20条作出声明,则将就区域经济一体化组织享有管辖权的事项作出一系列共同声明,有关组织的所有成员国均必须作出此种声明。
Differing declarations from member States would thus be limited to matters in which no exclusive competence had been transferred from member States to the regional economic integration organization, or matters particular to the State making a declaration, as might be the case, for example, of declarations under article 20, paragraphs 2 to 4, since member States of regional economic integration organizations may not necessarily be contracting States to the same international conventions or treaties.因此,成员国可能作出的不同声明,仅限于专属管辖权未从成员国移交至区域经济一体化组织的事项或作出声明的国家独有的事项,例如,根据第20条第2至第4款作出的声明就属于此种情况,因为区域经济一体化组织的所有各成员国未必都是同一些国际公约或条约的缔约国。
266. In any event, there is an obvious need for ensuring consistency between declarations made by regional economic integration organizations and declarations made by their member States.266. 无论如何,显然需要确保区域经济一体化组织及其成员国所作声明之间的一致性。
Private parties in third countries should be able to ascertain without inordinate effort when the member States and when the organization have the power to make a particular declaration.第三国的私营当事人应能很容易了解到成员国及其所在的组织何时有权作出一项特定声明。
There was a strong consensus within UNCITRAL that contracting States to the Convention would be entitled to expect that a regional economic integration organization that had ratified the Convention, and its own member States, would take the necessary steps to avoid conflicts in the manner in which they applied the Convention.贸易法委员会形成的一项强烈共识是,公约缔约国有权要求批准公约的区域经济一体化组织及其成员国采取必要步骤,避免在适用公约的方式上发生冲突。
4. Relationship between the Convention and rules enacted by regional economic integration organizations4. 公约与区域经济一体化组织制订的规则之间的关系
267. Paragraph 4 of article 17 regulates the relationship between the Electronic Communications Convention and rules enacted by a regional economic integration organization. It provides that the provisions of the Convention shall not prevail over any conflicting rules of any regional economic integration organization as applicable to parties whose respective places of business are located in member States of any such organization, as set out by a declaration made in accordance with article 21.267.第17条第4款规定了《电子通信公约》与区域经济一体化组织制订的规则之间的关系。该款规定,对于任何区域经济一体化组织的规则,凡适用于其各自营业地位于根据第21条作出的声明所列出的任何此种组织的成员国的当事人的,在与公约的条款发生冲突时,公约不得优先。
268. The purpose of this exception is to avoid interference with rules enacted by a regional economic integration organization to harmonize private commercial law within the territory of the organization with a view to facilitating the establishment of an internal market among its member States.268. 这一例外的目的是为了避免干预区域经济一体化组织为了促进建立其成员国之间的内部市场而制订的旨在统一本组织地区内商业私法的规则。
In giving priority to conflicting rules of a regional economic integration organization, UNCITRAL recognized that measures to promote legal harmonization among member States of a regional economic integration organization might create a situation that was in many respects analogous to the situation in countries where sub-sovereign jurisdictions, such as states or provinces, had legislative authority over private law matters.在以区域经济一体化组织的冲突规则为优先时,贸易法委员会认识到为了促进区域经济一体化组织成员国之间的法律统一而采取的措施可能会产生一种情形,这种情形在很多方面与某些国家的州或省等次级主权管辖区对私法事项享有立法权的情况类似。
It was felt that for matters subject to regional legal harmonization, the entire territory covered by a regional economic integration organization deserved to be treated in a similar way as a single domestic legal system.贸易法委员会认为,对于需要进行立法协调的事项,区域经济一体化组织所涵盖的整个地区应得到与单一国内法律制度相类似的对待。
269. While paragraph 4 of article 17 sets forth a rule that has not appeared in this form in previous instruments prepared by UNCITRAL, the principle of deference to particular regional regimes embodied in this provision is not entirely new.269. 虽然第17条第4款提出了一条贸易法委员会以前编写的文书中未曾以同样形式出现的规则,但其中所体现的遵守特定区域制度的原则并不是全新的。
Article 94 of the United Nations Sales Convention, for example, acknowledges the right of States with similar laws in respect of matters covered by that Convention to declare that their domestic laws take precedence over the provisions of the United Nations Sales Convention in respect of contracts concluded between parties located in their territories.例如,《联合国销售公约》第94条承认,在公约所涉事项方面订有类似法律的国家有权声明其国内法在位于其领土内的当事人之间缔结的合同问题上优先于《联合国销售公约》。
270. In view of the fact that legal harmonization promoted by a regional economic integration organization may not necessarily cover the entire range of issues dealt with by the Electronic Communications Convention, the exception in paragraph 4 of article 17 does not operate automatically.270. 鉴于区域经济一体化组织所促进的法律统一不一定涵盖《电子通信公约》涉及的所有问题,第17条第4款中的例外情形并不能自动生效。
The priority status of regional rules needs therefore to be set out in a declaration submitted under article 21.这就需要在根据第21条提交的声明中规定区域规则的优先地位。
The declaration contemplated in paragraph 4 would be submitted by the regional economic integration organization itself, and is distinct from, and without prejudice to, declarations by States under article 19, paragraph 2.第4款所设想的声明将由区域经济一体化组织亲自提交,此种声明既有别于也不会损害各国根据第19条第2款所作的声明。
If no such organization adheres to the Convention, their member States who wish to do so would still have the right to include, among the other declarations that they may wish to make, a declaration of the type contemplated in paragraph 4 of article 17 in view of the broad scope of article 19, paragraph 2.即使此类组织并不遵守公约,但是鉴于第19条第2款的范围很广,该组织中的成员国如果愿意的话,仍有权在其可能希望作出的其他声明之外加上第四款中所设想的那类声明。
It was understood that if a State did not make such a declaration, paragraph 4 would not automatically apply.按理解,如果一国未作出此类声明,第四款将不会自动适用。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 111-123A/60/17,第111-123段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, para. 10A/CN.9/571,第10段
Article 18. Effect in domestic territorial units第18条. 对本国领土单位的效力
1. The “federal clause”1. “联邦条款”
271. Article 18 permits a contracting State, at the time of signature, ratification, acceptance, approval or accession, to declare that the Electronic Communications Convention is to extend to all its territorial units or only to one or more of them and to amend its declaration by submitting another declaration at any time.271. 第18条允许缔约国在签署、批准、接受、认可或加入时声明《电子通信公约》适用于其全部领土单位或仅适用于其中的一个或数个领土单位,并且可以随时提出另一声明来修改其所作的声明。
This provision, often called “the federal clause”, is of interest to relatively few States — federal systems where the central Government lacks treaty power to establish uniform law for the subject matter covered by the Convention.这一条款通常称为“联邦条款”,它只与少数几个国家有关,这些国家采取联邦制,中央政府没有就公约所涉的主题事项制定统一法的条约权力。
Article 18 addresses this problem by providing that a State may declare that the Convention will apply “only to one or more” of its territorial units — an option that permits a State to adopt the Convention with its applicability limited to those units (e.g. provinces) which have enacted legislation to implement the Convention.第18条通过规定一国可以声明公约“仅适用于其中的一个或数个”领土单位,从而解决了这一问题——这种方法使得一国可以将公约的适用范围仅限于已经为执行公约而颁布了立法的单位(如省份)。
272. The effect of the provision is therefore on the one hand to permit federal States to apply the Convention progressively to their territorial units and on the other to permit those States that wish to do so to extend its application to all their territorial units from the very outset.272. 因此该条款的效果是:一方面允许联邦国家逐步在其领土单位上适用公约,另一方面也允许希望公约适用于其所有领土单位的国家从一开始就这样做。
Paragraph 2 of article 18 provides for the declarations to be notified to the depositary and to state expressly the territorial units to which the Convention extends.第18条第2款规定此种声明应通知保存人,并且明确指明适用公约的领土单位。
If no declaration is submitted, the Convention will extend to all territorial units of that State in accordance with paragraph 4.如果没有提交声明,则根据第4款,公约将适用于该国的所有领土单位。
273. It should be noted however that a State that has two or more territorial units is only entitled to make the declaration under article 18 if different systems of law apply in those units in relation to the matters dealt with in the Convention. Unlike earlier texts in which this clause had appeared, article 18, paragraph 1, does not make reference to the contracting State’s constitution as the basis of the existence of different systems of law in the State concerned. This slight modification, which follows recent practice in other international uniform law instruments, should not alter the way the “federal clause” operates.273.不过,应当指出的是,一国拥有两个或多个领土单位,各领土单位对公约所涉事项适用不同法律制度的,该国只能作出第18条所规定的声明。第18条第1款同载有该款的一些较早的案文不同,没有提到以缔约国的宪法作为在该国存在不同法律制度的基础。这一细小的改动采用了其他国际统一法文书中近来的做法,但它不应改变“联邦条款”的运作方式。
2. Operation in practice2. 实际运作
274. Paragraph 3 of article 18 makes it clear that, for the purposes of the Electronic Communications Convention, a place of business is not considered to be located in a contracting State when that place of business is located in a territorial unit of a contracting State to which unit that State has not extended the Convention.274. 第18条第3款明确规定,在《电子通信公约》中,如果一个营业地位于缔约国不适用公约的领土单位内,则该营业地视为不在该缔约国内。
The consequences of paragraph 3 will depend on whether or not the contracting State whose laws apply to an exchange of electronic communications has made a declaration pursuant to article 19, paragraph 1 (a).第3款中的后果将取决于其法律适用于电子通信交换的缔约国是否根据第19条第1款第(a)项作出了声明。
If such a declaration exists, the Convention would not apply.如果存在此种声明,则公约不适用。
However, if the applicable law is the law of a contracting State that has not made this declaration, the Convention would nevertheless apply, as article 1, paragraph 1, does not require that both parties be located in contracting States (see above, paras. 60-64).但如果适用法是尚未作出此种声明的缔约国的法律,则公约对其适用,因为公约第1条第1款不要求双方当事人都位于缔约国内(见上文,第60-64段)。
275. The wording in the negative, completed by the proviso “unless [the place of business] is in a territorial unit to which the Convention extends” was chosen so as to avoid creating the misleading impression that the Convention might apply to a contract concluded between parties with places of business in different territorial units of the same contracting State to which the Convention had been extended by that State.275. 之所以选择了否定措辞,并附有“除非该营业地位于公约适用的领土单位内”这个限制条件,是为了避免产生一种错误印象,认为公约可适用于营业地位于同一缔约国不同领土单位而该缔约国已将公约适用于这些领土单位的当事人之间缔结的合同。
276. Article 18 should be read in conjunction with article 6, paragraph 2.276. 第18条应与第6条第2款一道解读。
Thus, for example, if a large company has places of business in more than one territorial unit of a federal State, not all of which are located in territorial units to which the Convention extends, the decisive factor, in the absence of an indication of a place of business, is the place of business that has the closest relationship to the contract to which the electronic communications relate.因此,举例来说,如果一个大公司在某联邦国家不止一个领土单位内设有营业地,而且这些营业地并非都位于适用公约的领土单位内,则在当事人未指明营业地的情况下,与电子通信所涉的合同关系最密切的营业地视为其营业地。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 124 and 125A/60/17,第124-125段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, para. 10A/CN.9/571,第10段
Article 19. Declarations on the scope of application第19条. 关于适用范围的声明
1. Nature of declarations1. 声明的性质
277. The possibility for contracting States to make declarations aimed at adjusting the scope of application of a particular convention is not uncommon in private international law and commercial law conventions.277. 让缔约国有可能作出旨在调整某一特定公约适用范围的声明,这在国际私法和商法公约中并非罕见。
In this area of treaty practice, they are not regarded as reservations — which the Convention does not permit — and do not have the same consequences as reservations under public international law (see also paras. 311-317 below).在这个条约实践领域,这些声明不是保留——公约不允许有保留,也不会产生与国际公法规定的保留相同的结果(另见下文第311-317段)。
2. Declarations on the geographic scope of application of the Convention2. 关于公约地理适用范围的声明
278. As noted above, pursuant to article 1, paragraph 1, the Electronic Communications Convention applies whenever the parties exchanging electronic communications have their places of business in different States, even if those States are not contracting States to the Convention, as long as the law of a contracting State is the applicable law.278. 如前所述,根据第1条第1款,凡是交换电子通信的当事人的营业地位于不同国家的情况,即便这些国家不是《电子通信公约》的缔约国,只要缔约国的法律是适用法,即适用《电子通信公约》。
Article 19, paragraph 1 (a), allows contracting States to declare, however, that notwithstanding article 1, paragraph 1, they will apply the Convention only when both States where the parties have their places of business are contracting States to the Convention.虽然有第1条第1款的规定,但第19条第1(a)款允许缔约国声明其只在当事人营业地所在的两个国家均是公约缔约国的情况下适用公约。
This type of declaration will have the following practical consequences:这种声明将会产生下列实际后果:
(a) Forum State is a contracting State that has made a declaration under article 19, paragraph 1 (a).
The Convention will have “autonomous” application and will therefore apply to the exchange of electronic communications between parties located in different contracting States regardless of whether the rules of private international law of the forum State lead to the application of the laws of that State or of another State; (b) Forum State is a contracting State that has not made a declaration under article 19, paragraph 1 (a).(a) 法院所在地国是已经按照第19条第1(a)款作出声明的缔约国。公约将“自动”适用并将因此适用于位于不同缔约国的当事人之间的电子通信交换,不论法院所在地国的国际私法规则导致适用该国的法律还是另一国的法律;
The applicability of the Convention will depend on three factors: (a) whether the rules of private international law point to the law of the forum State, of another contracting State or of a non-contracting State; (b) whether the State the law of which is made applicable under the rules of private international law of the forum State has made a declaration pursuant to article 19, paragraph 1 (a); and, if so, (c) whether or not both parties have their places of business in different contracting States. Accordingly, if the applicable law is the law of a contracting State that has made a declaration under paragraph 1 (a), the Convention applies only if both parties have their places of business in different contracting States.(b) 法院所在地国是没有按照第19条第1(a)款作出声明的缔约国。公约的适用将取决于三个因素:(a)国际私法规则规定是适用法院所在地国、另一缔约国还是非缔约国的法律;(b)按照法院所在地国的国际私法规则,本国法律是适用法的国家是否根据第19条第1(a)款作出了声明;如果是的话,(c)双方当事人的营业地是否位于不同的缔约国。因此,如果适用法是已经按照第1(a)款作出此类声明的缔约国的法律,则公约只在双方当事人的营业地位于不同缔约国的情况下适用。如果适用法是法院所在地国或没有作出此类声明的另一缔约国的法律,则即便当事人的营业地并非位于不同的缔约国,公约仍然适用。如果适用法是非缔约国的法律,则公约不适用。
If the applicable law is the law of the forum State or of another contracting State that has not made this declaration, the Convention applies even if the parties do not have their places of business in different contracting States.
If the applicable law is the law of a non-contracting State, the Convention does not apply;
(c) Forum State is a non-contracting State. The Convention will apply, mutatis mutandis, under the same conditions as described in paragraph 278 (b) above.(c) 法院所在地国是非缔约国。公约将根据以上第278段(b)所述的同样条件,经适当变通后适用。
279. The possibility for contracting States to make this declaration has been introduced so as to facilitate accession to the Convention by States that prefer the enhanced legal certainty offered by an autonomous scope of application, which allows the parties to know beforehand, and independently from rules of private international law, when the Convention applies.279. 公约列入了缔约国作出这一声明的可能性,其目的在于便利那些倾向于加强自主适用范围所提供的法律确定性的国家加入公约,这种自主适用使当事人能够提前知晓公约何时适用,而不管国际私法规则有何规定。
3. Limitation based on the choice of the parties3. 基于当事人选择的限制
280. Paragraph 1 (b) of article 19 contemplates a possible limitation in the scope of application of the Convention.280. 第19条第1(b)款规定了公约适用范围方面一种可能的限制。
Under this provision, a State may declare that it will apply the Convention only when the parties to a contract have agreed that the Convention applies to the electronic communications exchanged by them.根据该条文,一国可以声明只在合同当事人同意公约适用于他们之间电子通信交换的情况下适用公约。
When introducing this possibility, UNCITRAL was aware that a declaration of this type would, in practice, considerably reduce the applicability of the Convention and deprive a State making the declaration of default uniform rules for the use of electronic communications between parties to an international contract that had not agreed on detailed contract rules for the matters covered by the Convention.在列入这种可能性时,贸易法委员会认识到这种声明实际上将大大降低公约的适用范围,致使作出声明的国家无法提供默认的统一规则,在国际合同当事人尚未就公约所涉事项约定具体的合同规则的情况下管辖其对电子通信的使用。
281. Another argument against permitting this type of declaration was that it might give rise to some uncertainty on the application of the Convention in non-party States whose rules of private international law directed the courts to the application of the laws of a contracting State that had made such a declaration.281. 反对允许作出此种声明的另一个理由是,在非缔约国的国际私法规则指示法院适用作出此项声明的某一缔约国法律的情况下,它可能会造成公约在这些非缔约国中的适用方面的某种不确定性。
Some legal systems would accept agreements to subject a contract to the laws of a contracting State, but would not recognize the right of the parties to incorporate the terms of the Convention as such into their contract on the grounds that an international convention on private law matters would only have legal effect for private parties to the extent that the convention in question has been given effect domestically.有些法律制度认可合同应受缔约国法律制约的协议,但不承认当事人有权将公约中的此类条款纳入其合同,理由是有关国际私法事项的国际公约只对私营当事人产生法律效力,而且该公约还应已在国内生效。
Thus, choice-of-law clauses referring to an international convention would usually be enforced in those countries as incorporation of foreign law, but not as enforcement of the international convention as such (see A/CN.9/548, para. 95).因此,提及一项国际公约的法律选择条款,通常是作为纳入外国法律的条款在这些国家加以执行,而不是作为执行该国际公约本身的条款加以执行(见A/CN.9/548,第95段)。
282. The countervailing view was that many legal systems would not create obstacles to the enforcement of a clause choosing an international convention as applicable law.282. 相反的观点认为,许多法律制度都不会对选择国际公约作为适用法的某一条款的执行设置障碍。
Furthermore, disputes involving international contracts are not solved exclusively by State courts, and arbitration is a widespread practice in international trade.此外,涉及国际合同的争端并不是完全由国家法院解决,仲裁是国际贸易中广泛采用的一种做法。
Arbitral tribunals are often not specifically linked to any particular geographic location and often rule on the disputes submitted to them on the basis of the law chosen by the parties.仲裁庭往往不与任何特定的地理位置相关联,而经常是依据当事人所选择的法律来裁定提交给它们的争端。
In practice, choice-of-law clauses do not always refer to the laws of particular States, as parties often choose to subject their contracts to international conventions independently from the laws of any given jurisdiction (see A/CN.9/548, para. 96).283.实际上,法律选择条款并非始终指的是特定国家的法律,因为当事人往往选择独立于任何特定法域的法律之外而由国际公约来管辖其合同(见A/CN.9/548,第96段)。
UNCITRAL agreed to retain the possibility for States to submit a declaration pursuant to paragraph 1 (b) of article 19, as a means of promoting wider adoption of the Convention.283. 贸易法委员会同意保留各国根据第19条第1(b)款提交声明的可能性,以促进对公约更广泛的采用。
It was felt that paragraph 1 (b) offered those States which might have difficulties in accepting the general application of the Convention under its article 1, paragraph 1, the possibility to allow their nationals to choose the Convention as applicable law.据认为,第1(b)款使得难以根据公约第1(a)款的规定接受公约的普遍适用的国家有可能允许其国民选择公约作为适用法。
4. Exclusion of specific matters under paragraph 24. 第2款排除的特定事项
284. In preparing the Electronic Communications Convention, UNCITRAL aimed at achieving as wide as possible application.284. 贸易法委员会在拟订《电子通信公约》时着眼于使公约实现尽可能广泛的适用。
General exclusions under article 2, which apply to all contracting States, have accordingly been kept to a minimum.因此第2条规定的对所有缔约国适用的一般不适用情形被减少到最低程度。
It was recognized, at the same time, that the degree of acceptance of electronic communications still varied greatly among legal systems and that several jurisdictions still excluded certain matters or types of transaction from the scope of legislation intended to facilitate the use of electronic communications.同时,贸易法委员会认识到,各种法律制度在接受电子通信的程度方面仍有很大的差异,有些法域仍将某些事项或交易类型排除在旨在促进使用电子通信的立法范围之外。
It was also acknowledged that some legal systems, while accepting electronic communications in connection with certain types of transaction, sometimes subjected them to specific requirements, for instance as regarded the type of electronic signature that the parties may use.贸易法委员会还承认,有些法律制度虽然接受与某些交易类型有关的电子通信,但有时会提出一些具体的要求,比如在当事人可能使用的电子签字类型方面。
Other countries, however, may take a more liberal approach, so that matters excluded or subject to particular requirements in some countries may not be excluded or subject to any special requirement in other countries.另一些国家则采取比较宽松的办法。 因此,在有些国家被排除或需要遵守特定要求的事项,在另一些国家则未必遭到排除,也不一定受任何特定要求的限制。
285. In view of that diversity of approaches, UNCITRAL agreed that contracting States should be given the possibility of excluding certain matters from the scope of application of the Convention by means of declarations submitted under article 21.285. 鉴于这种方法上的多样性,贸易法委员会商定,应使缔约国有可能以按照第21条提交声明的方式,将某些事项排除在公约的适用范围之外。
In adopting this approach, UNCITRAL was mindful of the fact that unilateral exclusions by way of declarations under article 21 were not in theory conducive to enhancing legal certainty.贸易法委员会在采取这种方法时注意到,以按照第21条作出声明的方式作出单方面的排除,理论上讲不利于增强法律确定性。
Nevertheless, it was felt that such a system would allow States to limit the application of the Convention as deemed best, while the adoption of a list of exemptions would have the effect to impose those exclusions even for States that saw no reason for preventing the parties to the excluded transactions from using electronic communications (see A/CN.9/571, para. 63).不过,据认为,这一制度将使得有关国家可以以其认为最佳的方式限制公约的适用,而采用一份除外情形清单实际上甚至是将这些除外情形强加给那些认为对参与被排除在外的交易的当事人使用电子通信不必横加阻止的国家(见A/CN.9/571,第63段)。
286. The types of matter that may be excluded may include matters that some States currently exclude from the scope of domestic legislation enacted to promote electronic commerce (for examples, see para. 82 above).286. 可能会被排除的事项也许包括有些国家目前从其颁布的旨在促进电子商务的国内立法范围中排除出去的事项(例如见上文第82段)。
Another type of exclusion might be a declaration limiting the application of the Convention only to the use of electronic communications in connection with contracts covered by international conventions listed in article 20, paragraph 1, although UNCITRAL was of the view that such a declaration, while possible under the broad terms of article 19, paragraph 2, would not further the desired goal of ensuring the broadest possible application of the Convention and should not be encouraged.另一种除外类型可能会是这样的一项声明,该声明将公约的适用仅限于与第20条第1款所列国际公约涵盖的合同有关的电子通信的使用,尽管贸易法委员会认为,这种声明虽然根据第19条第2款的宽泛条件是可能的,但却无助于实现确保公约获得尽可能广泛的适用这一预期目标,因此不应加以鼓励。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 126-130A/60/17,第126-130段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 28-46A/CN.9/571,第28-46段
Working Group IV, 43rd session (New York, 15-19 March 2004)第四工作组,第43届会议(2004年3月15日至19日,纽约)
A/CN.9/548, paras. 27-37A/CN.9/548,第27-37段
Article 20. Communications exchanged under other international conventions第20条. 根据其他国际公约进行的通信往来
1. Origin and purpose of the article1. 本条的起源和宗旨
287. When it first considered the possibility of further work on electronic commerce after the adoption of the UNCITRAL Model Law on Electronic Signatures, UNCITRAL contemplated, among other issues, a topic broadly referred to as “electronic contracting” and measures that might be needed to remove possible legal obstacles to electronic commerce under existing international conventions.287. 贸易法委员会《电子签字示范法》通过后,委员会最初考虑就电子商务进一步开展工作的可能性时,除其他问题外,曾设想过一个统称为“电子订约”的专题,并设想了为消除现行国际公约中可能妨碍电子商务的法律障碍而可能需要采取的措施。
After UNCITRAL Working Group IV (Electronic Commerce) had reviewed the initial draft of what later became the Electronic Communications Convention, at its thirty-ninth session (see A/CN.9/509, paras. 18-125), and following the Secretariat’s survey of possible legal obstacles to electronic commerce under existing international conventions (see A/CN.9/WG.IV/WP.94) at its fortieth session (see A/CN.9/527, paras. 24-71), the Working Group agreed that UNCITRAL should attempt to identify the common elements between removing legal barriers to electronic commerce in existing instruments and a possible international convention on electronic contracting, and that both projects should as much as possible be carried out simultaneously (see also A/CN.9/527, para. 30 and A/CN.9/546, para. 34).贸易法委员会第四工作组(电子商务)在第三十九届会议上(见A/CN.9/509,第18-125段)审查了后来成为《电子通信公约》的初稿,并在第四十届会议上(见A/CN.9/527,第24-71段)审查了秘书处对现行国际公约中有可能妨碍电子商务的法律障碍所作的调查(见A/CN.9/WG.IV/WP.94)之后,工作组一致认为,贸易法委员会应设法确定消除现行文书中妨碍电子商务的法律障碍与可能拟订一项电子订约国际公约之间的共同之处,并尽可能同时开展这两个项目(另见A/CN.9/527,第30段;A/CN.9/546,第34段)。
It was eventually agreed that the Convention should incorporate provisions aimed at removing possible legal obstacles to electronic commerce that might arise under existing international trade-related instruments.最后商定应在公约中列入有关条文,以便消除根据与贸易有关的现行国际文书或许会产生的可能妨碍电子商务的法律障碍。
288. One of the objectives of the work of UNCITRAL towards the removal of possible legal obstacles to electronic commerce in existing international instruments was to formulate solutions that obviated the need for amending individual international conventions.288. 贸易法委员会为了消除现行国际文书中可能妨碍电子商务的法律障碍而开展的工作的目标之一,是提出可避免修订各个国际公约的解决办法。
Article 20 of the Electronic Communications Convention intends to offer a possible common solution for some of the legal obstacles to electronic commerce under existing international instruments that had been identified by the Secretariat in its above-mentioned survey (see A/CN.9/527, paras. 33-48).《电子通信公约》第20条旨在为消除秘书处在上述调查中发现的现行国际文书中妨碍电子商务的某些法律障碍提供一种可能的共同解决办法(见A/CN.9/527,第33-48段)。
289. The intended effect of the Convention in respect of electronic communications relating to contracts covered by other international conventions is not merely to interpret terms used elsewhere, but to offer substantive rules that allow those other conventions to operate effectively in an electronic environment (see A/CN.9/548, para. 51).289. 在与其他国际公约所涵盖的合同有关的电子通信方面,公约的预期效果不仅是对其他各处使用的术语进行解释,而且是提出一些实质性规则,允许这些其他公约在电子环境下有效发挥作用(见A/CN.9/548,第51段)。
However, article 20 is not meant to formally amend any international convention, treaty or agreement, whether or not listed in paragraph 1, or to provide an authentic interpretation of any other international convention, treaty or agreement.但第20条的目的并不是要对第1款列入的和未列入的任何国际公约、条约或协定进行正式修订,也不是要对任何其他国际公约、条约或协定作出权威性解释。
2. Relationship between the Convention and other conventions, treaties or agreements2. 公约与其他公约、条约或协定之间的关系
290. The combined effect of paragraphs 1 and 2 of article 20 of the Electronic Communications Convention is that, by ratifying the Convention, and except as otherwise declared, a State would automatically undertake to apply the provisions of the Convention to electronic communications exchanged in connection with any of the conventions listed in paragraph 1 or any other convention, treaty or agreement to which a State is or may become a contracting State.290. 《电子通信公约》第20条第1款和第2款的共同效果是,通过批准公约,除非另有声明,一国即自动保证将公约的条文适用于与第1款所列任何公约或该缔约国加入或可能加入的任何其他公约、条约或协定有关的电子通信交换。
These provisions aim at providing a domestic solution for a problem originating in international instruments. They are based on the recognition that domestic courts already interpret international commercial law instruments.这些条文的目的是为国际文书中出现的问题提供一种国内解决办法,其基础是承认国内法院已经对国际商业法律文书作出解释。
Paragraphs 1 and 2 of article 20 of the Electronic Communications Convention ensure that a contracting State would incorporate into its legal system a provision that directs its judicial bodies to use the provisions of the Convention to address legal issues relating to the use of data messages in the context of other international conventions (see A/CN.9/548, para. 49).《电子通信公约》第20条第1款和第2款确保缔约国将在其法律制度中纳入一则条文,以此指示本国司法机关使用公约的各项条款来解决在其他国际公约的场合下与使用数据电文相关联的法律问题(见A/CN.9/548,第49段)。
291. Article 20 does not list which provisions of the Electronic Communications Convention can or should be applied to electronic communications exchanged in connection with contracts governed by other conventions, treaties and agreements.291. 第21条没有列明《电子通信公约》的哪些条文可以或应当适用于与其他公约、条约或协定所管辖的合同有关的电子通信交换。
Such a list, however valuable in theory, would have been extremely difficult to draw up, in view of the diversity of the contractual matters covered by existing conventions.鉴于现有各项公约所涉合同事项的多样性,这种清单虽然在理论上有其价值,但却极难拟订。
The Electronic Communications Convention therefore leaves it for a body applying the Convention to establish which of its provisions might be relevant in respect of the exchange of electronic communications to which other conventions also apply.因此,《电子通信公约》把确定哪些条文可能与其他公约也适用的电子通信交换有关的问题留给适用公约的机构来解决。
It is expected that if any provision in the Electronic Communications Convention is not appropriate for certain transactions, that circumstance should be clear to a reasonable person applying that Convention (see A/CN.9/548, para. 55).如果《电子通信公约》中有哪条规定不适合某些交易,预计任何头脑清楚的人在适用公约时都能看清此类情形(见A/ CN.9/548,第55段)。
3. The list of conventions in paragraph 13. 第1款列出的公约
292. The list in paragraph 1 of article 20 has been included merely for purposes of clarity.292. 第20条第1款中的公约只是为了清楚起见才列入的。
Parties to contracts falling under the scope of application of the Electronic Communications Convention to which any of these conventions also apply will therefore know beforehand that the electronic communications exchanged by them will benefit from the favourable regime provided by the Convention.因此,任何一项合同如果既属于《电子通信公约》的适用范围,又适用第1款所列之任何公约,则其当事人将事先知道他们之间交换的电子通信将从公约规定的优惠制度中获益。
293.
Five of the conventions listed in paragraph 1 resulted from the work of UNCITRAL: the Convention on the Limitation Period in the International Sale of Goods (“Limitation Convention”); the United Nations Convention on Contracts for the International Sale of Goods (“United Nations Sales Convention”); the United Nations Convention on the Liability of Operators of Transport Terminals in International Trade (“Terminal Operators Convention”); the United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (“Guarantees Convention”);293. 第1款所列的公约中有五项公约是贸易法委员会的工作成果:《国际货物销售时效期限公约》(“时效公约”);《联合国国际货物销售合同公约》(“联合国销售公约”);《联合国国际贸易运输港站经营人赔偿责任公约》(“港站经营人公约”);《联合国独立担保和备用信用证公约》(“担保公约”);《联合国国际贸易应收款转让公约》(“应收款公约”)。
and the United Nations Convention on the Assignment of Receivables in International Trade (“Receivables Convention”). The Convention on the Recognition and Enforcement of Foreign Arbitral Awards (“New York Convention”) was not prepared by UNCITRAL, but is directly related to its mandate.《承认及执行外国仲裁裁决公约》(“纽约公约”)不是贸易法委员会编定的,但与其职权范围直接相关。
294. The fact that two of these conventions have not yet entered into force, namely the Terminal Operators Convention and the Receivables Convention, was not regarded as an obstacle to their inclusion in the list.294. 其中有两份公约,即《港站经营人公约》和《应收款公约》尚未生效,但这并不妨碍将之列入这一清单。
Indeed, there were several precedents for references in a convention to international instruments that had not yet entered into force at the time the new convention was drafted.实际上,拟定一份新公约时在该公约中提及尚未生效的国际文书,这方面已有若干先例。
One example that had resulted from the work of UNCITRAL was the preparation, at the time of the finalization of the United Nations Sales Convention, in 1980, of a protocol to adapt the Limitation Convention, of 1974, at that time not yet in force, to the regime of the United Nations Sales Convention (see A/CN.9/548, para. 57).其中一个源于贸易法委员会工作的例子是,在1980年最后审定《联合国销售公约》时曾拟订了一份议定书,对当时尚未生效的1974年《时效公约》作了调整,使之适合《联合国销售公约》的制度(见A/CN.9/548,第57段)。
295. Two of the conventions prepared by UNCITRAL were not included in the list: the United Nations Convention on International Bills of Exchange and International Promissory Notes (New York, 9 December 1988); and the United Nations Convention on the Carriage of Goods by Sea (Hamburg, 31 March 1978).295. 有两份贸易法委员会起草的公约没有被包括在内:《联合国国际汇票和国际本票公约》(1988年12月9日,纽约)和《联合国海上货物运输公约》(1978年3月31日,汉堡)。
UNCITRAL considered that the possible problems related to the use of electronic communications under those conventions, as well as under other international conventions dealing with negotiable instruments or transport documents, might require specific treatment and that it might not be appropriate to attempt to address those problems in the context of the Electronic Communications Convention (see A/CN.9/527, para. 29; see also A/CN.9/527, paras. 24-71).贸易法委员会认为,对于根据这些公约以及涉及可转让单证或运输单证的其他国际公约使用电子通信可能产生的问题,或许需要特别处理,因此《电子通信公约》似不宜述及这些问题(见A/CN.9/527,第29段;另见A/CN.9/527,第24-71段)。
4. General effect in respect of electronic communications related to contracts governed by other international conventions, treaties or agreements4. 对于与其他国际公约、条约或协定所管辖的合同有关的电子通信的一般效果
296. The application of the provisions of the Electronic Communications Convention to electronic communications exchanged in connection with contracts covered by other international conventions, treaties or agreements was initially limited to electronic communications in the context of a contract covered by one of the conventions listed in paragraph 1 of article 20.296. 《电子通信公约》条文对于与其他国际公约、条约或协定所涵盖的合同有关的电子通信的适用,起初仅限于第20条第1款所列的某个公约所涵盖的合同。
However, it was considered that in many legal systems, the Convention could be applied to the use of electronic communications in the context of contracts covered by any other international convention simply by virtue of article 1, without the need for a specific reference to a convention governing such a contract in article 20.不过,据认为,在许多法律制度中,仅根据第1条就可以将公约适用于在任何其他国际公约所涵盖的合同范围内使用的电子通信,而不必在第20条中具体提及管辖此类合同的公约。
297. Paragraph 2 of article 20 was therefore adopted with a view to expanding the scope of application of the Electronic Communications Convention and allowing the parties to a contract to which another legal instrument applied to benefit automatically from the enhanced legal certainty for the exchange of electronic communications that the Convention provided.297. 因此通过了第20条第2款,以扩大《电子通信公约》的适用范围,使适用另一个法律文书的合同的当事人能够自动获益于公约为电子通信交换所提供的更强的法律确定性。
Given the enabling nature of the provisions of the Convention, it was felt that States would be more likely to be inclined to extending its provisions to trade-related instruments than to excluding their application to other instruments.鉴于公约各项条文的授权性质,各国可能更倾向于将公约各项条文扩大至适用于与贸易有关的文书,而不是排除这些条文对其他文书的适用。
Under paragraph 2, such an expansion operates automatically, without the need for contracting States to submit numerous opt-in declarations to achieve the same result (see A/CN.9/571, para. 25).根据第2款,这种扩大是自动的,缔约国不必为此而提交许多选择适用的声明(见A/CN.9/571,第25段)。
298. Accordingly, in addition to those instruments which, for the avoidance of doubt, are listed in paragraph 1 of article 20, the provisions of the Convention also apply, pursuant to paragraph 2 of article 20, to electronic communications exchanged in connection with contracts covered by other international conventions, treaties or agreements, unless such application has been excluded by a contracting State.298. 因此,除了第20条第1款为了避免疑问而列出的文书外,公约的条文根据第20条第2款还适用于与其他国际公约、条约或协定所涵盖的合同有关而交换的电子通信,除非缔约国排除了此类适用。
299. Paragraph 2 of article 20 does not specify the nature of the other conventions, treaties or agreements in support of which the provisions of the Electronic Communications Convention may be extended, but the reach of the provision is narrowed down by the reference to electronic communications exchanged “in connection with the formation or performance of a contract”.299. 为了支持其他公约、条约或协定,可以扩大《电子通信公约》条文的适用范围,但第20条第2款没有规定此类其他公约、条约或协定的性质,但通过提及“与订立或履行……合同有关”而交换的电子通信,该款的范围已被缩小。
While it was generally understood that those other conventions, treaties or agreements primarily comprised other international agreements or conventions on private commercial law matters, it was felt that such a qualification should not be added, as it would unnecessarily restrict the application of paragraph 2.虽然普遍认为这些其他公约、条约和协定主要是关于商业私法事项的其他国际协定或公约,但据认为,不应加上这一限制,因为它将不必要地限制第2款的适用。
UNCITRAL considered that the Electronic Communications Convention could have value for many States in connection with contractual matters other than those relating strictly to private commercial law (see A/CN.9/548, para. 60).贸易法委员会认为,除了严格限制在商业私法范围内的事项以外,《电子通信公约》在其他合同事项上对于许多国家都可能具有价值(见A/CN.9/ 548,第60段)。
300. The last sentence of paragraph 2 of article 20 allows a contracting State to exclude the expanded application of the Convention.300. 第20条第2款最后一句使得缔约国可以排除公约的扩大适用。
The possibility has been added to take into account possible concerns of States that may wish to ascertain first whether the provisions contained in the Convention are compatible with their existing international obligations (see A/CN.9/548, para. 61).之所以列入这种可能性,是考虑到一些国家或许有顾虑,这些国家似宜首先确定公约各项条文是否与其现有的国际义务相一致(见A/CN.9/548,第61段)。
5. Specific exclusions or inclusions by contracting States5. 缔约国排除或列入具体的公约
301. Paragraph 3 of article 20 adds further flexibility by allowing States to add specific conventions to the list of international instruments to which they would apply the provisions of the Electronic Communications Convention — even if the State has submitted a general declaration under paragraph 2.301. 第20条第3款更加灵活,使得各国可以在适用《电子通信公约》条文的国际文书清单中增加具体的公约——即便该国已根据第2款提交了一般声明。
302. Paragraph 4 of article 20, in turn, has the opposite effect and allows States to exclude certain specific conventions identified in their declarations.302. 第20条第4款则具有相反的效果,使得各国可以排除其声明中所列的某些特定公约。
Declarations under paragraph 4 would exclude the application of the Electronic Communications Convention to the use of electronic communications in respect of all contracts to which the specified international convention or conventions apply.按照第4款所作的声明将把《电子通信公约》的适用范围排除在与指明的国际公约所适用的所有合同有关的电子通信的使用之外。
This provision does not contemplate the possibility for a contracting State to exclude only certain types or categories of contract covered by another international convention (see A/CN.9/571, para. 56).该条文并没有规定缔约国可以仅仅排除另一项国际公约所涵盖的某些合同类型或种类(见A/ CN.9/571,第56段)。
303. A declaration under paragraph 3 of article 20 would extend the application of the entire Electronic Communications Convention, as appropriate (see para. 291 above), to electronic communications exchanged in connection with contracts governed by the conventions, treaties or agreements specified in that State’s declaration.303. 按照第20条第3款所作的声明将视情况(见上文第291段)而把整个《电子通信公约》的适用范围扩大到与该国声明中所列的公约、条约或协定所适用的一切合同有关的电子通信的使用。
A contracting State making such a declaration is not allowed to choose which of the provisions of the Convention would be extended, as it was considered that such an approach would create uncertainty as to which provisions of the Convention applied in any given jurisdiction (see A/CN.9/548, para. 64).作出此类声明的缔约国不能选择将适用公约的哪些条文,因为据认为,这种办法将导致难以确定在某一法域适用公约的哪些条文(见A/CN.9/548,第64段)。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳
A/60/17, paras. 131 and 132A/60/17,第131-132段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, paras. 23-27 and 47-58A/CN.9/571,第23-27段,第47-58段
Working Group IV, 43rd session (New York, 15-19 March 2004)第四工作组,第43届会议(2004年3月15日至19日,纽约)
A/CN.9/548, paras. 38-70A/CN.9/548,第38-70段
Article 21. Procedure and effects of declarations第21条. 声明的程序和效力
1. Time and form of declarations1. 声明的时间和形式
304. Article 21 of the Electronic Communications Convention defines the manner of making a declaration under the Convention and of its withdrawal, as well as the time at which a declaration or its withdrawal becomes effective.304. 《电子通信公约》第21条规定了根据公约作出一项声明和撤回该声明的方式,以及一项声明或其撤回生效的时间。
305. Declarations under article 17, paragraph 4, article 19, paragraphs 1 and 2, and article 20, paragraphs 2, 3 and 4, may be made at any time.305. 任何时候均可根据第17条第4款、第19条第1和第2款以及第20条第2、第3和第4款作出声明。
Other declarations, such as under article 17, paragraph 2, and article 18, paragraph 1 (but not a later amendment thereof), must be made at the time of signature, ratification, acceptance or approval.其他声明,如根据第17条第2款和第18条第1款所作的声明(但不包括后来的更改),必须在签署、批准、接受或认可时作出。
Declarations made at the time of signature are subject to confirmation upon ratification, acceptance or approval.在签署时作出的声明须在批准、接受或认可时加以确认。
In the absence of confirmation such declarations will be without effect.未经确认的此类声明无效。
306. Several international treaties, including uniform law treaties such as the United Nations Sales Convention, generally authorize contracting States to submit declarations only at the time of the deposit of their instrument of ratification, acceptance, approval or accession.306. 若干国际条约,包括《联合国销售公约》等统一法条约在内,一般授权缔约国仅在交存批准书、接受书、认可书或加入书时提交声明。
This limitation is generally justified by the interest in simplifying the operation of the treaty, promoting legal certainty and uniform application of the treaty, which may be hampered by excessive flexibility in making, amending and withdrawing declarations.这种限制通常是为了简化条约的运作、促进条约的法律确定性和统一适用,而这可能会由于在作出、更改和撤回声明方面过于灵活而受到阻碍。
In the particular case of the Electronic Communications Convention, however, it was generally felt that in an area evolving as rapidly as the area of electronic commerce, in which technological developments rapidly change existing patterns of business and trade practices, it was essential to afford States a greater degree of flexibility in the application of the Convention.但特别就《电子通信公约》而言,大家普遍认为,在一个像电子商务这样迅速发展的领域,技术发展迅速改变了现有的商务模式和交易惯例,因此必须为各国在适用公约方面提供更大的灵活性。
A rigid system of declarations that required decisions to be made by States prior to the deposit of instruments of ratification, acceptance, approval or accession might either deter States from joining the Convention, or might prompt them to act in an overly cautious manner, thereby leading States to exclude automatically the application of the Convention in various areas that would have otherwise benefited from the favourable framework it provides for electronic communications.僵化的声明制度要求各国在交存批准书、接受书、认可书或加入书之前作出决定,而这可能会阻碍有些国家加入公约或者促使它们以过度谨慎的方式行事,从而导致一些国家在不同领域自动排除公约的适用,而这些领域本来是可以从公约为电子通信提供的有利框架中获益的。
307. According to paragraph 2 of article 21, declarations and confirmations of declarations must be in writing and formally notified to the depositary.307. 根据第21条第2款,声明及其确认必须以书面形式提出,并应正式通知保存人。
This provision also relates to declarations made at the time of accession, to which no reference was made in paragraph 1 of the article since accession presupposes the absence of signature.该条文还与在加入时作出的声明有关,由于加入是以没有签署为先决条件的,因此第1款并未提及这种声明。
2. When declarations take effect2. 声明何时生效
308. Paragraph 3 of article 21 lays down two rules of general application.308. 第21条第3款规定了具有一般适用性的两条规则。
The first sentence of paragraph 3, which provides that a declaration takes effect simultaneously with the entry into force of the Electronic Communications Convention in respect of the State concerned, contemplates the normal case of a declaration made at the time of signature, ratification, acceptance or accession which will precede the entry into force of the Convention in respect of that State.第3款第一句规定,所作声明在《电子通信公约》对该国开始生效时同时生效,其中设想的是在公约对该国生效之前在签署、批准、接受或加入时作出声明的通常情况。
309.
In accordance with the second sentence of paragraph 3 of article 21, a declaration that is notified to the depositary after the entry into force of the Convention in respect of the State concerned takes effect on the first day of the month following the expiration of six months after the date of its receipt by the depositary, a rule which has the advantage of giving other contracting States some time to become aware of the change in the law of the State making the declaration.309. 根据第21条第3款第二句,保存人于公约对有关国家生效后收到所通知的声明,将于保存人收到该项声明之日起满六个月后的下一个月第一日生效。 这条规则的优点在于它给了其他缔约国一定的时间来注意作出声明的国家法律上的变化。
UNCITRAL did not accept a proposal to reduce to three months the time when declarations lodged after the entry into force of the convention should take effect, as it was felt that three months could not be adequate time to allow for adjustment in certain business practices.贸易法委员会没有接受关于将在公约生效后所作的声明的生效期限缩短到三个月的建议,因为据认为,在某些商业实务中,三个月的时间可能尚不足以作出调整。
310. Paragraph 4 of article 21 constitutes a pendant to paragraph 2 and the second sentence of paragraph 3 in that it permits the withdrawal by a State at any time of a declaration by formal notification in writing addressed to the depositary, such withdrawal taking effect on the first day of the month following the expiration of six months after the date of the receipt of the notification by the depositary.310. 第21条第4款是对第2款和第3款第二句的一种补充,因为它允许一国在任何时候以书面形式正式通知保存人而撤回一项声明,此种撤回将于保存人收到通知之日起满六个月后的下一个月第一日生效。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 137-141A/60/17,第137-141段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, para. 10A/CN.9/571,第10段
Article 22. Reservations第22条. 保留
1. Reservations not authorized1. 不允许提出保留
311. Article 22 of the Electronic Communications Convention excludes the right of contracting States to make reservations to the Convention.311. 《电子通信公约》第22条否定了缔约国对公约提出任何保留的权利。
The intention of the provision is to prevent States from limiting the application of the Convention by making reservations beyond the declarations specifically provided for in articles 17 to 20.这条规定旨在防止各国通过提出第17条至第20条具体规定的声明以外的保留而使公约不适用。
312. Although it could be argued that an express statement of the rule was not necessary, as it might be considered to be implicit in the Convention, its presence certainly excludes any ambiguity which might otherwise exist in the light of article 19 of the Vienna Convention on the Law of Treaties, which permits the formulation of reservations unless (a) the reservation is prohibited by the treaty; (b) the treaty provides that only specific reservations, which do not include the reservation in question, may be made; or (c) in cases not falling under subparagraphs (a) and (b), the reservation is incompatible with the object and purpose of the treaty.312. 尽管可以说并无必要明确申明这条规则,因为不妨认为公约已经暗含了这条规则,但它的存在显然消除了由于《维也纳条约法公约》第19条的规定而可能产生的任何模糊性,该条允许提出保留,除非:(a)条约禁止提出保留;(b)条约规定只可提出不包括该项保留在内的特定保留;或者(c)在不属于(a)和(b)项的其他情形下,保留不符合条约的目的与宗旨。
313. The effect of article 22 of the Electronic Communications Convention, therefore, is to bring the Convention squarely within the ambit of article 19, subparagraph (a), of the Vienna Convention on the Law of Treaties.313. 因此《电子通信公约》第22条的效果是将公约明确纳入了《维也纳条约法公约》第19(a)条的范围。
Article 22 of the Electronic Communications Convention excludes any implied right that States might otherwise have under article 19 of the Vienna Convention on the Law of Treaties to make reservations allegedly not “incompatible with the object and purpose of the treaty”.《电子通信公约》第22条排除了任何隐含的权利,使各国不可能提出《维也纳条约法公约》第19条规定的“不符合条约的目的与宗旨”的保留。
Any such purported reservation by a contracting State to the Electronic Communications Convention must therefore be deemed ineffective.因此,《电子通信公约》缔约国提出任何此种所谓的保留,必须被视为无效。
2. Distinction between reservations and declarations2. 保留与声明之间的区别
314. As indicated above, article 22 of the Electronic Communications Convention clearly excludes any reservation to the Convention.314. 如上所述,《电子通信公约》第22条明确排除了对公约的任何保留。
However, it does not affect the right of States to make any of the declarations authorized by the Convention, which do not have the effect of reservations.但它并不影响各国根据公约授权作出任何声明的权利,只不过这些声明不具有保留的效力。
While this distinction is not always made in general treaty practice, it has become customary for conventions on private international law and commercial law matters to differentiate between declarations and reservations.虽然一般条约实践并不总是作这种区分,但有关国际私法和商法事项的公约区分声明和保留已成一种习惯做法。
315. Unlike most multilateral treaties negotiated by the United Nations, which are typically concerned with relations between States and other matters of public international law, conventions on private international law and commercial law matters deal with law that applies to private business transactions and not to State actions, and are typically intended to be incorporated into the domestic legal system.315. 经联合国谈判达成的大多数多边条约一般涉及各国之间的关系和国际公法的其他事项,而关于国际私法和商法事项的公约则与之不同,它们涉及的是适用于私人商务交易而不是国家行为的法律,这些公约的目的往往是纳入到国内法律制度中。
In order to facilitate coordination between existing domestic law and the provisions of an international convention on commercial law or related matters, States are often given the right to make declarations, for example for the purpose of excluding certain matters from the scope of the convention.为了促进现行国内法与关于商法或相关事项的国际公约之间的协调,往往赋予各国作出声明的权利,例如为了将某些事项排除在公约范围之外而作出声明。
316.
Recent provisions in UNCITRAL instruments confirm this practice, such as articles 25 and 26 of the Guarantees Convention and articles 35 to 43 (except for article 38) of the Receivables Convention, in the same way as final clauses in private international law instruments prepared by other international organizations, such as articles 54 to 58 of the Unidroit Convention on International Interests in Mobile Equipment (Cape Town, 2001) and articles 21 and 22 of the Convention on the Law Applicable to Certain Rights in respect of Securities held with an Intermediary (The Hague, 2002) concluded by the Hague Conference on Private International Law.316. 贸易法委员会文书中最近的一些条款确认了这种做法,如《担保公约》第25和第26条及《应收款公约》第35至第43条(不包括第38条),这与其他国际组织拟订的国际私法文书中最后条款的方法相同,如国际统一私法协会《移动设备国际利益公约》(2001年,开普敦)第54至第58条,以及海牙国际私法会议缔结的《中间人代持证券所涉某些权利的法律适用公约》(2002年,海牙)第21和第22条。
317. This distinction is important because reservations to international treaties typically trigger a formal system of acceptances and objections, for instance as provided in articles 20 and 21 of the Vienna Convention on the Law of Treaties.317. 这种区分很重要,因为对国际条约的保留往往会引发建立一种正式的接受和反对制度,如《维也纳条约法公约》第20和第21条的规定。
This result would lead to considerable difficulties in the area of private international law, as it might reduce the ability of States to agree on common rules allowing them to adjust the provisions of an international convention to the particular requirements of their domestic legal system.这种结果会给国际私法领域带来重重困难,因为各国要商定一项普通规则,以调整一项国际公约的条文,使之符合其国内法律制度的特定要求,而这种结果会降低各国商定这种普通规则的能力。
Therefore, the Electronic Communications Convention follows this growing practice and distinguishes between declarations pertaining to the scope of application, which the Convention admits and does not subject to a system of acceptances and objections by other contracting States, on the one hand, and reservations, on the other hand, which the Convention excludes (see also A/CN.9/571, para. 30).因此,《电子通信公约》采用了这一日益普遍的做法,对声明和保留进行了区分,前者涉及适用范围,公约予以承认,并且不受其他缔约国接受和反对制度的约束,而后者则被公约排除在外(另见A/CN./ 571,第30段)。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 142 and 143A/60/17,第142-143段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, para. 10A/CN.9/571,第10段
Article 23.第23条. 生效
Entry into force
1. Time of entry into force of the Convention1. 公约生效的时间
318. The basic provisions governing the entry into force of the Electronic Communications Convention are laid down in article 23, paragraph 1.318. 《电子通信公约》第23条第1款阐明了公约生效方面的基本规定。
The paragraph provides that the Convention will enter into force on “the first day of the month following the expiration of six months after the deposit of the third instrument of ratification, acceptance, approval or accession”.该款规定公约将于“第三件批准书、接受书、认可书或加入书交存之日起满六个月后的下一个月第一日生效”。
319. Existing UNCITRAL conventions require as few as three and as many as 10 ratifications for entry into force.319. 现有贸易法委员会公约的生效需要少至3个多至10个国家的批准。
In choosing a number of three ratifications, UNCITRAL followed the modern trend in commercial law conventions, which promotes their application as early as possible to those States that seek to apply such rules to their commerce.贸易法委员会选择要求三个国家批准,是遵循了商法公约的现代趋势,即促进公约尽早适用于希望将其规则适用于本国商业的国家。
A six-month period from the date of deposit of the third instrument of ratification, acceptance, approval or accession is provided so as to give States that become parties to the Convention sufficient time to notify all the national organizations and individuals concerned that a convention that would affect them would soon enter into force.规定自第三件批准书、接受书、认可书或加入书交存之日起六个月的期限,是为了使成为公约缔约国的国家有足够的时间向所有有关国家组织和个人发出通知,通报将有一项与之有关的公约于不久后生效。
2. Entry into force for States that adhere to the Convention after it has entered into force2. 公约生效后对加盟公约的国家的生效办法
320. Paragraph 2 of article 23 deals with the entry into force of the Electronic Communications Convention as regards those States that become parties thereto after the time for its entry into force under paragraph 1 has already started.320. 第23条第2款规定《电子通信公约》在按照第1款开始生效后对成为公约缔约国的国家的生效问题。
In respect of such States, the Convention will enter into force on the first day of the month following the expiration of six months after the date of the deposit of their instrument of ratification, acceptance, approval or accession.对于这些国家,公约将在其交存批准书、接受书、认可书或加入书之日起满六个月后的下一个月第一日生效。
For example, if a State deposits an instrument of ratification five months before the entry into force of the Convention under paragraph 1 of article 23, the Convention will enter into force for that State on the first day of the month following the expiration of one month after the Convention has entered into force.举例来说,如果一个国家在公约按照第23条第1款生效之前五个月交存批准书,则公约将于生效之日起满一个月后的下一个月第一日对该国生效。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 148-150A/60/17,第148-150段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, para. 10A/CN.9/571,第10段
Article 24. Time of application第24条. 适用时间
321. While article 23 is concerned with the entry into force of the Electronic Communications Convention as regards the international obligations of the contracting States arising under the Convention, article 24 determines the point in time when the Convention commences to apply in respect of the electronic communications governed by it.321. 第23条述及《电子通信公约》对缔约国在公约下承担的国际义务的生效问题,第24条则确定了公约开始对其所管辖的电子通信适用的时间。
As expressly indicated in article 24, the Convention only applies prospectively, that is to electronic communications that are made after the date when the Convention entered into force.第24条明确规定,公约仅对未来适用,即适用于在公约生效之后所进行的电子通信。
322. The words “in respect of each Contracting State” are intended to make it clear that the article refers to the time when the Convention enters into force in respect of the contracting State in question, and not when the Convention enters into force generally.322. “对每一缔约国”一语旨在进一步明确,本条提及的是公约对有关缔约国生效的时间,而不是其总体生效的时间。
This clarification is to avoid the erroneous interpretation that the Convention would have retrospective application in respect of States that adhere to the Convention after it has already entered into force pursuant to article 23, paragraph 1.这一澄清是为了避免产生错误理解,误认公约对于在公约已经按照第23条第1款生效后才加盟公约的国家追溯适用。
The words “each Contracting State” are further to be understood as referring to the contracting State whose laws apply to the electronic communication in question.“每一缔约国”一语还应进一步理解为是指本国法律适用于有关的电子通信的缔约国。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 151-155A/60/17,第151-155段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, para. 10A/CN.9/571,10段
Article 25.第25条. 退约
Denunciations
323. Paragraph 1 of article 25 of the Electronic Communications Convention provides that a State may denounce the Convention by a formal notification in writing addressed to the depositary.323. 《电子通信公约》第1款规定缔约国可以书面形式正式通知保存人,宣布其退出公约。
Denunciation of the Convention will take effect on the first day of the month following the expiration of 12 months after the notification is received by the depositary, unless such notification specifies a longer period for the denunciation to take effect.退约将于保存人收到通知之日起满十二个月后的下一个月第一日起生效,除非该通知指明退约的生效需要更长期限。
The period of 12 months mentioned in paragraph 2 of article 25, which is twice the period for entry into force of the Convention under article 23, is intended to give sufficient time to all concerned, both in the denouncing State and in other contracting States, to become aware of the change in the legal regime applicable to electronic communications in that State.第25条第2款提到的十二月的期限是第23条规定的公约生效期限的两倍,其目的在于使退约国和其他缔约国的有关各方有充分的时间注意到该国适用于电子通信的法律制度的变化。
324. Although article 23 requires three contracting States for the Convention to enter into force, nothing is said as to the fate of the Convention should the number of contracting parties subsequently fall below three, for example as a result of denunciations with a view to the acceptance of a new instrument intended to supersede the Convention.324. 虽然第23条规定公约的生效需要有三个缔约国批准,但并没有提及若以后缔约国的数量减少至三个以下(如为了接受旨在取代公约的新文书而退约),公约的结局将为如何。
It would however seem that the Convention would remain in force since article 55 of the Vienna Convention on the Law of Treaties provides that “unless the treaty otherwise provides, a multilateral treaty does not terminate by reason only of the fact that the number of parties falls below the number necessary for its entry into force.”不过,看来公约将继续有效,因为《维也纳条约法公约》第55条规定,“除条约另有规定外,多边条约并不仅因其缔约国数目减少至生效所必需之数目以下而终止”。
References to preparatory work前期工作参考
UNCITRAL, 38th session (Vienna, 4-15 July 2005)贸易法委员会,第38届会议(2005年7月4日至15日,维也纳)
A/60/17, paras. 156 and 157A/60/17,第156-157段
Working Group IV, 44th session (Vienna, 11-22 October 2004)第四工作组,第44届会议(2004年10月11日至22日,维也纳)
A/CN.9/571, para. 10A/CN.9/571,第10段
* The present explanatory note has been prepared by the secretariat of the United Nations Commission on International Trade Law (UNCITRAL) for information purposes. It is not an official commentary on the Convention.* 本解释性说明是联合国国际贸易法委员会(贸易法委员会)编写的,仅供参考,不是公约的正式评注。
1 United Nations, Treaty Series, vol. 1489, No. 25567.1 联合国,《条约汇编》,第1489卷,第25567号。
2 For the text of the Model Law, see General Assembly resolution 51/162 of 16 December 1996, annex.2 《示范法》文本见大会1996年12月16日第51/162号决议附件。
The text is also published in the Official Records of the General Assembly, Fifty-first Session, Supplement No. 17 (A/51/17), annex I, and in the UNCITRAL Yearbook, vol. XXVII:1996 (United Nations publication, Sales No. E.98.V.7), part three, annex I).该文本还发表于《大会正式记录,第五十一届会议,补编第17号》(A/51/17)附件一,以及《国际贸易法委员会年鉴》第二十七卷:1996年(联合国出版物,出售品编号:E.98.V.7),第三部分,附件一)。
The Model Law and its accompanying Guide to Enactment have been published as a United Nations publication, Sales No. E.99.V.4, and are available in electronic form on the UNCITRAL website (http://www.uncitral.org/uncitral/en/uncitral_texts/electronic_commerce/1996Model.html).《示范法》及其《颁布指南》已经作为联合国出版物出版,出售品编号:E.99.V.4,其电子版可在国际贸易法委员会网站上查阅(http:www.uncitral.org/uncitral/en/uncitral_texts/ electronic_commerce/1996Model.html)。
3 Official Records of the General Assembly, Fifty-fifth Session, Supplement No. 17 (A/55/17), paras. 384-388.3 《大会正式记录,第五十五届会议,补编第17号》(A/55/17),第384-388段。
4 United Nations publication, Sales No. E.95.V.18.4 联合国出版物,出售品编号E.95.V.18。
5 Ibid., Sales No. E.93.V.6.5 同上,出售品编号E.93.V.6。
6 Official Records of the General Assembly, Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), para. 293.6 《大会正式记录,第五十六届会议,补编第17号》和更正(A/56/17和Corr.3),第293段。
7 Ibid., para. 295.7 同上,第295段。
8 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), para. 206.8 同上,《第五十七届会议,补编第17号》(A/57/17),第206段。
9 Ibid., para. 207.9 同上,第207段。
10 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 211.10 同上,《第五十八届会议,补编第17号》(A/58/17),第211段。
11 Ibid., para. 212.11 同上,第212段。
12 Ibid., para. 213.12 同上,第213段。
13 Ibid., para. 214.13 同上,第214段。
14 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 71.14 同上,《第五十九届会议,补编第17号》(A/59/17),第71段。
15 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), paras. 12-167.15 同上,《第六十届会议,补编第17号》(A/60/17),第12-167段。
16 Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), paras. 291-295.16 同上,《第五十六届会议,补编第17号》和更正(A/56/17和Corr.3),第291至295段。
17 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), chap. III.17 同上,《第六十届会议,补编第17号》(A/60/17),第三章。
18 A/CN.9/578 and Add.1-17.18 A/CN.9/578和Add.1至17。
19 Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 167.19 《大会正式记录,第六十届会议,补编第17号》(A/60/17),第167段。
20 Ibid., annex I.20 同上,附件一。
21 United Nations, Treaty Series, vol. 330, No. 4739.21 联合国《条约汇编》,第330卷,第4739号。
22 Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 23.22 《大会正式记录,第六十届会议,补编第17号》(A/60/17),第23段。
23 United Nations, Treaty Series, vol. 834, No. 11929.23 联合国《条约汇编》,第834卷,第11929号。
24 See Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 20.24 见《大会正式记录,第六十届会议,补编第17号》(A/60/17),第20段。
25 Ibid., para. 19.25 同上,第19段。
26 Ibid., para. 29.26 同上,第29段。
27 Official Records of the United Nations Conference on Contracts for the International Sale of Goods, Vienna, 10 March-11 April 1980: Documents of the Conference and Summary Records of the Plenary Meetings and of the Meetings of the Main Committees (United Nations publication, Sales No. E.81.IV.3), part one, sect. D, art. 2, commentary.27 《联合国国际货物销售合同公约会议正式记录,1980年3月10日至4月11日:会议文件和全体会议及主要委员会会议简要记录》(联合国出版物,出售品编号:E.81.IV.3),第一部分,D节,第2条,评注。
28 Ibid., para. 27.28 同上,第27段。
29 Ibid., para. 33.29 同上,第33段。
30 Ibid., para. 32.30 同上,第32段。
31 United Nations publication, Sales No. E.99.V.3.31 联合国出版物,出售品编号E.99.V.3。
32 See Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 37.32 见《大会正式记录,第六十届会议,补编第17号》(A/60/17),第37段。
33 Ibid., para. 43.33 同上,第43段。
34 Ibid., para. 41.34 同上,第41段。
35 Ibid., para. 46.35 同上,第46段。
36 Ibid., para. 47.36 同上,第47段。
37 Ibid., para. 49.37 同上,第49段。
38 Ibid., para. 52.38 同上,第52段。
39 Ibid., para. 58.39 同上,第58段。
40 For a detailed description of digital signatures and their applications, see the Guide to Enactment of the UNCITRAL Model Law on Electronic Signatures, paras. 31-62 (United Nations publication, Sales No. E.02.V.8).40 关于数字签字及其应用的详细介绍,见《贸易法委员会电子签字示范法颁布指南》,第31-62段(联合国出售品编号:E.02.V.8)。
41 See Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 61.41 见《大会正式记录,第六十届会议,补编第17号》(A/60/17),第61页。
42 Ibid., paras. 63 and 64.42 同上,第63和64段。
43 Ibid., para. 66.43 同上,第66段。
44 Ibid., para. 67.44 同上,第67段。
45 Ibid., paras. 65-67.45 同上,第65-67段。
46 Ibid., para. 78.46 同上,第78段。
47 See, on this particular point, a comparative study conducted by the Secretariat contained in document A/CN.9/WG.IV/WP.104/Add.2, paras. 10-31, available at http://www.uncitral.org/uncitral/en/commission/working groups/4Electronic Commerce.html.47 关于这一点,见A/CN.9/WG.IV/WP.104/Add.2第10-31段中所载由秘书处进行的比较研究,可查阅http://www.uncitral.org/uncitral/en/commission/working_groups/4Electronic_commerce.html。
48 See the Guide to Enactment of the UNCITRAL Model Law on Electronic Commerce (United Nations publication, Sales No. E.99.V.4), para. 103.48 见《贸易法委员会电子商务示范法颁布指南》(联合国出版物,出售品编号:E.99.V.4),第103段。
49 See Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 80.49 见《大会正式记录,第六十届会议,补编第17号》(A/60/17),第80段。
50 See James E. Byrne and Dan Taylor, ICC Guide to the eUCP: Understanding the Electronic Supplement to the UCP 500, (Paris, ICC Publishing S.A., 2002) (ICC publication No. 639), p. 54.50 见James E. Byrne and Dan Taylor, ICC Guide to the eUCP: Understanding the Electronic Supplement to the UCP 500, (Paris, ICC Publishing S.A., 2002) (ICC publication No.639),第54页。
51 See Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 82.51 见《大会正式记录,第六十届会议,补编第17号》(A/60/17),第82段。
52 Ibid., para. 83.52 同上,第83段。
53 Ibid., para. 87.53 同上,第87段。
54 United Nations Sales Convention, article 14, paragraph 1.54 《联合国销售公约》,第14条第1款。
55 See Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 94.55 见《大会正式记录,第六十届会议,补编第17号》(A/60/17),第94段。
56 Unidroit Principles of International Commercial Contracts, arts. 3.5 and 3.6.56 《统法协会国际商事合同通则》,第3.5和3.6条。
57 See Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 96.57 见《大会正式记录,第六十届会议,补编第17号》(A/60/17),第96段。
58 Ibid., para. 97.58 同上,第97段。
59 Ibid., para. 98.59 同上,第98段。
60 Ibid., para. 100.60 同上,第100段。
61 Ibid., para. 103.61 同上,第103段。
62 Ibid., para. 102.62 同上,第102段。
63 Ibid., para. 104.63 同上,第104段。
64 See United Nations Juridical Yearbook, 1973 (United Nations publication, Sales No. E.75.V.1), part two, chap. IV, sect. A.3 (p. 79, note 9), and ibid., 1974 (United Nations publication, Sales No. E.76.V.1), part two, chap. VI, sect. A.9 (pp. 157-159).64 见《联合国法律年鉴,1973年》(联合国出版物,出售品编号:E.75.V.1),第二部分,第四章,A.3节(第79页,注9),以及同上,1974年(联合国出版物,出售品编号:E.76.V.1),第二部分,第六章,A.9节(第157-159页)。
65 Available at http://www.unidroit.org/english/conventions/mobile-equipment/main.htm.65 见http://www.unidroit.org/english/conventions/mobile-equipment/main.htm。
66 See Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 113.66 见《大会正式记录,第六十届会议,补编第17号》(A/60/17),第113段。
67 Ibid., para. 114.67 同上,第114段。
68 Ibid., para. 116.68 同上,第116段。
69 Ibid., para. 116.69 同上,第116段。
70 Ibid., para. 115.70 同上,第115段。
71 Ibid., para. 117.71 同上,第117段。
72 Ibid., para. 115.72 同上,第115段。
73 Ibid., para. 118.73 同上,第118段。
74 Ibid., para. 119.74 同上,第119段。
75 Ibid., para. 122.75 同上,第122段。
76 Ibid., para. 125.76 同上,第125段。
77 Ibid., para. 128.77 同上,第128段。
78 Ibid.78 同上。
79 Ibid., para. 129.79 同上,第129段。
80 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 213.80 同上,《第五十八届会议,补编第17号》(A/58/17),第213段。
81 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 71.81 同上,《第五十九届会议,补编第17号》(A/59/17),第71段。
82 United Nations, Treaty Series, vol. 1511, No. 26119.82 联合国,《条约汇编》,第1511卷,第26119号。
83 Ibid., vol. 1489, No. 25567.83 联合国,《条约汇编》,第1489卷,第25567号。
84 United Nations publication, Sales No. E.95.V.15.84 联合国出版物,出售品编号E.95.V.15。
85 General Assembly resolution 50/48, annex.85 大会第50/48号决议,附件。
86 General Assembly resolution 56/81, annex.86 大会第56/81号决议,附件。
87 United Nations, Treaty Series, vol. 330, No. 4739.87 联合国,《条约汇编》,第330卷,第4739号。
88 General Assembly resolution 43/165, annex.88 大会第43/165号决议,附件。
89 United Nations, Treaty Series, vol. 1695, No. 29215.89 联合国,《条约汇编》,第1695卷,第29215号。
90 Except for declarations under article 94, paragraph 1, and article 96 of the United Nations Sales Convention, which can be made at any time.90 根据《联合国销售公约》第94条第1款和第96条可在任何时候作出的声明除外。
91 Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 140.91 《大会正式记录,第六十届会议,补编第17号》(A/60/17),第140段。
92 United Nations, Treaty Series, vol. 1155, No. 18232.92 联合国,《条约汇编》,第1155卷,第18232号。
93 Available at http://www.unidroit.org/english/conventions/mobile-equipment/main.htm.93 见http://www.unidroit.org/english/conventions/mobile-equipment/main.htm。
94 Available at http://hcch.e-vision.nl/index_en.php?act=conventions.text&cid=72.94 见http://hcch.e-vision.nl/index/_en.php? act=conventions.text&cid=72。
95 See Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 143.95 见《大会正式记录,第六十届会议,补编第17号》(A/60/17),第143段。
96 Ibid., para. 149.96 同上,第149段。