A_61_17_EC
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A/61/17 V0655815.doc (english)A/61/17 V0655814.doc (chinese)
D;@VIE@In^#^20060714105029TAKAHA-E.TXTD;@VIE@In^#^20060714105029TAKAHA-C.TXT
United Nations联合国国际贸易法委员会
Report of the United Nations Commission on International Trade Law on the work of its thirty-ninth session第三十九届会议工作报告 2006年6月19日至7月7日
19 June-7 July 2006大会
General Assembly正式记录
Official Records Sixty-first session Supplement No. 17 (A/61/17)第六十一届会议 补编第17号(A/61/17)
General Assembly大 会
Official Records正式记录
Sixty-first session第六十一届会议
Supplement No. 17 (A/61/17)补编第17号(A/61/17)
United Nations New York, 2006联合国国际贸易法委员会
Report of the United Nations Commission on International Trade Law on the work of its thirty-ninth session第三十九届会议工作报告 2006年6月19日至7月7日
19 June-7 July 2006联合国 2006年,纽约
Note说明
Symbols of United Nations documents are composed of capital letters combined with figures.联合国文件用英文大写字母附加数字编号。
Mention of such a symbol indicates a reference to a United Nations document.提到这种编号,即指联合国的某一个文件。
ISSN 0251-9127ISSN 0251-916X
[Original:[原件:
English]英文]
[14 July 2006][2006年7月14日]
Contents目录
Chapter章次
Paragraphs段次
Page页次
Introduction导言
1-21-2
11
Organization of the session会议的组织
3-123-12
11
Opening of the session会议开幕
33
11
Membership and attendance成员和出席情况
4-84-8
11
Election of officers选举主席团成员
99
22
Agenda议程
1010
22
Establishment of two Committees of the Whole设立两个全体委员会
1111
33
Adoption of the report通过报告
1212
43
Preliminary approval of a draft UNCITRAL legislative guide on secured transactions初步核准贸易法委员会担保交易立法指南草案
13-8613-86
44
Approval of the substance of the recommendations of the draft UNCITRAL legislative guide on secured transactions核准贸易法委员会担保交易立法指南草案各项建议的实质内容
13-7813-78
44
Future work今后的工作
79-8679-86
1412
Finalization and adoption of legislative provisions on interim measures and the form of arbitration agreement and of a declaration regarding the interpretation of articles II (2) and VII (1) of the 1958 New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards最后审定并通过关于临时措施和仲裁协议形式的立法条文及关于解释1958年《关于承认和执行外国仲裁裁决的纽约公约》第二(2)条和第七(1)条的声明
87-18787-187
1513
Organization of deliberations审议工作安排
8787
1513
Consideration of the draft legislative provisions on interim measures关于临时措施的立法条文草案的审议情况
88-14588-145
1513
Consideration of the draft legislative provision on the form of arbitration agreement审议关于仲裁协议的形式要求的立法条文草案
146-176146-176
2421
Consideration of the draft declaration regarding the interpretation of articles II (2) and VII (1) of the New York Convention审议关于解释《纽约公约》第二(2)条和第七(1)条的声明草案
177-180177-180
2925
Adoption of legislative provisions and recommendation通过立法条文和建议
181181
3026
Future work in the field of settlement of commercial disputes今后在解决商事纠纷领域的工作
182-187182-187
3127
Procurement:采购:
progress report of Working Group I第一工作组进度报告
188-192188-192
3328
Transport law:运输法:
progress report of Working Group III第三工作组进度报告
193-200193-200
3429
Possible future work in the area of electronic commerce今后在电子商务领域可能开展的工作
201-206201-206
3630
Possible future work in the area of insolvency law破产法领域今后可能开展的工作
207-210207-210
3731
Possible future work in the area of commercial fraud未来可能在商业欺诈问题上进行的工作
211-217211-217
3832
Monitoring implementation of the New York Convention监测《纽约公约》的执行情况
218-220218-220
4033
Technical assistance to law reform对法律改革的技术援助
221-229221-229
4134
Technical assistance activities技术援助活动
221-223221-223
4134
Technical assistance resources技术援助资源
224-228224-228
4134
Future activities今后的活动
229229
4235
Status and promotion of UNCITRAL legal texts贸易法委员会法规的现状和促进
230-231230-231
4235
Coordination and cooperation协调与合作
232-255232-255
4336
General概论
232-234232-234
4336
Coordination and cooperation in the field of secured financing law担保融资法领域的协调与合作
235-251235-251
4437
Reports of other international organizations其他国际组织的报告
252-255252-255
4839
Congress 20072007年大会
256-258256-258
4940
Relevant General Assembly resolutions大会有关决议
259-261259-261
4941
Other business其他事项
262-268262-268
5041
Willem C. Vis International Commercial Arbitration MootWillem C. Vis国际商事仲裁模拟辩论赛
262-264262-264
5041
Special event, including the ceremony of the signing of the United Nations Convention on the Use of Electronic Communications in International Contracts特别活动,包括《联合国国际合同使用电子通信公约》签署仪式
265-266265-266
5142
Internship实习问题
267267
5142
Bibliography文献目录
268268
5142
Date and place of future meetings今后会议的会期和地点
269-274269-274
5142
General discussion on the duration of sessions关于届会会期的一般性讨论
269-271269-271
5142
Fortieth session of the Commission委员会第四十届会议
272272
5243
Sessions of working groups up to the fortieth session of the Commission委员会第四十届会议之前各工作组的届会
273273
5243
Sessions of working groups in 2007 after the fortieth session of the Commission2007年各工作组在委员会第四十届会议之后的届会
274274
5343
Annexes附件
Revised articles of the UNCITRAL Model Law on International Commercial Arbitration《贸易法委员会国际商事仲裁示范法》修订条款
5647
Recommendation regarding the interpretation of article II, paragraph 2, and article VII, paragraph 1, of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done in New York, 10 June 1958, adopted by the United Nations Commission on International Trade Law on 7 July 2006 at its thirty-ninth session联合国国际贸易法委员会第三十九届会议2006年7月6日通过的关于1958年6月10日在纽约制定的《承认及执行外国仲裁裁决公约》第二条第2款和第七条第1款的解释的建议
6152
List of documents before the Commission at its thirty-ninth session委员会第三十九届会议收到的文件一览表
6354
Introduction一. 导言
The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the thirty-ninth session of the Commission, held in New York from 19 June to 7 July 2006.联合国国际贸易法委员会(贸易法委员会)的本篇报告概述委员会于2006年6月19日至7月7日在纽约举行的第三十九届会议的情况。
Pursuant to General Assembly resolution 2205 (XXI) of 17 December 1966, the report is submitted to the Assembly and is also submitted for comments to the United Nations Conference on Trade and Development.现根据大会1966年12月17日第2205 (XXI)号决议向大会提交本报告,同时一并提交联合国贸易和发展会议征求意见。
Organization of the session二. 会议的组织
Opening of the session会议开幕
The thirty-ninth session of the Commission was opened on 19 June 2006.委员会第三十九届会议于2006年6月19日开幕。
Membership and attendance成员和出席情况
The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.大会在其第2205 (XXI)号决议中设立了由大会选出的29个国家组成的贸易法委员会。
By its resolution 3108 (XXVIII) of 12 December 1973, the Assembly increased the membership of the Commission from 29 to 36 States.大会在其1973年12月12日第3108 (XXVIII)号决议中将委员会的成员从29个国家增加到36个国家。
By its resolution 57/20 of 19 November 2002, the General Assembly further increased the membership of the Commission from 36 States to 60 States.大会在其2002年11月19日第57/20号决议中将委员会的成员从36个国家进一步增加到60个国家。
The current members of the Commission, elected on 16 October 2000 and 17 November 2003, are the following States, whose term of office expires on the last day prior to the beginning of the annual session of the Commission in the year indicated:下列国家是分别于2000年10月16日和2003年11月17日选出的委员会现任成员,任期于所示年份的委员会年度届会开始前的最后一天届满:
Algeria (2010), Argentina (2007), Australia (2010), Austria (2010), Belarus (2010), Belgium (2007), Benin (2007), Brazil (2007), Cameroon (2007), Canada (2007), Chile (2007), China (2007), Colombia (2010), Croatia (2007), Czech Republic (2010), Ecuador (2010), Fiji (2010), France (2007), Gabon (2010), Germany (2007), Guatemala (2010), India (2010), Iran (Islamic Republic of) (2010), Israel (2010), Italy (2010), Japan (2007), Jordan (2007), Kenya (2010), Lebanon (2010), Lithuania (2007), Madagascar (2010), Mexico (2007), Mongolia (2010), Morocco (2007), Nigeria (2010), Pakistan (2010), Paraguay (2010), Poland (2010), Qatar (2007), Republic of Korea (2007), Russian Federation (2007), Rwanda (2007), Serbia (2010), Sierra Leone (2007), Singapore (2007), South Africa (2007), Spain (2010), Sri Lanka (2007), Sweden (2007), Switzerland (2010), Thailand (2010), the former Yugoslav Republic of Macedonia (2007), Tunisia (2007), Turkey (2007), Uganda (2010), United Kingdom of Great Britain and Northern Ireland (2007), United States of America (2010), Uruguay (2007), Venezuela (Bolivarian Republic of) (2010) and Zimbabwe (2010).阿尔及利亚(2010年)、阿根廷(2007年)、澳大利亚(2010年)、奥地利(2010年)、白俄罗斯(2010年)、比利时(2007年)、贝宁(2007年)、巴西(2007年)、喀麦隆(2007年)、加拿大(2007年)、智利(2007年)、中国(2007年)、哥伦比亚(2010年)、克罗地亚(2007年)、捷克共和国(2010年)、厄瓜多尔(2010年)、斐济(2010年)、法国(2007年)、加蓬(2010年)、德国(2007年)、危地马拉(2010年)、印度(2010年)、伊朗伊斯兰共和国(2010年)、以色列(2010年)、意大利(2010年)、日本(2007年)、约旦(2007年)、肯尼亚(2010年)、黎巴嫩(2010年)、立陶宛(2007年)、马达加斯加(2010年)、墨西哥(2007年)、蒙古(2010年)、摩洛哥(2007年)、尼日利亚(2010年)、巴基斯坦(2010年)、巴拉圭(2010年)、波兰(2010年)、卡塔尔(2007年)、大韩民国(2007年)、俄罗斯联邦(2007年)、卢旺达(2007年)、塞尔维亚(2010年)、塞拉利昂(2007年)、新加坡(2007年)、南非(2007年)、西班牙(2010年)、斯里兰卡(2007年)、瑞典(2007年)、瑞士(2010年)、泰国(2010年)、前南斯拉夫的马其顿共和国(2007年)、突尼斯(2007年)、土耳其(2007年)、乌干达(2010年)、大不列颠及北爱尔兰联合王国(2007年)、美利坚合众国(2010年)、乌拉圭(2007年)、委内瑞拉玻利瓦尔共和国(2010年)和津巴布韦(2010年)。
With the exception of Ecuador, Fiji, Israel, Jordan, Lebanon, Mongolia, Rwanda, the former Yugoslav Republic of Macedonia, Tunisia, Uruguay and Zimbabwe, all the members of the Commission were represented at the session.除厄瓜多尔、斐济、以色列、约旦、黎巴嫩、蒙古、卢旺达、前南斯拉夫的马其顿共和国、突尼斯、乌拉圭和津巴布韦之外,委员会所有成员都派代表出席了本届会议。
The session was attended by observers from the following States:派观察员出席本届会议的有下列国家:
Angola, Bangladesh, Bolivia, Bulgaria, Cape Verde, Côte d’Ivoire, Cuba, Egypt, El Salvador, Finland, Guinea, Holy See, Kuwait, Latvia, Lesotho, New Zealand, Panama, Philippines, Romania, Senegal, Slovenia, Syrian Arab Republic, Tonga, Ukraine and Viet Nam.安哥拉、孟加拉国、玻利维亚、保加利亚、佛得角、科特迪瓦、古巴、埃及、萨尔瓦多、芬兰、几内亚、教廷、科威特、拉脱维亚、莱索托、新西兰、巴拿马、菲律宾、罗马尼亚、塞内加尔、斯洛文尼亚、阿拉伯叙利亚共和国、汤加、乌克兰和越南。
The session was also attended by observers from the following international organizations:下列国际组织也派观察员出席了本届会议:
United Nations system:联合国系统:
World Bank, and United Nations Economic Commission for Europe;世界银行和联合国欧洲经济委员会;
Intergovernmental organizations:政府间组织:
Asian-African Legal Consultative Organization, Banque des États de l’Afrique centrale, European Community, International Cotton Advisory Committee and International Institute for the Unification of Private Law;亚非法律协商组织、中部非洲国家银行、欧盟委员会、国际棉花咨询委员会和国际统一私法协会;
Non-governmental organizations invited by the Commission:委员会邀请的非政府组织:
American Arbitration Association, American Bar Association, Centro de Estudios de Derecho, Economía y Política, Commercial Finance Association, European Law Students Association, Federación Latinoamericana de Bancos, INSOL International, International Bar Association, International Chamber of Commerce, International Council for Commercial Arbitration, International Insolvency Institute, International Women’s Insolvency and Restructuring Confederation, Kuala Lumpur Regional Centre for Arbitration, London Court of International Arbitration, Moot Alumni Association, Association of the Bar of the City of New York, Regional Centre for International Commercial Arbitration (Lagos), School of International Arbitration, Swiss Arbitration Association and Union internationale des avocats.美国仲裁协会、美国律师协会、法律、经济和政治研究中心、商业金融协会、欧洲法学学生协会、拉丁美洲银行联合会、破产管理从业人员国际协会、国际律师协会、国际商会、国际商事仲裁理事会、国际破产研究院、破产和重组问题国际妇女联盟、吉隆坡仲裁区域中心、伦敦国际仲裁法院、模拟法庭学员协会、纽约市律师协会、拉各斯国际商事仲裁区域中心、国际仲裁学院、瑞士仲裁协会和国际律师联盟。
The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda.委员会欢迎在本届会议主要议程项目方面拥有专门知识的国际非政府组织的参加。
Their participation was crucial for the quality of texts formulated by the Commission and the Commission requested the Secretariat to continue to invite such organizations to its sessions.它们的参加对于提高委员会拟定的案文的质量至关重要,委员会请秘书处继续邀请这类组织参加其届会。
Election of officers选举主席团成员
The Commission elected the following officers:委员会选出了下列主席团成员:
Chairperson:主席:
Stephen Karangizi (Uganda)Stephen Karangizi(乌干达)
Vice-Chairpersons:副主席:
Álvaro Sandoval (Colombia)Álvaro Sandoval(哥伦比亚)
Wisit Wisitsora-At (Thailand)Wisit Wisitsora-At(泰国)
Vesna Živković (Serbia)Vesna Živković(塞尔维亚)
Rapporteur:报告员:
Alexander Markus (Switzerland)Alexander Markus(瑞士)
Agenda议程
The agenda of the session, as adopted by the Commission at its 812th meeting, on 19 June, was as follows:委员会于6月19日在第812次会议上通过的会议议程如下:
Opening of the session.会议开幕。
Election of officers.选举主席团成员。
Adoption of the agenda.通过议程。
Preliminary approval of a draft UNCITRAL legislative guide on secured transactions.初步核准贸易法委员会担保交易立法指南草案。
Finalization and adoption of legislative provisions on interim measures and the form of arbitration agreement and of a declaration regarding the interpretation of articles II (2) and VII (1) of the 1958 New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards.最后审定并通过关于临时措施和仲裁协议形式的立法条文及关于解释1958年《关于承认和执行外国仲裁裁决的纽约公约》第二(2)条和第七(1)条的声明。
Procurement:采购:
progress report of Working Group I.第一工作组进度报告。
Transport law:运输法:
progress report of Working Group III.第三工作组进度报告。
Possible future work in the area of electronic commerce.未来可能在电子商务领域进行的工作。
Possible future work in the area of insolvency law.未来可能在破产法领域进行的工作。
Possible future work in the area of commercial fraud.未来可能在商业欺诈问题上进行的工作。
Monitoring implementation of the 1958 New York Convention.监测1958年《纽约公约》的执行情况。
Technical assistance to law reform.法律改革技术援助。
Status and promotion of UNCITRAL legal texts.贸易法委员会各项法规的现状和推广。
Coordination and cooperation:协调与合作:
General;一般情况;
Reports of other international organizations.其他国际组织的报告。
Congress 2007.2007年大会。
Willem C. Vis International Commercial Arbitration Moot competition.Willem C. Vis国际商事仲裁模拟案件辩论赛。
Relevant General Assembly resolutions.大会的有关决议。
Other business.其他事项。
Date and place of future meetings.今后会议的日期和地点。
Adoption of the report of the Commission.通过委员会的报告。
Establishment of two Committees of the Whole设立两个全体委员会
The Commission established two Committees of the Whole (Committee I and Committee II) and referred to them for consideration agenda items 4 and 5 respectively.委员会设立了两个全体委员会(第一委员会和第二委员会),由其分别负责审议议程项目4和5。
The Commission elected Kathryn Sabo (Canada) Chairperson of Committee I and José Maria Abascal Zamora (Mexico) Chairperson of Committee II.委员会选出Kathryn Sabo(加拿大)任第一委员会主席、选出José Maria Abascal Zamora(墨西哥)任第二委员会主席。
Committee I met from 19 to 26 June and held 11 meetings.第一委员会于6月19日至26日举行了会议,共举行了11次会议。
Committee II met from 26 to 28 and on 30 June and held 7 meetings.第二委员会于6月26日至28日和30日举行了会议,共举行了7次会议。
Adoption of the report通过报告
At its 821st meeting, on 23 June 2006, at its 822nd meeting, on 26 June 2006, at its 828th meeting, on 30 June 2006, and at its 834th meeting, on 7 July 2006, the Commission adopted the present report by consensus.委员会在其2006年6月23日第821次会议、2006年6月26日第822次会议、2006年6月30日第828次会议及2006年7月7日第834次会议上以协商一致方式通过了本报告。
Preliminary approval of a draft UNCITRAL legislative guide on secured transactions三. 初步核准贸易法委员会担保交易立法指南草案
Approval of the substance of the recommendations of the draft UNCITRAL legislative guide on secured transactions核准贸易法委员会担保交易立法指南草案各项建议的实质内容
The Commission expressed its satisfaction with the progress achieved by Working Group VI (Security Interests) in developing a legislative guide on secured transactions.委员会对第六工作组(担保权益)在拟订担保交易立法指南(以下简称为指南草案)方面取得的进展表示满意。
With a view to approving in principle the substance of the recommendations of the draft guide, the Commission considered the recommendations contained in documents A/CN.9/WG.VI/WP.21/Add.3, A/CN.9/WG.VI/WP.24 and Add.5, A/CN.9/WG.VI/WP.26/Add.4-8 and A/CN.9/611 and Add.1 and 2.为原则上核准指南草案各项建议的实质内容,委员会审议了载于A/CN.9/WG.VI/WP.21/Add.3、A/CN.9/WG.VI/WP.24和 Add.5、A/CN.9/WG.VI/WP.26/Add.4至8及A/CN.9/611和增编1和2的各项建议。
Key objectives (A/CN.9/WG.VI/WP.26/Add.7)关键目标(A/CN.9/WG.VI/WP.26/Add.7)
The Commission approved the substance of the key objectives.委员会核准了各项关键目标的实质内容。
Scope of application (A/CN.9/WG.VI/WP.26/Add.7)适用范围(A/CN.9/WG.VI/WP.26/Add.7)
Broad support was expressed for recommendation 2 (parties, security rights, secured obligations and assets covered).与会者广泛支持建议2(所涵盖的当事人、担保权、担保债务和资产)。
With respect to recommendation 3, the view was expressed that it might not be necessary, as it merely listed examples that would be covered in any case by recommendation 2.关于建议3,有与会者认为其可能没有必要,因为其只是列举了建议2会在任何情况下加以涵盖的范例。
It was stated, however, that the non-exhaustive list contained in recommendation 3 was useful in providing guidance to States with respect to a number of important issues, such as, for example, whether the same law should cover both possessory and non-possessory security rights.但据指出,建议3所载的并不详尽的清单很有用,可在诸如同一法律是否应既涵盖占有式担保权也涵盖非占有式担保权等一些重要问题上向各国提供指导。
As to subparagraph (g) of recommendation 3, the Commission noted with appreciation the analysis provided in the note with respect to the appropriateness of a qualified rather than an outright exclusion of security rights in securities, immovable property, aircraft, ships and attachments thereto and agreed to leave that question to Working Group VI.关于建议3的(g)段,委员会赞赏地注意到在说明中就限制性地而不是彻底地排除证券、不动产、飞行器、船舶及其从属物上的担保权的适宜性所作的分析,并同意将这一问题留给第六工作组处理。
As to subparagraph (h) of recommendation 3, it was generally accepted that some reference might be included to future work on security rights in intellectual property rights in line with the decision of the Commission (see paras. 81-84 and 86 below).关于建议3的(h)段,与会者普遍同意,可按照委员会的决定对知识产权上担保权方面的未来工作作某种提及(见下文第81-84和第86段)。
With respect to recommendation 4, it was noted that the chapeau should be retained without square brackets and that the substance of subparagraphs (a) (securities) and (b) (immovable property) would depend on whether Working Group VI would decide to adopt a qualified rather than an outright exclusion with respect to security rights in securities and immovable property (see para. 15 above).关于建议4,有与会者指出,前导部分应去掉方括号后予以保留,而(a)段(证券)和(b)段(不动产)的实质内容将取决于第六工作组是否决定采取对证券和不动产上的担保权加以限定性地而不是彻底地排除(见上文第15段)。
In particular with respect to directly held securities, the hope was expressed that Working Group VI would not exclude them, as security rights in directly held securities was part of significant financing transactions and directly held securities were not part of the work of other organizations.特别是对于直接持有的证券,有与会者希望第六工作组不要将其排除在外,因为直接持有的证券上的担保权是重要融资交易的一部分,而且直接持有的证券并不是其他组织的工作的一部分。
As to subparagraphs (c) (wages) and (d) (assets necessary for the livelihood of a person), it was widely felt that they should be reformulated in broader terms by reference to law other than secured transactions law.关于(c)段(工资)和(d)段(一个人的生计所必需的资产),与会者普遍认为,应从更广泛的角度上对这两段进行重新拟订,使之提及担保交易法以外的法律。
After discussion, the Commission approved the substance of the recommendations on scope.经讨论后,委员会核准了关于范围的建议的实质内容。
Basic approaches to security (A/CN.9/WG.VI/WP.26/Add.7)担保的基本方法(A/CN.9/WG.VI/WP.26/Add.7)
The Commission approved the substance of the recommendations on the basic approaches to security that enshrined the comprehensive approach and the functional approach that should be followed in a modern secured transactions law.委员会核准了关于担保的基本方法的建议的实质内容,这种基本方法包括现代担保交易法中应予遵循的综合方法和功能性方法。
Creation of the security right (effectiveness as between the parties) (A/CN.9/WG.VI/WP.26/Add.7,担保权的设定(在当事人之间的效力)(A/CN.9/WG.VI/WP.26/Add.7,A/CN.9/
A/CN.9/WG.VI/WP.26/Add.4 and A/CN.9/611 and Add.1)WG.VI/WP.26/Add.4,A/CN.9/611和Add.1)
With respect to subparagraph (d) of recommendation 16 (creation of a security right in a right that secures an assigned receivable, a negotiable instrument or any other obligation), it was stated that neutral terminology should be used that would be suitable for the various legal systems (see A/CN.9/603, para. 23).关于建议16的(d)段(对转让的应收款、可转让票据或任何其他义务加以担保的权利上的担保权设定),有与会者指出,应当使用适合于各种法律制度的中性术语(见A/CN.9/603,第23段)。
As to recommendations 33 and 34 (time of creation), it was widely felt that they should be revised to provide that the parties could agree to postpone the time of creation of a security right until after conclusion of the security agreement or dispossession but not that creation could occur at an earlier time.关于建议33和34(设定的时间),与会者普遍认为,应对这两条建议加以修订,以便规定,各方当事人可同意将担保权的设定时间推迟到担保协议订立或放弃占有权之后,而不是规定设定可发生在任何较早时候。
It was also generally thought that those recommendations should be revised to ensure their consistency with recommendation 7 (creation of a security right by agreement).还据普遍认为,应对这些建议加以修订以确保其与建议7(通过约定设定担保权)相一致。
After discussion, the Commission approved the substance of the recommendations on the creation of the security right.经讨论后,委员会核准了关于担保权的设定的各项建议的实质内容。
Effectiveness of the security right against third parties and registration (A/CN.9/WG.VI/WP.26/Add.5,担保权对抗第三方的效力和登记(A/CN.9/WG.VI/WP.26/Add.5,A/CN.9/WG.VI/
A/CN.9/WG.VI/WP.26/Add.4 and A/CN.9/611 and Add.1)WP.26/Add.4,A/CN.9/611和Add.1)
It was widely felt that recommendation 34 bis (meaning of third-party effectiveness) was useful in particular for States that were not familiar with the distinction between creation and third-party effectiveness of a security right.与会者普遍认为,建议34之二(第三方效力的含义)对特别是不熟悉担保权的设定与其第三方效力之间区别的国家非常有用。
While one delegation reserved its position with respect to recommendation 35 dealing with registration as the general method for achieving third-party effectiveness of a security right, it was widely felt that registration was essential to ensure transparency with respect to security rights.虽然有一个代表团保留其在关于将登记作为实现担保权的第三方效力的一般方法的建议35上的立场,但与会者普遍认为确保担保权方面的透明度至关重要。
In response to a question, it was noted that dispossession of the grantor was a method for achieving third-party effectiveness only if a security right had been effectively created, a matter that was dealt with in recommendation 7 (creation of a security right by agreement) and the definition of dispossession (see A/CN.9/WG.VI/WP.27/Add.1, para. 21, subpara. (pp)).有与会者针对一个问题指出,设保人放弃占有权是实现第三方效力的一种方法,但条件只能是已经设立了担保权,这一事项在建议7和放弃占有权的定义中作了论及(见A/CN.9/WG.VI/WP.27/Add.1,第21段(pp)分段)。
There was broad support in the Commission for the deletion of recommendation 39 bis (third-party effectiveness of a non-acquisition security right in low-value consumer goods) on the ground that there were no financing practices that involved security rights in low-value consumer goods.许多与会者以没有任何涉及低价值消费品上的担保权的融资做法为由广泛支持删除建议39之二(低价值消费品上非购置担保权的第三方效力)。
The Commission referred the matter to Working Group VI.委员会将这一问题交给第六工作组处理。
With respect to recommendations 41 and 41 bis (third-party effectiveness of security rights in proceeds), it was widely felt that the two alternatives should be referred to Working Group VI with a view to trying, to the extent possible, to reach agreement on one of them.关于建议41和41之二(收益上担保权的第三方效力),与会者普遍认为,该两项备选案文应交给第六工作组处理,以便尽一切努力就其中之一达成一致意见。
With respect to recommendation 47 bis (functions of registration in the general security rights registry), the concern was expressed that subparagraphs (a) and (b) essentially addressed the same point.关于建议47之二(一般担保权登记处中的登记职能),有与会者对(a)和(b)段基本上是论及同一问题这一点表示关切。
However, it was generally felt that they should be retained as separate subparagraphs, since subparagraph (a) dealt with registration as a third-party effectiveness method, while subparagraph (b) dealt with priority as the legal consequence of registration.但与会者普遍认为,这两段应作为单独段落予以保留,因为(a)段是将登记作为一种第三方效力的方法来处理的,而(b)段则是将优先权作为登记的法律结果来处理的。
As to recommendation 47 quater (design principles), the concern was expressed that a registry system such as the one described in the recommendation was not possible.关于建议47之四(设计原则),有与会者对如该建议中所述的登记制度没有可能性表示关切。
However, it was widely felt that such efficient registry systems were already well functioning not only in developed but also in developing countries and in countries with economies in transition.但与会者普遍认为,这种高效率的登记制度不仅已在发达国家而且也在发展中国家和经济转型期国家中顺利运作。
It was also generally felt that the use of the registry should be inexpensive to registrants and searchers, while the costs of the establishment of the registry system could be recovered over a reasonably long period of time.与会者还普遍认为,对于登记者和研究者来说登记处的使用应当费用低廉,而设立登记制度的成本可在一段合理的长时间内收回。
With respect to subparagraph (c) of recommendation 48 (speedy, cost-efficient and effective registration and searching), the concern was expressed that free access to the registry could inadvertently result in breach of privacy and unauthorized use of information.关于建议48(迅捷、有效和具有成本效益的登记和检索)(c)分段提出的关切是,不受限制地使用登记处可能事与愿违,造成对隐私权的侵犯和擅自使用信息。
In order to address that concern, the suggestion was made that a screening process should be introduced requiring searchers to have, give or justify the reasons for the search.会上针对这一关切指出,应当实行审查办法,要求检索人持有、给出或证明检索理由。
However, it was widely felt that such a screening process was not necessary and that, while it could not effectively prevent unauthorized use of the registry, it could inadvertently add costs and delays, a result that would outweigh any benefits.但普遍认为这样一种审查程序是不必要的,它不但不能有效地防止擅自使用登记处,而且可能意外地增加费用和造成延误,结果是弊大于利。
It was stated that free access to the registry was the logical consequence of third-party effectiveness, and priority being based on registration as a security right could not produce legal consequences against parties that had no access to the registry.据指出,不受限制地使用登记处是第三方效力的合乎逻辑的结果,担保权采用登记优先的原则不会对无法使用登记处的当事人产生任何法律后果。
In addition, it was said that experience with land registries indicated that free access did not necessarily lead to breach of privacy or abuse of information.另外还指出,土地登记处的经验表明,不受限制的检索并不一定会导致对隐私权的侵犯或滥用信息。
Moreover, it was pointed out that verification of the identity of the searcher at the time of payment of a search fee was a sufficient deterrent to unauthorized use.会上还指出,在交付检索费时核对检索人的身份,足以防止这种擅自使用。
Most importantly, it was stated that the fact that the record would contain only a limited amount of data minimized the risk of breach of privacy or abuse, which would, in any case, be addressed by other law.会上指出,最重要的是,如果记录中只包含有限数量的数据,侵犯隐私或滥用的危险即可降至最低程度,即使出现这种危险,也应当由其他法律来处理。
With respect to recommendation 48 bis (security and integrity of the registry), a number of suggestions were made.关于建议48之二(登记处的安全性和完整性)提出以下几点意见。
With respect to subparagraph (c), it was suggested that an option be included for States to permit the issuance (including by electronic means) by the registrar of a certified copy of the notice.关于(c)分段提出的意见是,增列一种选择办法,以便于各国允许登记处(以包括电子手段在内的方式)签发通知的核证副本。
As to subparagraph (e), it was suggested that the commentary should clarify the allocation of responsibility between a governmental supervisory authority and a private entity operating the registry.关于(e)分段提出的意见是,评注中要对政府监管机关与负责登记处运营的私人实体之间的责任分配作出明确规定。
With respect to subparagraph (f), the suggestion was made that it should be recast to focus on the need for the information on the registry to be capable of reconstitution rather than on how that result could be achieved.关于(f)款提出的意见是,改写该款,着重说明登记处中的信息能够复原的必要性,而不是着重说明如何达至这一结果。
In response to a question relating to recommendation 48 ter (liability for loss or damage) on what recourse was available to registering or searching parties for loss or damage caused by an error in the administration or operation of the registration and searching system, it was clarified that the draft guide left it to States to allocate liability based on other law.针对建议48之三(损失或损害的赔偿责任)中有关如何为因登记和检索系统的管理或运行错误而造成的损失或损害向登记方或检索方提供追索办法的问题,会上解释说,指南草案应当让各国根据其他法律来确定赔偿责任。
With respect to recommendation 49 (required content of notice), the concern was expressed that disclosure of the name of the secured creditor, in particular where the secured creditor was a supplier of goods on credit, could make it possible for competitors to find out the list of suppliers of a certain grantor.关于建议49(通知的必需内容)表达的关切是,披露有担保债权人的名称,特别是如果该人是赊销货物供应商的话,可能为竞争对手查出某一设保人的供应商名单提供方便。
The concern was also expressed that requiring the inclusion of reference to the maximum amount for which the security right could be enforced in the notice could inadvertently limit the amount of credit available.会上还表示了一种关切,即如果要求在通知中提及担保权强制执行的最大数额,反而会限制信贷供应量。
With respect to recommendations 50 and 51 (sufficiency of grantor name in a notice), it was suggested that, with respect to companies, reference should be made to the name of the company in the company registry.关于建议50和51(通知中设保人名称的充分性),会上指出,如果是公司的话,应当在公司登记处提到公司的名称。
In addition, it was suggested that reference should also be made to the natural persons that were authorized to represent the company.此外,据指出,还应当提到被授权代表该公司的自然人。
As to whether other identifiers should also be required, it was widely felt that they would not be necessary with respect to corporations, whose name had to be unique to be accepted by the company registry, but would be useful to identify natural persons with the same name.至于是否还需要提供其他身份资料,普遍认为对于公司来说是不必要的,因为公司的名称必须是独一无二的才能被公司登记处接受,但此种资料对于辨别同名同姓的自然人则是有用的。
After discussion, the Commission approved the substance of the recommendations on the effectiveness of the security right against third parties and registration.委员会经讨论核可了关于担保权对抗第三方的效力和登记的各项建议的实质内容。
Priority of the security right over the rights of competing claimants (A/CN.9/WG.VI/WP.26/Add.6,担保权对于相竞求偿人权利的优先权(A/CN.9/WG.VI/WP.26/Add.6,A/CN.9/
A/CN.9/WG.VI/WP.26/Add.4 and A/CN.9/611/Add.1)WG.VI/WP.26/Add.4和A/CN.9/611/Add.1)
With respect to recommendation 62 ter (priority of security rights in future assets), it was widely felt that it should state more clearly that the rule in recommendation 64 (priority between security rights in the same encumbered assets) applied also to security rights in future assets.关于建议62之三(未来资产上担保权的优先权),普遍认为应当更加明确地指出,建议64(同一设保资产上各项担保权的优先排序)中的规则也适用于未来资产上的担保权。
In response to a question with respect to subparagraphs (b) and (c) of recommendation 69 (rights of buyers, lessees and licensees of encumbered assets), it was clarified that lessees and licensees took their rights under the lease or license agreement respectively free of the security right.针对有关建议69(设保资产买受人、承租人和持证人的权利)(b)和(c)分段提出的一个问题,会上作了这样的说明,即承租人和持证人分别根据租约或许可证协议在不附带担保权的情况下取得其权利。
It was widely felt that the recommendation or the commentary should clarify that the security right did not cease to exist, but that the right of the secured creditor to enforce its security right was limited to the lessor’s or the licensor’s interest.普遍认为应当在该条建议和评注中说明,担保权并非停止存在,只不过有担保债权人执行其担保权的权利仅限于出租人或许可证颁发人的利益。
With respect to recommendation 78 (priority of a security right in a right to payment of funds credited to a bank account) and 79 (priority of security rights in money), it was generally felt that the commentary should clarify the meaning of the words “transfer of funds”.关于建议78(银行账户贷记款受付权上担保权的优先权)和建议79(资金上担保权的优先权),普遍认为应当在评注中明确说明“资金转账”的含义。
It was stated that the term “transfer of funds” was intended to cover a variety of transfers, including those by cheque and wire transfer.据称,“资金转账”一语的用意是涵盖各种转账,包括以支票和电汇方式进行的转账。
As to recommendations 82 and 83 (priority of a security or other right in attachments to immovable property), it was stated that an alternative approach might be to require registration of attachments to immovable property only in the general security rights registry and that a note be forwarded from that registry to the immovable property registry.关于建议82和83(不动产附加物上担保权或其他权利的优先权),会上指出,或许可以采取另一种办法,要求只在普通担保权登记处登记不动产的附加物,并由该登记处向不动产登记处转发一份通知。
In response, it was observed that that approach was very similar to the one recommended in recommendations 82 and 83; the main difference was said to be that, under the proposed alternative approach, security rights in attachments to immovable property would be registered only in the general security rights registry, while under recommendations 82 and 83 registration could take place in either registry.对此有人指出,这一做法与建议82和83中提出的做法极为相近;两者之间的主要区别是,按照所提议的替代做法,不动产附加物上的担保权只在普通担保权登记处登记,而根据建议82和83,可以在这两种登记处办理登记手续。
In that connection, it was pointed out that the particular approach to be followed by each State would depend on the structure of its registry systems.关于这一点有人指出,每个国家采取的具体做法取决于本国登记制度的结构。
After discussion, the Commission approved the substance of the recommendations on the priority of the security right over the rights of competing claimants.委员会经讨论核可了关于担保权优先于相竞求偿人权利的建议的实质内容。
Pre-default rights and obligations of the parties (A/CN.9/611 and Add.2)违约前当事人的权利和义务(A/CN.9/611和Add.2)
After discussion, the Commission approved the substance of the recommendations on pre-default rights and obligations of the parties.经讨论后,委员会核准了关于违约前当事人的权利和义务的建议的实质内容。
Rights and obligations of third-party obligors (A/CN.9/611 and Add.1)第三方义务人的权利和义务(A/CN.9/611和Add.1)
In response to a question with respect to subparagraph (b) of recommendation W (rights and obligations of the depositary bank), it was stated that the depositary bank was under no obligation to respond to requests for information by third parties even if its customer (the grantor of a security right) had consented to a release of information.针对就建议W(开户银行的权利和义务)中(b)分段所提出的一个问题,有与会者答复说,即使银行客户(担保权的设保人)已经同意透露信息,开户银行也没有义务对第三方的查询请求作出答复。
However, it was observed that that result could be achieved by way of an agreement between the grantor and the depositary bank.不过, 有与会者说,可通过设保人和开户银行之间的协议达到上述结果。
After discussion, the Commission approved the substance of the recommendations on the rights and obligations of third-party obligors.经讨论后,委员会核准了关于第三方义务人的权利和义务的建议的实质内容。
Default and enforcement (A/CN.9/611 and Add.1 and 2)违约和强制执行(A/CN.9/611和Add.1及2)
In response to a question with respect to recommendation 89 (general standard of conduct), regarding the difference between the principles of “good faith” and “commercial reasonableness”, it was stated that “good faith” was a subjective standard, while “commercial reasonableness” was an objective standard.关于建议89(一般行为准则),有与会者问到“诚信”原则和“商业上合理”原则之间的差异,对此的答复是,“诚信”是一个主观标准,而商业上合理是一个客观标准。
With respect to recommendation 101 (secured creditor’s right to possession of an encumbered asset), it was widely felt that the recommendation should be revised to state clearly that the secured creditor could take possession of the encumbered assets out of court with the prior consent of the grantor given in the security agreement.关于建议101(有担保债权人占有设保资产的权利),与会者普遍认为,应对该建议进行修改,以明确说明,如果设保人事先在担保协议中表示同意,则有担保债权人可在法院之外取得对设保资产的占有权。
It was stated that such a recommendation was necessary since in many States the secured creditor was not allowed to take possession of the encumbered assets without applying to a court or other authority.有与会者说,此类建议是必要的,因为许多国家不允许有担保债权人在未向法院或其他当局申请的情况下取得对设保资产的占有权。
In that connection, it was stated that, while theoretically no further consent would be required, if, at the time the secured creditor attempted to take possession of the encumbered assets, the grantor objected, the secured creditor would have to refer the matter to a court or other authority as a result of the limitations in recommendations 89 (general standard of conduct), 100 (relief with respect to extrajudicial enforcement) and 101 (secured creditor’s right to possession of an encumbered asset) and in particular the reference in recommendation 101 to the use or threat of force or any other illegal act.在这方面,有与会者说,虽然理论上不需要进一步取得同意,但如果在有担保债权人试图取得对设保资产的占有权时,设保人提出异议,则由于建议89(一般行为准则)、100(针对非司法强制执行的救济)和101(有担保债权人占有设保资产的权利)的限制,特别是涉及使用强制力或威胁使用强制力或其他非法行为的内容,有担保债权人不得不将此事交由法院或其他当局处理。
The suggestion was made that, in the absence of prior explicit consent, subsequent implicit consent or acquiescence should be sufficient, provided that the secured creditor notified the grantor of its intention to pursue extrajudicial repossession with details as to its time and modalities.有与会者提出,如果没有事先取得明确同意,事后默许或默认应该足够了,条件是有担保债权人将其通过非司法途径进行收回的打算及收回的时间和形式等细节通知设保人。
That suggestion was referred to Working Group VI.上述建议已提交给第六工作组。
With respect to recommendation 106 (enforcement of a security right in proceeds under an independent undertaking), it was suggested that the first sentence be deleted.关于建议106(独立保证下收益上的担保权的强制执行),会上提出删去第一句。
With respect to recommendations 110 and 110 bis (disposition of encumbered assets), the suggestion was made that they should be recast to provide for court authorization of an extrajudicial disposition of encumbered assets, at least for the purpose of determining default and in view of the impartiality of courts and the need to avoid abuse of rights on the part of secured creditors.关于建议110和110之二(设保资产的非司法处分),会上提出改写这条建议,规定,鉴于法院的公正性以及需要防范有担保债权人滥用权利,至少可以为确定违约而经法院批准后对设保资产进行非司法处分。
That suggestion was objected to.这项提议遭到反对。
It was stated that recommendations 110 and 110 bis appropriately reflected the principle that the secured creditor could dispose of the encumbered assets out of court if the grantor, after having been notified (recommendation 111), neither came forward to pay (recommendation 99) nor objected to out-of-court disposition of the encumbered assets (recommendation 100).据指出,建议110和110之二适当地反映了这样的原则: 如果设保人接到通知之后(建议111)既不前去偿付债务(建议99),也不对设保资产的院外处分提出异议(建议100),则有担保债权人可以不经过法院处分设保资产。
In addition, it was observed that practice indicated that default was a factual issue that was easily determined on the basis of documents.另据认为,实践表明,违约是一个不难根据各种书证加以确定的事实问题。
Moreover, it was pointed out that the real question was not whether an encumbered asset would be disposed in or out of court but rather whether any party had an interest in and requested a judicial disposition.还指出,其实关键问题并不在于设保资产是经过法院还是不经过法院加以处分,而在于任何当事人是否在司法处分中有利害关系并且请求这种司法处分。
In that connection, it was said that all parties had an interest in maximizing the realization value of encumbered assets in order to satisfy the secured obligation and minimize the amount of the outstanding debt.关于这一点,有与会者指出,设保资产获得最大变现价值以清偿附担保债务,同时尽量减少未偿债务数额,这关系到所有当事人的利益。
With respect to the concern about abuse of rights on the part of the secured creditor, it was observed that other law could more effectively deal with such instances.至于对有担保债权人滥用权利的担心,会上认为,对付此种情形,其他法律更有效。
With respect to recommendation 111 (advance notice with respect to extrajudicial disposition of encumbered assets), it was suggested that the notice should be optional as it would otherwise place an undue burden on the secured creditor.关于建立111(关于设保资产非司法处分的提前通知),会上提出,这样的通知应当是选择性的,否则的话就会给有担保债权人造成不适当的负担。
That suggestion was objected to.这一提议遭到反对。
It was widely felt that the notice of intention to pursue extrajudicial disposition was an important safeguard to protect the grantor against abusive behaviour on the part of the secured creditor.会上普遍认为,要求把进行非司法处分的意图通知对方,是为设保人提供的一种重要的保障手段,可以防范有担保债权人的滥用行为。
In addition, it was stated that the recommendation provided an appropriate balance between the need for efficiency and the need to protect the grantor and third parties.另据指出,这条建议适当兼顾了既讲求效率,又保护设保人和第三方这两方面的需要。
In that connection, it was observed that subparagraph (e) of recommendation 111 provided for situations in which the notice did not need to be given and recommendation 112 provided for the notice to be given in an efficient, timely and reliable way.关于这一点,与会者指出,建议111的(e)款对无需发出通知的情形作了规定,而建议112则对以有效、及时和可靠的方式发出通知作了规定。
With respect to subparagraph (c) of recommendation 111, it was agreed that the Working Group should clarify and simplify the words in the parenthesis, dealing with the notice of extrajudicial disposition to the grantor.关于建议111的(c)款,一致认为工作组应当澄清并简化括号内的用词。
With respect to recommendation 112, the question was raised as to when the notice to the grantor or other parties would be deemed to have been received.关于建议112提出的问题是,发给设保人或其他当事人的通知何时视为已经收到。
In response, it was stated that, while recommendation 112 provided some guidance, the time and place of receipt of a notice was a matter for other law.对此有与会者指出,虽然建议112提供了一定的指导,但收到通知的时间和地点问题是应当由其他法律处理的问题。
In that connection, the Commission noted that article 10 of the United Nations Convention on the Use of Electronic Communications in International Contracts (the “Convention on Electronic Contracts”) provided guidance with respect to the time and place of dispatch and receipt of electronic communications.委员会还注意到,《联合国国际合同使用电子通信公约》(《电子合同公约》)第10条就电子通信的发出和收讫时间和地点提供了指导。
With respect to recommendations 113 to 115 (acceptance of encumbered assets in satisfaction of the secured obligation), it was agreed that the recommendations should be revised to make it clear that the grantor could also propose to hand over the encumbered asset to the secured creditor in satisfaction of the secured obligation, provided that the interests of third parties were protected.关于建议113和115(接受以设保资产清偿附担保债务),一致认为应当修订这条建议,以明确,在第三方的利益得到保护的情况下,设保人也可以提出把设保资产交给有担保债权人以清偿附担保债务。
In that connection, it was stated that giving the asset in payment of the secured obligation was like any other payment and thus would not affect the rights of third parties.关于这一点有与会者指出,交出设保资产清偿附担保债务,同任何其他偿付方式并无不同之处,因此不会影响到第三方的权利。
The suggestion was also made that encumbered assets could be valued by an independent expert prior to their acceptance by the secured creditor in satisfaction of the secured obligation so that objections that typically arose in the exercise of the remedy could be minimized.会上还提出,设保资产可以先由独立专家进行估值,然后再由有担保债权人接受,以清偿附担保债务,这样可以尽量减少执行救济措施时通常会产生的异议。
It was, however, widely felt that the nature of some assets was such that an accurate valuation could not be made by an expert and the market itself should be left to set the value of the encumbered assets when they were offered for sale.但普遍看法认为,某些资产的性质决定了不可能由专家作出准确的估值,设保资产拿去变卖时,应由市场本身去确定其价值。
With respect to recommendation 120 (right of prior-ranking secured creditor to take over enforcement), the Commission noted a suggestion that a higher-ranking secured creditor should be entitled to pay off a lower-ranking secured creditor and obtain a release of the asset from that lower-ranking security right. The Commission referred that suggestion to Working Group VI.关于建议120(排位在先的有担保债权人接管强制执行措施的权利),会上提出,排位较高的有担保债权人应当有权偿清对排位较低的有担保债权人的债务,从而使设保资产上排位较低的担保权得以解除,委员会将这一提议交给第六工作组处理。
After discussion, the Commission approved the substance of the recommendations on default and enforcement.委员会经讨论核可了关于违约和强制执行的各项建议的实质内容。
Insolvency (A/CN.9/WG.VI/WP.21/Add.3)破产(A/CN.9/WGVI/WP.21/Add.3)
The Commission noted that the chapter on insolvency contained recommendations taken from the UNCITRAL Legislative Guide on Insolvency Law (the “Insolvency Guide”) and a small number of additional recommendations that focused on specific issues relating to the treatment of security rights in the case of insolvency.委员会注意到,破产一章载有取自《贸易法委员会破产法立法指南》(《破产指南》)的建议,另有少数其他建议,侧重于在破产情况下对担保权的处理所涉及的具体问题。
The Commission expressed its appreciation to experts from both Working Group V (Insolvency Law) and Working Group VI for their contribution to what was generally found to be a comprehensive and balanced treatment of security rights in insolvency proceedings.与会者普遍认为在破产程序中对担保权的处理是全面而平衡的,委员会感谢第五工作组(破产法)和第六工作组的专家为此所作的贡献。
With respect to the additional recommendations, it was widely felt that they addressed important issues in a thorough and clear way that was consistent with the Insolvency Guide.关于这些其他建议,与会者普遍认为,它们以符合《破产指南》的方式彻底而明确地解决了一些重要问题。
With respect to recommendation B (non-unitary approach to acquisition financing devices), it was stated that the two sets of bracketed language should be set out in a way that would make it clear that they were alternatives.关于建议B(非单一处理法),有与会者说,两组括号中文字的叙述方式应表明这是可供选择的办法。
With respect to recommendation E (effectiveness of security rights in insolvency) and recommendation 46, subparagraphs (b) and (c), in response to a question it was noted that a secured creditor could take steps to make its security right effective against third parties after commencement of insolvency if secured transactions law permitted such rights to be made effective against third parties within specified time periods.关于建议E(破产中担保权的效力)及建议46(b)和(c),有与会者在答复一个问题时指出,如果担保交易法允许有担保债权人在特定期限内使其担保权取得对抗第三方的效力,则有担保债权人可在破产程序启动后采取步骤使其此类权利获得对抗第三方的效力。
It was also stated that the Insolvency Guide addressed the situations where a secured creditor could take steps to enforce its security right.还有与会者说,《破产指南》提到了有担保债权人可以采取步骤强制执行其担保权的各种情况。
With respect to recommendation G (automatic termination clauses), it was observed that it should clarify that the commencement of insolvency did not invalidate or render unenforceable a contractual clause that relieved a creditor from an obligation to extend credit.关于建议G(自动终止条款),有与会者说,建议应澄清,解除债权人发放信贷义务的合同条款不因破产程序的启动而失效或变为不可执行。
After discussion, the Commission approved the substance of the recommendations on insolvency.委员会经讨论后核准了关于破产的各项建议的实质性内容。
Acquisition financing devices (A/CN.9/WG.VI/WP.24/Add.5)购置融资办法(A/CN.9/WG.VI/WP.24/Add.5)
It was widely felt that the main difference in the approaches recommended in the chapter on acquisition finance was that, in the unitary approach and one of the two versions of the non-unitary approach to enforcement, acquisition security rights were treated as being functionally equivalent to non-acquisition security rights, while, in the other version of the non-unitary approach to enforcement, retention-of-title devices would be treated as ownership devices.普遍认为,关于购置融资一章中提出的各种做法的主要区别是,按照强制执行方面的统一做法以及按照两种非统一做法中的一种,购置担保权在功能上等同于非购置担保权,而按照另一种非统一强制执行办法,保留所有权办法被当作取得所有权的手段。
With respect to recommendation 130 (priority of acquisition security rights in inventory), the concern was expressed that, by requiring registration before delivery of the goods to the grantor and notification of inventory financiers on record, the recommendation imposed an undue burden on acquisition financiers.关于建议130(库存品上购置担保权的优先权)提出的关切是,如果要求在将货物交给设保人之前办理登记并向记录上的库存品融资人发出通知,该条建议就会给购置融资人造成不适当的负担。
In response, it was stated that recommendation 130 reflected an appropriate balance of interests.有与会者答复指出,建议130体现了各种利益的适当均衡。
The interests of the acquisition financier were protected to the extent that it could obtain priority over a previously registered non-acquisition security right in inventory.对于购置融资人利益的保护使其可以取得相对于先前登记的库存品上非购置担保权的优先权。
The interests of the non-acquisition financier were protected to the extent that it did not have to check the registry before extending credit against new inventory as security and could rely on notification from the acquisition financier.对于非购置融资人利益的保护在于,该融资人在根据新库存品作为担保而发放贷款之前无需到登记处进行核查,并可依赖购置融资人的通知。
In that connection, it was noted that registration and notification did not have to take place before each and every delivery of inventory to the grantor.在这方面,有与会者指出,不必在每次向设保人交付库存品之前进行登记和通知。
A notice that has been registered could cover several transactions between the same parties over a long period of time and registration could be very quick in particular if it was made through electronic means of communication.已登记的通知可以涵盖较长一段时间内相同当事人之间的若干笔交易,如果通过电子通信方式进行登记的话,则登记可以非常快捷。
Similarly, it was stated, a notification of non-acquisition financiers on record could cover several transactions over a long period of time (see recommendation 131).同样,据指出,对记录上的非购置融资人的通知也可涵盖较长一段时间内的若干笔交易(见建议131)。
However, it was observed that the concern expressed (see para. 64 above) remained unaddressed, at least to the extent that the burden of registration and notification was placed on small- and medium-size acquisition financiers rather than on non-acquisition financiers that would typically be large financing institutions.不过,据认为,上述关切(见上文第64段)仍未得到解决,至少是在把登记和通知负担放在了中小型购置融资人身上,而不是一般为大型融资机构的非购置融资人身上这一方面。
It was also pointed out that that burden would create obstacles to commerce.另据指出,这种负担可能会给商务带来障碍。
In addition, it was stated that consideration should be given, at least, to setting aside the requirement for the acquisition inventory financier to notify non-acquisition inventory financiers on record.此外还指出,至少应考虑取消由购置库存品融资人通知记录上的非购置库存品融资人的要求。
In response, it was observed that the law should take into account not only the interests of suppliers of goods on credit as opposed to other credit providers but rather the interests of all parties involved, including buyers, and thus of the economy as a whole.有与会者就此指出,法律不仅应考虑赊购货物供应商的相对于其他信贷提供者的利益,还应考虑包括买方在内的一切有关方的利益,并因此考虑到整个经济体的利益。
In that connection, it was said that it was crucial to create a level playing field that would promote competition among the various credit providers, which could have a beneficial impact on the general availability and the cost of credit.在这方面,有与会者指出,应当创造一个将促进各种信贷提供者之间竞争的公平竞争环境,这可能会对信贷的整体供应和费用产生有利影响。
In addition, it was observed that whether acquisition inventory financiers should notify non-acquisition inventory financiers or whether the registry should send out such notices to non-acquisition inventory financiers was a matter of efficiency that could be considered further.此外,据指出,购置库存品融资人是否应通知非购置库存品融资人以及登记处是否应向非购置库存品融资人发出此类通知的问题是一个效率问题,可以进一步审议。
In that connection, it was pointed out that both systems could be efficient.在这方面,有与会者指出,这两种制度可能都很有效。
After discussion, it was widely felt that, while recommendation 131 was appropriately cast, the issue of notification of non-acquisition inventory financiers on record could be explored further by Working Group VI.与会者经讨论后普遍认为,虽然建议131是一条适当的建议,但第六工作组可进一步探讨对记录上的非购置库存品融资人的通知问题。
With respect to recommendations 130 bis (priority of acquisition security rights over the rights of judgement creditors) and ter (priority of acquisition security rights in attachments to immovable property), the Commission noted that they were in square brackets as they had not yet been considered by Working Group VI.关于建议130之二(购置担保权相对于判决胜诉债权人权利的优先权)和之三(不动产附加物上购置担保权的优先权),委员会注意到这些建议是放在方括号之内的,因为第六工作组尚未对其进行审议。
The Commission referred them to the Working Group.委员会将这些建议交给该工作组处理。
As to recommendation 134 (enforcement), the Commission noted that the main difference between the alternatives set out in the recommendation was that the second version of the non-unitary approach resulted in acquisition security rights not being functionally equivalent to non-acquisition security rights.关于建议134(强制执行),委员会注意到该项建议中各备选案文的主要区别在于,第二种非统一处理方法的案文导致购置担保权在功能上与非购置担保权并不等同。
It was stated that, as a result, all the rights and remedies set out in the enforcement chapter of the draft guide would not apply.据指出,这会使指南草案强制执行一章中规定的所有权利和救济办法均不适用。
In addition, it was observed that reference to the regime applicable to ownership rights would inadvertently result in differences from State to State as there was no uniformity in the treatment of ownership devices.此外,有与会者指出,提及适用于所有权的制度会于无意间导致国家与国家之间的差别,因为在所有权处理方法方面并不统一。
On the other hand, it was said that the non-unitary approach would not make sense if it was not different, at least in some respects, from the unitary approach.另一方面,据认为,非统一处理方法如果与统一处理方法并无区别(至少在某些方面),则前者将毫无意义。
It was also pointed out that States might adopt slightly different systems depending on their evaluation of what system was most efficient.与会者还指出,各国可以根据其对哪种制度最为有效的评估,采取略有不同的制度。
After discussion, the Commission approved the substance of the unitary approach and referred the non-unitary approach to Working Group VI for further discussion.委员会经讨论后核准了统一方法的实质性内容,并将非统一方法交给第六工作组进一步讨论。
After discussion, and subject to the qualifications mentioned above, the Commission approved the substance of the recommendations on acquisition financing devices.委员会经讨论后,在上述条件范围内,核准了关于购置融资办法的各项建议的实质性内容。
Conflict of laws (A/CN.9/WG.VI/WP.24, A/CN.9/WG.VI/WP.26/Add.4 and A/CN.9/611 and Add.1)法律冲突(A/CN.9/WG.VI/WP.24,A/CN.9/WG.VI/WP.26/Add.4, A/CN.9/611和Add.1)
The question was raised as to the law that would govern security rights in assets that were moved from State A to State B for a few months and then back to State A. In response, it was stated that, if the assets were mobile assets (e.g. cars or trucks), the creation, third-party effectiveness and priority of a security right in them would be governed by the law of the State in which the grantor was located (recommendation 136).有与会者针对从A国转移到B国几个月后再转回A国的资产上的担保权的管辖法律提出疑问。 有与会者答复说,如果该资产是动产(如轿车或卡车),则以该资产作保的担保权的设立、第三方效力和优先权受设保人所在国的法律管辖(建议136)。
In addition, it was observed that, if those assets were export goods or goods in transit, the creation and third-party effectiveness (but not the priority, which would remain subject to the law of the initial location of the assets) of a security right in them would also be governed by the law of the State of their ultimate destination, provided that the assets would reach that destination within a short period of time after creation of the security right (recommendation 142).另外,有与会者说,如果该资产是出口货物或在途货物,则以该资产作保的担保权的设立和第三方效力受其最终目的地所在国的法律管辖(但优先权仍受资产最初所在地的法律管辖),条件是该资产在担保权设立后的短期内运抵目的地(建议142)。
Moreover, it was said that, in all other cases, the security right would remain effective against third parties for a short period after the assets were moved to State B and thereafter only if the third-party effectiveness requirements under the law of State B were met (recommendation 145).此外,有与会者说,在所有其他情形下,担保权在资产转移到B国后的短时期内仍具有对抗第三方效力,在此之后,只有在满足B国法律对于第三方效力的要求时才可保留对抗第三方效力(建议145)。
With respect to recommendations 139 (law applicable to a security right in a right to payment of funds credited to a bank account) and 148 (law applicable to the enforcement of a security right), the Commission urged Working Group VI to reach agreement, if at all possible, on one of the alternatives set out in each one of those recommendations.关于建议139(银行账户贷记款受付权上的担保权的可适用法律)和建议148(担保权的强制执行的可适用法律),委员会促请第六工作组在可能的情况下就每项建议中所列的备选案文之一达成一致意见。
With respect to the law applicable to a security right in an attachment to immovable property, the Commission noted with interest the suggestion for the application of the law of the State in which the immovable property was located.关于不动产的附加物上的担保权的可适用法律,委员会感兴趣地注意到关于适用不动产所在国法律的建议。
The Commission referred that suggestion to Working Group VI.委员会将该建议交给第六工作组处理。
After discussion, the Commission approved the substance of the recommendations on conflict of laws.委员会经讨论核可了关于法律冲突的各项建议的实质内容。
Transition (A/CN.9/WG.VI/WP.26/Add.8)过渡问题(A/CN.9/WG.VI/WP.26/Add.8)
With respect to recommendations 156 to 158 (transition period), it was stated that, rather than addressing creation, they should focus on third-party effectiveness to ensure that a security right that was made effective against third parties under the old law would remain effective against third parties during the transition period.关于建议156至158(过渡期),有与会者说,这些建议不应讨论设定问题,而应侧重于对第三方的效力,以确保根据旧法律取得对抗第三方效力的担保权在过渡期内仍然具有对抗第三方的效力。
If during that period it was made effective against third parties under the new law, it was said, third-party effectiveness should be continuous.如果在这段时期内该担保权按照新法律取得了对抗第三方的效力,则据称第三方效力应当是连续性的。
With respect to all the recommendations in the chapter on transition, the Commission noted that they were very general and urged Working Group VI to try to refine and add more details to them so as to strike an appropriate balance between the need to enable parties to benefit from the new law and the need to avoid unsettling business relationships established under the old law.在审议关于过渡问题一章中的所有建议时,委员会注意到这些建议非常宽泛,并促请第六工作组尝试加以改进并添加细节,以便在使当事人得益于新法律和避免扰乱按照旧法律建立的商务关系这两种需要之间取得适当的平衡。
After discussion, and subject to the qualifications mentioned above, the Commission approved the substance of the recommendations on transition.77.经讨论后,除须满足上述条件外,委员会核准了关于过渡问题的各项建议的实质内容。
Conclusions结论
After conclusion of its discussion of the recommendations of the draft guide, the Commission expressed its appreciation to the Working Group for the results achieved so far in the development of the draft guide and noted that the views expressed and the suggestions made above (see paras. 13-77) would be taken into account in the next version of the draft guide.委员会结束了对指南草案各项建议的讨论后,感谢工作组迄今为止编写指南草案所取得的成果,并指出,在指南草案的下一稿中将考虑到上文所表达的意见和建议(见上文第13-77段)。
In addition, the Commission briefly considered the terminology of the draft guide (see A/CN.9/WG.VI/WP.27/Add.1), which was not part of the recommendations but was intended to facilitate their understanding.此外,委员会简要审议了指南草案术语部分(见A/CN.9/WG.VI/WP.27/Add.1),术语部分虽不在建议之列,但其用意是为加深理解提供便利。
It was stated that a definition of the term “consumer goods” could be included in the terminology as several recommendations referred to consumer goods.据指出,鉴于若干建议均提及消费品,可将“消费品”这一术语的定义列入术语部分。
The Commission referred the terminology to Working Group VI.委员会把该术语交给第六工作组处理。
Future work今后的工作
The Commission next considered its future work.委员会随后审议了其今后的工作。
It was noted that Working Group VI was expected to hold another two sessions, one in Vienna from 4 to 8 December 2006 and another in New York from 12 to 16 February 2007 and submit the draft guide for approval by the Commission at its fortieth session, in 2007 (see paras. 272 and 273 (f) below).有与会者指出,第六工作组将再举行两次届会,一次是2006年12月4日至8日在维也纳举行,另一次是2007年2月12日至16日在纽约举行。 该工作组将于委员会2007年第四十届会议上提交指南草案,以供委员会核准(见下文第272-273(f)段)。
With respect to the presentation of the material, the suggestion was made that, for the sake of clarity and simplicity, the draft guide might highlight the general recommendations or core principles, for the benefit of those States that might not need all the asset-specific recommendations.关于材料的编排,有与会者提出,为简明扼要起见,指南草案可以突出一般性建议或核心原则,这样便于那些或许并不需要有关资产的所有建议的国家使用。
The suggestion was also made that the materials should be made available to States as far in advance of the next Commission session as possible.另外还提出,应在委员会下届会议之前尽早向各国提供材料。
In that connection, one delegation expressed a concern about the complexity of the draft guide, which could jeopardize the acceptability of the draft guide.在这方面,有一个代表团对指南草案的复杂性表示关切,因为这会妨碍指南草案被人们接受。
With respect to future work in the field of secured financing law, the Commission noted that intellectual property rights (e.g. copyrights, patents or trademarks) were increasingly becoming an extremely important source of credit and should not be excluded from a modern secured transactions law.关于今后在担保融资法领域开展的工作,委员会注意到知识产权(如版权、专利权或商标)日益成为一个极其重要的信贷来源,因此不应将其排除在现代担保交易法之外。
In that connection, it was stated that financing transactions with respect to equipment or inventory often included security rights in intellectual property rights as an essential and valuable component.在这方面,有与会者指出,与设备或库存品有关的融资交易经常将知识产权上的担保权作为一个基本的、重要的组成部分而包括在内。
It was also observed that significant financing transactions involving security rights in all the assets of a grantor would typically include intellectual property rights.另外还指出,涉及设保人全部资产上的担保权的重大融资交易一般会包括知识产权。
In addition, the Commission noted that the recommendations of the draft guide generally applied to security rights in intellectual property rights to the extent they were not inconsistent with intellectual property law (see A/CN.9/WG.VI/WP.26/Add.7, recommendation 3, subparagraph (h)).此外,委员会注意到,指南草案的各项建议一般在知识产权上的担保权不违背知识产权法的情况下适用于此种担保权(见A/CN.9/WG.VI/WP.26/Add.7,建议3(h)分段)。
Moreover, the Commission noted that, as the recommendations had not been prepared with the special intellectual property law issues in mind, the draft guide made a general recommendation that enacting States might consider making any necessary adjustments to the recommendations to address those issues.此外,委员会注意到,由于拟订建议时并未考虑特别的知识产权法问题,因此指南草案提出了一项一般性建议,即颁布国似宜考虑对针对这些问题调整这些建议。
In order to provide more guidance to States, the suggestion was made that the Secretariat should prepare, in cooperation with international organizations with expertise in the fields of security rights and intellectual property law and in particular the World Intellectual Property Organization (WIPO), a note for submission to the Commission at its fortieth session, in 2007, discussing the possible scope of work that could be undertaken by the Commission as a supplement to the draft guide.为了对各国提供更多的指导,有与会者提出,秘书处应与在担保权和知识产权法领域拥有专门知识的国际组织特别是世界知识产权组织(知识产权组织)合作,编写一份提交委员会2007年第五十届会议的说明,讨论作为对指南草案的补充委员会开展工作的可能范围。
In addition, it was suggested that, in order to obtain expert advice and the input of the relevant industry, the Secretariat should organize expert group meetings and colloquiums as necessary.此外还提出,为了获得专家建议和相关行业的投入,应请秘书处在必要时举行专家组会议和座谈会。
There was broad support in the Commission for those suggestions.这些提议得到委员会的广泛支持。
It was stated that particular attention should be paid to the representation of all parts of the relevant industry and experts from various regions of the world.据指出,应特别注意让相关行业的各部门和世界各个地区的专家参与进来。
It was also observed that one issue of particular importance related to the enforcement of security rights in intellectual property rights, which was jeopardized by their unauthorized use.另据指出,有一个特别重要的问题与知识产权上担保权的强制执行有关,知识产权未经授权被使用,妨碍了知识产权上的担保权的强制执行。
The suggestion was also made that other issues should also be the subjects of notes by the Secretariat concerning future work in the field of secured financing law.另外还提出,秘书处关于今后在担保融资法领域开展的工作的说明还应涉及其他一些问题。
In that connection, the Commission noted that plans for a congress on international trade law to be held in conjunction with the fortieth anniversary session of UNCITRAL (see paras. 256-258 below) included, inter alia, the consideration of topics for future work in the field of secured financing law.在这方面,委员会注意到,在配合贸易法委员会成立四十周年会议而将举行国际贸易法大会的计划(见下文第256-258段)中,包括了对担保融资法领域今后工作专题的审议。
After discussion, the Commission requested the Secretariat to prepare, in cooperation with relevant organizations and in particular WIPO, a note discussing the scope of future work by the Commission on intellectual property financing.委员会经讨论后请秘书处与相关组织特别是知识产权组织合作,编写一份关于委员会今后在知识产权融资领域开展工作的范围的说明。
The Commission also requested the Secretariat to organize a colloquium on intellectual property financing ensuring to the maximum extent possible the participation of relevant international organizations and experts from various regions of the world.委员会还请秘书处举办知识产权融资座谈会,在最大程度上保证相关国际组织和来自世界各个地区的专家的参与。
(For additional suggestions regarding future work in the field of secured financing law, see paras. 235-251 below).(关于担保融资法领域今后工作的其他建议,见下文第235-251段)。
Finalization and adoption of legislative provisions on interim measures and the form of arbitration agreement and of a declaration regarding the interpretation of articles II (2) and VII (1) of the 1958 New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards四. 最后审定并通过关于临时措施和仲裁协议形式的立法条文及 关于解释1958年《关于承认和执行外国仲裁裁决的纽约 公约》第二(2)条和第七(1)条的声明
Organization of deliberations审议工作安排
The Commission considered the revised version of the draft legislative provisions on interim measures and the form of arbitration agreement, and of a draft declaration regarding the interpretation of article II, paragraph 2, and article VII, paragraph 1, of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958) (the “New York Convention”), adopted by Working Group II (Arbitration and Conciliation) at its forty-fourth session (New York, 23-27 January 2006) (A/CN.9/592).委员会审议了第二工作组(仲裁和调解)第四十四届会议(2006年1月23日至27日,纽约)通过的关于临时措施和仲裁协议形式的修订立法条文草案及关于解释《承认和执行外国仲裁裁决公约》(1958年,纽约)(《纽约公约》)第二条第(2)款和第七条第(1)款的声明草案(A/CN.9/592)。
The Commission took note of the summary of the deliberations on the draft provisions and declaration since the thirty-second session of the Working Group (Vienna, 20-31 March 2000) and the background information provided in documents A/CN.9/605, A/CN.9/606 and A/CN.9/607.委员会注意到该工作组第三十二届会议(2000年3月20日至31日,维也纳)以来关于上述条文草案和声明草案的审议情况摘要,以及A/CN.9/605、A/CN.9/606和A/CN.9/607号文件提供的背景资料。
The Commission also took note of the comments on the draft provisions and declaration that had been submitted by Governments and international organizations, as set out in document A/CN.9/609 and Add.1-6.委员会还注意到A/CN.9/609和Add.1至6号文件所载的各国政府和国际组织提交的对上述条文草案和声明的评议。
Consideration of the draft legislative provisions on interim measures关于临时措施的立法条文草案的审议情况
General comments概论
The Commission recalled that the provisions had been drafted in recognition not only that interim measures were increasingly being found in the practice of international commercial arbitration, but also that the effectiveness of arbitration as a method of settling commercial disputes depended on the possibility of enforcing such interim measures (see A/CN.9/485 and Corr.1, para. 78).委员会回顾,草拟这些条文是由于认识到不仅临时措施越来越多地见于国际商事仲裁实践中,而且仲裁作为商事争端解决办法的有效性取决于执行此种临时措施的可能性(见A/CN.9/485和Corr.1,第78段)。
General agreement was expressed as to the need for a harmonized and widely acceptable model legislative regime governing interim measures granted by arbitral tribunals and their enforcement as well as interim measures ordered by courts in support of arbitration.与会者普遍同意,需要一种统一的并可广泛接受的示范立法制度来管辖仲裁庭所准予采取的临时措施及其执行,以及法院为支持仲裁而下令采取的临时措施。
The Commission recalled that the draft legislative provisions on interim measures and preliminary orders were the result of extensive discussion in the Working Group.委员会回顾,关于临时措施和初步命令的立法条文草案是工作组经过广泛讨论后拟订的。
The Commission recalled as well that the Working Group, at its forty-second session (New York, 10-14 January 2005), had agreed to include a compromise text of the provisions on preliminary orders, on the basis that those provisions would apply unless otherwise agreed by the parties; that it be made clear that preliminary orders had the nature of procedural orders and not of awards; and that no enforcement procedure would be provided for such orders in section 4 (A/CN.9/573, para. 27).委员会还回顾,工作组在其第四十二届会议上(2005年1月10日至14日,纽约)商定添加关于初步命令的条文的折衷案文,其依据是: 除非各方当事人另有约定,否则这些条文将予以适用;以及应明确说明初步命令在性质上属于程序命令,而不是仲裁裁决,因而第4节不规定此类命令的强制执行程序(A/CN.9/573,
Consideration of draft articles第27段)。 2. 对条款草案的审议
The text of the draft legislative provisions considered by the Commission at the current session was as contained in document A/CN.9/605.委员会在本届会议上审议的立法条文草案的案文载于A/CN.9/605号文件。
Section 1. Interim measures第1节. 临时措施
Article 17. Power of arbitral tribunal to order interim measures第17条. 仲裁庭下令采取临时措施的权力
Paragraph 1第1款
It was recalled that paragraph 1 reproduced in part the wording of article 17 of the 1985 UNCITRAL Model Law on International Commercial Arbitration (the “Arbitration Model Law”).据回顾,第1款部分重复了1985年《贸易法委员会国际商事仲裁示范法》(《仲裁示范法》)第17条的措词。
Paragraph 1 was adopted in substance by the Commission without modification.委员会未作修改通过了第1款的实质内容。
Paragraph 2第2款
Subparagraph (b)(b)项
A question was raised whether the words “or prejudice to the arbitral process itself”, at the end of subparagraph (b), should be retained.有与会者问,是否应保留(b)项中“对仲裁程序发生的…或影响”字样。
It was recalled that the purpose of those words was to clarify that an arbitral tribunal had the power to prevent obstruction or delay of the arbitral process, including by issuing anti-suit injunctions.据回顾,这些词语的目的是明确说明仲裁庭有权防止对仲裁程序的阻碍或拖延,包括采取下达禁诉令的措施。
It was also recalled that, in the Working Group, anti-suit injunctions had given rise to serious reservations on the part of many delegations.还据回顾,在工作组内,禁诉令已引起许多代表团表示严肃的保留意见。
In support of deletion, it was stated that anti-suit injunctions did not always have the provisional nature of interim measures but could also relate to substantive matters such as questions relating to the competence of the arbitral tribunal.有与会者支持删去这些词语,说禁诉令有时不具有临时措施的性质,但也能涉及实质问题,如有关仲裁庭管辖权的问题。
It was also said that such a provision derogated from the fundamental principle that a party should not be deprived of any judicial remedy to which it was entitled.还有与会者说,此类条文背离了基本原则,即不应剥夺当事人采取任何司法救济办法的权利。
In response, the Commission noted that, at previous sessions, the Working Group had expressed a preference for the inclusion of anti-suit injunctions in draft article 17.委员会在答复中指出,工作组在前几届会议上表示倾向于在第17条草案中添加禁诉令。
It was also recalled that the words in question should not be understood as merely covering anti-suit injunctions but rather as more broadly covering injunctions against the large variety of actions that existed and were used in practice to obstruct the arbitral process.委员会还回顾,所讨论的这些词语不应理解为仅涵盖禁诉令,而是更广泛地涵盖对现有的并在实践中用于阻碍仲裁程序的多种诉讼的禁令。
After discussion, paragraph 2 was adopted in substance by the Commission without modification.经讨论后,委员会未作修改通过了第2款的实质内容。
Exhaustive nature of the list of functions characteristic of interim measures临时措施所特有的功能清单的详尽性质
The Commission recalled that the Working Group, at its thirty-sixth (New York, 4-8 March 2002) and thirty-ninth (Vienna, 10-14 November 2003) sessions, had considered whether all possible grounds for which an interim measure might need to be granted were covered by the current formulation under article 17, paragraph 2 (see A/CN.9/508, paras. 70-76, and A/CN.9/545, para. 21).委员会回顾,工作组在其第三十六届会议(2002年3月4日至8日,纽约)和第三十九届会议(2003年11月10日至14日,维也纳)上审议了第17条第2款目前的措词是否涵盖了须准予下达临时措施的所有可能的理由的问题(见A/CN.9/508,第70-76段;和A/CN.9/545,第21段)。
It was recalled that the Working Group agreed that, to the extent that all the purposes for interim measures were generically covered by the revised list contained in paragraph 2, the list could be expressed as exhaustive (A/CN.9/545, para. 21).据回顾,工作组一致认为,临时措施的所有目的一般来说已经包括在第2款所列的修订清单中,就此而言,该清单或许可以看作是一种详尽清单(A/CN.9/545,第21段)。
The Commission decided that clarification of that matter should be included in any explanatory material accompanying article 17.委员会决定在第17条所附的解释材料中对这一事项加以澄清。
Article 17 bis. Conditions for granting interim measures第17条之二. 准予采取临时措施的条件
Paragraph 1第1款
General remark概论
“Urgent need for the measure”“措施的紧迫性”
The Commission took note of the decision by the Working Group that the need for urgency should not be a general feature of interim measures.委员会注意到工作组的决定,即认为紧迫性不应作为临时措施的一般特性。
The Commission decided that guidance should be provided in explanatory material indicating how urgency impacted on the operation of the provisions in section 1.委员会决定应在解释材料中提供指导,对紧迫性何以影响第1节中的规定的运用作出说明。
Subparagraph (a)(a)项
“Substantially”“远远”
A suggestion was made to delete the word “substantially” for the reason that it might introduce an unnecessary and unclear requirement, making it more difficult for the arbitral tribunal to issue an interim measure.有与会者建议删除“远远”一词,理由是该词可能提出了一个意思含糊不清的多余要求,从而增加了仲裁庭下达临时措施的难度。
In support of that proposal, it was said that it would be preferable to leave it to arbitral practice over time to determine how the balance of inconvenience reflected in subparagraph (a) should be used as a standard.支持该建议的与会者称,最好听凭今后的仲裁实践来决定如何将(a)项中所载对危害的权衡考量作为评判的标准。
In response, it was pointed out that the text of subparagraph (a), including the word “substantially” was consistent with existing standards in many judicial systems for the granting of an interim measure.有与会者就此指出包括“远远”一词在内的(a)项的案文与许多司法系统中准予采取临时措施的现行标准是一致的。
100. After discussion, the Commission decided to retain the word “substantially”.100. 委员会经讨论后决定保留“远远”一词。
Subparagraph (a) was adopted in substance by the Commission without modification.委员会通过了(a)项的实质内容,未作修改。
Subparagraph (b)(b)项
“Prima facie”“表面的”
101. A proposal was made to delete subparagraph (b) on the basis that interim measures might need to be granted as a matter of urgency and a requirement for an arbitral tribunal to make a determination as to the possibility of success on the merits of the claim might unnecessarily delay matters or appear as a prejudgement of the case.101. 有与会者建议删除(b)项,其依据是可能需要作为一种迫切事项准予采取临时措施,要求仲裁庭根据索赔要求所依据的案情而就胜诉的可能性作出裁定可能会毫无必要地拖延案件的裁定,或给人造成对案件事先作出裁定的印象。
That proposal was not supported for the reason that subparagraph (b) was considered to constitute a necessary safeguard for the granting of interim measures.该建议未获支持,理由是(b)项被视为构成准予采取临时措施的必要保障。
It was said that that subparagraph was drafted with the intention that the arbitral tribunal would make a preliminary judgement based on the information available to it at the time of its determination.据指出,草拟该项的意图是仲裁庭将根据在裁定时所掌握的信息而作出初步的判决。
102. A proposal to add the words “prima facie” to subparagraph (b) so that the arbitral tribunal would not be required to make a full determination on the question of possibility of success on the merits was not supported.102. 关于在(b)项中添加“表面的”一词以便仲裁庭无需就根据案情可否胜诉问题作出正式裁定的建议未获支持。
In rejecting that proposal, the Commission noted that the term “prima facie” was susceptible to differing interpretations.委员会在拒绝该项建议时指出,对“表面的”一词容易产生不同的解释。
It was recalled that the Working Group’s intention in drafting that subparagraph was to provide a neutral formulation of the standard of proof.据回顾,工作组草拟该项的意图是在取证标准上提出一种公允的说法。
“provided that”“但先决条件是”
103. It was observed that the words “provided that” suggested that the second part of the sentence was a condition for the first part and therefore did not reflect the intention of the Working Group.103. 有与会者指出“但先决条件是”一语表明该句的下半部分是上半部分的先决条件,因此未反映工作组的意图。
In order to address that concern, a proposal was made to delete those words and split the subparagraph into two sentences.为解决这一问题,有与会者建议删除该词语,并将该项分作两句。
104. After discussion, it was agreed that subparagraph (b) should read as follows:104. 与会者经讨论后商定(b)项的内容如下:
“There is a reasonable possibility that the requesting party will succeed on the merits of the claim.“根据索赔要求所依据的案情,请求方当事人相当有可能胜诉。
The determination on this possibility shall not affect the discretion of the arbitral tribunal in making any subsequent determination”.对这种可能性的任何判定不得影响仲裁庭此后作出任何裁定的自由裁量权。
Paragraph 2” 第2款
105. Paragraph 2 was adopted in substance by the Commission without modification.105. 委员会通过了第2款的实质内容,未作修改。
Section 2. Preliminary orders第2节. 初步命令
Article 17 ter. Applications for preliminary orders and conditions for granting preliminary orders第17条之三. 初步命令的申请和下达初步命令的条件
106. Article 17 ter was adopted in substance by the Commission without modification.106. 委员会通过了第17条之三的实质内容,未作修改。
Article 17 quater. Specific regime for preliminary orders第17条之四. 初步命令的具体制度
Paragraph 1第1款
107. Paragraph 1 was adopted in substance by the Commission without modification.107. 委员会通过了第1款的实质内容,未作修改。
Paragraph 2第2款
108. It was noted that paragraph 2 required the arbitral tribunal to give the party against whom a preliminary order was directed an opportunity to present its case at the earliest practicable time.108. 有与会者注意到,第2款要求仲裁庭在实际可行的最早时间内给予初步命令所针对的当事人陈述案情的机会。
It was noted that while paragraph 1 required the arbitral tribunal to give notice to “all parties”, paragraph 2, which referred to “any party against whom a preliminary order is directed to present its case”, appeared to be more limited.据指出,第1款要求仲裁庭通知“所有当事方”,而第2款使用了“初步命令所针对的当事人陈述案情的机会”的提法,因而较之第1款似范围有所限制。
A proposal was made to extend the application of paragraph 2 by adding after the word “directed” the words “or to any other party”.有与会者建议扩大第2款的适用范围,在“所针对的当事人”一语后添加“或任何其他当事人”的词语。
An alternative proposal was made to replace the words “any party against whom a preliminary order is directed”, with “the party affected by the preliminary order”.另有与会者建议将“初步命令所针对的当事人”一语改为“受到初步命令影响的当事人”。
109. It was stated in response that the proposed amendments could unnecessarily complicate the arbitral process.109. 有与会者就此指出拟议的修订可能会使仲裁过程复杂化,毫无必要。
Concern was expressed that the addition of wording such as “any affected party” could provide a person that was not a party to the arbitral proceedings, but nevertheless affected by the preliminary order (for example, a bank), with a right to present its case.有与会者担心添加诸如“任何受到影响的当事人”的词语可能会赋予虽非仲裁程序当事人但仍受初步命令影响者(例如,银行)陈述其案情的权利。
It was said that the existing text in paragraph 2 was appropriate in that it gave priority to the party most affected by the preliminary order and did not exclude the possibility that other arbitral parties could respond to the preliminary order if they so wished.据指出,第2款的现行案文是合适的,因为该款赋予受初步命令影响最大的当事人以优先权,同时未排除仲裁其他各方当事人根据其意愿对初步命令作出回应的可能性。
It was agreed that the substance of paragraph 2 should be retained but that clarification should be included in explanatory material relating thereto.与会者商定应保留第2款的实质内容,但将在与此有关的解释材料中加以澄清。
It was proposed that such explanatory material could indicate that, when an arbitral tribunal invited a party against whom the preliminary order was directed to present its case, that invitation should be copied to all parties and, consistent with general arbitration practice, those parties that wished to react to the preliminary order would do so, even in the absence of a specific invitation.有与会者建议此种解释材料可指明,仲裁庭邀请初步命令所针对的当事人陈述案情的,应将该邀请抄送所有当事人,而按照一般仲裁惯例,希望对初步命令作出回应的当事人即便未收到具体邀请也可作出回应。
It was also suggested that the explanatory material could clarify that paragraph 2 was not intended to extend to persons that were not party to the arbitration.还据建议,解释材料可澄清第2款无意适用于非仲裁当事人。
110. After discussion, paragraph 2 was adopted in substance by the Commission without modification.110. 委员会经讨论后通过了第2款的实质内容,未作修改。
Paragraph 3第3款
111. Paragraph 3 was adopted in substance by the Commission without modification.111. 委员会通过了第3款的实质内容,未作修改。
Paragraph 4第4款
112. Paragraph 4 was adopted in substance by the Commission without modification.112. 委员会通过了第4款的实质内容,未作修改。
Paragraph 5第5款
Time when a preliminary order becomes binding初步命令具有约束力的时间
113. A question was raised as to when a preliminary order would become binding on the parties.113. 有与会者就初步命令何时对当事人具有效力提出疑问。
It was recalled that the arbitral tribunal could, at the same time that it grants a preliminary order, also establish a deadline for the requesting party to put security in place and that this possibility was the reason for the flexible wording “in connection with” under article 17 sexies, paragraph 2. It was therefore considered that a preliminary order could become binding on the parties when granted by the arbitral tribunal.有与会者回顾,仲裁庭在下达初步命令的同时,还可为请求方当事人的提供担保确定最后期限,而这种可能性就是第17条之六第2款下使用具有灵活性的“有关的”一词的理由,因此,可以将仲裁庭下达初步命令的时间视为其对当事人的生效时间。
Non-enforceability of preliminary orders初步命令的不可执行性
114. The Commission recalled that the Working Group had considered at length whether an enforcement regime should be provided in respect of preliminary orders.114. 委员会回顾道,工作组曾认真审议过是否应就初步命令规定执行机制的问题。
The need for including such a regime was questioned given the temporary nature of a preliminary order and the fact that it could raise practical difficulties, such as whether notification of the preliminary order to the other party should be deferred until after the order had been enforced by a court.考虑到初步命令的临时性及其可能会产生的种种实际困难,例如是否应等到法院执行初步命令以后再将该令状通知另一方当事人的问题,有与会者对列入此种机制的必要性表示怀疑。
Further, it was said that parties usually honour interim measures out of respect for the arbitrators’ authority and a desire not to antagonize them.而且,据称,各方当事人之所以通常会遵循临时措施,是因为出于对仲裁员权威的尊重,不希望得罪他们。
The Commission noted that non-enforceability of preliminary orders was central to the compromise reached at the forty-second session of the Working Group (see para. 88 above).委员会注意到,初步命令的不可执行性对工作组第四十二届会议达成妥协至关重要(见上文第88段)。
Seeking relief in a court在法院寻求救济
115. The Commission considered a proposal made at the forty-fourth session of the Working Group (New York, 23-27 January 2006) to add the following text, either to paragraph 5 of article 17 quater or in explanatory material:115. 委员会审议了在工作组第四十四届会议上(2006年1月23日至27日,纽约)提出的一项关于在第17条之四第5款或解释性材料中添加以下案文的建议:
“a party shall not be prevented from seeking any relief in a court because it has obtained such a preliminary order from the arbitral tribunal” (see A/CN.9/592, para. 27).“不应以一当事人已从仲裁庭获取此种初步命令为由而阻止该当事人在法院寻求任何救济”(见A/CN.9/592,第27段)。
Doubts were expressed as to the need to include such a clarification as it was said that the provision could only operate in exceptional circumstances.有与会者对是否需要作此澄清表示怀疑,因为据称该条文只能在例外情况下适用。
It was however pointed out that article 9 of the Arbitration Model Law already protected the right of a party to arbitral proceedings to request from a court an interim measure.但据指出,《仲裁示范法》第9条已经对仲裁程序一方当事人向法院提出临时措施请求的权利提供了保护。
It was suggested that that proposal merely clarified the operation of provisions in respect to preliminary orders.据认为,这项建议只是澄清了各条文对初步命令的适用问题。
116. The Commission agreed that wording along the following lines: “a party shall not be prevented from seeking any relief it would otherwise be entitled to seek in a court because it has obtained such a preliminary order from the arbitral tribunal” should be included in any explanatory material.116. 委员会一致认为,应在任何解释性材料中列入内容大体如下的措辞: “不应以一当事人已从仲裁庭获取此种初步命令为由而阻止该当事人在法院寻求其有权寻求的任何救济。 ”
117. After discussion, paragraph 5 was adopted in substance by the Commission without modification.117. 委员会经讨论后,未经修改而通过了第5款的实质内容。
Section 3. Provisions applicable to interim measures and preliminary orders第3节. 适用于临时措施和初步命令的条文
Article 17 quinquies. Modification, suspension, termination第17条之五. 修改、中止、终结
118. Article 17 quinquies was adopted in substance by the Commission without modification.118. 委员会未经修改而通过了第17条之五的实质内容。
Article 17 sexies. Provision of security第17条之六. 提供担保
Paragraph 1第1款
119. Paragraph 1 was adopted in substance by the Commission without modification.119. 委员会未经修改而通过了第1款的实质内容。
Paragraph 2第2款
120. Paragraph 2 was adopted in substance by the Commission without modification.120. 委员会未经修改而通过了第2款的实质内容。
Article 17 septies.第17条之七. 披露
Disclosure概论
General remarks 121. The view was expressed that, under many national laws, the obligation for a party to present facts or arguments against its position was unknown.121. 有与会者认为,根据许多国家的法律,一方当事人没有义务陈述对其立场不利的事实或观点。
In addition, it was said that that provision did not contain any sanction in case of non-compliance by the party requesting the measure of its disclosure obligation.此外,据指出,该条文并不包含请求采取措施的当事人在违背其披露义务时应当给予的任何制裁。
A proposal was made to delete paragraph 1 and the second sentence of paragraph 2.有与会者建议删除第1款和第2款第二句。
122. It was recalled that the two paragraphs of article 17 septies reflected two distinct disclosure obligations that operated in distinct circumstances.122. 有与会者回顾,第十七条之七的两个款项反映了不同情形下适用的两种不同披露义务。
Whereas the obligation in paragraph 1 to disclose changed circumstances related to interim measures, the obligation to disclose all “relevant” circumstances in article 17 septies, paragraph 2, was inspired from the rule in existence in certain jurisdictions that counsel had a special obligation to inform the court of all matters, including those that spoke against its position and that it was considered as a fundamental safeguard and an essential condition, namely to the acceptability of preliminary orders.第1款中的义务是披露已发生变化的与临时措施有关的情形,而第17条之七第2款所述披露所有“相关”情形的义务则是受某些法域中存在的下述规则的启发: 即律师有将一切事项,包括对其立场不利的事项通知法院的特殊义务,并将这一点视为一种基本保护和接受初步命令的一个基本条件。
Similarly, in many other legal systems, a comparable obligation arose from the recognized requirement that parties act in good faith.同样,在许多其他法律制度中,类似的义务产生于当事人应诚信行事这一公认的要求。
It was observed that article 17 septies was a result of lengthy discussions in the Working Group and it was recalled that those two paragraphs were carefully drafted, taking account of the type of measures they related to.据指出,第17条之七是工作组长时间讨论的结果,并据回顾,这两款的起草非常谨慎,考虑了与之相关的措施类型。
123. In support of retaining paragraph 1, it was recalled that the essential purpose of article 17 septies, paragraph 1, was to ensure that a decision to grant an interim measure would be made by the arbitral tribunal on the basis of the most complete record of the facts.123. 为支持保留第1款,有与会者回顾说,第17条之七第1款的主要目的是确保仲裁庭依据最完整的事实记录作出准予采取临时措施的决定。
Given that the interim measure might be granted at an early stage of the arbitral proceedings, an arbitral tribunal might often be faced with an imperfect record and wish to be informed of any changes concerning the facts on the basis of which the interim measure was granted.由于有可能在仲裁程序的早期阶段准予采取临时措施,仲裁庭可能会面临记录不全的情况,因而希望知悉准予采取的临时措施所依据的事实所发生的任何变化。
124. Various proposals were made in order to address the objection that the obligation of disclosure contained in article 17 septies, paragraph 1, would be unfamiliar to certain jurisdictions, and therefore difficult to enact in those jurisdictions.124. 有反对意见说,第17条之七第1款所载的披露义务是某些法域所不熟悉的,因此难以在这些法域中颁布。 为解决这一问题,提出了各种建议。
In order to provide a more flexible duty of disclosure, adapted to the circumstances of each arbitral proceeding, it was proposed to include as opening words to article 17 septies, paragraph 1, the following words “[i]f so ordered by the arbitral tribunal”.为了就适应每个仲裁程序的情况而规定更灵活的披露义务,有与会者建议在第17条之七第1款开头处添加“若有仲裁庭的指令”字样。
125. A further proposal was made to replace the words at the end of article 17 septies, paragraph 1, “or granted” with the words “if it becomes aware of such a change”.125. 另一个建议是删去第17条之七第1款中“或者准予采取临时措施”字样,在“一方当事人”后添加“若得知这种变化”。
That proposal was objected to on the ground that it was implicit in article 17 septies that the obligation to disclose would only arise where a party became aware of such a change.有与会者反对这一建议,理由是,第17条之七隐含着只有在一方当事人得知这种变化时才会形成披露义务。
As well, it was suggested that inclusion of those words would create difficulties in practice.而且,有与会者提出,添加上述字样会造成实践中的困难。
It was suggested that, if the proposal were retained, additional words were necessary to require the party requesting the interim measure to disclose material changes in circumstances where it should have been aware of such changes.有与会者提出,若保留该建议,则有必要再添加一些词,要求请求采取临时措施的一方当事人在应得知重大变化的情况下披露此类变化。
126. A related proposal was made to amend article 17 septies, paragraph 1, along the following lines:126. 有与会者提出了一个相关建议,即将第17条之七第1款改为如下行文:
“The arbitral tribunal may require any party promptly to disclose any material change in the circumstances on the basis of which the measure was requested or granted. ” The second sentence of paragraph 2 would then be amended as follows:“对于请求采取临时措施或者准予采取临时措施时所依据的情形发生的任何重大变化,仲裁庭可要求任一当事方迅速加以披露。
“Thereafter, paragraph 1 of this article shall apply.””第2款第二句则改为“在此之后,应适用本条第1款。
127. After discussion, the Commission adopted the related proposal referred to under paragraph 126 above, and agreed that the explanatory material should clarify the scope of application of the disclosure obligation contained in article 17 septies.127. 经讨论后,委员会通过了上文第126段提及的相关建议,并一致认为,解释材料应澄清第17条之七所载的披露义务的适用范围。
Article 17 octies. Costs and damages第17条之八. 费用与损害赔偿
128. Article 17 octies was adopted in substance by the Commission without modification.128. 委员会未经修改而通过了第17条之八的实质内容。
Section 4. Recognition and enforcement of interim measures第4节. 临时措施的承认与执行
Article 17 novies. Recognition and enforcement第17条之九. 承认与执行
129. A proposal was made to delete in paragraph 1 the words “unless otherwise provided by the arbitral tribunal”, for the reason that those words introduced an unnecessary condition to enforcement.129. 有与会者建议删除第1款中的“除非仲裁庭另有规定”等词,因为这些词提出了不必要的执行条件。
That proposal did not receive support.该建议没有获得支持。
130. Paragraph 1 was adopted in substance by the Commission without modification.130. 委员会未经修改而通过了第1款的实质内容。
131. Article 17 novies was adopted in substance by the Commission without modification.131. 委员会未经修改而通过了第17条之九的实质内容。
Article 17 decies. Grounds for refusing recognition or enforcement第17条之十. 拒绝承认或执行的理由
Paragraph 1第1款
Alternative proposal备选建议
132. The Commission considered a proposal made by a delegation, contained in document A/CN.9/609/Add.5, footnote 2 to paragraph 8.132. 委员会审议了A/CN.9/509/Add.5号文件第8段脚注2中所载的某代表团提出的一项建议。
It was explained that the proposal was intended to simplify the text and avoid any cross reference to article 36 of the Arbitration Model Law.据解释说,该建议旨在简化案文,并避免比照《仲裁示范法》第36条。
The application of article 36 to interim measures was said to be of limited relevance in view of the difference in nature between interim measures and award on the merits.据认为,鉴于临时措施和根据案情作出的裁决之间性质上的不同,第36条适用于临时措施的相关意义不大。
Some support was expressed for the proposed shorter draft on the basis that it was concise and set forth rules that were specifically geared to the recognition and enforcement of interim measures, as opposed to the text of draft article 17 decies, which essentially mirrored rules established in the New York Convention in respect of the recognition and enforcement of arbitral awards.有与会者表示赞成该篇幅较短的拟议草案,因为该草案行文简洁,而且规定了专门针对承认和执行临时措施的规则,而第17条之十草案案文基本上仿照了《纽约公约》就承认和执行仲裁裁决所确立的规则。
133. However, reservations were expressed against the general policy reflected in the proposed shorter draft, which was said to exclude a number of important details that were set out in draft article 17 decies.133. 但有与会者对较短的拟议草案中所反映出来的一般性政策持保留意见,认为该草案舍弃了第17条之十草案中规定的许多重要细节。
134. After discussion, paragraph 1 was adopted in substance by the Commission without modification.134. 委员会经讨论后,未经修改而通过了第1款的实质内容。
Paragraph 2第2款
135. It was said that, when a court was called upon to enforce an interim measure, under article 17 decies, paragraph 1 (a)(i) (which referred to the grounds set forth in article 36, sub-subparagraphs 1 (a)(i), (ii), (iii) or (iv)), its decision should not have an effect beyond the limited sphere of recognition and enforcement of the interim measure.135. 据认为,在根据第17条之十第1(a)款㈠ 项(该项提到了第36条第1(a)款㈠ 、㈡ 、㈢ 或㈣ 项中所规定的理由)请求法院执行一项临时措施时,法院的裁决不应在承认和执行临时措施的有限范围之外产生效力。
The Commission agreed that any explanatory material should clarify that the purpose of article 17 decies, paragraph 2, was to confine the power of a court to the determination of recognition and enforcement of the interim measure only.委员会一致认为,任何解释性材料均应澄清,第17条之十第2款的目的是为了将法院的权力仅限制在决定临时措施的承认和执行方面。
136. Paragraph 2 was adopted in substance by the Commission without modification.136. 委员会未经修改而通过了第2款的实质内容。
Footnote脚注
137. The footnote to article 17 decies was adopted in substance by the Commission without modification.137. 委员会未经修改而通过了第17条之十脚注的实质内容。
Section 5. Court-ordered interim measures第5节. 法院下令采取的临时措施
Article 17 undecies. Court-ordered interim measures第17条之十一. 法院下令采取的临时措施
Drafting proposal措辞方面的建议
138. It was suggested that the text of article 17 undecies might be simplified, along the following lines:138. 有与会者认为,可将第17条之十一的案文简化为大致如下的内容:
“A court shall have the same power of issuing an interim measure in relation to arbitration proceedings as it has in relation to proceedings in the courts, including in cases where the place of the arbitration proceedings is in a State other than the court’s. The court shall exercise such power in accordance with its own procedures in consideration of the specific features of international arbitration.”“法院发布与仲裁程序有关的临时措施的权力应与其与法院诉讼程序有关的权力相同,包括仲裁程序进行地在法院所在国之外的国家的情况。 法院应根据自己的程序行使这种权力,同时考虑到国际仲裁的具体特征。 ”
139. That proposal received support.139. 该项建议得到了赞同。
It was clarified that the purpose of article 17 undecies was to preserve the power of courts to issue interim measures in support of arbitration, but should not be understood as expanding the powers of the court for interfering in the arbitral process.有与会者澄清说,第17条之十一的目的是为了保留法院发布临时措施以支持仲裁的权力,但不应被理解为扩大了法院干预仲裁过程的权力。
The Commission agreed that that matter should be clarified in any explanatory material to that provision.委员会一致认为应在该条文的解释性材料中澄清这一事项。
“including in cases where the place of the arbitration proceedings is in a State other than the court’s”“包括仲裁程序进行地在法院所在国之外的国家的情况”
140. A suggestion was made that the phrase “where the place of the arbitration proceedings is in a State other than the court’s” appearing in the proposal (see para. 138 above) was unnecessary given the intention to add article 17 undecies to the list of articles contained under article 1, paragraph 2, of the Arbitration Model Law.140. 有与会者认为,考虑到将第17条之十一列入《仲裁示范法》第1条第2款所载的各项条款这一意图,建议中的“仲裁程序进行地在法院所在国之外的国家的情况”等词(见上文第138段)并无必要。
That suggestion did not receive support because it was considered that those words provided necessary clarification.这一观点没有得到支持,因为据认为,这些词语提供了必要的澄清。
141. After discussion, the Commission agreed that article 17 undecies would read as follows:141. 委员会经讨论后一致认为,第17条之十一的措辞应当如下:
“A court shall have the same power of issuing an interim measure in relation to arbitration proceedings, irrespective of whether their place is in the territory of this State, as it has in relation to proceedings in courts.“法院发布与仲裁程序有关的临时措施的权力应与其在法院诉讼程序方面的权力相同,无论仲裁程序进行地是否在法院所在国领土内。
The court shall exercise such power in accordance with its own procedures in consideration of the specific features of international arbitration”.法院应根据自己的程序行使这种权力,同时考虑到国际仲裁的具体特征。
It was explained that that language was more closely aligned to the language used in the Arbitration Model Law and that replacing the words “the court” by the word “courts” at the end of the first sentence was intended to clarify that there was no intention to refer to specific court proceedings, either domestic or foreign.”据解释说,这一措辞与《仲裁示范法》中所用的措辞更加一致,而且将第一句末尾的“the court”一词替换为“courts”是意在表明无意提及具体法院诉讼程序,无论是本国法院诉讼程序还是外国法院诉讼程序。
Article 17 undecies was meant to encompass the power of issuing interim measures in relation to court proceedings, domestic or international, as the case may be.第17条之十一意在包括根据案情发布与本国法院诉讼程序或国际法院诉讼程序有关的临时措施的权力。
However, article 17 undecies did not relate to the function of assistance and supervision of arbitration proceedings (juge d’appui) as referred to in article 6 of the Arbitration Model Law and, consequently, under no circumstances should article 17 undecies be construed as expanding the powers of courts in relation to those functions.但第17条之十一并不涉及《仲裁示范法》第6条所述的协助和监督仲裁程序的职能(juge ďappui),因此,绝不应将第17条之十一解释为扩大法院在这些职能方面的权力。
142. The Commission agreed that any explanatory material to article 17 undecies should clarify that the court could exercise jurisdiction on arbitration matters, whether the place of arbitration is located in the enacting State or in another State and that the provision should not be construed as expanding the territorial jurisdiction of courts.142. 委员会一致认为第17条之十一的任何解释性材料均应当明确: 法院可以对仲裁事项行使管辖权,无论仲裁所在地是在颁布国还是在另一国家,该条文不应被解释为扩大了法院的地域管辖权。
Placement of article 17 undecies第17条之十一的位置
143. The Commission considered whether article 17 undecies should be located elsewhere in another part of the Arbitration Model Law given that it dealt with court-ordered interim measures which might not easily fit into a chapter intended to deal mostly with interim measures granted by arbitral tribunals.143. 委员会审议了是否应将第17条之十一放在《仲裁示范法》另一部分其他位置的问题,因为该条涉及法院下令采取的临时措施,从而不便放在主要讨论仲裁庭所准予的临时措施的一章。
One suggestion was to place article 17 undecies following article 9 of the Arbitration Model Law, which dealt with interim measures granted by courts.有一种建议是将第17条之十一放在《仲裁示范法》关于法院准予的临时措施的第9条之后。
However, given that article 9 was located within chapter II of the Arbitration Model Law, which related to the arbitration agreement, that option was not considered appropriate.但由于第9条是位于《仲裁示范法》中与仲裁协议有关的第二章,因此认为这一建议并不妥当。
The Commission agreed that a text suggesting that States could place article 17 undecies in the most appropriate part of their enacting legislation could be included in explanatory material accompanying that provision.委员会一致认为可在该条文的解释性材料中列入一项案文,建议各国将第17条之十一放在其颁布立法最适当的部分。
Consideration of amendment to article 1, paragraph 2, of the Arbitration Model Law审议对《仲裁示范法》第1条第2款的修订
144. The text of the draft amendment to article 1, paragraph 2, of the Arbitration Model Law as considered by the Commission at the current session was as contained in document A/CN.9/605, paragraph 23.144. 委员会在本届会议上审议的《仲裁示范法》第1条第2款的修订草案案文载于A/CN.9/605号文件第23段。
145. The proposed amendment to article 1, paragraph 2, which consisted in adding a reference to articles 17 novies, 17 decies and 17 undecies within the list of excepted articles was adopted by the Commission.145. 委员会通过了对第1条第2款的拟议修订,即在所列出的除外条款中提及第17条之九、第17条之十和第17条之十一。
Consideration of the draft legislative provision on the form of arbitration agreement审议关于仲裁协议的形式要求的立法条文草案
General comments概论
146. The Commission exchanged views on the draft legislative provision recalling that, in order to ensure a uniform interpretation of the form requirement that responded to the needs of international trade, it was desirable to prepare a modification of article 7, paragraph 2, of the Arbitration Model Law, with an accompanying guide to enactment and to formulate a statement addressing the interpretation of article II, paragraph 2, of the New York Convention, that would reflect a broad and liberal understanding of the form requirement.146. 委员会就该立法条文草案交换了意见,并回顾说,为了确保对形式要求作出符合国际贸易需要的统一解释,有必要修订《仲裁示范法》第7条第2款并附上一则颁布指南,同时拟订一项关于《纽约公约》第二条第2款如何解释的说明,反映对形式要求的广义而不拘泥于字面的理解。
147. It was recalled that the Working Group’s intention in revising article 7 of the Arbitration Model Law was to update domestic laws on the question of the writing requirement for the arbitration agreement, while preserving enforceability of such agreements as foreseen in the New York Convention.147. 据回顾,工作组修改《仲裁示范法》第7条的用意是,在仲裁协议的书面要求这一问题上对各国法律加以更新,同时保持《纽约公约》所设想的此类协议的可执行性。
The Commission had before it two texts for consideration, the first gave a detailed description of how the writing requirement could be satisfied (the revised draft article 7) and the other omitted the writing requirement altogether (the alternative proposal).委员会收到了两份文本供其审议,第一份详细说明了如何能够满足书面要求(第7条修订草案),另一份则完全取消了书面要求(备选提案)。
The text of the draft legislative provisions considered by the Commission at the current session was as contained in document A/CN.9/606.委员会在本届会议上审议的立法条文草案案文载于A/CN.9/606号文件。
Consideration of the revised draft article 7审议修改后的第7条草案
Paragraph 1第1款
148. It was recalled that paragraph 1 reproduced article 7, paragraph 1, of the Arbitration Model Law.148. 据回顾,第1款重复了《仲裁示范法》第7条第1款。
A proposal was made to delete the second sentence in that paragraph for the reason that it was considered unnecessary.有与会者提议删去该款的第二句,理由是认为没有必要。
That proposal was not accepted.该提议未获通过。
149. After discussion, paragraph 1 was adopted in substance by the Commission without modification.149. 经讨论后,委员会未作修改通过了第1款的实质内容。
Paragraph 2第2款
150. Paragraph 2 was adopted in substance by the Commission without modification.150. 委员会未作修改通过了第2款的实质内容。
Paragraph 3第3款
151. The Commission noted that paragraph 3 defined the writing requirement and sought to clarify how the writing requirement could be fulfilled.151. 委员会注意到,第3款对书面要求作了界定,并试图对实现书面要求的方式作出澄清。
152. Various proposals were made to amend paragraph 3.152. 与会者就修订第3款提出了各种建议。
One proposal was to add as the opening words of paragraph 3:一种建议是,在第3款开头处添加以下一语:
“Without prejudice to the parties’ consent in the arbitration agreement or contract” in order to emphasize the importance of the consent of the parties.“在不影响当事人在仲裁协议或合同中表示同意的情况下”,目的是强调当事人表示同意的重要性。
A related proposal was made to redraft paragraph 3 as follows:一个相关的建议是将第3款改拟如下:
“an arbitration agreement or contract may be concluded orally, by conduct or by any other means of proof which manifest the will of the parties”.“仲裁协议或合同可以口头方式、行为方式或系当事人意思表示的任何其他举证方式订立”。
Another proposal, aimed at clarifying the meaning of paragraph 3 was as follows:意在澄清第3款含义的另一个建议的内容如下:
“The form prescribed in paragraph 2 is met if the content of the arbitration agreement is recorded in any form, an arbitration agreement is in writing, whether or not the arbitration agreement or contract has been concluded orally, by conduct, or by other means”.“达到第2款所规定的形式的条件是,若仲裁协议的内容以任何形式记录下来,则为书面形式,无论该仲裁协议或合同是以口头方式、行为方式还是其他方式订立的。
Yet another proposal was made along the lines suggested in document A/CN.9/609.”另有一则建议与A/CN.9/609号文件所载的内容大致相同。
Those proposals did not receive support.这些建议均未获支持。
153. The Commission noted that the Working Group, at its forty-fourth session (New York, 23-27 January 2006), had discussed whether the purpose of the writing requirement was to provide a record as to the consent of the parties to arbitrate or as to the content of the arbitration agreement.153. 委员会注意到,工作组第四十四届会议(2006年1月23日至27日,纽约)讨论了书面要求的目的究竟是就有关仲裁双方当事人表示的同意还是就有关仲裁协议的内容提供记录的问题。
At that session, it was observed that what was to be recorded was the content of the arbitration agreement as opposed to the meeting of the minds of the parties or any other information regarding the formation of the agreement (A/CN.9/592, para. 61).有与会者在该届会议上指出,要记录的是仲裁协议的内容,而不是当事人意见的趋同或任何其他有关订立协议的信息(A/CN.9/592,第61段)。
The Commission confirmed that paragraph 3 dealt with the definition of the form of the arbitration agreement and the question whether the parties actually reached an agreement to arbitrate was a substantive issue to be left to national legislation.委员会确认,第3款所处理的是仲裁协议形式的定义问题,当事人究竟是否就仲裁实际达成协议属实质性问题,应由各国法律自行规定。
In that context, the Commission took note of a comment that, by contrast with certain national laws under which the written form of the arbitration agreement was prescribed to achieve certainty about the parties’ will to arbitrate, the revised text of paragraph 3 achieved a significant change of perspective by shifting the focus of the provision on reaching certainty regarding the substance of the rights and obligations created by the arbitration agreement, including rules that might govern the arbitration proceedings.委员会就此注意到一则评议认为,一些国家的法律对仲裁协议书面形式的规定使当事人的仲裁意思表示确定无疑,而第3款的修订案文则不同,该案文使在这一问题上的看法有了重大转变,转移了就包括仲裁程序规则在内的仲裁协议所设定的权利和义务实质内容取得确定性的条文的重点。
It was also pointed out that the question of proof of the content of the agreement and that of proof of the consent could not be dissociated from each other, and the writing could only prove existence of the arbitration agreement if at the same time it established the parties’ agreement to arbitrate.还据指出,协议内容的证明问题与表示同意的证明问题两者不可割裂开来,如果书面协议同时确定双方当事人同意仲裁,则仅可证明存在着仲裁协议。
154. The Commission confirmed that a mere reference in an oral contract to a set of arbitration rules or to a law governing the arbitral procedure were cases that were not intended to be covered by paragraph 3 and that such a clarification should be included in any explanatory material accompanying that paragraph.154. 委员会确认,只是在口头合同中提及一套仲裁规则或有关仲裁程序的法律均不属于第3款打算包括的内容,应将此种澄清列入该款所附的任何解释材料。
The Commission agreed that further clarification as to the factual situations that were intended to be covered by paragraph 3 could be included in any explanatory material accompanying that provision.委员会一致认为,可以把就打算由第3款包括在内的实际情况所作的进一步澄清列入该条文所附的任何解释材料。
155. After discussion, paragraph 3 was adopted in substance by the Commission without modification.155. 委员会经讨论后未作修改通过了第3款的实质内容。
Paragraph 4第4款
156. It was observed that paragraph 3 already provided that an arbitration agreement could be concluded “by any other means”, and that those words encompassed the conclusion of an arbitration agreement by electronic means referred to under paragraph 4.156. 有与会者指出,第3款已经规定,可“以任何其他方式”订立仲裁协议,该语涵盖第4款所涉以电子方式订立仲裁协议的情况。
The need to retain paragraph 4 was therefore questioned.有与会者就此对保留第4款的必要性提出了疑问。
157. In favour of its deletion, it was said that it was inappropriate for legislation relating to arbitration to contain provisions on electronic communications and that the definitions provided under paragraph 4 were already contained in other UNCITRAL instruments, namely the UNCITRAL Model Law on Electronic Commerce and the Convention on Electronic Contracts.157. 赞同删除该款的人认为,在有关仲裁的法律中不应载列有关电子通信的规定,况且第4款规定的定义已经载入了贸易法委员会的其他文书,即《贸易法委员会电子商务示范法》和《电子合同公约》。
A proposal was made to delete paragraph 4 and add, at the end of paragraph 3, words along the following lines:有与会者建议删除第4款,并在第3款末尾处添加内容大致如下的措辞:
“including electronic communications”.“包括以电子通信的方式”。
An alternative proposal was made to retain paragraph 4, but simplify its content by referring in footnotes to the definitions that were already contained in the UNCITRAL Model Law on Electronic Commerce and the Convention on Electronic Contracts.另一个建议是保留第4款,但对该款的内容加以简化,在脚注中提及已经载入《贸易法委员会电子商务示范法》和《电子合同公约》的定义。
Those proposals did not receive support.这些建议均未获支持。
158. In favour of retaining paragraph 4, it was said that the language used in paragraph 4 was consistent with that used in article 9, paragraph 2, of the Convention on Electronic Contracts, and the definitions of “electronic communication” and “data message” reproduced the definitions contained under subparagraphs (b) and (c) of article 4 of that Convention.158. 赞成保留第4款者指出,第4款使用的措辞与《电子合同公约》第9条第2款中的措辞是一致的,有关“电子通信”和“数据电文”的定义照用了该公约第4条(b)和(c)项中所载的定义。
It was observed that maintaining consistency between UNCITRAL texts was crucial and that the definitions contained under paragraph 4 would provide useful guidance.据指出,保持贸易法委员会各文本之间的一致性至关重要,第4款所载的定义提供了有益的指导。
159. After discussion, paragraph 4 was adopted in substance by the Commission without modification.159. 委员会经讨论后未作修改通过了第4款的实质内容。
Paragraph 5第5款
160. A comment was made that the situation addressed by paragraph 5 rarely arose in practice, and that that provision could be deleted as paragraph 3 already contemplated the situation covered under paragraph 5.160. 有意见认为,第5款所提到的情况实际上很少发生,该条文可以删除,因为第3款已经设想了第5款中所涉的情况。
It was objected that that provision was already part of article 7 of the Arbitration Model Law and deleting it might be misinterpreted as invalidating arbitration agreements concluded by an exchange of statements of claim and defence in which the arbitration agreement was alleged by one party and not denied by the other.有与会者对此表示反对,认为该条文已经是《仲裁示范法》第7条的一部分,将其删除可能会被误解为通过交换申诉书和答辩书——其中一方当事人声称有仲裁协议而另一方当事人不予否认——所达成的仲裁协议无效。
161. After discussion, paragraph 5 was adopted in substance by the Commission without modification.161. 委员会经讨论后未作修改通过了第5款的实质内容。
Paragraph 6第6款
162. Paragraph 6 was adopted by the Commission without modification.162. 委员会未作修改通过了第6款的实质内容。
Consideration of the alternative proposal to draft article 7对第7条草案备选提案的审议情况
163. The Commission noted that the alternative proposal omitted entirely the writing requirement and thereby recognized oral arbitration agreements as valid.163. 委员会注意到,备选提案完全略去了书面要求,从而承认口头仲裁协议有效。
164. A question was raised whether the alternative proposal should be retained.164. 有与会者提出了是否应保留该备选提案的问题。
It was said that the revised draft article 7 established the minimum requirements that should apply in respect of the form of arbitration agreement, whereas the alternative proposal went much further and did away with all form requirements in order, for example, to recognize the validity of oral arbitration agreements.据指出,第7条修订草案确定了对仲裁协议形式应当适用的最低限度要求,而备选提案则更进一步,完全取消了所有形式要求,以例如承认口头仲裁协议的效力。
While the alternative proposal met with considerable interest, the view was expressed that it might depart too radically from traditional legislation, including the New York Convention, to be readily acceptable in many countries.虽然有人对备选提案表现出很大的兴趣,但有与会者表示,这样的案文可能与包括《纽约公约》在内的传统法规相去甚远,难以被许多国家接受。
165. In support of retention of the alternative proposal, it was noted that, in several jurisdictions that had removed the written form requirement for arbitration agreements, that removal had not given rise to significant disputes as to the validity of arbitration agreements.165. 支持保留备选提案的与会者指出,在已经取消了仲裁协议书面形式要求的若干法域中,口头仲裁协议并没有造成关于仲裁协议有效性的重大纠纷。
In such jurisdictions, it was said that the provision contained in the revised draft article 7 would be unlikely to be adopted and that therefore the alternative proposal should be retained.据指出,在这些法域中,第7条修订草案所载的规定不太可能得到采用,因此应保留备选提案。
In addition, it was argued that the trend was towards relaxing the form requirement for the arbitration agreement and that therefore the Arbitration Model Law, with a view to providing a solution for the future, should offer to national legislators the possibility to opt for the alternative proposal.此外,据认为,放宽仲裁协议的形式要求是大势所趋,因此,旨在为今后提供一种解决办法的《仲裁示范法》应当向国内立法人员提供选择备选提案的机会。
166. In addition, it was observed that State courts tended to interpret the New York Convention in light of the provisions of the Arbitration Model Law and that the revised draft would indicate to States that the written form requirement contained in article II, paragraph 2, of the New York Convention should be interpreted in a more liberal manner.166. 另外,据认为,国家法院往往根据《仲裁示范法》的各项条文来解释《纽约公约》,而修订草案将向各国说明,对于《纽约公约》第二条第2款所载的书面形式要求,应作更加宽松的解释。
It was observed as well that according to article V, paragraph 1 (a), of the New York Convention, the issue of the validity of the arbitration agreement (in the context of a request for enforcement of the arbitral award) was governed by the law of the place where the award was made and that therefore, if the arbitration agreement was valid pursuant to the law of the place of arbitration, the award was enforceable pursuant to the New York Convention in its States parties.另据认为,根据《纽约公约》第五条第1(a)款,仲裁协议有效性的问题(在要求强制执行仲裁裁决的情况下)适用于作出仲裁裁决所在地国的法律,因此,如果仲裁协议根据仲裁所在地的法律有效,则仲裁裁决即可根据《纽约公约》在其缔约国内执行。
It was further observed that State courts could still refer to article VII, paragraph 1, of the New York Convention to apply a more favourable domestic legislation.另据认为,国家法院在适用更加适当的国内立法时仍可提及《纽约公约》第七条第1款。
167. After discussion, the alternative proposal was adopted in substance by the Commission without modification.167. 经讨论后,委员会未作修改通过了备选提案的实质内容。
Presentation of the revised draft article 7 and the alternative proposal第7条修订草案和备选提案的形式
168. It was questioned whether the revised draft article 7 and the alternative proposal should be presented as options in the Arbitration Model Law.168. 有与会者问,备选提案和第7条修订草案是否应列为《仲裁示范法》中的备选案文。
Concern was expressed that presenting options in the Arbitration Model Law would not encourage harmonization of legislation in that field and might potentially create difficulties for enacting States.有与会者表示关切说,在《仲裁示范法》中列出备选案文无助于该领域的立法统一,反而可能给颁布国造成困难。
169. It was suggested that the alternative proposal could be inserted as a footnote to the revised draft article 7 or in any explanatory material.169. 有与会者提出,可将备选提案作为第7条修订草案的脚注,或添入解释材料中。
It was objected that both texts represented two different approaches on the question of definition and form of arbitration agreement, the first to liberalize the writing requirement and the second to suppress that requirement altogether, and presenting the alternative text as a footnote to the revised draft article 7 would therefore be unsatisfactory.有与会者反对说,这两种案文是对仲裁协议的定义和形式问题的两种不同的处理方法,一种是放宽书面要求,另一种是完全取消书面要求,因此,将备选案文作为第7条修订草案的脚注是不能令人满意的。
170. After discussion, the Commission decided to present both the revised draft article 7 and the alternative proposal as options in the text of the Arbitration Model Law and to include guidance for enacting States in respect of each option.170. 经讨论后,委员会决定将第7条修订草案和备选提案都列为《示范法》的备选案文,并针对每种备选案文添加对颁布国的指导。
Consideration of article 35, paragraph 2, of the Arbitration Model Law审议《仲裁示范法》第35条第2款
171. It was noted that article 35, paragraph 2, of the Arbitration Model Law, which was modelled on article IV of the New York Convention, provided that the party relying on an award or applying for its enforcement should supply the duly authenticated original award or a duly certified copy thereof, as well as the original arbitration agreement or a duly certified copy thereof.171. 有与会者指出,《仲裁示范法》第35条第2款仿效了《纽约公约》第四条,规定援用裁决或申请对其予以执行的一方当事人应提供经正式认证的裁决书正本或经正式认证的裁决书副本,以及仲裁协议正本或经正式认证的仲裁协议副本。
The Commission observed that, in its deliberations regarding the written form of arbitration agreements, the Working Group had considered it necessary to ensure that a modified understanding of the writing requirement (article 7 of the Arbitration Model Law, and article II, para. 2, of the New York Convention) would be reflected in article 35, paragraph 2, of the Arbitration Model Law, through an amendment to that article as envisaged in document A/CN.9/606, paragraph 22.委员会说,工作组在审议仲裁协议书面形式时,认为有必要确保将修改后的对书面要求的理解(《仲裁示范法》第7条第2款和《纽约公约》第二条第2款)体现在《仲裁示范法》第35条第2款中,办法是如A/CN.9/606号文件第22段所述对该条进行修改。
172. A proposal was made to delete the word “certified” from the first and second sentences in article 35, paragraph 2, for the reason that inclusion of such a requirement had created, in some cases, uncertainty as to who could undertake the certification and what the certification would consist of, which could hinder unnecessarily the enforcement of an award.172. 有与会者建议删去第35条第2款第一句和第二句中的“经认证的”一词,理由是列入这一要求已在某些情况下产生了令人难以预料的问题,如什么人可以进行认证及认证应当包括什么内容,这会对裁决的强制执行造成不必要的阻碍。
In that respect, it was noted that the question of the need for certification or similar evidence regarding the authenticity of a text or its translation was a matter that was better left to the general law of evidence, or court rules, and to judicial discretion than dealt with by way of imposed requirements that could be overly cumbersome and open to differing interpretations.在这方面,有与会者指出,文本或其译文的真实性方面的认证或类似证据是否有必要的问题最好留给一般性的证据法(即法院规则)和司法裁量来解决,而不是强加一些有可能过于繁琐且容易造成不同理解的要求。
173. After discussion, the Commission agreed that article 35, paragraph 2, should read as follows:173. 经讨论后,委员会一致认为,第35条第2款应为:
“The party relying on an award or applying for its enforcement shall supply the original award or a copy thereof.“援用裁决或申请对其予以执行的一方当事人,应提供裁决书正本或裁决书副本。
If the award is not made in an official language of this State, the court may request the party to supply a translation thereof into such language”.裁决书如不是以本国一种正式语文做成的,法院可以要求该方当事人出具该文件译成这种文字的译本。
It was agreed that, in line with the footnote to article 35, the conditions set forth in that article were intended to set maximum standards and that the explanatory material should clarify that deletion of the certification requirement should not be read as ruling out the possibility that certification might be required by judges, where appropriate and in accordance with local law.”与会者一致认为,根据第35条的脚注,该条所列条件的用意是订立最大限度的标准,而且解释材料应澄清,删去认证要求不应被理解为排除法官酌情依据当地法律要求出具认证的可能性。
Additional provision补充条文
174. The Commission considered whether the Arbitration Model Law should include a provision along the lines of article 7 of the United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980) (the “United Nations Sales Convention”), which was designed to facilitate interpretation by reference to internationally accepted principles.174. 委员会审议了《仲裁示范法》是否应列入一项大意如《联合国国际货物销售合同公约》(1980年,维也纳)(《联合国销售公约》)第7条的条文的问题,该第7条旨在通过提及国际上公认的原则为解释提供便利。
The Commission observed that similar provisions were included in other model laws prepared by the Commission, including article 3 of the UNCITRAL Model Law on Electronic Commerce.委员会注意到,在委员会拟定的其他示范法,包括《贸易法委员会电子商务示范法》第3条中列有类似的条文。
175. The Commission agreed that the inclusion of such a provision would be useful and desirable because it would promote a more uniform understanding of the Arbitration Model Law.175. 委员会一致认为,列入这样一项条文是有益和可取的,因为其将促进对《仲裁示范法》作更统一的理解。
The Commission agreed that the provision should read as follows:委员会商定该项条文应当如下:
“Article 2 A. International origin and general principles“第2A条. 国际渊源和一般原则
“1. In the interpretation of this Law, regard is to be had to its international origin and to the need to promote uniformity in its application and the observance of good faith.“1. 在解释本法时,应考虑到其国际渊源和促进其统一适用及遵循诚信的必要性。
“2. Questions concerning matters governed by this Law which are not expressly settled in it are to be settled in conformity with the general principles on which this Law is based.”“2. 与本法所管辖的事项有关的问题凡在本法中未予明确解决的,应依照本法所基于的一般原则加以解决。
Explanatory material” 7. 解释材料
176. It was noted that recent model laws adopted by UNCITRAL were accompanied by a guide to enactment and use.176. 据指出,贸易法委员会最近通过的各项示范法均附有颁布和使用指南。
Such guides were generally regarded as useful instruments for national legislators and other users of UNCITRAL standards.此类指南一般被视为国家立法者和贸易法委员会标准的其他使用者的有用工具。
They also furthered the process of harmonization of laws.此类指南还推动了法律的统一进程。
After discussion, the Commission agreed that it would be useful to prepare a guide to enactment and use for the entire Arbitration Model Law as revised.委员会经讨论后一致认为,为经修订的整个《仲裁示范法》拟定颁布和使用指南是有益的。
The Secretariat was requested to prepare a draft guide for consideration at future sessions of the Working Group and the Commission.委员会请秘书处拟定指南草案,供工作组和委员会下一届会议审议。
Consideration of the draft declaration regarding the interpretation of articles II (2) and VII (1) of the New York Convention审议关于解释《纽约公约》第二(2)条和第七(1)条的声明草案
177. The text of the draft declaration regarding the interpretation of article II, paragraph 2, and article VII, paragraph 1, of the New York Convention, as considered by the Commission, was contained in paragraph 4 of document A/CN.9/607.177. 委员会审议的关于解释《纽约公约》第二条第2款和第七条第1款的声明草案案文载于A/CN.9/607号文件第4段。
178. A question was raised as to whether it was appropriate for the Commission to issue a declaration on the interpretation of a multilateral treaty.178. 有与会者提出了委员会就多边条约的解释发表声明是否适当的问题。
The Commission recalled that it had a mandate, as defined in its founding General Assembly resolution 2205 (XXI), inter alia, to promote “ways and means of ensuring a uniform interpretation and application of international conventions and uniform laws in the field of the law of international trade”.委员会回顾,按照大会第2005(XXI)号创建决议的规定,除其他外,委员会负有促进“确保国际贸易法方面国际公约及统一法律之解释与适用趋于一致之方法”的任务。
Therefore, issuing a recommendation that was persuasive rather than binding in nature, for the benefit of users of the treaty, including law-makers, arbitrators, judges and commercial parties, was within the mandate of the Commission.因此,为了条约使用者,包括立法人员、仲裁员、法官和商业当事方的利益,发布说服性而非约束性的建议,属于委员会的任务授权范围。
Such a recommendation was said to be appropriate and, in the circumstances, particularly desirable as it would encourage the development of rules favouring the validity of arbitration agreements in a wider variety of situations and encourage States to adopt the revised version of article 7 of the Arbitration Model Law.据认为,此种建议是适当的,而且在目前情况下特别可取,因为它将有利于拟定主张仲裁协议在更多的情形下具有效力的规则并将鼓励各国通过《仲裁示范法》第7条修订本。
179. The Commission noted the discussions of the Working Group on the form of the document, including the question whether the document should take the form of a declaration or a recommendation (A/CN.9/485, paras. 65-69).179. 委员会注意到工作组关于文件的形式,包括文件应当采取声明形式还是建议形式的讨论(A/CN.9/485,第65-69段)。
The Commission agreed that the purpose of the document, in line with the Commission’s mandate, was to propose a harmonizing interpretation of certain provisions of the New York Convention, without interfering with the competence of the State parties to the New York Convention to issue binding declarations regarding the interpretation of that treaty.委员会商定,根据委员会的任务授权,文件的目的应是建议统一对《纽约公约》某些条款的解释,同时又不干涉《纽约公约》各缔约国就该条约的解释发布具有约束力的声明的权限。
180. Against that background, the Commission agreed that the most appropriate form for such a document was that of a recommendation, instead of a declaration which could be misinterpreted as to its nature.180. 在这种背景下,委员会商定,此种文件的最适当形式是建议,而不是其性质可能被误解的声明。
The title of the document was amended accordingly.文件的标题作了相应修改。
The Commission also agreed to bring forward the reference to its mandate in the opening paragraphs of the recommendation.委员会还商定在建议的头几段提及它的任务授权。
Adoption of legislative provisions and recommendation通过立法条文和建议
181. The Commission, after considering the text of the draft model legislative provisions relating to the definition and form of arbitration agreements and interim measures, and the text of the draft recommendation regarding the interpretation of article II, paragraph 2, and article VII, paragraph 1, of the New York Convention, adopted the following decision at its 834th meeting, on 7 July 2006:181. 委员会在审议了有关仲裁协议和临时措施定义和形式的示范立法条文草案以及有关解释《纽约公约》第二条第2款和第七条第1款的建议草案案文之后在其2006年7月7日第834次会议上通过了以下决定:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Recalling its mandate under General Assembly resolution 2205 (XXI) of 17 December 1966 to further the progressive harmonization and unification of the law of international trade and in that respect to bear in mind the interests of all peoples, in particular those of developing countries, in the extensive development of international trade,“回顾大会1966年12月17日第2205 (XXI)号决议所赋予的任务,即促进国际贸易法的逐步协调统一,并为此应顾念所有人民,尤其是发展中国家人民在国际贸易广泛发展中之利益,
“Recalling also General Assembly resolution 40/72 of 11 December 1985 noting the adoption of the Model Law on International Commercial Arbitration by the United Nations Commission on International Trade Law and recommending that all States give due consideration to the Model Law, in view of the desirability of uniformity of the law of arbitral procedures and the specific needs of international commercial arbitration practice,“还回顾大会1985年12月11日第40/72号决议,其中注意到联合国国际贸易法委员会通过了《国际商事仲裁示范法》,并建议“所有国家鉴于统一仲裁程序法的需要和国际商业仲裁实际执行的具体需要,对国际商业仲裁示范法给予适当的考虑”,
“Recognizing the value of arbitration as a method of settling disputes arising in the context of international commercial relations,“承认仲裁作为解决国际商业关系中的纠纷的方法所具有的价值,
“Recognizing also the need for provisions in the Model Law to conform to current practices in international trade and modern means of contracting with regard to the form requirement of arbitration agreement and the granting of interim measures,“还承认《示范法》中的条文必须遵照国际贸易中的现行惯例以及在有关仲裁协议形式要求和准予采取临时措施的现代订约手段,
“Believing that revised articles of the Model Law on the requirement of written form and interim measures, together with explanatory material relating thereto, will significantly enhance the operation of the Model Law,“深信《示范法》关于书面形式要求和临时措施的订正条款,连同有关的解释材料将大大加强《示范法》的适用,
“Noting that the preparation of the revised articles of the Model Law was the subject of due deliberation and extensive consultations with Governments and interested circles and would contribute significantly to the establishment of a harmonized legal framework for a fair and efficient settlement of international commercial disputes,“注意到《示范法》订正条款是与各国政府和有关方面适当讨论和广泛协商拟定的,这些条款将十分有助于为公正有效地解决国际商事纠纷建立一个统一的法律框架,
“Believing that, in connection with the modernization of articles of the Model Law, the promotion of a uniform interpretation and application of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done in New York, 10 June 1958, is particularly timely,“相信在《示范法》条款的更新方面,促进对1958年6月10日在纽约完成的《承认及执行外国仲裁裁决公约》的统一解释和适用尤为及时,
“1. Adopts the revised articles of the UNCITRAL Model Law on International Commercial Arbitration as they appear in annex I to the report of the United Nations Commission on International Trade Law on the work of its thirty-ninth session;“1. 通过载于联合国国际贸易法委员会第三十九届会议工作报告附件一的《贸易法委员会国际商事仲裁示范法》订正条款;
“2. Recommends that all States give favourable consideration to the enactment of the revised articles of the UNCITRAL Model Law on International Commercial Arbitration, or the revised UNCITRAL Model Law on International Commercial Arbitration, when they enact or revise their laws, in view of the desirability of uniformity of the law of dispute settlement procedures and the specific needs of international commercial arbitration practice;“2. 建议所有国家鉴于统一纠纷解决程序法的可取性和国际商事仲裁惯例的具体需要,在颁布或修订本国法律时对颁布《贸易法委员会国际商事仲裁示范法》订正条款或经修订的《贸易法委员会国际商事仲裁示范法》给予积极的考虑;
“3. Adopts the recommendation regarding the interpretation of articles II, paragraph 2, and VII, paragraph 1, of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done in New York, 10 June 1958, as it appears in annex II to the report of the United Nations Commission on International Trade Law on the work of its thirty-ninth session.”“3. 通过载于联合国国际贸易法委员会第三十九届会议工作报告附件二的有关解释1958年6月10日在纽约制定的《承认及执行外国仲裁裁决公约》第二条第2款和第7条第1款的建议。
Future work in the field of settlement of commercial disputes” F. 今后在解决商事纠纷领域的工作
182. With respect to future work in the field of settlement of commercial disputes, the Commission had before it two notes entitled “Possible future work in the field of settlement of commercial disputes” (A/CN.9/610 and Corr.1) and “Possible future work in the field of settlement of commercial disputes:182. 关于今后在解决商事纠纷领域的工作,委员会收到了两份说明,其标题分别为“在解决商事纠纷领域今后可能开展的工作”(A/CN.9/610和Corr.1)和“在解决商事纠纷领域未来可能开展的工作:
revision of the UNCITRAL Arbitration Rules” (A/CN.9/610/Add.1).修订《贸易法委员会仲裁规则》”(A/ CN.9/610/Add.1)。
183. The Commission took note of suggestions of the Working Group made at its forty-fourth session (New York, 23-27 January 2006) that priority consideration be given to, inter alia, possible revision of the UNCITRAL Arbitration Rules; arbitrability of intra-corporate disputes (and possibly other issues relating to arbitrability, for example, arbitrability in the fields of intellectual property rights, investment disputes, insolvency or unfair competition); and online dispute resolution (see A/CN.9/592, paras. 89-95).183. 委员会注意到工作组第四十四届会议(2006年1月23日至27日,纽约)提出的尤其应优先考虑以下议题的建议: 对《贸易法委员会仲裁规则》的可能修订;公司内的纠纷可否仲裁(以及可能还有与可否仲裁相关联的其他问题,例如在知识产权、投资纠纷、破产或不公平竞争等领域可否适用仲裁的问题);以及网上解决纠纷(见A/CN.9/592,第89-95段)。
184. It was agreed that the topic of revising the UNCITRAL Arbitration Rules should be given priority.184. 工作组一致认为应优先考虑修订《贸易法委员会仲裁规则》的议题。
The Commission noted that, as one of the early instruments developed by UNCITRAL in the field of arbitration, the UNCITRAL Arbitration Rules were recognized as a very successful text, adopted by many arbitration centres and used in many different instances, such as, for example, in investor-State disputes.委员会注意到,作为贸易法委员会在仲裁领域拟定的早期文书之一,《贸易法委员会仲裁规则》已被公认为一个十分成功的文本,获得许多仲裁中心的采纳,并且在投资者与国家的纠纷等许多情况下均得到使用。
In recognition of the success and status of the UNCITRAL Arbitration Rules, the Commission was generally of the view that any revision of the UNCITRAL Arbitration Rules should not alter the structure of the text, its spirit or its drafting style, and should respect the flexibility of the text rather than make it more complex.考虑到《贸易法委员会仲裁规则》的成功及其地位,委员会普遍认为,对《贸易法委员会仲裁规则》的任何修订都不应使其案文、精神或行文风格有所改变,并且应尊重该文本的灵活性,而不是使其更为复杂。
It was suggested that the Working Group should undertake to define carefully the list of topics that might need to be addressed in a revised version of the UNCITRAL Arbitration Rules.有与会者建议工作组应设法认真确定在《贸易法委员会仲裁规则》修订本中需加以论及的议题清单。
It was observed that the list contained in document A/CN.9/610/Add.1 provided a useful starting point in that respect.有与会者指出A/CN.9/610/ Add.1号文件中所载的清单在这方面提供了一个有益的出发点。
185. The topic of arbitrability was said to be an important question, which should also be given priority.185. 有与会者指出可否仲裁的议题是一个重要问题,也应给予优先考虑。
It was said that it would be for the Working Group to consider whether arbitrable matters could be defined in a generic manner, possibly with an illustrative list of such matters, or whether the legislative provision to be prepared in respect of arbitrability should identify the topics that were not arbitrable.据指出,应由工作组来考虑究竟是以笼统方式对可予仲裁的事项加以界定,并视可能择要列举以作示例,还是在拟订有关可否仲裁问题的立法条文时界定不得付诸仲裁的议题。
It was suggested that a study might be undertaken of the question of arbitrability and other forms of alternative dispute resolution in the context of immovable property, unfair competition and insolvency.有与会者指出,在不动产、不公平竞争和破产方面,可以对可否仲裁问题以及纠纷替代解决办法的其他形式加以研究。
It was cautioned, however, that the topic of arbitrability was a matter raising questions of public policy, which was notoriously difficult to define in a uniform manner, and that providing a pre-defined list of arbitrable matters could unnecessarily restrict a State’s ability to meet certain public policy concerns that were likely to evolve over time.但有与会者告诫,可否仲裁的议题关乎公共政策问题,对后者加以统一界定又极为困难,而事先确定一清单,列举可否仲裁的事项,可能会毫无必要地限制一国解决可能会因时而变的某些公共政策问题的能力。
186. Other topics mentioned for possible inclusion in the future work of the Working Group included issues raised by online dispute resolution.186. 会上提到的可列入工作组未来工作的其他议题包括网上解决纠纷提出的问题。
It was suggested that the UNCITRAL Arbitration Rules, when read in conjunction with other instruments, such as the UNCITRAL Model Law on Electronic Commerce and the Convention on Electronic Contracts, already accommodated a number of issues arising in the online context.有与会者指出,如果把《贸易法委员会仲裁规则》与《贸易法委员会电子商务示范法》和《电子合同公约》等其他文书一并加以理解的话,则其已考虑到在网上环境下所产生的若干问题。
Another topic mentioned was the issue of arbitration in the field of insolvency.提及的另一个议题是破产领域的仲裁问题。
Yet another suggestion was to address the impact of anti-suit injunctions on international arbitration.还有与会者建议述及禁诉令对国际仲裁的影响。
A further suggestion was to consider clarifying the notions used in article I, paragraph 1, of the New York Convention, of “arbitral awards made in the territory of a State other than the State where the recognition and enforcement of such awards are sought” or “arbitral awards not considered as domestic awards in the State where their recognition and enforcement are sought”, which were said to have raised uncertainty in some State courts.另一个建议是,应考虑对《纽约公约》第一条第1款中使用的以下概念加以澄清,即“公断裁决,因在声请承认及执行地所在国以外之国家领土内作成者”或“公断裁决经声请承认及执行地所在国认为非内国裁决者”。 据说这些概念令某些国家的法院无从断案。
The Commission also heard with interest a statement made on behalf of the International Cotton Advisory Committee suggesting that work could be undertaken by the Commission to promote contract discipline, effectiveness of arbitration agreements and enforcement of awards in that industry.委员会还有兴趣地听取了国际纺织咨询委员会的代表所作的声明,该代表指出,委员会可在促进合同纪律、仲裁协议的效力和在该行业执行裁决方面开展工作。
187. After discussion, the Commission was generally of the view that several matters could be dealt with by the Working Group in parallel.187. 委员会经讨论后普遍认为,工作组可同时处理若干问题。
The Commission agreed that the Working Group should undertake work on the question of a revision of the UNCITRAL Arbitration Rules.委员会一致认为,工作组应开展有关修订《贸易法委员会仲裁规则》问题的工作。
It was also agreed that the issue of arbitrability was a topic that the Working Group should also consider.委员会还一致认为,可否仲裁问题也是工作组应加以审议的一个议题。
As to the issue of online dispute resolution, it was agreed that the Working Group should place the topic on its agenda but, at least in an initial phase, should consider the implications of electronic communications in the context of the revision of the UNCITRAL Arbitration Rules.关于网上解决纠纷问题,委员会一致认为工作组应将该议题列入其议程,不过在最初阶段至少应结合对《贸易法委员会仲裁规则》的修订来审议电子通信所涉问题。
Procurement:五. 采购:
progress report of Working Group I第一工作组进度报告
188. At its thirty-sixth and thirty-seventh sessions, in 2003 and 2004 respectively, the Commission considered the possible updating of the UNCITRAL Model Law on Procurement of Goods, Construction and Services and its Guide to Enactment, on the basis of notes by the Secretariat (A/CN.9/539 and Add.1 and A/CN.9/553).188. 委员会在其分别于2003和2004年举行的第三十六和第三十七届会议上根据秘书处的说明(A/CN.9/539和Add.1以及A/CN.9/553)审议了对《贸易法委员会货物、工程和服务采购示范法》的可能增补问题。
At its thirty-seventh session, the Commission agreed that the Model Law would benefit from being updated to reflect new practices, in particular those which resulted from the use of electronic communications in public procurement, and the experience gained in the use of the Model Law as a basis for law reform in public procurement as well as possible additional issues.委员会第三十七届会议一致认为,增订《示范法》大有好处,可反映新的惯例,特别是由于在公共采购中使用电子通信而形成的惯例、在利用《示范法》作为公共采购法律改革的基础方面所取得的经验以及其他可能的问题。
The Commission decided to entrust the preparation of proposals for the revision of the Model Law to its Working Group I (Procurement) and gave the Working Group a flexible mandate to identify the issues to be addressed in its considerations.委员会决定将起草《示范法》修订建议的工作交给其第一工作组(采购)进行,并请工作组在履行任务时灵活从事,以便确定拟在其审议中予以处理的问题。
The Commission noted that, in updating the Model Law, care should be taken not to depart from the basic principles of the Model Law and not to modify the provisions whose usefulness had been proven.委员会指出,在增订《示范法》时应当谨慎从事,以免悖离《示范法》的基本原则,而且也不要对一些已证明有益的条款加以修改。
189. The Working Group commenced its work pursuant to that mandate at its sixth session (Vienna, 30 August-3 September 2004).189. 工作组在其第六届会议(2004年8月30日至9月3日,维也纳)上依照上述任务授权开始了其工作。
At that session, it decided to proceed with in-depth consideration of the topics suggested in the notes by the Secretariat (A/CN.9/WG.I/WP.31 and A/CN.9/WG.I/WP.32) in sequence at its future sessions (A/CN.9/568, para. 10).工作组在该届会议上决定在其今后的届会上按顺序继续深入审议秘书处的说明(如A/60/17第171段所列举的A/CN.9/WG.I/WP.31和A/CN.9/WG.I/WP.32)中建议的各项议题(A/CN.9/568,第10段)。
190. At its thirty-ninth session, the Commission took note of the reports of the eighth (Vienna, 7-11 November 2005) and ninth (New York, 24-28 April 2006) sessions of the Working Group (see A/CN.9/590 and A/CN.9/595, respectively).190. 委员会第三十九届会议注意到工作组第八届会议(2005年11月7日至11日,维也纳)和第九届会议(2006年4月24日至28日,纽约)的报告(分别见A/CN.9/590和A/CN.9/595)。
191. The Commission was informed that, at its eighth and ninth sessions, the Working Group continued the in-depth consideration of the topics related to the use of electronic communications and technologies in the procurement process.191. 委员会获悉,工作组第八和第九届会议继续深入审议了与采购过程中使用电子通信和技术有关的议题。
The Commission noted that, pursuant to the Working Group’s decision at its seventh session to accommodate the use of electronic communications and technologies (including electronic reverse auctions) in the Model Law (A/CN.9/575, para. 9), the Working Group, at its ninth session, had come to preliminary agreement on the draft revisions to the Model Law and the Guide that would be necessary in that regard.委员会注意到,根据工作组第七届会议关于将电子通信和技术(包括电子逆向拍卖)的使用纳入《示范法》的决定(A/CN.9/575,第9段),工作组第九届会议就这方面所必要的《示范法》和《指南》修订草案达成了初步一致意见。
The Commission also noted that the Working Group had decided that at its subsequent sessions it would proceed with the in-depth consideration of the proposed revisions to the Model Law and the Guide addressing the remaining aspects of electronic reverse auctions and the investigation of abnormally low tenders, and would take up the topics of framework agreements and suppliers’ lists (A/CN.9/595, para. 9).委员会还注意到,工作组已决定在其今后的届会上继续深入审议对《示范法》和《指南》进行的涉及电子逆向拍卖其余方面和异常低价竞标调查的拟议修订,并将着手讨论框架协议和供应商名单的议题(A/CN.9/595,第9段)。
192. The Commission commended the Working Group for the progress made in its work and reaffirmed its support for the review being undertaken and for the inclusion of novel procurement practices in the Model Law.192. 委员会赞扬工作组在其工作中取得的进展,重申支持正在进行的审查并支持在《示范法》中列入新的采购做法。
In the context of its consideration of agenda item 14, Coordination and cooperation, with reference to document A/CN.9/598/Add.1 (see para. 232 below), the Commission recommended that the Working Group, in updating the Model Law and the Guide, should take into account issues of conflict of interest and should consider whether any specific provisions addressing those issues would be warranted in the Model Law. (For the following two sessions of the Working Group, see para. 273 (a) below.)委员会针对A/CN.9/598/Add.1号文件,结合其对议程项目14“协调与合作”的审议(见下文第232段),建议工作组在增补《示范法》和《指南》时,应顾及利益冲突问题,并应考虑,对于有关这些问题的任何具体规定,是否都将在《示范法》中予以认可。 (关于工作组的接下来两届会议,见下文第273段。 )
Transport law:六. 运输法:
progress report of Working Group III第三工作组进度报告
193. At its thirty-fourth session, in 2001, the Commission established Working Group III (Transport Law) to prepare, in close cooperation with interested international organizations, a legislative instrument on issues relating to the international carriage of goods by sea, such as the scope of application, the period of responsibility of the carrier, the obligations of the carrier, the liability of the carrier, the obligations of the shipper and transport documents.193. 委员会在其2001年第三十四届会议上设立了第三工作组(运输法),以便与有关国际组织密切合作,拟定一项国际海上货物运输方面关于下列问题的法律文书: 适用范围、承运人的责任期、承运人的义务、承运人的赔偿责任、托运人的义务以及运输单证,等等。
At its thirty-fifth session, in 2002, the Commission approved the working assumption that the draft convention on transport law should cover door-to-door transport operations.委员会在其2002年第三十五届会议上核准了关于运输法文书草案应当包括门到门运输业务的暂定假设。
At its thirty-sixth, thirty-seventh and thirty-eighth sessions, in 2003, 2004 and 2005, respectively, the Commission noted the complexities involved in the preparation of the draft convention, and authorized the Working Group, on an exceptional basis, to hold its sessions on the basis of two-week sessions.在其2003年第三十六届会议、2004年第三十七届会议和2005年第三十八届会议上委员会注意到拟定公约草案工作的复杂性,批准第三工作组作为例外将其届会的会期定为两周。
194. At its thirty-ninth session, the Commission took note with appreciation of the progress made by the Working Group at its sixteenth (Vienna, 28 November-9 December 2005) and seventeenth (New York, 3-13 April 2006) sessions (see A/CN.9/591 and Corr.1 and A/CN.9/594, respectively).194. 委员会第三十九届会议赞赏地注意到该工作组第十六届会议(2005年11月28日至12月9日,维也纳)和第十七届会议(2006年4月3日至13日,纽约)所取得的进展(分别见A/CN.9/591和Corr.1,A/CN.9/594)。
195. The Commission was informed that, at its sixteenth and seventeenth sessions, the Working Group had proceeded with its second reading of the draft convention and had made good progress regarding a number of difficult issues, including those regarding jurisdiction, arbitration obligations of the shipper, delivery of goods, including the period of responsibility of the carrier, the right of control, delivery to the consignee, scope of application and freedom of contract, and transport documents and electronic transport records.195. 委员会获知,工作组第十六届和第十七届会议已着手对公约草案进行二读,并在一些棘手问题上取得了很好的进展,其中包括有关管辖权、托运人的仲裁义务、货物的交付,包括承运人的责任期、控制权、向收货人交付货物、适用范围和契约自由以及运输单证和电子运输记录等问题。
Also considered by the Working Group were the topics of transfer of rights and, more generally, the issue of whether any of the substantive topics currently included in the draft convention should be deferred for consideration in a possible future instrument.工作组还审议了权利转让议题,以及是否应把目前列入公约草案的任何实质性议题推迟到在今后可能的文书中加以审议的更为一般的问题。
The Commission was also informed that the Secretariat had facilitated the initiation of consultations that were currently under way between experts from Working Group III (Transport Law) and experts from Working Group II (Arbitration and Conciliation) with the hope that an agreement could be found on the provisions in the draft convention relating to arbitration.工作组还获悉,秘书处协助推动第三工作组(运输法)和第二工作组(仲裁和调解)的专家进行协商,以期能够就公约草案中有关仲裁的条文达成共识。
196. The Commission was informed that, with a view to continuing the acceleration of the exchange of views, the formulation of proposals and the emergence of consensus in preparation for a third and final reading of the draft convention, a number of delegations participating in the sixteenth and seventeenth sessions of the Working Group had continued their initiative of holding informal consultations for the continuation of discussion between sessions of the Working Group.196. 委员会获悉,为继续加快交换看法、拟订提案并形成共识,为公约草案三读即最后一读作好准备,参加工作组第十六届和十七届会议的一些代表团继续主动举行非正式磋商,在工作组闭会期间继续展开讨论。
197. Some concerns were expressed regarding the treatment in the draft convention of the issues of scope of application and freedom of contract.197. 有些与会者就公约草案对适用范围和契约自由问题的处理表示关切。
The freedom given to the parties to volume contracts to derogate from provisions of the draft convention was said to constitute a significant departure from the prevailing regime in transport law conventions.据指出,赋予总量合同当事方减损公约草案条文的自由严重背离了各项运输法公约中普遍规定的制度。
It was argued that, in view of the broad definition of volume contracts in article 1 of the draft convention, freedom of contract might potentially cover almost all carriage of goods by shipping lines falling within the scope of the draft convention.有与会者称,鉴于公约草案第1条中总量合同的定义宽泛,契约自由或许可以涵盖公约草案范围以内的几乎所有航线的货运。
It was further argued that the conditions for valid derogation from the draft convention did not require the express consent to the derogations by both parties, which was said to open up the possibility that standard contracts containing derogating clauses could be submitted to the shippers.还有与会者称,有效减损公约草案的先决条件并不要求双方当事人对减损表示明确同意,据称这可能造成把载有减损条款的标准格式合同递交给托运人。
198. There was support for those concerns and for the need for the Working Group to consider them.198. 有与会者对这些关切表示支持并认为工作组必须加以认真考虑。
However, there were also objections to both the criticism of the treatment of freedom of contract as well as to the characterization of the alleged problems created by the draft convention.但也有与会者不同意对如何处理契约自由提出的批评,也不同意对由公约草案造成的所谓问题的描述。
It was said, in that connection, that freedom of contract was an important element in the overall balance of the draft convention and that the current text reflected an agreement that had emerged in the Working Group after extensive discussions.有与会者就此指出,契约自由是公约取得总体平衡的一个重要方面,目前的案文反映了工作组经过广泛讨论形成的共识。
199. The Commission took note of the concerns related to the treatment in the draft convention of the issues of scope of application and freedom of contract and of the joint proposal by Australia and France on freedom of contract under volume contracts set out in document A/CN.9/612, as well as the expressions of support for the current draft provisions.199. 委员会既注意到与会者就公约草案如何处理适用范围和契约自由问题提出的关切,及澳大利亚和法国就A/CN.9/612号文件所载总量合同下的契约自由提出的联合提案,也注意到与会者对现行条文草案表示支持。
The Commission was of the view that the Working Group was the proper forum to consider those substantive points at the present stage and expressed its confidence that the Working Group would deal with those concerns in the ongoing discussions on the draft convention.委员会认为,现阶段在工作组中审议这些实质问题是合适的,并相信工作组将能够在继续讨论公约草案的过程中处理这些关切。
The Commission noted the views expressed by a number of delegations on the need for the outcome of the deliberations of the Working Group to receive wide international acceptance.委员会注意到一些代表团就工作组的审议有必要取得成果以得到国际上的广泛接受所表示的意见。
200. With respect to a possible time frame for completion of the draft convention, the Commission was informed that the Working Group planned to complete its second reading of the draft convention at the end of 2006 and the final reading at the end of 2007, with a view to presenting the draft convention for finalization by the Commission in 2008.200. 关于完成公约草案的可能的时间框架,委员会获知,工作组计划在2006年底完成对公约草案的二读并在2007年底完成最后一读,以便在2008年将公约草案提交委员会最后审定。
The Commission agreed that 2008 would be a desirable goal for completion of the project, but that it was not desirable to establish a firm deadline at the present stage.委员会一致认为应把2008年作为完成该项目的可取的目标,但不应在现阶段定死最后期限。
The Commission, noting the complexities and magnitude of the work involved in the preparation of the draft convention, authorized the Working Group to hold its sessions on the basis of two-week sessions. (For the next two sessions of the Working Group, see para. 273 (c) below).考虑到拟定公约草案的有关工作十分复杂,涉面很广,委员会授权工作组在会期为两周的基础上举行其届会(关于工作组的下两届会议,见下文第273段)。
Possible future work in the area of electronic commerce七. 今后在电子商务领域可能开展的工作
201. At its thirty-eighth session, in 2005, the Commission considered the possibility of undertaking future work in the area of electronic commerce in the light of a note submitted by the Secretariat in pursuance of the Commission’s mandate to coordinate international legal harmonization efforts in the area of international trade law (A/CN.9/579).201. 委员会在其2005年第三十八届会议上,根据秘书处提交的一份说明审议了今后在电子商务领域开展工作的可能性,这份说明是由秘书处依照委员会协调国际贸易法领域国际法律统一工作的任务授权而提交的(A/CN.9/579)。
In that note, the Secretariat had summarized the work undertaken by other organizations in various areas related to electronic commerce, which were indicative of the various elements required to establish a favourable legal framework for electronic commerce.秘书处在这份说明中概述了其他组织在与电子商务有关的各个领域开展的工作,这些不同的领域表明了建立有利于电子商务的法律框架所需的各项要素。
202. The Commission, at that time, welcomed the information provided in the note by the Secretariat and confirmed the usefulness of such a cross-sectoral overview of activities from the viewpoint both of its coordination activities and of the information requirements of Member States.202. 当时,委员会对秘书处说明中提供的信息表示欢迎,并肯定此种跨部门活动概览无论从委员会的协调活动还是从会员国对信息的需要角度来看都是有益的。
The Commission requested the Secretariat to prepare a more detailed study, for consideration by the Commission at its thirty-ninth session, in 2006, which should include proposals as to the form and nature of a comprehensive reference document, which the Commission might in the future consider preparing with a view to assisting legislators and policymakers around the world.委员会请秘书处编写一份更为详尽的研究材料,供委员会2006年第三十九届会议审议,其中应对委员会将来可能考虑为协助世界各国的立法者和决策者而编拟的综合性参考文件的格式和性质提出建议。
203. At its thirty-ninth session, the Commission had before it a note prepared by the Secretariat following that request (A/CN.9/604).203. 委员会在其第三十九届会议上收到了秘书处按照上述请求编写的说明(A/CN.9/604)。
The note identified the following areas as possible components of a comprehensive reference document:这份说明列举了可纳入综合性参考文件的以下领域:
authentication and cross-border recognition of electronic signatures; (b) liability and standards of conduct for information-services providers; (c) electronic invoicing and legal issues related to supply chains in electronic commerce; (d) transfer of rights in tangible goods and other rights through electronic communications; (e) unfair competition and deceptive trade practices in electronic commerce; and (f) privacy and data protection in electronic commerce.(a)电子签名的认证和跨国界承认;(b)信息服务供应商赔偿责任和行为标准;(c)电子发票和与电子商务供应链有关的法律问题;(d)通过电子通信进行的有形货物权利和其他权利的转让;(e)电子商务中的不公平竞争和欺骗性贸易做法;(f)电子商务中的隐私和数据保护。
The note also identified other issues which, although in a more summary fashion, could be included in such a document:这份说明还较简短地指出了可纳入此类文件的其他问题:
protection of intellectual property rights; (b) unsolicited electronic communications (spam); and (c) cybercrime.(a)知识产权保护;(b)未经请求的电子通信(垃圾邮件);(c)网络犯罪。
204. The Commission welcomed the information and the proposals submitted by the Secretariat.204. 委员会欢迎秘书处所提交的信息和建议。
The Commission reiterated its belief that the UNCITRAL Model Law on Electronic Commerce, the UNCITRAL Model Law on Electronic Signatures, and the Convention on Electronic Contracts, provided a good basis for States to facilitate electronic commerce, but only addressed a limited number of issues.委员会重申自己的意见,认为《贸易法委员会电子商务示范法》、《贸易法委员会电子签名示范法》和《电子合同公约》为各国促进电子商务提供了良好的依据,但只涉及了有限的问题。
205. The Commission heard expressions of support for the view that the task of legislators and policymakers, in particular in developing countries, might be greatly facilitated if the Commission were to formulate a comprehensive reference document dealing with the topics identified by the Secretariat.205. 有观点认为,委员会若能就秘书处所列举的各项专题拟定一份综合性参考文件,这将大大便利特别是发展中国家的立法者和决策者开展工作,委员会听取了对上述观点的支持意见。
Such a document, it was also said, might also assist the Commission to identify areas in which it might itself undertake future harmonization work.还有与会者说,此类文件还可能有助于委员会确定将来可能在哪些领域开展统一工作。
206. However, there was also support for the view that the range of issues identified by the Secretariat was too wide and that the scope of the comprehensive reference document might need to be reduced.206. 但是,还有与会者支持另一种观点,即秘书处列举的问题范围太广,有必要缩小综合性参考文件的范围。
Given the variety of issues involved, it was agreed that Member States might need more time, at least to consider the desirability and possible scope of future legislative work on those issues, and that the Commission should postpone a final decision on the topics to be covered until its fortieth session, in 2007.考虑到所涉问题的多样性,与会者一致认为,各成员国可能需要更多的时间,至少考虑今后在这些问题上开展立法工作是否必要,以及可能的工作范围,委员会应推迟到2007年第四十届会议再最后决定要涵盖哪些专题。
The Commission further agreed that its final decision on that matter might be facilitated if it could review a sample portion of the comprehensive reference document on a discrete topic.委员会还一致认为,若能从综合性参考文件中抽出对某一单独专题的样本内容进行审查,或许会有助于对该事项做出最后决定。
The Commission therefore requested the Secretariat to prepare a document dealing specifically with issues related to authentication and cross-border recognition of electronic signatures, for review at its fortieth session, in 2007.因此,委员会请秘书处编拟一份文件,专门处理有关电子签名的认证和跨国界承认的问题,供其2007年第四十届会议审查。
Possible future work in the area of insolvency law八. 破产法领域今后可能开展的工作
207. The Commission had before it a note by the Secretariat (A/CN.9/596) reporting on the international colloquium that took place from 14 to 16 November 2005, in Vienna, to discuss a series of proposals, made to the Commission at its thirty-eighth session, in 2005 (A/CN.9/582 and Add.1-7), for future work in the area of insolvency law, specifically on treatment of corporate groups in insolvency, cross-border insolvency protocols in transnational cases, post-commencement financing in international reorganizations, directors’ and officers’ responsibilities and liabilities in insolvency and pre-insolvency cases, and commercial fraud and insolvency.207. 委员会收到了秘书处的一份说明(A/CN.9/596),其中介绍了2005年11月14日至16日在维也纳举行的国际讨论会的情况,该讨论会讨论了就破产法领域的今后工作向委员会2005年第三十八届会议提出的一系列提案(A/CN.9/582和Add.1至7),这些提案具体侧重于对破产中公司集团的处理、跨国案件中的跨国界破产协议、国际重组中的启动后融资、破产和破产前案件中董事和高级管理人员的职责和赔偿责任,以及商业欺诈和破产等问题。
The Commission also took note of document A/CN.9/597.委员会还注意到A/CN.9/597号文件。
208. The Commission expressed its appreciation for the organization of the colloquium, noting the topics that had been discussed and the issues that had been raised.208. 委员会对组织这一讨论会表示赞赏,并注意到已讨论的议题和已提出的问题。
With respect to the proposals made by the Secretariat for possible future work, the Commission recalled, in particular, that treatment of corporate groups in insolvency had arisen in the context of the development of the Insolvency Guide, and that the treatment in the Insolvency Guide was either limited to a brief introduction, as in the case of treatment of corporate groups in insolvency, or limited to domestic insolvency law, as in the case of post-commencement financing.关于秘书处就今后可能的工作提出的提案,委员会特别回顾,对破产中公司集团的处理这一问题是在拟定《破产指南》的背景下产生的,《破产指南》中的处理要么局限于简要介绍(如对于破产中公司集团的处理问题),要么局限于国内破产法(如对于启动后融资问题)。
It was acknowledged that undertaking further work on those two topics would build upon and complement the work already completed by the Commission.据承认,在这两项议题上开展进一步工作将发展和补充委员会所已经完成的工作。
The Commission also noted that the proposal on cross-border insolvency protocols was closely related and complementary to the promotion and use of a text already adopted by the Commission, the Model Law on Cross-Border Insolvency, which had been enacted by 11 States and was the subject of increasing interest and discussion.委员会还注意到,关于跨国界破产协议的提案与委员会已经通过的一项文书即《跨国界破产示范法》的推广和使用密切相关,并相辅相成。 该《示范法》现已获得11个国家通过并已成为人们日益感兴趣和讨论的议题。
It was therefore appropriate to consider how implementation of the coordination and cooperation provisions of the Model Law could be facilitated by making the legal and judicial experience with respect to the negotiation, use and content of protocols available, in some form, to the international legal community.因此有必要考虑,如何通过将协议的谈判、使用和内容方面的法律和司法经验以某种形式提供给国际法律界,来促进《示范法》的协调与合作条款的实施。
209. After consideration, the Commission agreed that:209. 委员会经讨论后一致认为:
The treatment of corporate groups in insolvency was sufficiently developed for the topic to be referred to Working Group V (Insolvency Law) for consideration in 2006 and that the Working Group should be given the flexibility to make appropriate recommendations to the Commission regarding the scope of its future work and the form it should take, depending upon the substance of the proposed solutions to the problems the Working Group would identify under that topic;对破产中公司集团的处理这一问题已得到充分发展,足以成为交给第五工作组(破产法)在2006年加以审议的议题,应使该工作组在就其今后工作范围和应采取的形式向委员会提出适当的建议方面具有灵活性,但将视对工作组将在该议题下查明的问题提出的解决办法的实质内容而定;
Post-commencement financing should initially be considered as a component of work to be undertaken on insolvency of corporate groups, with the Working Group being given sufficient flexibility to consider any proposals for work on additional aspects of the topic;启动后融资应一开始就被视为将在公司集团破产方面开展的工作的一个组成部分,使该工作组在审议就该议题其他方面的工作提出的任何建议时具有充分的灵活性;
Initial work to compile practical experience with respect to negotiating and using cross-border insolvency protocols should be facilitated informally through consultation with judges and insolvency practitioners.应通过同法官和破产从业人员进行协商,就汇编在谈判和使用跨国界破产协议方面的实践经验非正式地促进着手开展工作。
A preliminary progress report on that work should be presented to the Commission for further consideration at its fortieth session, in 2007;关于这一工作的初步进展情况报告应提交给委员会2007年第四十届会议进一步审议;
The Secretariat should have flexibility to organize the work to be undertaken with respect to topics (b) and (c), as appropriate, in view of limited resources;鉴于资源有限,秘书处应在组织拟就议题(b)和(c)开展的工作方面酌情具有灵活性;及
Work being undertaken by other organizations in relation to the topics of directors’ and officers’ responsibilities in insolvency and pre-insolvency, and insolvency and commercial fraud should be monitored to facilitate consideration, at some future date, of work that might be undertaken by the Commission.应当监测其他组织就董事和高级管理人员在破产和破产前以及在破产欺诈和商业欺诈方面所负责任的议题正在开展的工作,以便于在今后某个时候审议委员会可能开展工作。
210. The Commission noted that the topic of arbitrability of insolvency issues and the use of other alternative dispute resolution processes (such as mediation and facilitation) in the context of insolvency had been discussed as a possible topic for future work which would be undertaken by Working Group II (Arbitration and Conciliation), with input from Working Group V (Insolvency Law) (see paras. 183 and 185-187 above).210. 委员会注意到,关于破产的可仲裁性问题和在破产情况下使用其他替代纠纷解决程序(例如调停和便利化)问题这一议题已作为第二工作组(仲裁和调解)今后拟开展的工作的一项可能议题进行了讨论,从第五工作组(破产法)得到了投入(见上文第183和185-187段)。
Possible future work in the area of commercial fraud九. 未来可能在商业欺诈问题上进行的工作
211. The Commission had before it a note by the Secretariat (A/CN.9/600) reporting on ongoing and possible future work in the area of commercial fraud.211. 委员会收到了秘书处的说明(A/CN.9/600),其中汇报了在商业欺诈问题上正在进行的工作和今后可能开展的工作。
The Commission recalled that it had previously considered the subject of commercial fraud at its thirty-fifth to thirty-eighth sessions, from 2002 to 2005.委员会回顾,2002年至2005年举行的委员会第三十五届会议至第三十八届会议曾审议过商业欺诈问题。
212. It was recalled that, at its thirty-seventh session, in 2004, the Commission had agreed that the Secretariat should facilitate, whenever appropriate, the discussion of examples of commercial fraud in the particular contexts of projects worked on by the Commission so as to enable delegates involved in those projects to take the problem of fraud into account in their deliberations.212. 据回顾,委员会在2004年第三十七届会议上一致认为,秘书处应在一切适当情况下,促进在委员会所开展的项目的特定背景下对商业欺诈实例进行讨论,以便使参与这些项目的各位代表在其审议期间能够考虑到欺诈问题。
In addition, with a view towards education, training and prevention, the Commission agreed that the preparation of lists of common features present in typical fraudulent schemes could be useful as educational material for participants in international trade and other potential targets of perpetrators of fraud to the extent such lists would help potential targets protect themselves and avoid becoming victims of fraudulent schemes.此外,从教育、培训和预防着眼,委员会一致认为,可以编拟一些关于典型欺诈做法共同特征的清单,作为从事国际贸易的人和有可能成为欺诈者目标的其他人的有用教材,此类清单要有助于这些人自我保护,避免成为欺诈做法的受害人。
While it was not proposed that the Commission itself or its intergovernmental working groups should be directly involved in that activity, it was agreed that the Secretariat should consider preparing, in close consultation with experts, such materials listing common features present in typical fraudulent schemes and that the Secretariat would keep the Commission informed of progress in that regard.虽然并未建议委员会或其各个政府间工作组直接参与这项活动,但一致认为秘书处应考虑与专家密切协商,编写列明典型欺诈做法共同特征的此类材料,并随时向委员会通报这方面的进展情况。
213. At its thirty-eighth session, in 2005, the Commission’s attention was drawn to resolution 2004/26 adopted by the Economic and Social Council on 21 July 2004, entitled “International cooperation in the prevention, investigation, prosecution and punishment of fraud, the criminal misuse and falsification of identity and related crimes”.213. 在委员会2005年第三十八届会议上,有与会者提请委员会注意经济及社会理事会2004年7月21日通过的题为“开展国际合作,预防、侦查、起诉和惩处欺诈、滥用和伪造身份资料罪以及有关的犯罪”的第2004/26号决议。
At that session, the Commission was advised that, pursuant to that resolution, the United Nations Office on Drugs and Crime had convened an intergovernmental expert group meeting from 17 to 18 March 2005 to prepare a study on fraud and, the criminal misuse and falsification of identity, and to develop on the basis of such a study relevant practices, guidelines or other materials, taking into account in particular the relevant work of UNCITRAL.根据这一决议,委员会了解到,联合国毒品和犯罪问题办事处于2005年3月17日至18日召开了一次政府间专家组会议,以编写一份关于欺诈、非法滥用和伪造身份资料的研究报告,并在此研究报告的基础上,同时特别考虑到贸易法委员会的有关工作,拟订相关的做法、指导方针或其他材料。
The Commission noted that the results of that meeting were reported to the Commission on Crime Prevention and Criminal Justice at its fourteenth session (Vienna, 23-27 May 2005; see E/CN.15/2005/11), and that participants at that meeting had agreed that a study of the problem should be undertaken, based on information received in response to a questionnaire on fraud and the criminal misuse and falsification of identity.委员会注意到,这次会议的成果已向预防犯罪和刑事司法委员会第十四届会议作了报告(2005年5月23日至27日,维也纳;见E/CN.15/2005/11),这次专家组会议的与会者一致认为,应当根据收到的对欺诈、非法滥用和伪造身份资料问题调查表的答复,对这一问题开展研究。
The Commission was also informed that the UNCITRAL secretariat had participated in the expert group meeting and the Commission expressed its support for the assistance of the UNCITRAL secretariat in the project of the United Nations Office on Drugs and Crime.此外委员会还了解到,贸易法委员会秘书处参加了专家组会议,委员会对其秘书处协助实施联合国毒品和犯罪问题办事处的项目表示支持。
214. At its thirty-ninth session, the Commission heard a progress report of work by the Secretariat on materials listing common features present in typical fraudulent schemes, which had the following main purposes:214. 委员会第三十九届会议听取了秘书处所作的关于编写列明典型欺诈做法共同特征的材料的工作进展情况报告,该项工作的主要目的如下:
the formulation of materials that would identify patterns and characteristics of commercial fraud in a manner that would encourage the private sector to mobilize its resources to combat commercial fraud in an organized and systematic manner; (b) to assist governmental bodies in understanding how they might help the public and private sectors to address the problem of commercial fraud; and (c) to assist the criminal law sector in understanding how best to engage the private sector in the battle against commercial fraud.(a)从鼓励私营部门调动其资源,以有组织的、系统的方式打击商业欺诈着眼,编写将确定商业欺诈方式和特点的材料;(b)协助政府机构了解它们如何帮助公共和私营部门解决商业欺诈问题;(c)协助刑法部门了解如何让私营部门最有效地参与打击商业欺诈的斗争。
The Commission took note of the suggested format for the preparation of common features of fraudulent schemes as set out in document A/CN.9/600, paragraph 14, and that the materials to be prepared could contain other items, such as a glossary of commonly used terms or explanations of how to effectively perform due diligence (A/CN.9/600, para. 16).委员会注意到A/CN.9/600号文件第14段就编写欺诈做法共同特征提出的格式方面的建议,还注意到,要编写的材料还可列出其他项目,如常用术语的术语表或关于如何有效履行应尽职责的解释(A/CN.9/600,第16段)。
215. The Commission also heard that the United Nations Office on Drugs and Crime had reported on the progress of work on the study on fraud, the criminal misuse and falsification of identity and related crimes to the Commission on Crime Prevention and Criminal Justice at its fifteenth session (Vienna, 24-28 April 2006; see E/CN.15/2006/11 and Corr.1), and that it was anticipated that the study would be submitted to that Commission at its sixteenth session, in 2007.215. 委员会还获悉,联合国毒品和犯罪问题办事处向联合国预防犯罪和刑事司法委员会第十五届会议报告了关于欺诈、非法滥用和伪造身份资料及相关犯罪的研究报告的工作进展情况(2006年4月24至28日,维也纳;见E/CN.15/2006/11和Corr.1号文件),并获悉,该研究报告预期将于2007年提交给委员会第十六届会议。
The UNCITRAL secretariat had worked with the secretariat of the Office in the drafting and dissemination of the questionnaire in preparation for that study.为编写该研究报告,贸易法委员会秘书处与毒品和犯罪问题办事处合作起草并分发了调查表。
216. Statements were made that commercial fraud deterred legitimate trade and undermined confidence in established contract practices and instruments.216. 有些与会者表示,商业欺诈妨碍了合法贸易,破坏了人们对既定的合同惯例和文书的信任。
Against that background, it was said that the UNCITRAL transactional and private-law perspective and expertise were necessary for the full understanding of the problem of commercial fraud and were most useful in the formulation of measures to fight it.鉴于这种情况,有与会者说,贸易法委员会在商业交易和私法方面的意见和专门知识对全面了解商业欺诈问题是必要的,对制定措施打击商业欺诈是极为有用的。
Appreciation was expressed for the work by the UNCITRAL secretariat in that area as well as for its cooperation with the United Nations Office on Drugs and Crime.有与会者赞赏贸易法委员会秘书处在这一领域所做的工作,并赞赏秘书处与联合国毒品和犯罪办事处所进行的合作。
Statements were made that particular attention should be paid to the increased use by fraudsters of the Internet and to the use of business transactions for money-laundering.有些与会者说,应当特别关注诈骗人越来越多地利用互联网的现象以及利用商业交易进行洗钱的现象。
217. The Commission agreed with those statements and concluded that its secretariat should continue its work in conjunction with experts and other interested organizations with respect to identifying common features of fraudulent schemes, with a view to presenting interim or final materials for the consideration of the Commission at a future session, and that it should continue to cooperate with the United Nations Office on Drugs and Crime in its study on fraud, the criminal misuse and falsification of identity and related crimes, and that it should keep the Commission informed of the progress of that work.217. 委员会对上述发言表示赞同,并决定,秘书处应继续与专家和其他有关的组织合作,确定欺诈做法的共同特征,以便提交临时或最后的材料供委员会下一届会议审议,还决定,秘书处应继续与联合国毒品和犯罪问题办事处合作编写关于欺诈、非法滥用和伪造身份资料及相关犯罪的研究报告,并随时向委员会通报这项工作的进展情况。
Monitoring implementation of the New York Convention十. 监测《纽约公约》的执行情况
218. The Commission recalled that, at its twenty-eighth session, in 1995, it had approved a project, undertaken jointly with Committee D (now known as the Arbitration Committee) of the International Bar Association, aimed at monitoring the legislative implementation of the New York Convention.218. 委员会回顾,委员会在其1995年第二十八届会议上核准了一个与国际律师协会D委员会(现为仲裁委员会)共同实施的旨在监测《纽约公约》立法执行情况的项目。
It was also recalled that the Secretariat had presented an interim report to the Commission at its thirty-eighth session, in 2005 (A/CN.9/585), which set out the issues raised by the replies received in response to the questionnaire circulated in connection with the project.还据回顾,秘书处向委员会2005年第三十八届会议呈交了一份临时报告(A/CN.9/585),其中阐述了在分发与该项目有关的调查问卷之后从各份答复中发现的问题。
219. It was further recalled that, at that session, the Commission welcomed the progress reflected in the interim report, noting that the general outline of replies received served to facilitate discussions as to the next steps to be taken and highlighted areas of uncertainty where more information could be sought from States parties or further studies could be undertaken.219. 据进一步回顾,委员会欢迎临时报告中所反映的进展,指出对所收到答复的概括有助于促进就今后应采取的步骤进行讨论,而且突显了可以要求缔约国提供更多资料或者可以进行更深入研究的不确定方面。
It was suggested that one possible future step could be the development of a legislative guide to limit the risk that State practice would diverge from the spirit of the New York Convention.会上提出,今后可以采取的一个步骤是,制定一部立法指南,以限制各国的做法偏离《纽约公约》精神的风险。
220. At its thirty-ninth session, the Commission took note of an oral presentation by the Secretariat on additional questions it proposed to put to States (as noted in document A/CN.9/585, para. 73) in order to obtain more comprehensive information regarding various aspects of implementation of the New York Convention, including legislation, case law and practice.220. 委员会在其第三十九届会议上注意到秘书处就其拟向各国提出的补充问题(如A/CN.9/585号文件第73段中的说明)所作的口头说明,提出这些补充问题,是为了获得关于《纽约公约》各个方面执行情况的更为全面的资料,包括立法、判例法和惯例等。
The Commission agreed that the project should aim at the development of a legislative guide, with a view to promoting a uniform interpretation of the New York Convention.委员会一致认为,这个项目应当着眼于制定一部立法指南,以便促进对《纽约公约》的统一解释。
After discussion, the Commission reaffirmed the decisions made at its thirty-eighth session, in 2005, that a level of flexibility should be left to the Secretariat in determining the time frame for completion of the project and the level of detail that should be reflected in the report that the Secretariat would present for consideration by the Commission in due course.委员会经讨论重申了在其2005年第三十八届会议上作出的一项决定,即应当给秘书处留有一定灵活余地,由秘书处来确定项目完成的时间框架以及秘书处将在适当时候提交委员会审议的报告的详细程度。
Technical assistance to law reform十一. 对法律改革的技术援助
Technical assistance activities技术援助活动
221. The Commission had before it a note by the Secretariat (A/CN.9/599) describing the technical assistance activities undertaken subsequent to the date of the note on technical assistance submitted to the Commission at its thirty-eighth session, in 2005 (A/CN.9/586).221. 委员会收到了秘书处的一份说明(A/CN.9/599),其中介绍了在向委员会2005年第三十八届会议提交有关技术援助的说明(A/CN.9/586)之日后开展的技术援助活动。
The Commission emphasized the importance of such technical cooperation and expressed its appreciation for the activities undertaken by the Secretariat referred to in document A/CN.9/599, paragraphs 8-14.委员会强调了此种技术合作的重要性并对说明中(A/CN.9/599号文件,第8-14段)所述秘书处开展的活动表示赞赏。
222. The Commission noted that the continuing ability to provide technical assistance in response to specific requests of States was dependent upon the availability of funds to meet associated UNCITRAL costs and reiterated its appeal to all States, international organizations and other interested entities to consider making contributions to the UNCITRAL Trust Fund for Symposia, if possible in the form of multi-year contributions, or as specific-purpose contributions, so as to facilitate planning and enable the Secretariat to meet the increasing requests from developing countries and countries with economies in transition for training and technical legislative assistance.222. 委员会注意到,能否继续根据各国的具体要求提供技术援助将取决于是否有资金负担贸易法委员会的相关费用,因此重申其吁请所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金提供捐款,如果有可能的话,以多年捐款或专门用途捐款的形式捐款,以便促进规划工作并使秘书处能够满足发展中国家和转型期经济国家就培训和立法技术援助提出的日益增加的请求。
The Commission expressed its appreciation to those States that had contributed to the fund since the thirty-eighth session, namely Mexico and Singapore, and also to organizations that had contributed to the programme by providing funds or staff or by hosting seminars.委员会对自从第三十八届会议以来已对该基金捐款的那些国家即墨西哥和新加坡表示感谢,并对通过提供经费或工作人员或主办研讨会等办法为该方案作出贡献的各组织表示感谢。
223. The Commission appealed to the relevant bodies of the United Nations system, organizations, institutions and individuals to make voluntary contributions to the trust fund established to provide travel assistance to developing countries that were members of the Commission, noting that no contributions to the trust fund for travel assistance had been received since the thirty-eighth session.223. 委员会吁请联合国系统各有关机关、组织、机构和个人对为向属于委员会成员国的发展中国家提供旅行资助而设立的信托基金提供自愿捐款。 委员会注意到,自第三十八届会议以来没有收到对该信托基金提供的旅行资助方面的任何捐助。
Technical assistance resources技术援助资源
224. The Commission noted with appreciation the continuing work under the system established for the collection and dissemination of case law on UNCITRAL texts (CLOUT).224. 委员会赞赏地注意到在为收集和传播贸易法委员会法规判例法(法规判例法)而建立的系统下继续进行的工作。
As at 4 April 2006, 54 issues of CLOUT had been prepared for publication, dealing with 604 cases, relating mainly to the United Nations Sales Convention and the Arbitration Model Law.截至2006年4月4日,已经编写了54期法规判例法以供发表,涉及到604个案件,主要与《联合国销售公约》和《仲裁示范法》有关。
225. It was widely agreed that CLOUT continued to be an important aspect of the overall technical assistance activities undertaken by UNCITRAL and that the broad dissemination of CLOUT, in all six official languages of the United Nations, promoted the uniform interpretation and application of UNCITRAL texts.225. 人们普遍认为,法规判例法仍然是贸易法委员会开展的全面技术援助活动的一个重要方面,而且以联合国全部六种正式语文广泛传播法规判例法推动了对贸易法委员会法规的统一解释和适用。
The Commission expressed its appreciation to the national correspondents for their work in selecting decisions and preparing case abstracts.委员会对国家通信员甄选判决和编写案例摘要的工作表示感谢。
226. The Commission noted that the digest of case law on the United Nations Sales Convention, published in December 2004, was being reviewed and edited and that the first draft of a digest of case law relating to the Arbitration Model Law was being finalized for publication.226. 委员会注意到正在对2004年12月发表的《联合国销售公约》判例法摘要进行审查和编辑,有关《国际商事仲裁示范法》判例法摘要的第一份草稿即将完成,以供发表。
227. The Commission also noted developments with respect to the UNCITRAL website (www.uncitral.org), emphasizing its importance as a component of the overall programme of information and technical assistance activities, expressing its appreciation for its availability in the six official languages of the United Nations and encouraging the Secretariat to further maintain and upgrade it in accordance with existing guidelines.227. 委员会还注意到贸易法委员会网站(www.uncitral.org)的开发情况,委员会强调了该网站作为宣传和技术援助活动总体方案的组成部分所具备的重要性,对于网站使用联合国六种正式语文表示赞赏,并鼓励秘书处根据现行准则对该网站加以进一步维护并使其升级换代。
228. The Commission took note of developments with respect to the UNCITRAL Law Library and UNCITRAL publications.228. 委员会注意到有关贸易法委员会法律图书馆和贸易法委员会出版物方面的动态。
With respect to the UNCITRAL Yearbook, the Commission encouraged the Secretariat to take steps to reduce the costs and time delays associated with its publication, noting the importance of the Yearbook as a means of disseminating information on the work of UNCITRAL.关于贸易法委员会年鉴,委员会鼓励秘书处采取各种步骤降低该年鉴的出版费用并减少在出版上所耽搁的时间,同时注意到年鉴作为宣传贸易法委员会工作的手段的重要性。
Future activities今后的活动
229. The Commission noted that permanent missions to the United Nations located in Vienna had been briefed on the objectives and planning of UNCITRAL’s technical assistance activities and that the Secretariat was taking further steps to strengthen links with those permanent missions to facilitate identification of national and regional needs for technical assistance.229. 委员会注意到,已向常驻维也纳联合国各代表团简要介绍了贸易法委员会技术援助活动的目标和规划,秘书处正在采取进一步的步骤,加强与各常驻代表团之间的联系,以协助确定在技术援助方面的国家和区域需要。
Status and promotion of UNCITRAL legal texts十二. 贸易法委员会法规的现状和促进
230. The Commission considered the status of the conventions and model laws emanating from its work, as well as the status of the New York Convention, on the basis of a note by the Secretariat (A/CN.9/601), as updated by information available on the UNCITRAL website.230. 委员会根据秘书处的一份说明(A/CN.9/601)审议了由委员会的工作所产生的各项公约和示范法的现状以及《纽约公约》的现状。 按照贸易法委员会网站上提供的资料对该说明作了修订。
The Commission noted with appreciation the new actions and enactments of States and jurisdictions since its thirty-eighth session regarding the following instruments:委员会欣慰地注意到,自其第三十八届会议以来有些国家和法域就下列文书采取了新的行动和作了新的颁布:
[Unamended] Convention on the Limitation Period in the International Sale of Goods (New York, 1974).[未经修订]《国际货物销售时效期限公约》(1974年,纽约)。
New action by Liberia; number of States parties:实施新行动的国家是利比里亚;缔约国数目:
26;26;
Convention on the Limitation Period in the International Sale of Goods, as amended (New York, 1980).[未经修订]《国际货物销售时效期限公约》(1980年,纽约)。
New action by Liberia; number of States parties:实施新行动的国家是利比里亚;缔约国数目:
19;19;
United Nations Convention on the Carriage of Goods by Sea (Hamburg, 1978).《联合国海上货物运输公约》(1978年,汉堡)。
New actions by Liberia and Paraguay; number of States parties:实施新行动的国家是利比里亚和巴拉圭;缔约国数目:
31;31;
United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980).《联合国国际货物销售合同公约》(1980年,维也纳)。
New actions by Liberia and Paraguay; number of States parties:实施新行动的国家是利比里亚和巴拉圭;缔约国数目:
67;67;
United Nations Convention on International Bills of Exchange and International Promissory Notes (New York, 1988).《联合国国际汇票和国际本票公约》(1988年,纽约)。
New action by Liberia; number of States parties:实施新行动的国家是利比里亚;缔约国数目:
five;5;
United Nations Convention on the Liability of Operators of Transport Terminals in International Trade (Vienna, 1991).《联合国国际贸易运输港站经营人赔偿责任公约》(1991年,维也纳)。
New action by Paraguay; number of States parties:实施新行动的国家是巴拉圭;缔约国数目:
four;4;
United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 1995).《联合国独立担保和备用信用证公约》(1995年,纽约)。
New action by Liberia; number of States parties:实施新行动的国家是利比里亚;缔约国数目:
eight;8;
United Nations Convention on the Assignment of Receivables in International Trade (New York, 2001).《联合国国际贸易应收款转让公约》(2000年,纽约)。
New action by Liberia; number of States parties:实施新行动的国家是利比里亚;缔约国数目:
one;1;
United Nations Convention on the Use of Electronic Communications in International Contracts (New York, 2005).《联合国在国际合同中使用电子通信的公约》(2000年,纽约)。
New actions by the Central African Republic, Lebanon and Senegal;实施新行动的国家是中非共和国、黎巴嫩和塞内加尔;
Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958).《承认及执行外国仲裁裁决公约》(1958年,纽约)。
New actions by Liberia and Pakistan; number of States parties:实施新行动的国家是利比里亚和巴基斯坦;缔约国数目:
137;137;
UNCITRAL Model Law on International Commercial Arbitration (1985).《贸易法委员会国际商事仲裁示范法》(1985年)。
New jurisdictions that had enacted legislation based on the Model Law:根据示范法颁布法规的新法域是:
Austria, Denmark, Nicaragua, Norway, Poland, Turkey and, within the United States of America, the state of Louisiana;奥地利、丹麦、尼加拉瓜、挪威、波兰、土耳其和美利坚合众国国内的路易斯安那州;
UNCITRAL Model Law on Electronic Commerce (1996).《贸易法委员会电子商务示范法》(1996年)。
New jurisdictions that had enacted legislation based on the Model Law:根据示范法颁布法规的新法域是:
China, within Canada, the state of Alberta, Sri Lanka and, within the United States, the states of Alaska and South Carolina;中国、加拿大国内的艾伯塔州、斯里兰卡及美国国内的阿拉斯加州和南卡罗来纳州;
UNCITRAL Model Law on Cross-Border Insolvency (1997).《贸易法委员会跨国界破产示范法》(1997年)。
New jurisdictions that had enacted legislation based on the Model Law:根据示范法颁布法规的新法域是:
Serbia, United Kingdom of Great Britain and Northern Ireland and the British Virgin Islands (overseas territory of the United Kingdom);塞尔维亚、联合王国、英属威尔京群岛(大不列颠及北爱尔兰联合王国海外领地);
UNCITRAL Model Law on Electronic Signatures (2001).《贸易法委员会电子签名示范法》(2001年)。
New jurisdictions that had enacted legislation based on the Model Law:根据示范法颁布法规的新法域是:
China;中国。
UNCITRAL Model Law on International Commercial Conciliation (2002).《贸易法委员会国际商事调解示范法》(2002年)。
New jurisdictions that had enacted legislation based on the Model Law:根据示范法颁布法规的新法域是:
Canada, Croatia, Hungary and Nicaragua; uniform state legislation based on the Model Law had been prepared in the United States and enacted, within the United States, by the states of Illinois, Iowa, Nebraska, New Jersey, Ohio and Washington.加拿大、克罗地亚、匈牙利和尼加拉瓜;美国根据示范法拟定统一州法并在美国国内加以颁布的州有: 伊利洛伊、爱荷华、内布拉斯加、新泽西、俄亥俄和华盛顿。
231. The Commission noted the finalization by the Secretariat of the explanatory note relating to the Convention on Electronic Contracts (A/CN.9/608 and Add.1-4).231. 委员会注意到由秘书处编写的关于《电子合同公约》的解释说明已经定稿(A/CN.9/608 和Add.1至4)。
The Commission expressed its appreciation for that explanatory note and requested the Secretariat to publish and widely circulate it, possibly as a sales publication.委员会对该解释说明表示赞赏并请秘书处可将其作为一份出版物刊印并广为散发。
Coordination and cooperation十三. 协调与合作
General概论
232. At its thirty-ninth session, the Commission had before it a note by the Secretariat (A/CN.9/598) providing a brief survey of the work of international organizations related to the harmonization of international trade law, focusing upon substantive legislative work, as well as two additional notes addressing specific areas of activity, procurement (A/CN.9/598/Add.1) and security interests (A/CN.9/598/Add.2) (for an account of the discussion, see para. 192 above and paras. 235-251 below).232. 委员会第三十九届会议收到了秘书处的一份说明(A/CN.9/598),其中提供了对国际组织特别侧重于实质性立法工作的国际贸易法统一工作的简要调查结果,另外还收到两份述及具体活动领域的说明,一份是关于采购(A/CN.9/598/Add.1),另一份是关于担保权益(A/CN.9/598/Add.2)(关于讨论情况,见上文第192段及下文第235至251段)。
The Commission commended the Secretariat for the preparation of those reports, recognizing their value to coordination of the activities of international organizations in the field of international trade law, and welcomed the revision of the survey on an annual basis.委员会赞扬秘书处编拟了这些报告,承认这些报告对协调国际组织在国际贸易法领域中的活动的重要性,并欢迎每年修订一次该调查报告。
233. It was recalled that the Commission had generally agreed at its thirty-seventh session, in 2004, that it should adopt a more proactive attitude, through its secretariat, to fulfilling its coordination role.233. 会议回顾委员会曾在其2004年第三十七届会议上基本商定,委员会应通过其秘书处采取更为积极主动的态度来履行其协调职责。
Recalling the endorsement by the General Assembly, most recently in its resolution 60/20 of 23 November 2005, paragraph 4, of UNCITRAL efforts and initiatives towards coordination of activities of international organizations in the field of international trade law (see para. 260 below), the Commission noted with appreciation that the secretariat was taking steps to engage in a dialogue, on both legislative and technical assistance activities, with a number of organizations, including the Common Market for Eastern and Southern Africa, the Hague Conference on Private International Law, the International Council for Commercial Arbitration, the International Institute for the Unification of Private Law (Unidroit), the International Law Institute, the International Monetary Fund, the Organization of American States (OAS), and the World Bank.委员会回顾大会曾在其最近的2005年11月23日第60/20号决议第4段中核可了贸易法委员会为协调各国际组织在国际贸易法领域的活动而作出的努力和采取的举措(见下文第260段),委员会赞赏地注意到秘书处正在采取步骤,就立法活动和技术援助活动与一些组织进行对话,这些组织包括统法协会、海牙国际私法会议、东南非共同市场、国际商事仲裁理事会、国际统一私法协会(统法协会)、国际法研究所、国际货币基金组织(货币基金组织)、美洲国家组织和世界银行。
The Commission noted that that work often involved travel to meetings of those organizations and the expenditure of funds allocated for official travel.委员会注意到,这方面的工作通常涉及出差去参加这些组织的会议以及为公务旅行拨出的经费的支出。
The Commission reiterated the importance of coordination work being undertaken by UNCITRAL as the core legal body in the United Nations system in the field of international trade law and supported the use of travel funds for that purpose.委员会重申贸易法委员会作为联合国系统在国际贸易法领域中的核心法律机构开展协调工作的重要性,并支持为此目的使用差旅费。
234. In response to a request from Unidroit, the Secretariat proposed that the current edition of the Unidroit Principles of International Commercial Contracts might be circulated to States with a view to possible endorsement by the Commission at its fortieth session, in 2007.234. 针对统法协会提出的一项请求,秘书处提议,可将最新版本的《统法协会国际商事合同原则》分发给各国,以供委员会2007年第四十届会议可能核可。
After discussion, the Commission agreed to that proposal, noting that the circulation would facilitate coordination between the two organizations and would be of assistance to States that were not members of Unidroit and to other users in using the Unidroit Principles in their legislative and other work.委员会经讨论后一致同意这一提议,指出作此分发将有助于两个组织之间的协调,并可帮助系非统法协会成员的国家及其他用户在其立法和其他工作中使用统法协会的《原则》。
Coordination and cooperation in the field of secured financing law担保融资法领域的协调与合作
235. The Commission had before it a note by the Secretariat on current activities of international organizations related to the harmonization and unification of security interests law (A/CN.9/598/Add.2).235. 委员会收到了秘书处关于国际组织当前有关协调统一担保权益法律的活动的说明(A/CN.9/598/Add.2)。
Draft Unidroit convention on substantive rules regarding intermediated securities统法协会中介代持证券实质性规则公约草案
236. The Commission noted with appreciation the cooperation between the secretariat of Unidroit and the UNCITRAL secretariat with a view to ensuring consistency between the draft Unidroit convention on substantive rules regarding intermediated securities (the “draft Unidroit securities convention”) and the draft UNCITRAL legislative guide on secured transactions (see chap. III above).236. 委员会赞赏地注意到统法协会与贸易法委员会秘书处为确保统法协会中介代持证券实质性规则公约草案(下称“统法协会证券公约草案”)和贸易法委员会担保交易立法指南草案(见上文第三章)一致起见而开展的合作。
Noting its earlier decision to generally exclude the taking of security rights in investment securities, the Commission discussed certain exceptions that could be considered by its Working Group VI (Security Interests).委员会注意到其以前曾决定把投资证券上的担保权的取得总的排除在外,因此讨论了可由其第六工作组(担保权益)审议的某些除外情况。
It was stated that the proposal contained in paragraph 11 of document A/CN.9/598/Add.2 needed to be formulated more narrowly so as to be limited to the exceptions to be approved by the Commission.据指出,A/CN.9/598/Add.2号文件第11段所载的建议在措词上需要更狭窄一些,以便局限于拟由委员会核准的除外情况的范围。
237. In particular, it was noted that a security right in securities, as original encumbered assets or as proceeds, created and made effective against third parties under the draft Unidroit securities convention, would have priority over a competing security right in the securities as proceeds of an asset falling within the scope of legislation based on the draft UNCITRAL legislative guide on secured transactions.237. 有与会者尤其注意到,证券系原始设保资产或收益的,根据统法协会证券公约草案而取得效力的此类证券上的担保权应享有相对于以下证券上的相竞担保权的优先权,即系根据贸易法委员会担保交易立法指南草案当属法律范围以内的资产的收益的证券。
Similarly, it was noted that a security right in a receivable or other asset within the scope of the draft UNCITRAL legislative guide as an original encumbered asset should have priority over a competing security right in such a receivable or other asset as proceeds of securities.同样,有与会者注意到,应收款或贸易法委员会立法指南草案范围以内的其他资产系原始设保资产的,则在此种资产上的担保权应享有相对于系证券收益的应收款或其他资产上的相竞担保权的优先权。
It was also noted that a security right in securities securing a receivable, negotiable instrument or other obligation would follow the receivable that it secured, provided that third-party rights, priority and enforcement were not affected.有与会者还注意到,为应收款、可转让票据或其他债务作保的证券上的担保权在排序上次于其担保的应收款,但先决条件是第三方权利、优先权和强制执行不受影响。
238. It was widely felt that the points mentioned above formed an acceptable basis for discussion between the two secretariats and experts from the relevant Unidroit and UNCITRAL working groups with a view to reaching agreement on the coverage of cross-over issues in the two texts and on a qualified exclusion of securities from the scope of the draft UNCITRAL legislative guide on secured transactions.238. 与会者普遍认为,双方秘书处及统法协会和贸易法委员会有关工作组的专家可在上述各点的基础上展开讨论,以便就两份文本中交叉问题的取舍和有条件地把证券排除在贸易法委员会担保交易立法指南草案范围以外取得一致意见。
It was stated that one of the advantages of such an approach might be the avoidance of excluding from the draft UNCITRAL legislative guide matters not addressed in the draft Unidroit securities convention, such as security rights in directly held securities.据指出,这种做法的好处之一是可避免把直接持有的证券上的担保权等统法协会证券公约草案未涉事项排除在贸易法委员会立法指南草案范围以外。
It was stated that, for practical reasons, security rights in bank accounts and security rights in securities accounts should be treated as far as possible in the same manner and with the same result.据指出,为实用起见,应以相同的方式和相同的结果来对待银行账户上的担保权和证券账户上的担保权。
Draft Unidroit model law on leasing统法协会租赁问题示范法草案
239. The Commission noted that Unidroit was preparing a draft model law on leasing (the “draft Unidroit model law”) that would cover both operating and financial leases (i.e. leases serving security purposes), which were addressed in the draft UNCITRAL legislative guide on secured transactions as acquisition financing devices.239. 委员会注意到,统法协会正在拟定一份租赁问题示范法草案(下称“统法协会示范法草案”),其中将涵盖营运租赁和金融租赁(即具有担保目的的租赁),贸易法委员会担保交易立法指南草案已将此作为购货融资办法处理。
In addition, it was noted that discussions between the two secretariats showed some preference for ensuring that the draft Unidroit model law would defer to secured transactions law with respect to financial leases and be coordinated with the draft UNCITRAL legislative guide to avoid creating obstacles to legislation based on the draft UNCITRAL legislative guide.此外,有与会者注意到,双方秘书处所展开的讨论显示倾向于确保统法协会示范法草案在金融租赁方面尊重担保交易法的规定,并且与贸易法委员会立法指南草案进行协调以避免给依照示范法草案进行立法设置障碍。
In addition, it was stated that the draft Unidroit model law would be of particular benefit to countries in the African region in view of the need for infrastructure improvements.此外,还据指出,考虑到非洲地区的国家在改进基础设施方面的需要,统法协会示范法草案对这些国家尤其有利。
240. Broad support was expressed for the coordination of efforts by Unidroit and the Commission with a view to ensuring harmony between the draft Unidroit model law and the draft UNCITRAL legislative guide on secured transactions.240. 会议广泛支持统法协会和委员会为确保统法协会示范法草案和贸易法委员会担保交易立法指南草案之间的统一而进行的工作协调。
It was widely felt that the cooperation of the two secretariats was a useful step in the right direction in identifying a common approach to be proposed to States.与会者普遍认为,双方秘书处之间的合作是朝正确方向迈出的有益的一步,有助于找到共同的做法推荐给各国。
241. After discussion, the Commission requested the Secretariat to continue its efforts of coordination with Unidroit with a view to ensuring harmony between the draft Unidroit model law and the draft UNCITRAL legislative guide on secured transactions.241. 委员会经讨论后请秘书处继续设法与统法协会协调以确保统法协会示范法草案和贸易法委员会担保交易立法指南草案之间的统一。
European Bank for Reconstruction and Development Guiding Principles for the Development of a Charges Registry欧洲复兴开发银行《担保登记处发展指导原则》
242. The Commission noted with interest the publication by the European Bank for Reconstruction and Development of a set of principles dealing with security rights registries.242. 委员会感兴趣地注意到欧洲复兴开发银行编的一套有关担保权登记处的原则。
It was stated that the Commission should also prepare such a set of principles, taking into account the European Bank Principles, as well as other similar sets of principles.有与会者说,委员会也应编写这样一套原则,将欧洲复兴开发银行的原则和其他类似的成套原则考虑在内。
European Commission proposal for a regulation on the law applicable to contractual obligations (Rome I)欧盟委员会提出的约定义务适用法律条例(罗马一)建议
243. With respect to the relationship between the European Commission’s proposal for a regulation on the law applicable to contractual obligations (the “proposed Rome I Regulation”) and the United Nations Convention on the Assignment of Receivables in International Trade (the “United Nations Assignment Convention”), the Commission noted with appreciation that the European Commission shared the concerns expressed in the note by the Secretariat (see A/CN.9/598/Add.2, para. 34) and admitted that the adoption in a European Union binding instrument of an approach to the law applicable to third-party effects of assignments that would be different from the approach taken in the United Nations Assignment Convention would undermine the certainty reached at the international level and might have a negative impact on the availability and the cost of credit.243. 关于欧盟委员会提出的约定义务适用法律条例建议(“拟议的罗马一条例”)和《联合国国际贸易应收款转让公约》(《联合国转让公约》)之间的关系问题,委员会赞赏地注意到,欧盟委员会赞同秘书处的说明中所表达的关切,并承认在欧洲联盟具约束力的文书中对可适用于转让的第三方有效性的法律采取不同于《联合国转让公约》的办法将会破坏国际上业已取得的确定性,还有可能对信贷的提供与成本造成负面影响。
In addition, the Commission noted with appreciation that the European Commission had expressed its willingness to cooperate closely with the UNCITRAL secretariat to ensure, as far as possible, coherence between the two instruments and the facilitation of ratification of the United Nations Assignment Convention by European Union member States.此外,委员会还赞赏地注意到,欧盟委员会表示愿意与贸易法委员会秘书处密切合作,以尽可能确保这两种文书之间的一致性,并确保便利欧洲联盟各成员国批准《联合国转让公约》。
244. Strong support was expressed in the Commission for close cooperation with the European Commission with a view to ensuring consistency between the two texts and enabling ratification of the United Nations Assignment Convention by European Union member States.244. 委员会表示十分支持与欧盟委员会进行密切合作,以确保两种文书之间的统一,并使欧洲联盟各成员国能够批准《联合国转让公约》。
It was widely felt that an internationally uniform rule on the law applicable to third-party effects of assignment would enhance certainty of law with regard to important financial transactions and promote the availability of lower-cost credit throughout the world.与会者普遍认为,关于可适用于转让的第三方有效性的法律的国际统一规则将会增强重要的金融交易方面法律的确定性,并促进全世界范围的低成本信贷的供应。
245. It was stated that, for the proposed Rome I Regulation to be consistent with the United Nations Assignment Convention, a number of issues might be usefully clarified, including that the branch rule in article 18, paragraph 1, of the proposed Rome I Regulation would not apply to the situations covered in article 13, paragraph 3, of the proposed Rome I Regulation.245. 有与会者说,为使拟议的罗马一条例与《联合国转让公约》相一致,澄清一些问题可能会有益处,包括第18条第1款中的分支机构规则不适用于第13条第3款所涵盖的情形。
246. In that connection, a concern was expressed that, while it was appropriate for the Secretariat to express comments, it was not for the Commission to make suggestions with respect to a draft regulation of the European Union at such an early stage in the process.246. 在这方面,有与会者表示关切说,秘书处发表评论无何不可,但在程序的这一早期阶段,委员会或非欧盟成员国不宜对欧洲联盟的条例草案提出建议。
In response, it was stated that, far from wishing to interfere with the legislative process of the European Union, the Commission had a legitimate interest not only to ensure wide ratification of a text that emanated from its work but mainly to avoid a situation where, because of inconsistencies between the two texts, lack of harmony and lack of certainty with respect to the law applicable to important financing transactions, the whole work of the Commission in that area would be undermined, a result that could disrupt international financial markets and have a negative impact on the availability and the cost of credit.有与会者答复说,委员会绝对不希望干涉欧洲联盟的立法程序,而是不仅要确保委员会工作所产生的文书得到广泛批准,主要是要避免由于两种文书之间的不一致、在可适用于重要金融交易的法律方面缺乏统一性与确定性而使委员会在该领域和整个工作受到损害这一结果,这一结果可能会扰乱国际金融市场,并对信贷的供应和成本产生负面影响,因此,委员会的这种关心是正当的。
It was also observed that, in the context of work by the Commission, many States had accepted to change their laws in order to benefit from the harmonization and unification of international trade law.还有与会者说,由于委员会的工作,许多成员国同意修改本国法律,以便得益于国际贸易法的协调和统一。
In addition, it was said that the timing of the consideration of the matter by the Commission was most appropriate as the proposed regulation was still in draft form and any comments could still be taken into account.此外,有与会者说,委员会审议该事项是十分及时的,因为拟议的条例仍为草案形式,仍可将任何意见都考虑在内。
For the reasons mentioned above, coordination was generally considered appropriate and useful.鉴于上述理由,与会者普遍认为进行协调是适当而有益的。
247. The delegations of Canada and the United States stated that they were jointly taking steps to implement and ratify the United Nations Assignment Convention.247. 加拿大和美国代表团表示,它们正在联合采取步骤以执行和批准《联合国转让公约》。
In that context, it was stated that those States were examining the differences between the United Nations Assignment Convention and their laws, as well as the changes that they needed to make in their laws (in particular with respect to the definition of “location”) to benefit from the uniform law rules of the United Nations Assignment Convention.就此,据指出,这两个国家正在审查《联合国转让公约》与其本国法律之间的差异,以及它们为受益于《联合国转让公约》统一法律规则而需要对本国法律(特别是在“所在地”的定义方面)进行的修改。
It was also observed that, in the spirit of coordination, those States looked forward to discussing those issues with other States.还据指出,本着协调的精神,该两国期待着与其他国家讨论这些问题。
248. The Commission requested the Secretariat to continue cooperating closely with the European Commission to ensure consistency between the proposed Rome I Regulation and the United Nations Assignment Convention.248. 讨论结束后,委员会请秘书处继续与欧盟委员会密切合作,以确保拟议罗马一条例和《联合国转让公约》的一致性。
Organization of American States project on security rights registries美洲国家组织有关担保权登记处的项目
249. The Commission noted with interest a new project of OAS with respect to the preparation of rules and regulations for the registration of notices in security rights registries, which could be applied to national, subregional or regional registries that might be utilized by more than one State.249. 委员会感兴趣地注意到美洲国家组织关于拟订担保权登记处通知登记规则和条例的新项目。
It was stated that interested experts, upon invitation by the OAS secretariat, could participate in an Internet-based forum discussing these matters.据称,感兴趣的专家可参加基于互联网的论坛讨论这些问题。
The Commission requested the Secretariat to follow the OAS project and report to the Commission in due course.委员会请秘书处关注美洲国家组织的这一项目并及时向委员会报告。
World Intellectual Property Organization work on intellectual property financing世界知识产权组织在知识产权融资方面的工作
250. Recalling its discussion about future work in the field of intellectual property financing (see paras. 81-84 and 86 above), the Commission took note with appreciation of the cooperation between the WIPO secretariat and the UNCITRAL secretariat with respect to intellectual property financing.250. 委员会在回顾其关于知识产权融资领域今后工作的讨论(见上文第81-84和第86段)时,赞赏地注意到知识产权组织秘书处和贸易法委员会秘书处在知识产权融资方面的合作。
World Bank manual on secured financing世界银行担保融资手册
251. The Commission noted plans by the Investment Climate Unit of the World Bank to prepare a manual on secured transactions and requested the Secretariat to monitor developments and report to the Commission in due course with a view to avoiding duplication of efforts, overlap and conflicts between that text and the draft UNCITRAL legislative guide on secured transactions being prepared by the Commission.251. 委员会注意到世界银行投资环境股编写担保交易手册的计划并请秘书处监督发展情况和及时向委员会报告,以避免工作出现重复及该案文与委员会正在编写的贸易法委员会担保交易立法指南草案发生重叠和冲突。
Reports of other international organizations其他国际组织的报告
International Institute for the Unification of Private Law (Unidroit)国际统一私法协会(统法协会)
252. The Commission heard a statement on behalf of Unidroit, reporting on progress with a number of projects, including the following:252. 委员会听取了统法协会代表所作的发言,其中介绍了包括下列项目在内的一些项目上的进展情况:
The Protocol to the Cape Town Convention on Matters Specific to Aircraft Equipment (Cape Town, 2001) had entered into force on 1 March 2006 and the registry function under that Convention was operable and being supervised by the International Civil Aviation Organization;《开普敦公约关于航空器设备特有事项的议定书》(2001年,开普敦)已于2006年3月1日生效,该公约所规定的登记处职能已可运作,由国际民用航空组织加以监督;
Adoption of the second protocol to the Cape Town Convention, dealing with the financing of railway rolling stock, was expected in early 2007; negotiation of a third protocol, dealing with space assets was continuing; and work on a possible fourth protocol dealing with agricultural, construction and mining equipment was under way;预计2007年初将通过《开普敦公约》涉及铁道车辆融资的第二份议定书;涉及空间资产的第三份议定书的谈判正在继续进行;就可能的涉及农业、建筑和采矿设备的第四份议定书开展的工作正在进行中;
A third version of the Unidroit Principles of International Commercial Contracts was under consideration, with completion and adoption expected in 2010;《统法协会国际商事合同原则》第三版正在审议中,预计将于2010年完成和通过;
A further meeting of experts on the draft convention on substantive rules regarding intermediated securities (see para. 236 above) was to be held in 2006, with possible adoption or, depending on progress, a further round of consultations, in 2007;2006年将举行中介代持证券实质性规则公约草案专家的进一步会议(见上文第236段),有可能通过该公约草案,或者视进展情况而定,于2007年举行新一轮的协商;
A uniform contract law prepared for States parties to the Treaty on the Harmonization of Business Law in Africa was ready for adoption;为《统一非洲商法条约》的缔约国拟订的统一合同法随时可予通过;
Adoption of a model law on leasing was also foreshadowed (see para. 239 above).预计还将通过一项租赁示范法(见上文第239段)。
253. The Commission heard that Lithuania had become the sixty-first member of Unidroit.253. 委员会获悉立陶宛已成为统法协会的第61个成员。
United Nations Convention on Contracts for the International Sale of Goods Advisory Council联合国国际货物销售合同公约咨询理事会
254. The Commission heard a presentation from the CISG Advisory Council, a private international initiative aimed at promoting uniform interpretation of the United Nations Sales Convention pursuant to article 7 of the Convention.254. 委员会听取了销售合同公约咨询理事会所作的专题介绍,该理事会是一个私人性质的国际团体,其目标是依照《联合国销售公约》第7条促进对该公约的统一解释。
The Commission heard that advisory opinions of the Council on the Convention were given either on request or at the initiative of the Council itself, with five advisory opinions already having been issued and several more being prepared.委员会获悉,该理事会已应请求或主动地提供了咨询意见,已发表了五项咨询意见,目前正在拟订另外若干项意见。
Banque des Etats de l’Afrique Centrale中部非洲国家银行
255. The Commission was informed that the Banque des Etats de l’Afrique Centrale was a subregional central bank under the jurisdiction of the Economic and Monetary Community of Central Africa (CEMAC), which included six member States.255. 委员会获悉,中部非洲国家银行是中部非洲经济和货币共同体管辖下的一个分区域中央银行,有六个成员国。
It was noted that the CEMAC member States were also members of the Organization for the Harmonization of Business Law in Africa (OHADA).据指出,该共同体的成员国也是统一非洲商法组织的成员。
The Commission noted that CEMAC and OHADA were undertaking modernization of trade laws, in particular in the areas of insolvency, securities and means of payment and, like other regional legal integration institutions, had a mandate to cooperate with UNCITRAL.委员会注意到,该共同体和统一非洲商法组织正在使特别是破产、证券和支付手段等方面的贸易法实现现代化,并与其他区域性法定一体化机构一样,负有同贸易法委员会开展合作的任务。
Congress 2007十四. 2007年大会
256. The Commission recalled that, at its thirty-eighth session, in 2005, it had approved a plan, in the context of the fortieth annual session of the Commission in Vienna, in 2007, to hold a congress similar to the UNCITRAL Congress on Uniform Commercial Law in the Twenty-first Century (New York, 18-22 May 1992).256. 委员会回顾,委员会在其2005年第三十八届会议上,结合委员会将于2007年在维也纳举行的第四十届年会,核准了举行一次类似于贸易法委员会二十一世纪统一商法大会(1992年5月18日至22日,纽约)的大会的计划。
The Commission had envisaged that the congress would review the results of the past work programme of UNCITRAL, as well as related work of other organizations active in the field of international trade law, assess current work programmes and consider and evaluate topics for future work programmes.根据委员会的设想,此次大会将审查贸易法委员会以往工作方案的成果及活跃在国际贸易法领域的其他组织的相关工作,评估当前的工作方案,审议并评价未来工作方案的专题。
257. At its thirty-ninth session, the Commission had before it a proposal by the Secretariat regarding a suggested programme outline for the congress, contained in a conference room paper A/CN.9/XXXIX/CRP.2.257. 委员会在其第三十九届会议上收到了A/CN.9/XXXIX/CRP.2号会议室文件所载的秘书处关于此次大会日程纲要的建议。
It was understood that the congress would not formulate conclusions or collective recommendations but rather that the Commission would be able to draw inspiration from views expressed at the congress as it deemed appropriate.据认为,此次大会将不拟定结论或集体建议,而是要使委员会能够酌情从此次大会上发表的各种意见中得到启发。
The Commission welcomed the proposals by the Secretariat and heard expressions of support for the overall concept of the congress.委员会欢迎秘书处提出的这项建议,并听取了对召开此次大会的总体构想表示支持的发言。
However, concerns were also expressed about the proposed duration of the congress (five days), in particular in view of the overall duration of the Commission’s fortieth session (see para. 272 below).但是,也有人对此次大会的拟议会期(五天)提出关切,特别是考虑到委员会第四十届会议的整个会期(见下文第272段)。
Concerns were also expressed that some of the topics outlined for the congress (e.g., corporate governance; foreign investment; methods and institutional arrangements for commercial law reform; and the role of the judiciary in ensuring a stable framework for commercial transactions:对于大会纲要中的某些议题(例如,公司治理、外国投资、商法改革的方法和体制安排;司法机关对确保商业交易稳定框架的作用:
predictability of law and legal interpretation) were not directly related to the current work programme of the Commission.法律的可预测性和法律的解释),也提出一些关切,认为它们与委员会目前的工作方案没有直接关系。
The Secretariat was encouraged to consider limiting the number of topics proposed to be covered and to focus on matters directly related to the Commission’s line of work.委员会鼓励秘书处考虑限制拟列入议题的数目,侧重于同委员会的工作方案直接相关的事项。
The Commission also encouraged Member States to transmit their views on the proposed programme to the Secretariat, with a view to the finalization of the programme before the end of 2006.委员会还鼓励成员国把它们对拟议方案的看法转交给秘书处,以期在2006年底之前最后审定拟议方案。
258. The Commission, after having discussed the duration of the congress also in connection with the overall duration of the Commission session, adopted the view that every effort should be made to shorten the duration of the formal deliberations on the agenda at its next session to a maximum of two weeks and that the congress, which should commence after the completion of the formal deliberations in the Commission, should not exceed four days.258. 在根据委员会届会的整个会期讨论了此次大会的会期之后,委员会持下述看法: 应当尽全力缩短委员会下届会议议程正式审议的时间,最多不超过两周;大会在委员会正式审议结束后开始,会期不超过四天。
(For the dates of the Commission’s session, including the congress, see para. 272 below).(关于委员会届会的日期,包括大会,见下文第272段。
Relevant General Assembly resolutions) 十五. 大会有关决议
259. The Commission took note with appreciation of General Assembly resolutions 60/20, on the report of the Commission on the work of its thirty-eighth session, and 60/21, on the United Nations Convention on the Use of Electronic Communications in International Contracts, both of 23 November 2005.259. 委员会赞赏地注意到2005年11月23日大会关于委员会第三十八届会议工作报告的第60/20号决议和关于《联合国国际合同使用电子通信公约》的第60/21号决议。
260. Particular note was taken of paragraph 4 of General Assembly resolution 60/20, by which the Assembly endorsed the efforts and initiatives of the Commission aimed at increasing coordination of and cooperation on legal activities of international and regional organizations active in the field of international trade law and appealed to those organizations to coordinate their legal activities with those of the Commission.260. 委员会特别注意到大会第60/20号决议第4段,大会在该段中赞同委员会作出努力和采取行动,促使活跃于国际贸易法领域的国际和区域组织加强法律活动的协调与合作,并呼吁这些组织与委员会协调彼此的法律活动。
261. With reference to paragraphs 5 and 6 of resolution 60/20, the Commission appreciated the General Assembly’s calls for support by all concerned to the Commission’s technical assistance programme and for contributions to the UNCITRAL Trust Fund for Symposia (from which legislative technical assistance was financed) and to the trust fund established to provide travel assistance to developing countries that were members of the Commission to attend the sessions of the Commission and its working groups.261. 关于第60/20号决议第5和第6段,委员会赞赏大会呼吁所有有关方面向委员会的技术援助方案提供支助并向(资助立法方面技术援助的)贸易法委员会专题讨论会信托基金以及为了向委员会中的发展中国家成员提供旅费以使其能够出席委员会及其各工作组的届会而设立的信托基金提供捐助。
Other business十六. 其他事项
Willem C. Vis International Commercial Arbitration MootWillem C. Vis国际商事仲裁模拟辩论赛
262. It was noted that the Institute of International Commercial Law at Pace University School of Law in White Plains, New York, had organized the Thirteenth Willem C. Vis International Commercial Arbitration Moot in Vienna, from 7 to 13 April 2006.262. 会上注意到,2006年4月7日至13日,纽约州白原佩斯大学法学院国际商业法研究所在维也纳举办了第十三届Willem C. Vis国际商事仲裁模拟辩论赛。
As in previous years, the Moot had been co-sponsored by the Commission.与往年一样,此次辩论赛由委员会协办。
It was noted that legal issues dealt with by the teams of students participating in the Thirteenth Moot had been based on the United Nations Sales Convention, the Arbitration Rules of the Chicago International Dispute Resolution Association, the Arbitration Model Law and the New York Convention.有与会者注意到,参加第十三届辩论赛的各学生队所讨论的法律问题都以《联合国销售公约》、《芝加哥国际纠纷解决协会仲裁规则》、《仲裁示范法》和《纽约公约》为基础。
A total of 156 teams from law schools in 49 countries had participated in the Thirteenth Moot.来自49个国家的法学院的总共156支队伍参加了第十三届辩论赛。
The best team in oral arguments was that of Queen Mary, University of London, followed by Stetson University, Florida, United States.口头辩论优胜队是伦敦大学玛丽王后学院,第二名是美国佛罗里达州史蒂逊大学。
The Fourteenth Willem C. Vis International Commercial Arbitration Moot would be held in Vienna, from 30 March to 5 April 2007.第十四届Willem C. Vis国际商事仲裁模拟辩论赛将于2007年3月30日至4月5日在维也纳举行。
263. The Commission heard a report about the history, growth and features of the Moot.263. 委员会听取了关于辩论赛的历史、发展情况和特点的报告。
Statements were made highlighting the importance of the Moot as a means of introducing law students to the work of UNCITRAL and to its uniform legal texts, in particular in the areas of contract law and arbitration.有与会者强调,要使法学学生了解贸易法委员会特别是在合同法和仲裁领域的工作及其统一法规,辩论赛是一个重要的手段。
The Commission noted the positive impact that the Moot had on law students, professors and practitioners around the world.委员会注意到了辩论赛对世界各地的法学学生、教授和参加者的积极影响。
It was widely felt that the annual Moot, with its extensive oral and written competition and its broad international participation, presented an excellent opportunity to disseminate information about UNCITRAL and its legal texts and for teaching international trade law.与会者广泛认为,该年度辩论赛书面和口头比赛涉面宽,又有国际上的广泛参与,是传播贸易法委员会的信息和法规及教授国际贸易法的大好机会。
A suggestion was made that information about the Moot should be more broadly circulated in law schools and universities and that the Moot should be considered as an important part of the UNCITRAL technical assistance programme.有与会者建议,应在各法学院和大学更广泛地传播辩论赛的消息,并将辩论赛视为贸易法委员会技术援助方案的一个重要部分。
264. The Commission expressed its gratitude to the organizers and sponsors of the Moot, including Pace University, the Austrian Federal Economic Chamber and the Law Faculty of the University of Vienna, for their efforts to make the Moot successful.264. 委员会感谢这次辩论赛的组织者和赞助者为成功举办这次辩论赛所作的努力,其中包括佩斯大学、奥地利商会、维也纳大学法律系。
It was hoped that the international outreach and positive impact of the Moot would continue growing.希望该辩论赛继续扩大国际范围,提高积极影响。
Special appreciation was expressed to Eric E. Bergsten, former Secretary of the Commission, for the development and direction of the Moot since its inception in 1993-1994.会上特别为1993-1994年辩论赛发起以来的发展和方向向委员会前任秘书Eric E. Bergsten先生表示感谢。
Special event, including the ceremony of the signing of the United Nations Convention on the Use of Electronic Communications in International ContractsB.特别活动,包括《联合国国际合同使用电子通信公约》签署仪式
265. The Commission heard a report on the special event that took place on 6 July 2006 at United Nations Headquarters, in New York, which included the ceremony of the signing of the Convention on Electronic Contracts.265. 委员会听取了关于2006年7月6日在纽约联合国总部举行的特别活动,包括《电子合同公约》签署仪式的报告。
The Secretariat had organized the event with a view to promoting participation in the Convention and to disseminating information about its provisions.秘书处组织这次活动的目的是促进各国加入该公约,并传播有关其中条款的资料。
266. The Commission expressed its appreciation to the Governments of China, Singapore and Sri Lanka for having signed the Convention, and to the Governments of Colombia, Iran (Islamic Republic of), Mexico, Paraguay, Russian Federation, Spain and the United States for the expressions of strong support for the Convention made during the special event.266. 委员会对中国、新加坡和斯里兰卡政府已签署公约表示赞赏,并对哥伦比亚、伊朗伊斯兰共和国、墨西哥、巴拉圭、俄罗斯联邦、西班牙和美利坚合众国政府在此次特别活动期间对公约所表示的有力支持表示赞赏。
InternshipC.实习问题
267. An oral report was presented on the internship programme in the Commission’s secretariat.267. 会上就委员会秘书处的实习方案做了口头报告。
While general appreciation was expressed for the programme, it was observed that only a small proportion of interns originated from developing countries.与会者普遍对该方案表示赞赏,但有与会者说,实习生中只有一小部分来自发展中国家。
A suggestion was made that consideration should be given to establishing the financial means of supporting wider participation by young lawyers from developing countries, possibly by way of a trust fund, which could be established by the General Assembly.有与会者建议,应考虑制定经济手段来支助发展中国家的年轻律师更广泛地参与,可通过信托基金的方式,该基金可由大会设立。
Bibliography文献目录
268. The Commission noted with appreciation the bibliography of recent writings related to its work (A/CN.9/602).268. 委员会赞赏地注意到与其工作有关的最新著作目录(A/CN.9/602)。
The Commission was informed that the bibliography was being updated on the UNCITRAL website on an ongoing basis.委员会获悉,贸易法委员会网站正在不断更新该目录。
The Commission stressed that it was important for the bibliography to be as complete as possible and, for that reason, requested Governments, academic institutions, other relevant organizations and individual authors to send copies of relevant publications to the UNCITRAL secretariat.委员会强调,使目录尽可能完备是很重要的,为此,委员会请各国政府、学术机构、其他有关组织和作者个人向其贸易法委员会秘书处寄送相关出版物。
Date and place of future meetings十七. 今后会议的会期和地点
General discussion on the duration of sessions关于届会会期的一般性讨论
269. At its thirty-sixth session, in 2003, the Commission agreed (a) that working groups should normally meet for a one-week session twice a year; (b) that extra time, if required, could be allocated from the unused entitlement of another working group provided that such arrangement would not result in the increase of the total number of 12 weeks of conference services per year currently allotted to sessions of all six working groups of the Commission; and (c) that if any request by a working group for extra time would result in the increase of the 12-week allotment, it should be reviewed by the Commission, with proper justification being given by that working group regarding the reasons for which a change in the meeting pattern was needed.269. 委员会在其2003年第三十六届会议上商定: (a)工作组的会议一般为每年二次,每次一周;(b)如果需要额外时间,则可从另一工作组未使用的时间权限中分配,只要这一安排不会导致增加目前委员会所有六个工作组届会每年总共十二周的会议服务;(c)如果工作组对额外时间的请求导致十二周分配时间的增加,则应由委员会审查这种请求,工作组应就为何需要改变会议时间分配模式提出适当理由。
270. In view of the magnitude and complexities of the project before Working Group III (Transport Law), the Commission decided to authorize two week sessions of the Working Group to be held in the autumn of 2006 and the spring of 2007 (see para. 273 (c) below), utilizing the entitlement of Working Group IV (Electronic Commerce), which would not meet before the Commission’s fortieth session (see para. 273 (d) below).270. 鉴于第三工作组(运输法)所审议的项目涉面很广,十分复杂,委员会决定授权该工作组在2006年秋季和2007年春季分别举行为期两周的届会(见下文第273(c)段),使用第四工作组(电子商务)的时间权限,因为该工作组在委员会第四十届会议前将不会开会(见下文第273(d)段)。
271. In the light of the new project in the area of insolvency law to be undertaken by Working Group V (Insolvency Law) (see para. 209 above), the Commission agreed that the Working Group would meet for its thirty-first and thirty-second sessions in the autumn of 2006 and in the spring of 2007 (see para. 273 (e) below).271. 考虑到第五工作组(破产法)拟在破产法领域开展的新项目(见上文第209段),委员会商定该工作组将在2006年秋季和2007年春季分别举行第三十一届和第三十二届会议(见下文第273(e)段)。
In addition, the Commission noted that tentative arrangements had been made for a session in the autumn of 2007 (see para. 274 (d) below), which could be used to accommodate the need for a session of either Working Group V (Insolvency Law) or of Working Group IV (Electronic Commerce), depending on the needs of the working groups and subject to the Commission’s decision at its next session, in 2007.此外,委员会注意到,已经为2007年秋季的届会作出临时安排(见下文第274(d)段),可用于满足第五工作组(破产法)或第六工作组(电子商务)举行届会的需要,具体安排将取决于这两个工作组的需要和委员会2007年下一届会议的决定。
The Commission further noted that the resulted saving of one week of conference services in the autumn of 2007 would allow holding the twentieth session of Working Group III (Transport Law) for two weeks (see para. 274 (c) below).委员会还注意到,由于2007年秋季节省了为期一周的会议服务,第三工作组(运输法)第二十届会议的会期得以为两周(见下文第274(c)段)。
Fortieth session of the Commission委员会第四十届会议
272. The Commission approved the holding of its fortieth session in Vienna, from 25 June to 12 July 2007.272. 委员会批准了2007年6月25日至7月12日在维也纳举行其第四十届会议。
It was agreed that the congress (see paras. 256-258 above) would be held during the last week of the session, from 9 to 12 July 2007.委员会商定将于2007年7月9日至12日会议最后一周期间举行大会(见上文第256-258段)。
Sessions of working groups up to the fortieth session of the Commission委员会第四十届会议之前各工作组的届会
273. The Commission approved the following schedule of meetings for its working groups:273. 委员会批准了各工作组的下述会议安排:
Working Group I (Procurement) would hold its tenth session in Vienna from 25 to 29 September 2006 and its eleventh session in New York from 21 to 25 May 2007;第一工作组(采购)将于2006年9月25日至29日在维也纳举行第十届会议,2007年5月21日至25日在纽约举行第十一届会议;
Working Group II (Arbitration and Conciliation) would hold its forty-fifth session in Vienna from 11 to 15 September 2006 and its forty-sixth session in New York from 5 to 9 February 2007;第二工作组(仲裁和调解)将于2006年9月11日至15日在维也纳举行第四十五届会议,2007年2月5日至9日在纽约举行第四十六届会议;
Working Group III (Transport Law) would hold its eighteenth session in Vienna from 6 to 17 November 2006 and its nineteenth session in New York from 16 to 27 April 2007;第三工作组(运输法)将于2006年11月6日至17日在维也纳举行第十八届会议,2007年4月16日至27日在纽约举行第十九届会议;
No session of Working Group IV (Electronic Commerce) was envisaged;第四工作组(电子商务)预计不举行届会;
Working Group V (Insolvency Law) would hold its thirty-first session in Vienna from 11 to 15 December 2006 and its thirty-second session in New York from 14 to 18 May 2007;第五工作组(破产法)将于2006年12月11日至15日在维也纳举行第三十一届会议,2007年5月14日至18日在纽约举行第三十二届会议;
Working Group VI (Security Interests) would hold its eleventh session in Vienna from 4 to 8 December 2006 and its twelfth session in New York from 12 to 16 February 2007.第六工作组(担保权益)将于2006年12月4日至8日在维也纳举行第十一届会议,2007年2月12日至16日在纽约举行第十二届会议。
Sessions of working groups in 2007 after the fortieth session of the Commission2007年各工作组在委员会第四十届会议之后的届会
274. The Commission noted that tentative arrangements had been made for working group meetings in 2007 after its fortieth session (the arrangements were subject to the approval of the Commission at its fortieth session):274. 委员会注意到已经为2007年期间在其第四十届会议之后的各工作组的会议作出临时安排(有关安排需经委员会第四十届会议批准):
Working Group I (Procurement) would hold its twelfth session in Vienna from 3 to 7 September 2007;第一工作组(采购)将于2007年9月3日至7日在维也纳举行第十二届会议;
Working Group II (Arbitration and Conciliation) would hold its forty-seventh session in Vienna from 10 to 14 September 2007;第二工作组(仲裁和调解)将于2007年9月10日至14日在维也纳举行第四十七届会议;
Working Group III (Transport Law) would hold its twentieth session in Vienna from 15 to 25 October 2007 (the United Nations offices in Vienna would be closed on 26 October);第三工作组(运输法)将于2007年10月15日至25日在维也纳举行第二十届会议(联合国维也纳办事处将于10月26日关闭);
Tentative arrangements had been made for a session to be held in Vienna from 5 to 9 November 2007, which could be used for the forty-fifth session of Working Group IV (Electronic Commerce) or for the thirty-third session of Working Group V (Insolvency Law) (see para. 271 above);已经为2007年11月5日至9日在维也纳举行一届会议作出临时安排,可将该段时间用于举行第四工作组(电子商务)的第四十五届会议或第五工作组(破产法)的第三十三届会议(见上文第271段);
Working Group VI (Security Interests) would hold its thirteenth session in Vienna from 24 to 28 September 2007.第六工作组(担保权益)将于2007年9月24日至28日在维也纳举行第十三届会议。
Annex I附件一
Revised articles of the UNCITRAL Model Law on International Commercial Arbitration《贸易法委员会国际商事仲裁示范法》修订条款
[Article 1, paragraph 2][第1条第2款]
The provisions of this Law, except articles 8, 9, 17 H, 17 I, 17 J, 35 and 36, apply only if the place of arbitration is in the territory of this State.本法之规定,除第8条、第9条、第17 H条、第17 I条、第17 J条、第35条和第36条外,只适用于仲裁地在本国境内的情况。
Article 2 A. International origin and general principles第2A条. 国际渊源和一般原则
In the interpretation of this Law, regard is to be had to its international origin and to the need to promote uniformity in its application and the observance of good faith.在解释本法时,应考虑到其国际渊源和促进其统一适用及遵循诚信原则的必要性。
Questions concerning matters governed by this Law which are not expressly settled in it are to be settled in conformity with the general principles on which this Law is based.与本法所管辖的事项有关的问题凡在本法中未予明确解决的,应依照本法所基于的一般原则加以解决。
[Article 7][第7条]
Option I Article 7.备选案文一
Definition and form of arbitration agreement第7条. 仲裁协议的定义和形式
“Arbitration agreement” is an agreement by the parties to submit to arbitration all or certain disputes which have arisen or which may arise between them in respect of a defined legal relationship, whether contractual or not.“仲裁协议”是指当事各方同意将他们之间一项确定的契约性或非契约性的法律关系中已经发生或可能发生的一切争议或某些争议交付仲裁的协议。
An arbitration agreement may be in the form of an arbitration clause in a contract or in the form of a separate agreement.仲裁协议可以采取合同中的仲裁条款形式或单独的协议形式。
The arbitration agreement shall be in writing.仲裁协议应为书面形式。
An arbitration agreement is in writing if its content is recorded in any form, whether or not the arbitration agreement or contract has been concluded orally, by conduct, or by other means.若仲裁协议的内容以任何形式记录下来,则为书面形式,无论该仲裁协议或合同是以口头方式、行为方式还是其他方式订立的。
The requirement that an arbitration agreement be in writing is met by an electronic communication if the information contained therein is accessible so as to be useable for subsequent reference; “electronic communication” means any communication that the parties make by means of data messages; “data message” means information generated, sent, received or stored by electronic, magnetic, optical or similar means, including, but not limited to, electronic data interchange (EDI), electronic mail, telegram, telex or telecopy.电子通信所含信息可以调取以备日后查用的,即满足了仲裁协议的书面形式要求。 “电子通信”系指当事人以数据电文方式发出的任何通信;“数据电文”系指经由电子手段、光学手段或类似手段生成、发送、接收或储存的信息,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。
Furthermore, an arbitration agreement is in writing if it is contained in an exchange of statements of claim and defence in which the existence of an agreement is alleged by one party and not denied by the other.另外,仲裁协议如载于相互往来的索赔声明和抗辩声明中,且一方当事人声称有协议而另一方当事人不予否认的,即为书面协议。
The reference in a contract to any document containing an arbitration clause constitutes an arbitration agreement in writing, provided that the reference is such as to make that clause part of the contract.在合同中提及载有仲裁条款的任何文件的,即构成书面形式的仲裁协议,条件是此种提及可使该仲裁条款成为该合同的一部分。
Option II Article 7.备选案文二
Definition of arbitration agreement第7条. 仲裁协议的定义
“Arbitration agreement” is an agreement by the parties to submit to arbitration all or certain disputes which have arisen or which may arise between them in respect of a defined legal relationship, whether contractual or not.“仲裁协议”是指当事各方同意将他们之间一项确定的契约性或非契约性的法律关系中已经发生或可能发生的一切争议或某些争议交付仲裁的协议。
Chapter IV A. Interim measures and preliminary orders第四 A章. 临时措施和初步命令
Section 1. Interim measures第1节. 临时措施
Article 17. Power of arbitral tribunal to order interim measures第17条. 仲裁庭下令采取临时措施的权力
Unless otherwise agreed by the parties, the arbitral tribunal may, at the request of a party, grant interim measures.除非各方当事人另有约定,仲裁庭经一方当事人请求,可准予采取临时措施。
An interim measure is any temporary measure, whether in the form of an award or in another form, by which, at any time prior to the issuance of the award by which the dispute is finally decided, the arbitral tribunal orders a party to:临时措施是任何采用裁决书形式或另一种形式的短暂措施,根据这种措施,仲裁庭在发出最后裁定纠纷的裁决书之前随时命令一方当事人:
Maintain or restore the status quo pending determination of the dispute;在裁定纠纷之前维持或恢复现状;
Take action that would prevent, or refrain from taking action that is likely to cause, current or imminent harm or prejudice to the arbitral process itself;采取行动防止目前或即将对仲裁程序发生的损害或影响,或不采取可能造成这种损害或影响的行动;
Provide a means of preserving assets out of which a subsequent award may be satisfied; or提供一种保全资产以执行后继裁决的手段;或者
Preserve evidence that may be relevant and material to the resolution of the dispute.保全对解决纠纷可能具有相关性和重要性的证据。
Article 17 A. Conditions for granting interim measures第17 A条. 准予采取临时措施的条件
The party requesting an interim measure under article 17, paragraph 2 (a), (b) and (c) shall satisfy the arbitral tribunal that:一方当事人请求采取第17条第2款(a)、(b)和(c)项所规定的临时措施,应使仲裁庭确信:
Harm not adequately reparable by an award of damages is likely to result if the measure is not ordered, and such harm substantially outweighs the harm that is likely to result to the party against whom the measure is directed if the measure is granted; and不下令采取这种措施可能造成损害,这种损害无法通过判给损害赔偿金而充分补偿,而且远远大于准予采取这种措施而可能对其所针对的当事人造成的损害;而且
There is a reasonable possibility that the requesting party will succeed on the merits of the claim.根据索赔要求所依据的案情,请求方当事人相当有可能胜诉。
The determination on this possibility shall not affect the discretion of the arbitral tribunal in making any subsequent determination.对这种可能性的任何判定不得影响仲裁庭此后作出任何裁定的自由裁量权。
With regard to a request for an interim measure under article 17, paragraph 2 (d), the requirements in paragraph 1 (a) and (b) of this article shall apply only to the extent the arbitral tribunal considers appropriate.关于对第17条第2款(d)项所规定的临时措施的请求,本条第1款(a)和(b)项的要求只在仲裁庭认为适当的情况下适用。
Section 2. Preliminary orders第2节. 初步命令
Article 17 B. Applications for preliminary orders and conditions for granting preliminary orders第17 B条. 初步命令的申请和下达初步命令的条件
Unless otherwise agreed by the parties, a party may, without notice to any other party, make a request for an interim measure together with an application for a preliminary order directing a party not to frustrate the purpose of the interim measure requested.除非各方当事人另有约定,一方当事人可以不通知其他任何当事人而提出临时措施请求,同时一并申请下达初步命令,指示一方当事人不得使所请求的临时措施的目的落空。
The arbitral tribunal may grant a preliminary order provided it considers that prior disclosure of the request for the interim measure to the party against whom it is directed risks frustrating the purpose of the measure.仲裁庭可以下达初步命令,条件是仲裁庭认为事先向临时措施所针对的当事人透露临时措施请求有可能使这种措施的目的落空。
The conditions defined under article 17 A apply to any preliminary order, provided that the harm to be assessed under article 17 A, paragraph 1 (a), is the harm likely to result from the order being granted or not.第17 A条中规定的条件适用于任何初步命令,条件是根据第17 A条第1(a)款评估的损害是下达命令或不下达命令而有可能造成的损害。
Article 17 C. Specific regime for preliminary orders第17 C条. 初步命令的具体制度
Immediately after the arbitral tribunal has made a determination in respect of an application for a preliminary order, the arbitral tribunal shall give notice to all parties of the request for the interim measure, the application for the preliminary order, the preliminary order, if any, and all other communications, including by indicating the content of any oral communication, between any party and the arbitral tribunal in relation thereto.仲裁庭就初步命令申请作出决定之后,应立即通知所有当事方,使之了解临时措施请求、初步命令申请、任何已下达的初步命令以及任何一方当事人与仲裁庭之间与此有关的所有其他通信,包括指明任何口头通信的内容。
At the same time, the arbitral tribunal shall give an opportunity to any party against whom a preliminary order is directed to present its case at the earliest practicable time.同时,仲裁庭应在实际可行的最早时间内给予初步命令所针对的当事人陈述案情的机会。
The arbitral tribunal shall decide promptly on any objection to the preliminary order.仲裁庭应迅速就任何针对初步命令的反对意见作出裁定。
A preliminary order shall expire after twenty days from the date on which it was issued by the arbitral tribunal.初步命令自仲裁庭下达该命令之日起二十天后失效。
However, the arbitral tribunal may issue an interim measure adopting or modifying the preliminary order, after the party against whom the preliminary order is directed has been given notice and an opportunity to present its case.不过,在通知初步命令所针对的当事人并为其提供陈述案情的机会之后,仲裁庭可以下达对初步命令加以采纳或修改的临时措施。
A preliminary order shall be binding on the parties but shall not be subject to enforcement by a court.初步命令对各方当事人均具有约束力,但不得由法院执行。
Such a preliminary order does not constitute an award.这种初步命令不构成仲裁裁决。
Section 3. Provisions applicable to interim measures and preliminary orders第3节. 适用于临时措施和初步命令的条文
Article 17 D. Modification, suspension, termination第17 D条. 修改、中止和终结
The arbitral tribunal may modify, suspend or terminate an interim measure or a preliminary order it has granted, upon application of any party or, in exceptional circumstances and upon prior notice to the parties, on the arbitral tribunal’s own initiative.仲裁庭可以在任何一方当事人提出申请时修改、中止或终结其准予采取的临时措施或下达的初步命令,在非常情况下并事先通知各方当事人后,亦可自行修改、中止或终结其准予采取的临时措施或下达的初步命令。
Article 17 E. Provision of security第17 E条. 提供担保
The arbitral tribunal may require the party requesting an interim measure to provide appropriate security in connection with the measure.仲裁庭可以要求请求临时措施的一方当事人提供与这种措施有关的适当担保。
The arbitral tribunal shall require the party applying for a preliminary order to provide security in connection with the order unless the arbitral tribunal considers it inappropriate or unnecessary to do so.仲裁庭应要求申请初步命令的一方当事人提供与这种命令有关的担保,除非仲裁庭认为这样做不妥当或没有必要。
Article 17 F. Disclosure第17 F条. 披露
The arbitral tribunal may require any party promptly to disclose any material change in the circumstances on the basis of which the measure was requested or granted.仲裁庭可以要求任何当事人迅速披露在请求采取临时措施或者准予采取临时措施时所依据的情形发生的任何重大变化。
The party applying for a preliminary order shall disclose to the arbitral tribunal all circumstances that are likely to be relevant to the arbitral tribunal’s determination whether to grant or maintain the order, and such obligation shall continue until the party against whom the order has been requested has had an opportunity to present its case.申请初步命令的一方当事人应向仲裁庭披露一切可能与仲裁庭判定是否下达或维持该命令有关的情形,这种义务应持续到该命令所针对的当事人有机会陈述案情之时。
Thereafter, paragraph 1 of this article shall apply.在此之后,应适用本条第1款。
Article 17 G. Costs and damages第17 G条. 费用与损害赔偿
The party requesting an interim measure or applying for a preliminary order shall be liable for any costs and damages caused by the measure or the order to any party if the arbitral tribunal later determines that, in the circumstances, the measure or the order should not have been granted.如果仲裁庭后来裁定,根据情况本来不应准予采取临时措施或下达初步命令,则请求临时措施或申请初步命令的一方当事人应对该措施或命令对其所针对的当事人造成的任何费用和损害承担赔偿责任。
The arbitral tribunal may award such costs and damages at any point during the proceedings.仲裁庭可以在仲裁程序的任何时候判给这种费用和损害赔偿金。
Section 4. Recognition and enforcement of interim measures第4节. 临时措施的承认与执行
Article 17 H. Recognition and enforcement第17 H条. 承认与执行
An interim measure issued by an arbitral tribunal shall be recognized as binding and, unless otherwise provided by the arbitral tribunal, enforced upon application to the competent court, irrespective of the country in which it was issued, subject to the provisions of article 17 I.由仲裁庭发出的临时措施应被确认为具有约束力,并且,除非仲裁庭另有规定,应在遵守第17 I条各项规定的前提下,在向有管辖权的法院提出申请后加以执行,而不论该措施是在哪一国发出的。
The party who is seeking or has obtained recognition or enforcement of an interim measure shall promptly inform the court of any termination, suspension or modification of that interim measure.正在寻求或已经获得对某一项临时措施的承认或执行的当事人,应将该临时措施的任何终结、中止或修改迅速通知法院。
The court of the State where recognition or enforcement is sought may, if it considers it proper, order the requesting party to provide appropriate security if the arbitral tribunal has not already made a determination with respect to security or where such a decision is necessary to protect the rights of third parties.受理承认或执行请求的国家的法院如果认为情况适当,在仲裁庭尚未就担保作出决定的情况下,或者在这种决定对于保护第三方的权利是必要的情况下,可以命令请求方当事人提供适当担保。
Article 17 I. Grounds for refusing recognition or enforcement第17 I条. 拒绝承认或执行临时措施的理由*
Recognition or enforcement of an interim measure may be refused only:仅可在下列任何情况下拒绝承认或执行临时措施:
At the request of the party against whom it is invoked if the court is satisfied that:应临时措施所针对的当事人的请求,法院确信:
Such refusal is warranted on the grounds set forth in article 36, paragraph 1 (a)(i), (ii), (iii) or (iv); or㈠ 这种拒绝因第36条第1(a)款㈠、㈡、㈢或㈣项中所述的理由而是正当的;或者
The arbitral tribunal’s decision with respect to the provision of security in connection with the interim measure issued by the arbitral tribunal has not been complied with; or㈡ 未遵守仲裁庭关于与仲裁庭发出的临时措施有关的提供担保的决定的;或者
The interim measure has been terminated or suspended by the arbitral tribunal or, where so empowered, by the court of the State in which the arbitration takes place or under the law of which that interim measure was granted; or㈢ 该临时措施已被仲裁庭终结或中止或被已获此项权限的仲裁发生地国法院或依据本国法律准予采取临时措施的国家的法院所终结或中止的;或者
If the court finds that:法院认定:
The interim measure is incompatible with the powers conferred upon the court unless the court decides to reformulate the interim measure to the extent necessary to adapt it to its own powers and procedures for the purposes of enforcing that interim measure and without modifying its substance; or㈠ 临时措施不符合法律赋予法院的权力,除非法院决定对临时措施作必要的重新拟订,使之为了执行该临时措施的目的而适应自己的权力和程序,但并不修改临时措施的实质内容的;或者
Any of the grounds set forth in article 36, paragraph 1 (b)(i) or (ii), apply to the recognition and enforcement of the interim measure.㈡ 第36条第1(b)款㈠或㈡项中所述任何理由均适用于对临时措施的承认和执行的。
Any determination made by the court on any ground in paragraph 1 of this article shall be effective only for the purposes of the application to recognize and enforce the interim measure.法院根据本条第1款中所述的任何理由作出的任何裁定,均只在为了申请承认和执行临时措施时才具有效力。
The court where recognition or enforcement is sought shall not, in making that determination, undertake a review of the substance of the interim measure.受理承认或执行请求的法院不应在作出这一裁定时对临时措施的实质内容进行审查。
Section 5. Court-ordered interim measures第5节. 法院下令采取的临时措施
Article 17 J. Court-ordered interim measures第17 J条. 法院下令采取的临时措施
A court shall have the same power of issuing an interim measure in relation to arbitration proceedings, irrespective of whether their place is in the territory of this State, as it has in relation to proceedings in courts.法院发布与仲裁程序有关的临时措施的权力应与其在法院诉讼程序方面的权力相同,无论仲裁程序进行地是否在法院所在国境内。
The court shall exercise such power in accordance with its own procedures in consideration of the specific features of international arbitration.法院应根据自己的程序行使这种权力,同时考虑到国际仲裁的具体特征。
[Article 35, paragraph 2][第35条第2款]
The party relying on an award or applying for its enforcement shall supply the original award or a copy thereof.援用裁决或申请对其予以执行的一方当事人,应提供裁决书正本或裁决书副本。
If the award is not made in an official language of this State, the court may request the party to supply a translation thereof into such language.裁决书如不是以本国一种正式语文做成的,法院可以要求该方当事人出具该文件译成这种文字的译本。
Annex II附件二
Recommendation regarding the interpretation of article II, paragraph 2, and article VII, paragraph 1, of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done in New York, 10 June 1958, adopted by the United Nations Commission on International Trade Law on 7 July 2006 at its thirty-ninth session联合国国际贸易法委员会第三十九届会议2006年7月6日通过的关于1958年6月10日在纽约制定的《承认及执行外国仲裁裁决公约》第二条第2款和第七条第1款的解释的建议
The United Nations Commission on International Trade Law,联合国国际贸易法委员会
Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, which established the United Nations Commission on International Trade Law with the object of promoting the progressive harmonization and unification of the law of international trade by, inter alia, promoting ways and means of ensuring a uniform interpretation and application of international conventions and uniform laws in the field of the law of international trade,回顾大会1966年12月17日第2205 (XXI)号决议,该决议设立了联合国国际贸易法委员会,目的是促进国际贸易法之逐渐协调与统一,除其他外,所采取的方式可以是推广各种方式方法,确保对国际贸易法领域的各项国际公约和统一法作出统一的解释和适用,
Conscious of the fact that the different legal, social and economic systems of the world, together with different levels of development, are represented in the Commission,意识到委员会的组成包括世界上不同法律、社会和经济制度及不同发展水平的国家,
Recalling successive resolutions of the General Assembly reaffirming the mandate of the Commission as the core legal body within the United Nations system in the field of international trade law to coordinate legal activities in this field,回顾大会多项决议先后重申委员会作为联合国系统在国际贸易法领域的核心法律机构协调本领域法律活动的任务,
Convinced that the wide adoption of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done in New York on 10 June 1958, has been a significant achievement in the promotion of the rule of law, particularly in the field of international trade,深信1958年6月10日在纽约制定的《承认及执行外国仲裁裁决公约》获得广泛通过尤其是在国际贸易领域促进法治的一项重要成就,
Recalling that the Conference of Plenipotentiaries which prepared and opened the Convention for signature adopted a resolution, which states, inter alia, that the Conference “considers that greater uniformity of national laws on arbitration would further the effectiveness of arbitration in the settlement of private law disputes”,回顾安排公约开放供签署的全权代表会议通过的一项决议,其中指出,除其他外,会议‘认为各国国内仲裁法律的进一步统一可增进仲裁在解决私法纠纷方面的效力’,
Bearing in mind differing interpretations of the form requirements under the Convention that result in part from differences of expression as between the five equally authentic texts of the Convention,注意到对公约的形式要求存在不同的解释,其部分原因是公约的五种同样作准的文本在表达上有差别,
Taking into account article VII, paragraph 1, of the Convention, a purpose of which is to enable the enforcement of foreign arbitral awards to the greatest extent, in particular by recognizing the right of any interested party to avail itself of law or treaties of the country where the award is sought to be relied upon, including where such law or treaties offer a regime more favourable than the Convention,考虑到公约第七条第1款的一个目的是使外国仲裁裁决在最大程度上得以执行,特别是通过承认任何利害关系方有权在寻求在一国依赖该裁决的情况下援用该国的法律或条约,包括所规定的制度比公约更有利的法律或条约,
Considering the wide use of electronic commerce,考虑到电子商务的广泛应用,
Taking into account international legal instruments, such as the 1985 UNCITRAL Model Law on International Commercial Arbitration, as subsequently revised, particularly with respect to article 7, the UNCITRAL Model Law on Electronic Commerce, the UNCITRAL Model Law on Electronic Signatures and the United Nations Convention on the Use of Electronic Communications in International Contracts,考虑到各项国际法律文书,例如后来特别对其第7条作出修订的1985年《贸易法委员会国际商事仲裁示范法》、《贸易法委员会电子商务示范法》、 《贸易法委员会电子签名示范法》和《联合国国际合同使用电子通信公约》,
Taking into account also enactments of domestic legislation, as well as case law, more favourable than the Convention in respect of form requirement governing arbitration agreements, arbitration proceedings and the enforcement of arbitral awards,还考虑到所颁布的一些国内立法,以及判例法,在仲裁协议的形式要求、仲裁程序和执行仲裁裁决方面,它们比公约更有利,
Considering that, in interpreting the Convention, regard is to be had to the need to promote recognition and enforcement of arbitral awards,认为在解释公约时必须考虑到促进仲裁裁决的承认和执行的必要,
Recommends that article II, paragraph 2, of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done in New York, 10 June 1958, be applied recognizing that the circumstances described therein are not exhaustive;建议适用1958年6月10日在纽约制定的《承认及执行外国仲裁裁决公约》第二条第2款,认识到其中所述情形并非详尽无遗;
Recommends also that article VII, paragraph 1, of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done in New York, 10 June 1958, should be applied to allow any interested party to avail itself of rights it may have, under the law or treaties of the country where an arbitration agreement is sought to be relied upon, to seek recognition of the validity of such an arbitration agreement.还建议适用1958年6月10日在纽约制定的《承认及执行外国仲裁裁决公约》第七条第1款,以便允许任何利害关系方运用在寻求在一国依赖一仲裁协议的情况下根据该国的法律或条约而可能享有的权利,寻求该仲裁协议的有效性获得承认。
Annex III附件三
List of documents before the Commission at its thirty-ninth session委员会第三十九届会议收到的文件一览表
Symbol文号
Title or description标题或说明
A/CN.9/587A/CN.9/587
Provisional agenda, annotations thereto and scheduling of meetings of the thirty-ninth session第三十九届会议临时议程、临时议程说明和会议日程安排
A/CN.9/588A/CN.9/588
Report of Working Group VI (Security Interests) on the work of its eighth session (Vienna, 5-9 September 2005)第六工作组(担保权益)第八届会议工作报告(2005年9月5日至9日,维也纳)
A/CN.9/589A/CN.9/589
Report of Working Group II (Arbitration and Conciliation) on the work of its forty-third session (Vienna, 3-7 October 2005)第二工作组(仲裁和调解)第四十三届会议工作报告(2005年10月3日至7日,维也纳)
A/CN.9/590A/CN.9/590
Report of Working Group I (Procurement) on the work of its eighth session (Vienna, 7-11 November 2005)第一工作组(采购)第八届会议工作报告(2005年11月7日至11日,维也纳)
A/CN.9/591 and Corr.1A/CN.9/591和Corr.1
Report of Working Group III (Transport Law) on the work of its sixteenth session (Vienna, 28 November-9 December 2005)第三工作组(运输法)第十六届会议工作报告(2005年11月28日至12月9日,维也纳)
A/CN.9/592A/CN.9/592
Report of Working Group II (Arbitration and Conciliation) on the work of its forty-fourth session (New York, 23-27 January 2006)第二工作组(仲裁和调解)第四十四届会议工作报告(2006年1月23日至27日,纽约)
A/CN.9/593A/CN.9/593
Report of Working Group VI (Security Interests) on the work of its ninth session (New York, 30 January-3 February 2006)第六工作组(担保权益)第九届会议工作报告(2006年1月30日至2月3日,纽约)
A/CN.9/594A/CN.9/594
Report of Working Group III (Transport Law) on the work of its seventeenth session (New York, 3-13 April 2006)第三工作组(运输法)第十七届会议工作报告(2006年4月3日至13日,纽约)
A/CN.9/595A/CN.9/595
Report of Working Group I (Procurement) on the work of its ninth session (New York, 24-28 April 2006)第一工作组(采购)第九届会议工作报告(2006年4月24日至28日,纽约)
A/CN.9/596A/CN.9/596
Note by the Secretariat on insolvency law:秘书处的说明: 破产法:
possible future work今后可能开展的工作
A/CN.9/597A/CN.9/597
Note by the Secretariat on developments in insolvency law:秘书处的说明: 破产法动态:
adoption and interpretation of the UNCITRAL Model Law on Cross-Border Insolvency and developments in interpretation of “centre of main interests” in the European Union《贸易法委员会跨国界破产示范法》的通过和解释以及欧洲联盟内在解释“主要利益中心”方面的动态
A/CN.9/598A/CN.9/598
Note by the Secretariat on current activities of international organizations related to the harmonization and unification of international trade law秘书处的说明: 国际组织在协调和统一国际贸易法方面的当前活动
A/CN.9/598/Add.1A/CN.9/598/Add.1
Note by the Secretariat on legislative work of international organizations relating to pubic procurement秘书处的说明: 各国际组织与公共采购有关的立法工作
A/CN.9/598/Add.2A/CN.9/598/Add.2
Note by the Secretariat on current activities of international organizations related to the harmonization and unification of law relating to security interests秘书处的说明: 国际组织当前有关协调统一担保权益相关法律的活动
A/CN.9/599A/CN.9/599
Note by the Secretariat on technical assistance秘书处的说明: 技术援助
A/CN.9/600A/CN.9/600
Note by the Secretariat on commercial fraud:秘书处的说明: 商业欺诈:
ongoing and possible future work现行工作和今后可能开展的工作
A/CN.9/601A/CN.9/601
Note by the Secretariat on the status of conventions and model laws秘书处的说明: 各公约和示范法的现状
A/CN.9/602A/CN.9/602
Bibliography of recent writings related to the work of UNCITRAL与贸易法委员会工作有关的最新著作目录
A/CN.9/603A/CN.9/603
Report of Working Group VI (Security Interests) on the work of its tenth session (New York, 1-5 May 2006)第六工作组(担保权益)第十届会议工作报告(2006年5月1日至5日,纽约)
A/CN.9/604A/CN.9/604
Note by the Secretariat on possible future work in the area of electronic commerce秘书处的说明: 今后可能在电子商务领域开展的工作
A/CN.9/605A/CN.9/605
Note by the Secretariat on settlement of commercial disputes:秘书处的说明: 商事纠纷的解决:
interim measures临时措施
A/CN.9/606A/CN.9/606
Note by the Secretariat on settlement of commercial disputes:秘书处的说明: 商业纠纷的解决:
form of arbitration agreement仲裁协议的形式
A/CN.9/607A/CN.9/607
Note by the Secretariat on settlement of commercial disputes:秘书处的说明: 商业纠纷的解决:
draft declaration regarding the interpretation of article II, paragraph 2, and article VII, paragraph 1, of the New York Convention关于解释《纽约公约》第二条第2款和第七条第1款的声明草案
A/CN.9/608 and Add.1-4A/CN.9/608和 Add.1-4
Note by the Secretariat on legal aspects of electronic commerce:秘书处的说明: 电子商务的法律方面:
explanatory note on the Convention on the Use of Electronic Communications in International Contracts关于《国际合同使用电子通信公约》的解释性说明
A/CN.9/609 and Add.1-6A/CN.9/609和Add.1-6
Note by the Secretariat on draft legislative provisions on interim measures and the form of arbitration agreement: draft declaration regarding the interpretation of articles II (2) and VII (1) of the 1958 New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards—comments received from Member States and international organizations秘书处的说明: 关于临时措施和仲裁协议形式的立法条文草案-关于解释1958年《关于承认及执行外国仲裁裁决的纽约公约》第二(2)条和第七(1)条的解释的声明草案——从会员国和国际组织收到的评议
A/CN.9/610 and Corr.1A/CN.9/610和Corr.1 秘书处的说明:
Note by the Secretariat on possible future work in the field of settlement of commercial disputes在解决商事纠纷领域今后可能开展的工作
A/CN.9/610/Add.1A/CN.9/610/Add.1
Note by the Secretariat on possible future work in the field of settlement of commercial disputes:秘书处的说明: 在解决商事纠纷领域未来可能开展的工作:
revision of the UNCITRAL Arbitration Rules修订《贸易法委员会仲裁规则》
A/CN.9/611A/CN.9/611
Note by the Secretariat on the draft legislative guide on secured transactions:秘书处的说明: 担保交易立法指南草案:
security rights in receivables应收款上的担保权
A/CN.9/611/Add.1A/CN.9/611/Add.1
Note by the Secretariat on the draft legislative guide on secured transactions:秘书处的说明:
security rights in rights to payment of funds credited to a bank account, proceeds under an independent undertaking, negotiable instruments and negotiable documents担保交易立法指南草案,在银行账户货记款的受付权、独立保证下的收益、可转让票据和可转让单证上的担保权
A/CN.9/611/Add.2A/CN.9/611/Add.2
Note by the Secretariat on recommendations of the draft legislative guide on secured transactions秘书处的说明: 担保交易立法指南草案的建议
A/CN.9/611/Add.3A/CN.9/611/Add.3
Note by the Secretariat on the draft legislative guide on secured transactions秘书处的说明: 《担保交易立法指南》草案
A/CN.9/612A/CN.9/612
Note by the Secretariat on transport law:秘书处的说明: 运输法:
preparation of a draft convention on the carriage of goods [wholly or partly] [by sea]—joint proposal by Australia and France on freedom of contract under volume contracts拟订[全程或部分途程][海上]货物运输公约草案——澳大利亚和法国关于总量合同下的合同自由的联合提案
The conditions set forth in article 17 I are intended to limit the number of circumstances in which the court may refuse to enforce an interim measure.第17 I条所载条件的目的是为了限制法院可拒绝执行临时措施的情形。
It would not be contrary to the level of harmonization sought to be achieved by these model provisions if a State were to adopt fewer circumstances in which enforcement may be refused.如果一国将采用的可拒绝执行的情形少些,与这些示范条文力求达到的统一程度无相悖之处。
1 United Nations, Treaty Series, vol. 330, No. 4739.1 联合国《条约汇编》,第330卷,第4739号。
2 Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I, and United Nations publication, Sales No. E.95.V.18. 3 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), annex I.2 《大会正式记录,第六十一届会议,补编第17号》(A/61/17),附件一。 3 同上,《第四十届会议,补编第17号》(A/40/17),附件一;及联合国出版物,出售品编号: E.95.V.18。
4 Ibid., Fifty-first Session, Supplement No. 17 (A/51/17), annex I, and United Nations publication, Sales No.4 同上,《第五十一届会议,补编第17号》(A/51/17),附件一;及联合国出版物,出售品编号:
E.99.V.4, which contains also an additional article 5 bis, adopted in 1998, and the accompanying Guide to Enactment.E.99.V.4,其中也载有1998年通过的第5条之二和所附的《颁布指南》。
5 Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), annex II, and United Nations publication, Sales No.5 同上,《第五十六届会议,补编第17号》和更正(A/56/17和Corr.3),附件二;及联合国出版物,出售品编号:
E.02.V.8, which contains also the accompanying Guide to Enactment.E.02.V.8,其中也载有所附的《颁布指南》。
6 General Assembly resolution 60/21, annex.6 大会第60/21号决议,附件
Notes
iii3 3
iv联合国
103 3
11iv
1iii
6454
6355
Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years.«ODS JOB NO»V0586862C«ODS JOB NO» «ODS DOC SYMBOL1»A/60/17«ODS DOC SYMBOL1» «ODS DOC SYMBOL2»«ODS DOC SYMBOL2»
Of the current membership, 17 were elected by the Assembly at its fifty-fifth session, on 16 October 2000 (decision 55/308), and 43 were elected by the Assembly at its fifty-eighth session, on 17 November 2003 (decision 58/407).根据大会第2205 (XXI)号决议,委员会成员经选举产生,任期六年。 在现任成员中,17国由大会第五十五届会议于2000年10月16日选出(第55/308号决定),43国由大会第五十八届会议于2003年11月17日选出(第58/407号决定)。
By its resolution 31/99, the Assembly altered the dates of commencement and termination of membership by deciding that members would take office at the beginning of the first day of the regular annual session of the Commission immediately following their election and that their terms of office would expire on the last day prior to the opening of the seventh regular annual session following their election.大会在其第31/99号决议中,改变了成员资格的开始和终止日期,决定所有当选的成员国应从它们当选后紧接着召开的委员会年度常会开始的第一天起就职,其任期应于它们当选后委员会第七届年度常会开幕前的最后一天届满。
General Assembly resolution 60/21, annex.大会第60/21号决议,附件。
United Nations publication, Sales No.联合国出版物,出售品编号:
E.05.V.10.E.05.V.10。
United Nations, Treaty Series, vol. 330, No. 4739.联合国《条约汇编》,第330卷,第4739号。
Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I, and United Nations publication, Sales No.《大会正式记录,第四十届会议,补编第17号》(A/40/17),附件一;及联合国出版物,出售品编号:
E.95.V.18.E.95.V.18。
Ibid., Fifty-first Session, Supplement No. 17 (A/51/17), annex I, and United Nations publication, Sales No.同上,《第五十一届会议,补编第17号》(A/51/17),附件一;及联合国出版物,出售品编号:
E.99.V.4, which contains also the accompanying Guide to Enactment.E.99.V.4,其中也载有所附的《颁布指南》。
United Nations, Treaty Series, vol. 1489, No. 25567, and United Nations publication, Sales No.联合国《条约汇编》,第1489卷,第25567号;及联合国出版物,出售品编号:
E.95.V.12.E.95.V.12。
General Assembly resolution 2205 (XXI), section II, paragraph 8 (d).大会第2205(XXI)号决议,第二节,第8(d)段。
Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17).《大会正式记录,第六十一届会议,补编第17号》(A/61/17)。
Ibid., Thirty-first Session, Supplement No. 17 (A/31/17), para. 57.同上,《第三十一届会议,补编第17号》(A/31/17),第57段。
Ibid., Forty-ninth Session, Supplement No. 17 and corrigendum (A/49/17 and Corr.1), annex I, and United Nations publication, Sales No.同上,《第四十九届会议,补编第17号》和更正(A/49/17和Corr.1),附件一;及联合国出版物,出售品编号:
E.98.V.13, which contains also the accompanying Guide to Enactment.E.98.V.13,其中也载有所附的《颁布指南》。
Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 225-230 and ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 79-82.同上,《第五十八届会议,补编第17号》(A/58/17),第225-230段;及同上,《第五十九届会议,补编第17号》(A/59/17),第79-82段。
Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 81-82.同上,《第五十九届会议,补编第17号》(A/59/17),第81-82段。
Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 171.同上,《第六十届会议,补编第17号》(A/60/17),第171段。
Ibid.同上。
Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), para. 345.同上,《第五十六届会议,补编第17号》和更正(A/56/17和Corr.3),第345段。
Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), para. 224.同上,《第五十七届会议,补编第17号》(A/57/17),第224段。
Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 208; ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 133; and ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 238.同上,《第五十八届会议,补编第17号》(A/58/17),第208段;同上,《第五十九届会议,补编第17号》(A/59/17),第133段;及同上,《第六十届会议,补编第17号》(A/60/17),第238段。
Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), paras. 213-215.同上,《第六十届会议,补编第17号》(A/60/17),第213-215段。
Ibid., para. 213.同上,第213段。
Ibid., para. 214.同上,第214段。
Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), annex II, and United Nations publication, Sales No.同上,《第五十六届会议,补编第17号》和更正(A/56/17和Corr.1),附件二;及联合国出版物,出售品编号:
E.02.V.8, which contains also the accompanying Guide to Enactment.E.02.V.8,其中也载有所附的《颁布指南》。
Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), paras. 209 and 210.同上,《第六十届会议,补编第17号》(A/60/17),第209-210段。
Ibid., Fifty-second Session, Supplement No. 17 (A/52/17), annex I, and United Nations publication, Sales No.同上,《第五十二届会议,补编第17号》(A/52/17),附件一;及联合国出版物,出售品编号:
E.99.V.3, which contains also the accompanying Guide to Enactment.E.99.V.3,其中也载有所附的《颁布指南》。
Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), paras. 279-290; Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 231-241; Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 108-112; and Sixtieth Session, Supplement No. 17 (A/60/17), paras. 216-220.同上,《第五十七届会议,补编第17号》(A/57/17),第279-290段;《第五十八届会议,补编第17号》(A/58/17),第231-241段;《第五十九届会议,补编第17号》(A/59/17),第108-112段;及《第六十届会议,补编第17号》(A/60/17),第216-220段。
Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 110-112.同上,《第五十九届会议,补编第17号》(A/59/17),第110-112段。
Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 217.同上,《第六十届会议,补编第17号》(A/60/17),第217段。
Ibid., paras. 218 and 219.同上,第218-219段。
Ibid., Fiftieth Session, Supplement No. 17 (A/50/17), paras. 401-404.同上,《第五十届会议,补编第17号》(A/50/17),第401-404段。
Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 189.同上,《第六十届会议,补编第17号》(A/60/17),第189段。
Ibid., paras. 190-191.同上,第190-191段。
Ibid., para. 191.同上,第191段。
United Nations, Treaty Series, vol. 1511, No. 26119.联合国《条约汇编》,第1511卷,第26119号。
Ibid., No. 26121, and United Nations publication, Sales No.同上,第26121号;及联合国出版物,出售品编号:
E.95.V.13.E.95.V.13。
Ibid., vol. 1695, No. 29215, and United Nations publication (Sales No.同上,第1695卷,第29215号;及联合国出版物,出售品编号:
E.95.V.14).E.95.V.14。
General Assembly resolution 43/165, annex, and United Nations publication, Sales No.大会第43/165号决议,附件;及联合国出版物,出售品编号:
E.95.V.16.E.95.V.16。
Official Records of the United Nations Conference on the Liability of Operators of Transport Terminals in International Trade, Vienna, 2-19 April 1991 (United Nations publication, Sales No.《联合国关于国际贸易运输港站经营人赔偿责任会议的正式记录,1991年4月2日至19日,维也纳》(联合国出版物,出售品编号:
E.93.XI.3), part I, document A/CONF.152/13, annex.E.93.XI.3),第一部分,A/CONF.152/13号文件,附件。
United Nations, Treaty Series, vol. 2169, No. 38030, and United Nations publication (Sales No.联合国《条约汇编》,第2169卷,第38030号;及联合国出版物,出售品编号:
E.97.V.12).E.97.V.12。
General Assembly resolution 56/81, annex, and United Nations publication, Sales No.大会第56/81号决议,附件;及联合国出版物,出售品编号:
E.04.V.14.E.04.V.14。
General Assembly resolution 60/21, annex.大会第60/21号决议,附件。
For actions by China, Singapore and Sri Lanka during the special event on 6 July 2006, held in conjunction with the thirty-ninth session of the Commission, which included the ceremony of the signing of the Convention on Electronic Contracts, see paragraph 266 of the present report.关于中国、新加坡和斯里兰卡在2006年7月6日特别活动期间采取的行动,见本报告第266段。 该日的特别活动是结合委员会第三十九届会议举行的,其中包括《电子合同公约》的签署仪式。
Official Records of the General Assembly, Fifty-seventh Session, Supplement No. 17 (A/57/17), annex I, and United Nations publication, Sales No.《大会正式记录,第五十七届会议,补编第17号》(A/57/17),附件一;及联合国出版物,出售品编号:
E.05.V.4.E.05.V.4。
Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 113-115.同上,《第五十九届会议,补编第17号》(A/59/17),第113-115段。
Available as at the date of the preparation of the present report at http://www.unidroit.org/english/principles/contracts/main.htm.截至编写本报告时可在http://www.unidroit.org/english/principles/contracts/main.htm上查到。
Available as at the date of the preparation of the present report at http://www.unidroit.org/english/conventions/mobile-equipment/main.htm.截至编写本报告时可在http://www.unidroit.org/english/conventions/mobile-equipment/main.htm上查到。
Available as at the date of the preparation of the present report at http://www.ohada.com/traite.php?categorie=10.截至编写本报告时可在http://www.ohada.com/traite.php?categorie=10上查到。
For the proceedings of the Congress, see Uniform Commercial Law in the Twenty-first Century:大会议事记录见《二十一世纪的统一商法:
Proceedings of the Congress of the United Nations Commission on International Trade Law, New York, 18-22 May 1992, United Nations publication, Sales No.联合国国际贸易法委员会大会议事记录,1992年5月18日至22日,纽约》,联合国出版物,出售品编号:
E.94.V.14 (A/CN.9/SER.D/1).E.94.V.14(A/CN.9/SER.D/1)。
Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 231.见《大会正式记录,第六十届会议,补编第17号》(A/60/17),第231段。
Available as at the date of the preparation of the present report at http://www.cidra.org/rules.htm.截至编写本报告时可在http://www.cidra.org/rules.htm上查到。
Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275. A/6/17《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第275段。
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