A_59_17_EC
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A/59/17 V0456243.doc (english)A/59/17 V0456242.doc (chinese)
United Nations联 合 国
Report of the United Nations Commission on International Trade Law on its thirty-seventh session联合国国际贸易法委员会 第三十七届会议报告
14-25 June 20042004年6月14日至25日
General Assembly大会
Official Records Fifty-ninth session Supplement No. 17 (A/59/17)正式记录 第五十九届会议 补编第17号(A/59/17)
General Assembly Official Records Fifty-ninth session Supplement No. 17 (A/59/17)大 会 正式记录 第五十九届会议 补编第17号(A/59/17)
United Nations New York, 2004联合国 2004年,纽约
Report of the United Nations Commission on International Trade Law on its thirty-seventh session联合国国际贸易法委员会 第三十七届会议报告
14-25 June 20042004年6月14日至25日 A/59/17 ISSN 0251-916X
Note说明
Symbols of United Nations documents are composed of capital letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document. ISSN 0251-9127联合国文件用英文大写字母附加数字编号。凡是提到这种编号,就是指联合国的某一个文件。
[Original: English][原件:英文]
[9 July 2004][9 July 2004]
Contents目录
Chapter章次
Paragraphs段次
Page页次
1. Introduction1. 导言
1-21-2
11
2. Organization of the session2. 会议的组织
3-113-11
11
A. Opening of the sessionA. 会议开幕
33
11
B. Membership and attendanceB. 成员和出席情况
4-84-8
11
C. Election of officersC. 选举主席团成员
99
22
D. AgendaD. 议程
1010
22
E. Adoption of the reportE. 通过报告
1111
33
3. Finalization and adoption of the draft UNCITRAL legislative guide on insolvency law3. 贸易法委员会破产法立法指南草案的定稿和通过
12-5512-55
3
Part One.
Designing the key objectives and structure of an effective and efficient insolvency law
12-14
33
Part Two.
Core provisions for an effective and efficient insolvency law
15-55
4
4. Arbitration: progress report of Working Group II4. 仲裁:第二工作组进度报告
56-6156-61
2118
5. Transport law: progress report of Working Group III5. 运输法:第三工作组进度报告
62-6662-66
2319
6. Electronic commerce: progress report of Working Group IV6. 电子商务:第四工作组的进度报告
67-7267-72
2420
7. Security interests: progress report of Working Group VI7. 担保权益:第六工作组的进度报告
73-7873-78
2520
8. Possible future work in the area of public procurement8. 公共采购领域未来的工作
79-8279-82
2621
9. Monitoring implementation of the New York Convention9. 监测《纽约公约》的执行情况
83-8483-84
2722
10. Case law on UNCITRAL texts and digests of case law on the United Nations Sales Convention and other uniform texts10. 关于贸易法委员会法规的判例法和关于《联合国采购公约》和其他统一法规的判例法摘要
85-9185-91
2822
A. Case lawA. 判例法
85-8685-86
2822
B. Digests of case law on the United Nations Sales Convention and other uniform textsB. 《联合国销售公约》和其他统一法规判例法摘要
87-9187-91
2823
11. Training and technical assistance: follow-up to the in-depth evaluation of work of the Commission’s secretariat concerned with training and technical assistance11. 培训和技术援助:对委员会秘书处有关培训和技术援助的工作深入评价的后续行动
92-9692-96
2924
12.12. 贸易法委员会法规的现状和促进
Status and promotion of UNCITRAL legal texts
97-9997-99
3024
13. Relevant General Assembly resolutions13. 有关的大会决议
100-102100-102
3125
A. Resolutions 58/75 and 58/76A. 第58/75号和第58/76号决议
100100
3125
B. Resolution 58/270B. 第58/270号决议
101-102101-102
3226
14. Coordination and cooperation: follow-up to the in-depth evaluation of work of the Commission’s secretariat concerned with coordination and cooperation14. 协调与合作:对深入评价委员会秘书处有关协调与合作的工作采取后续行动
103-115103-115
3226
A. Coordination of work in the area of security interestsA. 协调担保权益领域的工作
103-107103-107
3226
B. International colloquium on commercial fraudB. 商业欺诈问题国际讨论会
108-112108-112
3327
C. Implementation of General Assembly resolution 58/75 and the report of the Office of Internal Oversight ServicesC. 大会第58/75号决议和内部监督事务厅报告的执行情况
113-115113-115
3428
15.15. 其他事项
Other business
116-131116-131
3528
A. Partnerships between the United Nations and non-state actors, in particular the private sectorA. 联合国与非国家行动方特别是私营部门之间的伙伴关系
116-117116-117
3528
B. Willem C. Vis International Commercial Arbitration MootB. Willem C. Vis模拟国际商事仲裁
118118
3629
C. UNCITRAL web siteC. 贸易法委员会网站
119119
3629
D. BibliographyD. 文献目录
120120
3629
E. Limitation of documentationE. 文件限制
121-128121-128
3629
F. Provision of summary recordsF. 简要记录的提供
129-130129-130
3932
G. Proposed strategic framework for the period 2006-2007G. 2006-2007年期间拟议战略框架
131131
4032
16. Date and place of future meetings16. 今后会议的日期和地点
132-137132-137
4133
A. General discussion on the duration of sessionsA. 关于届会会期的一般性讨论
132-134132-134
4133
B. Thirty-eighth session of the CommissionB. 委员会第三十八届会议
135135
4133
C. Sessions of working groups up to the thirty-eighth session of the CommissionC. 在委员会第三十八届会议之前各工作组的届会
136136
4133
D. Sessions of working groups in 2005 after the thirty-eighth session of the CommissionD. 2005年各工作组在委员会第三十八届会议之后的届会
137137
4234
Annex. List of documents before the Commission at its thirty-seventh session附件 . 委员会第三十七届会议收到的文件一览表
4536
I. Introduction一. 导言
1. The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the thirty-seventh session of the Commission, held in New York from 14 to 25 June 2004.1. 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2004年6月14日至25日在纽约举行的第三十七届会议的情况。
2. Pursuant to General Assembly resolution 2205 (XXI) of 17 December 1966, the report is submitted to the General Assembly and is also submitted for comments to the United Nations Conference on Trade and Development.2. 现根据大会1966年12月17日第2205(XXI)号决议向大会提交本报告,同时一并提交联合国贸易和发展会议征求意见。
II. Organization of the session二. 会议的组织
A. Opening of the sessionA. 会议开幕
3. The thirty-seventh session of the Commission was opened on 14 June 2004.3. 委员会第三十七届会议于2004年6月14日开幕。
B. Membership and attendanceB. 成员和出席情况
4. The General Assembly, in its resolution 2205 (XXI) established the Commission with a membership of 29 States, elected by the Assembly.4. 大会在其第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: 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 and Montenegro (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 (2010) and Zimbabwe (2010).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: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)、塞尔维亚和黑山(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(2010年)和津巴布韦(2010年)。
5. With the exception of Argentina, Benin, Ecuador, Fiji, Gabon, Israel, Lebanon, Paraguay, Poland, South Africa, the former Yugoslav Republic of Macedonia, Uruguay and Zimbabwe, all the members of the Commission were represented at the session.5. 除阿根廷、贝宁、厄瓜多尔、斐济、加蓬、以色列、黎巴嫩、巴拉圭、波兰、南非、前南斯拉夫的马其顿共和国、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。
6. The session was attended by observers from the following States: Bolivia, Cambodia, Denmark, Greece, Holy See, Indonesia, Kuwait, Libyan Arab Jamahiriya, Philippines, Saudi Arabia, Slovakia, Ukraine and Viet Nam.6. 派观察员出席本届会议的有下列国家:玻利维亚、柬埔寨、丹麦、希腊、教廷、印度尼西亚、科威特、阿拉伯利比亚民众国、菲律宾、沙特阿拉伯、斯洛伐克、乌克兰和越南。
7. The session was also attended by observers from the following international organizations:7. 下列国际组织也派观察员出席了本届会议:
(a) United Nations system: World Bank, International Monetary Fund and World Intellectual Property Organization;(a) 联合国系统:世界银行、国际货币基金组织和世界知识产权组织(知识产权组织);
(b) Intergovernmental organizations: Asian-African Legal Consultative Organization, European Community and International Cotton Advisory Committee;(b) 政府间组织:亚非法律协商组织、欧洲共同体和国际棉花咨询委员会;
(c) Non-governmental organizations invited by the Commission: American Bar Association, American Bar Foundation, Arab Union for International Arbitration, Cairo Regional Centre for International Commercial Arbitration, Center for International Legal Studies, Forum for International Commercial Arbitration, Global Center for Dispute Resolution Research, Groupe de réflexion sur l’insolvabilité et sa prévention, Institute of International Banking Law and Practice, INSOL International, International Bar Association, International Insolvency Institute, International Law Institute and Union internationale des avocats.(c) 委员会邀请的非政府组织:美国律师协会、美国律师基金会、阿拉伯国际仲裁联盟、开罗国际商事仲裁区域中心、国际法律研究中心、国际商事仲裁论坛、全球纠纷解决方式研究中心、破产及其预防问题审议小组、国际银行法及银行惯例学会、破产管理从业人员国际协会、国际律师协会、国际破产问题研究会、国际法学会和国际律师联盟。
8. The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda.8. 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 (see also paras. 114, 116 and 117 below).它们的参加对于提高委员会拟定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(另见下文第114、116和117段)。
C. Election of officersC. 选举主席团成员
9. The Commission elected the following officers:9. 委员会选出了下列主席团成员:
Chairman: Wisit Wisitsora-At (Thailand)主席: Wisit WISITSOR-At(泰国)
Vice-Chairmen: Ricardo Sandoval López (Chile) Petar Šarčević (Croatia) Simon Onekutu (Nigeria)副主席:Ricardo Sardoval López(智利)Petar Šarčević(克罗地亚);Simon Onekutu(尼日利亚);
Rapporteur: David Morán Bovio (Spain)报告员:David Morán Borio(西班牙)
D. AgendaD. 议程
10. The agenda of the session, as adopted by the Commission at its 776th meeting, on 14 June 2004, was as follows:10. 委员会于2004年6月14日在第776次会议上通过的会议议程如下:
1. Opening of the session.1. 会议开幕。
2. Election of officers.2. 选举主席团成员。
3. Adoption of the agenda.3. 通过议程。
4. Finalization and adoption of the draft UNCITRAL Legislative Guide on Insolvency Law.4. 最后审定和通过《贸易法委员会破产法立法指南(草案)》。
5. Arbitration: progress report of Working Group II.5. 仲裁:第二工作组的进度报告。
6. Transport law: progress report of Working Group III.6. 运输法:第三工作组的进度报告。
7. Electronic commerce: progress report of Working Group IV.7. 电子商务:第四工作组的进度报告。
8. Security interests: progress report of Working Group VI.8. 担保权益:第六工作组的进度报告。
9. Possible future work in the area of public procurement.9. 公共采购领域未来可能开展的工作。
10. Monitoring implementation of the 1958 New York Convention.10. 监测1958年《纽约公约》的执行情况。
11. Case law on UNCITRAL texts, digests of case law on the United Nations Sales Convention and other uniform texts.11. 贸易法委员会法规的判例法,《联合国销售公约》及其他统一法规的判例法摘要汇编。
12. Training and technical assistance.12. 培训和技术援助。
Follow-up to in-depth evaluation of work of the Commission’s secretariat concerned with training and technical assistance.对深入评价委员会秘书处有关培训和技术援助的工作采取后续行动。
13. Status and promotion of UNCITRAL legal texts.13. 贸易法委员会各项法规的现状和推广。
14. Relevant General Assembly resolutions.14. 大会的有关决议。
15. Coordination and cooperation.15. 协调与合作。
Follow-up to in-depth evaluation of work of the Commission’s secretariat concerned with coordination and cooperation.对深入评价委员会秘书处有关协调与合作的工作采取后续行动。
16. Other business.16. 其他事项。
17. Date and place of future meetings.17. 未来会议的日期和地点。
18. Adoption of the report of the Commission.18. 通过委员会的报告。
E. Adoption of the reportE. 通过报告
11. At its 787th, 792nd and 793rd meetings, on 21 and 25 June 2004, the Commission adopted the present report by consensus.11. 委员会在其2004年6月21日和25日第787、792和793次会议上以协商一致方式通过了本报告。
III. Finalization and adoption of the draft UNCITRAL legislative guide on insolvency law三. 贸易法委员会破产法立法指南草案的定稿和通过
Part One. Designing the key objectives and structure of an effective and efficient insolvency law第一部分. 确定有效和高效率的破产法的关键目标和结构
12. The Commission considered the recommendations and commentary (A/CN.9/WG.V/WP.70 (Part I)), the revisions to the recommendations proposed (A/CN.9/559/Add.1) and the revisions to the commentary proposed (A/CN.9/559/Add.2).12. 委员会审议了有关建议和评注(A/CN.9/WG.V/WP.70(PartI))、对有关建议的修订(A/CN.9/559/Add.1)和提议的对评注的修订(A/CN.9/559/Add.2)。
13.
The Commission approved the substance of part one of the draft guide, including the amendments proposed (A/CN.9/559/Add.1 and 2), with the following revisions:13. 委员会核准了指南草案第一部分的实质内容,包括提议的修正(A/CN.9/559/ Add.1和2),但作下列修订:
(a) Deletion of the words “other than judicial authorities” in the last sentence of paragraph 4 of document A/CN.9/559/Add.2;(a) 删除A/CN.9/559/Add.2号文件第4段最后一句中的“非司法”三字;
(b) Addition at the end of paragraph 9 (A/CN.9/WG.V/WP.70 (Part I)) of words along the lines of the following: “To the extent that a debtor is excluded from the scope of such legal mechanisms, it and its creditors will not be subject to the discipline of the mechanism, nor will they enjoy the protections afforded by the mechanism”;(b) 在A/CN.9/WG.V/WP.70(Part I)第9段末尾处添加大意如下的一句:“只要债务人被排除在此类法律机制的范围之外,该债务人及其债权人就既不受该机制的纪律约束,也不享有该机制提供的保护”;
(c) Substitution of the word “minimized” for “avoided” in the last sentence of paragraph 21 (A/CN.9/WG.V/WP.70 (Part I)) to address the concern that the last sentence of the paragraph was inconsistent with the real importance of social and political concerns to insolvency law and should be revised;(c) 将A/CN.9/WG.V/WP.70(Part I)第21段最后一句中的“避免赋予”改为“尽量减少”,以解决以下关切,即认为该段最后一句与对破产法的社会和政治关注的实际重要性不相适应,应予以修订;
(d) Addition at the beginning of paragraph 75 (A/CN.9/WG.V/WP.70 (Part I)) after the words “an insolvency law can” of words along the following lines: “assign specific functions to other participants, such as the insolvency representative and creditors, or to some other authority, such as an insolvency or corporate regulator”;(d) 在A/CN.9/WG.V/WP.70(Part I)第75段起首处的“破产法可以”这些字样之后添加大意如下的一句:“分派具体职能给其他参与者,例如破产代表和债权人,或给某些其他主管机构,例如破产或公司事务管理机构,”;
(e) Addition of a short, general summary at the end of part one of work being undertaken by international organizations in the area of building institutional capacity, as requested by Working Group V (Insolvency Law) at its thirtieth session (see A/CN.9/551, para. 115).(e) 根据第五工作组(破产法)第三十届会议的请求(见A/CN.9/551,第115段),在第一部分末尾处添加关于国际组织在机构能力建设领域开展的工作的简短概述。
14. The concern was raised as to whether the last sentence of paragraph 41 of document A/CN.9/WG.V/WP.70 (Part I) should be construed as meaning that a subordination agreement entered into prior to insolvency would be void once insolvency proceedings commenced.14. 有与会者表示关切,A/CN.9/WG.V/WP.70(Part I)号文件第41段最后一句是否应解释为意味着破产程序一旦启动,在破产之前生效的排位退后协议是否就会失去效力。
The Commission noted that Working Groups V and VI had agreed (see A/CN.9/550, para. 20) that, as a general principle, subordination agreements should be respected in insolvency, but that parties could not agree to a higher ranking than provided for under the insolvency law.委员会指出,第五和第六工作组已商定(见A/CN.9/550,第20段),作为一条一般性原则,排位退后协议应在破产程序中得到遵守,但当事人所商定的优先权不可优先于破产法规定的优先权。
It was also noted that the substance of that conclusion was to be reflected in part two, chapter V, section B, of the draft guide dealing with priorities and it was agreed that an appropriate note could be added to paragraph 41.委员会还指出,这一结论的实质内容将反映在指南草案关于优先权问题的第二部分第五章B节中,委员会一致同意给第41段添加一项适当的说明。
Part Two. Core provisions for an effective and efficient insolvency law第二部分. 高效率和有效的破产法的核心条文
15. The Commission considered the recommendations and commentary (A/CN.9/WG.V/WP.70 (Part II)), as well as the proposed amendments to the recommendations and the commentary (A/CN.9/559/Add.1-3).15. 委员会审议了有关建议和评注(A/CN.9/WG.V/WP.70(Part II))以及所提议的对建议和评注的修正(A/CN.9/559/Add.1-3)。
16.
The Commission approved the substance of chapter I, section A, “Eligibility and jurisdiction”, including the amendments proposed (A/CN.9/559/Add.1), and agreed that footnote 1 to paragraph 87 of document A/CN.9/WG.V/WP.70 (Part II), if appropriately amended, should be retained to explain the scope of the term “economic activities” as used in the draft guide.16. 委员会核准了第一章A节“资格和管辖权”的实质内容,其中包括提议的修正(A/CN.9/559/Add.1),并一致同意,A/CN.9/WG.V/WP.70(Part II)号文件第87段的脚注1经适当修正后应予保留,以解释指南草案中使用的“经济活动”一语的范围。
17.
The Commission approved the substance of chapter I, section B, “Commencement of proceedings”, including the amendments proposed (A/CN.9/559/Add.1), and agreed that the commentary should make it clear that recommendation 13, subparagraph (b), as amended, stated the principal courses of action open to the debtor, but was not intended to be exhaustive.17. 委员会核准了第一章B节“启动程序”的实质内容,其中包括提议的修正(A/CN.9/559/Add.1),同意评注应明确指出经修正后的建议13(b)项阐述了债务人可选择的主要行动方向,但目的并不是要做到详尽无遗。
The Commission approved the addition at the end of paragraph 143 of document A/CN.9/WG.V/WP.70 of words along the following lines: “Creditors other than those applying for commencement of proceedings may have a direct interest in being notified of the commencement of those proceedings.”委员会核准了在A/CN.9/WG.V/WP.70号文件第143段末尾处添加大意如下的一句:“申请启动程序的债权人以外的债权人在被通知这些程序的启动方面有着直接利益”。
18.
The Commission approved the substance of chapter I, section C, “Applicable law governing in insolvency proceedings”, including the amendments proposed (A/CN.9/559/Add.1), noting that Working Group V had agreed to relocate recommendation 179, previously included in the chapter on applicable law, to part one of the draft guide and to replace the words “general law” with “law other than the insolvency law” to ensure consistency throughout the draft guide.18 . 委员会核准了第一章C节“管辖破产程序的适用法律”的实质内容,包括提议的修正(A/CN.9/559/Add.1),并注意到,第五工作组已同意将先前载于关于适用法律的一章中的建议179移到指南草案的第一部分,并同意将“一般法”改为“破产法以外的法律”,以确保整个指南草案中的用语一致。
19. The Commission approved the substance of chapter II, section A, “Assets constituting the insolvency estate”, including the amendments proposed (A/CN.9/559/Add.1).19. 委员会核准了第二章A节“构成破产财产的资产”的实质内容,其中包括提议的修正(A/CN.9/559/Add.1)。
20. The Commission approved the substance of chapter II, section B, “Protection and preservation of the insolvency estate”, including the amendments proposed (A/CN.9/559/Add.1), with the following revisions:20. 委员会核准了第二章B节“保护和保全破产财产”的实质内容,其中包括提议的修正(A/CN.9/559/Add.1),但作下列修订:
(a) Revision of the heading of recommendation 31 to reflect its content more accurately;(a) 修订建议31的标题,以更准确地反映其内容;
(b) Revision of recommendation 33 to include termination of provisional measures when successfully challenged under recommendation 31;(b) 修订建议33,以包括临时措施在根据建议31受到成功质疑时即告终止的情形;
(c) Reversal of the order of recommendations 38 and 39;(c) 将建议38和39的顺序对调;
(d) Deletion of the square brackets and retention of the suggested text in recommendations 27, subparagraph (d), and 38;(d) 删除建议27(d)项和38中的方括号并保留所建议的案文;
(e) Addition at the end of paragraph 215 of words along the following lines: “This approach avoids some of the complexities associated with ongoing valuation of the encumbered assets that may be required under the first approach noted above.”(e) 在第215段末尾处添加大意如下的一句:“这种办法避免了可能根据上述第一种做法要求对设押资产进行持续估价导致的某些复杂性”。
21. In response to the concern that recommendation 34, subparagraph (b), as revised (A/CN.9/559/Add.1), should not apply to prevent enforcement of a security interest in liquidation, it was noted that that concern could be addressed under recommendation 35, which contemplated possible exceptions to the stay.21. 针对就经修订的建议34(b)分段(A/CN.9/559/Add.1)不应当用于防止在清算中强制执行担保权这一问题表示的关切,有与会者指出,这一关切可根据关于探讨中止的可能除外情形的建议35予以解决。
22. The Commission approved the substance of chapter II, section C, “Use and disposal of assets”, including the amendments proposed (A/CN.9/559/Add.1), with the following revisions:22. 委员会核准了第二章C节“资产的使用和处分”的实质内容,其中包括提议的修正(A/CN.9/559/Add.1),但作下列修订:
(a) Deletion of the words “and assets owned by a third party” from subparagraph (a) of the purpose clause (see A/CN.9/559/Add.1) and insertion of a new subparagraph along the lines of “permit and specify the conditions for the use of assets owned by a third party”;(a) 删除目的条款(a)项(A/CN.9/559/Add.1)中的“和第三方拥有的资产”这些字样,添加大意如下的一个新款项:“允许使用第三方拥有的资产并规定使用这些资产的条件”;
(b) Retention of all the square bracketed text in recommendation 40B, subparagraph (b), without the brackets;(b) 保留建议40B(b)项中方括号内的全部案文,但删去方括号;
(c) Retention of the references to both “use” and “disposal” in recommendation 43A and clarification in the commentary that the secured creditor referred to in subparagraph (a) must have a security interest that covered the cash proceeds;(c) 保留建议43A中对“使用”和“处分”这两个用语的提及,并在评论中澄清(a)项中提及的有担保债权人必须享有涵盖了现金收益的担保权益;
(d) Addition before the last sentence of paragraph 234 of words along the following lines: “Where an asset is relinquished to a secured creditor by an insolvency representative, the insolvency law might provide that the secured creditor’s claim is reduced by the value of the relinquished asset”.(d) 在第234段最后一句之前添加大意如下的一句:“如果破产代表将某一资产让予有担保债权人,破产法可规定该有担保债权人的债权因所让予资产的价值而相应减少”。
23. Concern was expressed that the obligation to provide notice to all creditors in recommendation 41 might prove onerous.23. 有与会者表示担心建议41中关于向所有债权人提供通知的义务可能证明是苛刻的。
The Commission noted that under recommendation 117 an insolvency law might provide for a creditor committee to have a role with respect to the sale of certain assets.委员会指出,根据建议117,破产法可规定债权人委员会在某些特定资产的变卖方面发挥作用。
It was agreed that, where that approach was adopted, notifying the creditor committee would satisfy the notice requirement of recommendation 41 and that that clarification should be included in the commentary to section C. It was also agreed that reference to “sale of significant assets” in recommendation 117 should be revised to refer to sales “outside the ordinary course of business”.与会者同意,如果这种办法得到采用,则通知债权人委员会即可满足建议41的通知要求,并同意这一说明应列入对C节的评注。 与会者还同意,建议117中对“变卖大宗资产”的提及应予修订,以提及“正常经营过程以外的”变卖。
24. The Commission approved the substance of chapter II, section D, “Post-commencement finance”, including the amendments proposed (A/CN.9/559/Add.1 and 2), with the following revisions:24. 委员会核准了第二章D节“启动后融资”的实质内容,其中包括提议的修正(A/CN.9/ 559/Add.1和2),但作下列修订:
(a) Amendment of the last sentence of recommendation 49 to provide that the insolvency law might require the court to authorize creditors (or the creditor committee) to consent to the provision of post-commencement finance;(a) 对建议49最后一句加以修正,以规定破产法可要求法院批准或要求债权人(或债权人委员会)同意提供启动后融资;
(b) Addition at the end of paragraph 243 of words along the following lines: “This risk must be balanced against the prospect that preservation of going concern value by continued operation of the business will benefit those creditors”.(b) 在第243段末尾处添加大意如下的一句:“针对这一风险,必须考虑到通过企业的继续经营以保全经营中企业的价值将使这些债权人受益这一前景。”
25. The Commission approved the substance of chapter II, section E, “Treatment of contracts”, including the amendments proposed (A/CN.9/559/Add.1), with the following revisions:25. 委员会核准了第二章E节“合同的处理”的实质内容,其中包括提议的修正(A/CN.9/ 558/Add.1),但须作下列修订:
(a) Inclusion of a reference to acceleration clauses in recommendation 56 and the relevant paragraphs of the commentary;(a) 在建议56和评注的相关段落中提及加快条款;
(b) Removal of the square brackets and retention of the words “be heard by the court” in recommendation 62;(b) 删去建议62中的“向法院提出申诉”的方括号并保留案文;
(c) Removal of the square brackets and retention of the text in the chapeau to recommendation 66;(c) 删去建议66的起首语中的方括号并保留案文;
(d) Retention of the words “contractual price of the performance” in subparagraph (a) of recommendation 66 without square brackets and deletion of the reference to the “costs under the contract of the benefits conferred on the estate”;(d) 保留建议66的(a)项中的“履约的合同定价”这些字样,但删除其方括号,并删除对“给破产财产带来收益的合同所规定的费用”的提及;以及
(e) Deletion of the text in square brackets in subparagraph (d) of recommendation 70.(e) 删去建议70的(d)项方括号中案文。
26. In response to the view that recommendation 56 did not reflect the approach to automatic termination clauses adopted in many countries, it was recalled that the Working Group had decided to stress the importance of overriding such clauses to protection of the value of the insolvency estate and to ensuring the continuation of contracts for the benefit of reorganization.26. 针对有与会者提出的关于建议56并未体现许多国家采用的自动终止条款办法这一看法,有与会者回顾到,工作组已决定强调必须超越此类条款以便保全破产财产的价值并确保为从重组中获益而继续执行合同。
It was noted that further explanation of the reference to curing a breach in recommendation 65 might be included in the commentary.据指出,可能会在评注中进一步解释建议65中对使违约行为得到补救的提及。
27. The Commission approved the substance of chapter II, section F, “Avoidance proceedings”, including the amendments proposed (A/CN.9/559/Add.1), with the following revisions:27. 委员会核准了第二章E节“撤销程序”的实质内容,包括提议的修正(A/CN.9/559/ Add.1),但须作下列修订:
(a) Retention of the reference to potential creditors in recommendation 73, subparagraph (a), and paragraph 314;(a) 保留建议73(a)项和第314段中对“潜在债权人”的提及;
(b) Deletion of the first part of recommendation 80 up to the words “the insolvency law”;(b) 删除建议80中的“破产法可提供”一词之前的所有词语;
(c) Deletion of the second sentence of recommendation 82 after the words “insolvency proceedings” on the basis that any transaction entered into before commencement might amount to a preference and a transaction entered into in a reorganization that preceded a liquidation would be a transaction entered into after commencement and not therefore subject to the suspect period;(c) 删除建议82第二句中的“经营过程中进行的”一语之后的所有词语,依据是,程序起动前进行的任何交易都可能是一种优惠,而在清算前的重组中进行的交易则属于程序起动后进行的交易,因此不必有嫌疑期;
(d) Substitution of the words “insolvency law” for the word “court” in the second sentence of recommendation 83;(d) 将建议83第二句中的“法院”一词改为“破产法”;
(e) Addition at the end of paragraph 334 of words along the following lines: “With the exception of transactions involving wrongful behaviour, it is highly desirable therefore that suspect periods be of a reasonably short duration to ensure commercial certainty and to reduce any negative impact that avoidance provisions will have on the availability and cost of credit”;(e) 在第334段末尾添加大意如下的一句:“由于涉及不法行为的交易属于例外情形,因此极为可取的做法是,使嫌疑期成为一段适当短的期限,以确保商业确定性及减少撤销规定对信贷的获得和信贷成本的任何负面影响”;以及
(f) Insertion in paragraph 341 of a reference to the need to commence avoidance proceedings within a reasonably short period of time to avoid uncertainty and delay.(f) 在第341段中提及有必要在适当短的期限内启动撤销程序以避免不确定性和迟延。
28. The Commission approved the substance of chapter II, section G, “Rights of set-off”.28. 委员会核准了第二章G节“抵消权”的实质内容。
29. The Commission approved the substance of chapter II, section H, “Financial contracts and netting”, including the amendments proposed (A/CN.9/559/Add.1), with the following revisions:29. 委员会核准了第二章H节“金融合同与净额结算”的实质内容,包括提议的修正(A/CN.9/558/Add.1),但须作下列修订:
(a) Addition at the end of paragraph 360 of the following sentence: “The exceptions for financial contracts should be drafted broadly enough to protect the significant interests of parties that deal in financial contracts and to prevent systemic risk”;(a) 在评注部分末尾添加下述一句,“对金融合同除外规定的范围应定得很宽,足以保护金融合同各交易方的重大权益,预防系统风险”;及
(b) Addition in the first sentence of the purpose clause of the words “on financial markets” after the words “in the context of financial transactions”.(b) 在拟议条款第一句“关于”之后添加“金融市场上”这个短语。
30. The Commission approved the substance of chapter III, section A, “The debtor”, including the amendments proposed (A/CN.9/559/Add.1), with the following revisions:30. 委员会核准了第三章A节“债务人”的实质内容,包括提议的修正(A/CN.9/559/Add.1),但须作下列修订:
(a) Removal of the square brackets from the text in recommendation 96;(a) 删去建议96中案文的方括号;
(b) Amendment of recommendation 97A along the following lines: “Where the debtor is a debtor in possession, the insolvency law should specify those functions of the insolvency representative that may be performed by the debtor in possession”, to avoid the implication that the debtor in possession must have all of the powers of an insolvency representative;(b) 对建议97A作大意如下的修正:“如果债务人系主事债务人,破产法应规定可由主事债务人履行的破产代表的职能”,以避免主事债务人必须拥有破产代表的一切权力这一含义;
(c) Addition at the end of paragraph 376 of words along the following lines: “Where the insolvency law provides for a debtor to remain in control of the business, it is desirable that the law specify the powers and functions of an insolvency representative that may be exercised by that debtor in possession”;(c) 在第376段末尾添加大意如下的一句:“如果破产法规定仍然由债务人掌控经营活动,可取的做法是,由法律规定可由该主事债务人行使的破产代表的权力和职能”;
(d) Addition of a reference to professional secrets in the first sentence of paragraph 387.(d) 在第387段第一句中添加对职业秘密的提及。
31. The Commission approved the substance of chapter III, section B, “The insolvency representative”, including the amendments proposed (A/CN.9/559/Add.1), with the following revisions:31. 委员会核准了第三章B节“破产代表”的实质内容,包括提议的修正(A/CN.9/559/ Add.1),但须作下列修订:
(a) Addition at the end of recommendation 100, subparagraph (b), of words along the following lines: “or a person employed by the insolvency representative where the conflict of interest or the circumstances that may lead to a conflict of interest or lack of independence arise in the course of insolvency proceedings”;(a) 在建议100(b)项末尾添加大意如下的一句:“或在破产程序中发生利益冲突或可能导致利益冲突或缺乏独立性的情形时被破产代表雇用的人”;
(b) Removal of the square brackets from the text in recommendation 104;(b) 删去建议104中案文的方括号;以及
(c) In paragraph 402, addition in the second sentence of the words “prior engagement as an auditor of the debtor” and at the end of the penultimate sentence of the words “including specifying those relationships that will disqualify a person from being appointed”.(c) 在第402段第二句中添加“曾被聘为债务人的审计员”一语,并在该段倒数第二句末尾添加“包括规定可取消某人被任命资格的关系”等字样。
32. The Commission approved the substance of chapter III, section C, “Creditors—participation in insolvency proceedings”, including the amendments proposed (A/CN.9/559/Add.1), with the following revisions:32. 委员会核准了第三章C节“债权人——参与破产程序”的实质内容,其中包括提议的修正(A/CN.9/559/ Add.1),但须作下列修订:
(a) In recommendation 112, removal of the square brackets from the proposed text in order to underline the importance of the insolvency law specifying the matters to be discussed at the first meeting of creditors, deletion of the word “certain” and addition of appropriate emphasis in the commentary on the need for the insolvency law to specify the matters to be discussed;(a) 在建议112中,删去拟议案文的方括号,以便强调由破产法规定拟在第一次债权人会议上讨论的事项的重要性,删去“某些”一词,并在评注中适当强调由破产法规定拟讨论的事项的必要性;
(b) As a matter of drafting, deletion of the word “generally” from the second sentence of recommendation 112 and addition of the words “any other” before “meeting of creditors”;(b) 作为一个行文问题,删除建议112第二句中的“广泛”一词,并在“参加的”一词之后添加“任何其他”四字;
(c) In view of the discussion on recommendation 41 on use and disposal of assets, deletion of the words after “reorganization plan” in recommendation 117, subparagraph (b), and insertion of a new subparagraph along the lines of “receiving notice of and being consulted on matters in which their class has an interest, including the sale of assets outside the ordinary course of business”;(c) 鉴于关于资产的使用和处分的建议41的讨论情况,删除建议117(b)项中的“重组计划”之后的所有词语,并添加一项大意如下的一个新款项:“接收关于本类别债权人有切身利益的事项的通知并就这些事项进行磋商,此类事项包括在正常经营过程之外变卖资产”;以及
(d) In the first sentence of paragraph 443, addition of the words “or other form of creditor representation” after the words “creditors committee” and in the fourth sentence of paragraph 469, addition of the words “or taking advantage of confidential information received as a committee member” after the words “prior approval of the court”.(d) 在第443段第一句中的“债权人委员会”一词之后添加“或其他形式的债权人代表”一语,以及在第469段第四句末尾添加“或利用以委员会成员身份收到的保密资料”等字。
33. The Commission noted that the commentary relating to levels of participation and functions of creditors had been revised by the Secretariat to streamline the text.33. 委员会注意到,秘书处已对与债权人的参与水平和职能有关的评注作了修订,以便使案文变得简洁。
34. The Commission approved the substance of chapter III, section D, “Party in interest’s right to be heard and to appeal”.34 . 委员会核准了第三章D节“利益方的申诉权和上诉权”的实质内容。
35. The Commission agreed that it might be useful to include, as an annex to the draft guide, a list of, or index to, those recommendations and paragraphs addressing the treatment of security interests in insolvency, based upon document A/CN.9/WG.V/WP.71.35. 委员会一致认为,可能有必要根据A/CN.9/WG.V/WP.71号文件,将关于破产中担保权益的处理的建议和段落的一览表或索引列为指南草案的一个附件。
36. The Commission approved the substance of chapter IV, section A, “The reorganization plan”, including the amendments proposed (A/CN.9/559/Add.3), with the following revisions:36. 委员会赞同第四章A节“重组计划”的实质内容,包括提议的修正(A/CN.9/559/Add.3),但须作下列修订:
(a) In recommendation 126, deletion in the first sentence of the words from “submitted” to “vote on approval]” to focus the recommendation on preparation of the disclosure statement and addition of the word “disclosure” before “statement” in the second sentence;(a) 建议126:删除第一句中从“提交”至“审议的”这些词语,以便突出建议的重点是编写披露说明,并在第二句中“说明”之前添加“披露”一词;
(b) In recommendation 127, deletion of the word “those” in square brackets and the words following “equity holders” at the end of the sentence, to ensure that the plan and disclosure statement are available more widely than just to those who may be entitled to vote on approval of the plan or whose rights are affected or modified by the plan;(b) 建议127:删除“有权就是否批准计划进行表决的”这句修饰语,以确保计划和披露说明的提供范围大于有权就是否批准计划进行表决者或其权利因计划而受到影响或变动者;
(c) In recommendation 128, subparagraphs (a) and (b), removal of the square brackets and retention of the text; deletion of subparagraph (c) and the associated footnote 91a; and removal of the square brackets and retention of the text in subparagraph (f). It was noted that the manner in which assets of the debtor were to be treated in the plan was intended to be covered under subparagraph (d) of recommendation 128;(c) 建议128:删除(a)和(b)项中的方括号并保留其案文;删除(c)项及其附带的脚注91a;删除(f)项中的方括号并保留其案文。有与会者指出,计划处理债务人资产的方式本应在建议128(d)项下加以论及;
(d) In recommendation 129, subparagraph (a), removal of the square brackets and retention of the text and amendment of the text along the lines of a “summary” or “description of the plan”; and in subparagraph (c), deletion of the example set forth in parentheses; in subparagraph (f), deletion of the first text in square brackets, and removal of the square brackets and retention of the second text in square brackets concerning adequate provision for satisfaction of the debtor’s obligations;(d) 建议129:删除(a)项前后的方括号,保留其案文,将其大致修改为“摘要”或“计划说明”;删除(c)项插入语中所载的实例;删除(f)项中置于方括号内的第二段案文前后的方括号,并保留关于为清偿债务人债务而作出充分安排的这一份案文;
(e) In recommendation 130, inclusion of equity holders in the scope of the recommendation;(e) 建议130:将股东列入建议的范围;
(f) In recommendations 130A-D, retention of the recommendations and deletion of the square brackets;(f) 建议130A-D:保留建议,删除其前后的方括号;
(g) In recommendation 130A, inclusion of equity holders in the scope of the recommendation, addition of the words “or affected” after “modified” and removal of the square brackets and retention of the text “the opportunity to vote”;(g) 建议130A:将股东列入建议的范围,在“被计划改变的”这些词语之后添加“或受计划影响的”,删除“表决机会”这一短语前后的方括号,并保留其案文;
(h) In recommendation 130B, inclusion of equity holders in the scope of the recommendation and deletion of the word “adversely”;(h) 建议130B:将股东列入建议的范围,删除“不利”这个词;
(i) In recommendation 130C, amendment of the text along the following lines: “The insolvency law should specify that creditors entitled to vote on approval of the plan should be separately classified according to their respective rights and that each class should vote separately”;(i) 建议130C:将案文修正为大意如下的一句:“破产法应当规定,对有权就核准计划表决的债权人应按照其各自的权利而分别予以划分,并且各类别应分别表决”;
(j) In recommendation 130D, inclusion of equity holders in the scope of the recommendation and retention of the word “treatment” without square brackets;(j) 建议130D:将股东列入建议的范围,保留“待遇”这个词,删除其前后的方括号;
(k) In recommendation 133, deletion of the text in square brackets in the first sentence concerning modification of rights, and removal of the square brackets and retention of the text in the second sentence addressing approaches to approval and specifying a minimum standard for approval;(k) 建议133:删除第一句中置于方括号内关于权利被改变的这句短语,删除第二句中述及在批准上的不同做法并载明批准最低标准的案文前后的方括号并保留其案文;
(l) In recommendation 134, deletion of the first text in square brackets concerning modification of rights, and removal of the square brackets and retention of the cross-reference to recommendation 138, subparagraphs (a)-(e);(l) 建议134:删除置于方括号内的有关权利被改变的第一份案文,并保留提及建议138(a)-(e)项的内容;
(m) In recommendation 138, removal of the square brackets and retention of the text in subparagraph (a) relating to requisite approvals, removal of the square brackets and retention of the text providing that a creditor will receive “at least as much under the plan” in subparagraph (b), amendment of the reference to “contrary to the law” in subparagraph (c) to “contrary to law” and amendment of subparagraph (e) along the following lines: “Except to the extent that affected classes of creditors have agreed otherwise, if a class of creditors has voted against the plan, that class shall receive under the plan full recognition of its ranking under the insolvency law and the distribution to that class under the plan should conform to that ranking”;(m) 建议138:删除(a)项中关于必要的批准这一句短语前后的方括号,并保留其案文,删除(b)项中规定债权人“按该计划的所得至少相当于”这一句前后的方括号,并保留其案文,将(e)项大致改为:“除非受影响的债权人类别同意其他做法,如果一类债权人投票反对该计划,根据破产法,该类应得到计划对其排序的充分承认,计划中对该类的分配应符合其排序”;
(n) In recommendation 142, removal of the square brackets and retention of the text relating to the timing of amendment of the plan;(n) 建议142:删除有关修改计划时间安排这一句前后的方括号并保留其案文;
(o) In recommendation 143, deletion of the text in square brackets at the beginning of the second sentence, removal of the brackets and retention of both references to parties “affected by the modification” in the second sentence;(o) 建议143:删除第二句开头处置于方括号内的案文,删除第二句中“受……影响的”当事人这一句及随后一句类似提法中的方括号并保留其案文;
(p) In recommendation 145, deletion of subparagraph (b) on the basis that it might be interpreted as giving certain parties wide powers to apply for conversion without cause, in subparagraph (f) deletion of the square brackets and retention of the reference to breach “by the debtor” and amendment of the final words to “or an inability to implement the plan”. A proposal to add text to recommendation 145, subparagraph (f), to the effect that the court should first consider the possibility of modifying the reorganization plan before converting proceedings to liquidation did not obtain sufficient support.(p) 建议145:删除(b)项,理由是,该项可能会被解释为赋予某些当事人在毫无理由情况下提出转换程序申请的广泛权限,删除(f)项中的方括号,保留“债务人”违背计划的提法,将最后一些词语改为“或没有能力执行该计划”建议在建议145(f)项中增加大意如下的案文,即法院应在将重组程序改为清算未能得到足够支持之前,首先考虑是否可能修订重组计划。
37. A proposal was made to include a recommendation to the effect that “The insolvency law should specify that any class of creditors or equity holders that would receive no distribution under the plan would be deemed to have rejected the plan” in order to reduce costs and delay in soliciting approval of the plan and to invoke the protections applicable under the insolvency law to creditors voting against the plan.37. 有与会者提议列入内容大致如下的一则建议,即“破产法应规定,在该计划下得不到分配的任何类别的债权人或股东将被视为不接受该计划”,以减少在争取该计划获得批准上的费用和延迟,并援用根据破产法适用于投票反对该计划的债权人的保护措施。
That proposal was not supported on the basis that creditors should not be deprived of their right to vote and that deeming those creditors to have voted against the plan might expose them to other liabilities.这一提议未得到支持,理由是,不应剥夺债权人的表决权,将这些债权人视为投票反对计划者可能会使其负担其他债务。
38. The Commission approved the substance of chapter IV, section B, “Expedited reorganization proceedings”, including the amendments proposed (A/CN.9/559/Add.3), with the following revisions:38. 委员会赞同第四章B节“快速重组程序”的实质内容,包括提议的修正(A/CN.9/559/Add.3),但须作下述修订:
(a) In recommendation 146: amendment of subparagraph (a) to ensure that a debtor could apply for expedited proceedings not only when it was eligible to apply for reorganization under recommendation 9, but also when it could satisfy the commencement standard included in recommendation 146 by including the words “is or” at the beginning of subparagraph (a); deletion of the words “and by each affected creditor not part of a voting class” from subparagraph (b); and addition of a recommendation 146A along the following lines:(a) 建议146:修正 (a)项,以确保债务人在根据建议9有资格提出重组申请和在符合建议146中所列启动标准的情况下均可提出快速程序申请,为此,应对(a)项进行修订,在该项开头处添加“可能或有”这些词,在(b)项中删除“并为不属于某一参加表决类别的每一位受影响的债权人所接受”一句,并增列内容大致如下的建议146A:
“The insolvency law may additionally specify that an expedited proceeding can be commenced on the application of any debtor if:“破产法还可规定,凡债务人有下列情形的,可根据其申请而启动快速程 序:
“(a) The debtor’s liabilities exceed or are likely to exceed its assets;(a) 债务人的负债超过或有可能超过其资产;及
and
“(b) The requirements of recommendation 146, subparagraphs (b) and (c), are satisfied.”(b) 建议146(b)和(c)项的要求已予满足。”
(b) In recommendation 147, in subparagraph (c), amendment of the reference to “preferential creditors” to “unaffected creditors”; deletion of the phrase “such as tax or social security authorities or employees”; removal of the square brackets, and retention of the first alternative text to require agreement of unaffected creditors to any modification of their rights;(b) 建议147:将(c)项中“优先债权人”的提法改为“未受影响的债权人”,删除“税务或社会保险机关或员工等”这些词语,删除第一份备选案文前后的方括号并保留其案文,以规定未受影响的债权人权利的任何变更都必须得到其同意;
(c) With respect to recommendation 149, it was noted that the opening words to subparagraph (b) were required to enable the court to apply the effects of commencement more broadly than affected creditors where, for example, measures were required to apply to other creditors to protect the insolvency estate;(c) 建议149:有与会者指出,(b)项开头处的短语是必需的,这样能使法院扩大启动程序后的效力所及范围,不仅仅涉及受影响的债权人,举例说,为保护破产财产,需要采取措施使启动的效力适用于其他债权人;
(d) In recommendation 150, removal of the square brackets and retention of the references to “affected” creditors and deletion of the words at the end of the first sentence of the chapeau, “using existing available means”;(d) 建议150:删除“受影响的”债权人这一句中的方括号,保留这一提法,删除盖头第一句中“利用现有手段”这一短语;
(e) In recommendation 151, alignment of subparagraph (c) with the amendments agreed with respect to the corresponding subparagraph (c) of recommendation 147.(e) 建议151:对(c)项进行修订,以便使该项同所商定的有关建议147对应项的修订意见保持一致。
39. The Commission approved amendment of recommendation 153 along the following lines: “The insolvency law may specify that where there is a substantial breach by the debtor of the terms of the plan or an inability to implement the plan, the court may close the judicial proceedings and parties in interest may exercise their rights at law.”39. 委员会核准对建议153作大意如下修正:“破产法可规定,如果债务人在计划条款上严重违约或没有能力执行该计划,法院可终结司法程序,各利益方可行使其法定权力”。
It was also agreed that that text should be added as a new recommendation to follow recommendation 145, on the basis that there would be situations in which it would be appropriate to close the proceedings rather than to convert them to liquidation.与会者还一致认为,应将该案文作为一则新的建议增列在建议145之后,其依据是,在有些情形下,终结程序比改为清算更妥当。
40. The Commission approved the substance of chapter V, section A, “Treatment of creditor claims”, including the amendments proposed (A/CN.9/559/Add.1), with the following revisions:40. 委员会核准了第五章A节“债权人债权的处理”的实质内容,包括提议的修正(A/CN.9/559/Add.1),但须作下列修订:
(a) Removal of the square brackets from the text in recommendation 162 and deletion of the words “to deny” at the end of the second sentence;(a) 删去建议162中案文的方括号,并删除第一句中的“或否决”三字;
(b) Removal of the square brackets from the text in recommendation 163 and deletion of the words “to deny the claim”;(b) 删去建议163中案文的方括号,并删除“否决该债权的”这些字样;
(c) In recommendation 169, substitution of the word “person” for “party” and substitution of the word “reduced” for “restricted” in subparagraph (b), in line with the discussion in paragraph 610 of the commentary;(c) 根据评注第610段中的讨论情况,将建议169中的“相关方”改为“相关人”,并将(b)项中的“限制”改为“减少”;
(d) In paragraph 571, amendment of the third, fourth and fifth sentences along the following lines:(d) 对第571段中的第三、四和五句作大意如下的修正:
“Insolvency laws adopt different approaches to excluded claims. Under some laws, the creditors holding those claims cannot participate and have no recourse for collecting their debt from the debtor; their claim is effectively extinguished. Under other laws, however, alternative courses of recovery are preserved and the claim can be pursued outside the insolvency proceedings”;“破产法对除外债权采取不同的做法,根据某些法律,持有这些债权的债权人不可以参与,并对从债务人那里收取其债务没有任何追索权;他们的债权已有效地清偿。但是,根据其他法律,替代追回方法得到保留,因此可在破产程序之外谋求偿付债权”;
(e) In paragraph 586, in the first sentence, addition of the words “required to be submitted under the insolvency law that are” after the words “different approaches to those claims”.(e) 在第586段第一句中的“时限内提出”一语之后添加“破产法要求提出的”等字。
41. In response to a question as to whether non-monetary claims would be covered by recommendation 155, it was observed that the purpose of the recommendation as drafted was to emphasize the need for the insolvency law to specify the types of claim that should be submitted and to include some examples.41. 针对就非货币债权是否将由建议155予以涵盖所表示的疑问,有与会者指出所草拟的该项建议的目的是强调破产法有必要规定应提出的债权的类型并载列一些实例。
As such, it was not intended to imply that non-monetary claims could not be submitted.因此,该项建议的目的并不是暗示不可以提出非货币债权。
It was noted that the matter could be clarified in the commentary.据指出,这一事项可在评注中予以澄清。
42. The Commission approved the substance of chapter V, section B, “Priorities and distribution of proceeds”, including the amendments proposed (A/CN.9/559/Add.1), with the following revisions:42. 委员会核准了第五章B节“优先顺序和收益的分配”的实质内容,包括提议的修正(A/CN.9/559/Add.1),但须作下列修订:
(a) Revision of the heading of recommendation 174 to “Ranking of claims other than secured claims”;(a) 将建议174的标题修订为“有担保债权以外的债权的排序”;
(b) Deletion of the second sentence of footnote 112, on the basis that the matter was appropriately addressed in the commentary at paragraph 633;(b) 删除脚注112的第二句,因为这一事项已在评注第633段中作了适当论及;
(c) Addition in paragraph 617 after “applicable law” of words along the following lines: “(which may provide for subordination of certain types of claim, for example, those of related persons)”;(c) 在第617段中的“适用的法律”之后添加大意如下的一句:“(该法律可规定某些类型债权(例如相关人的债权)的排序退后)”;
(d) Addition at the end of paragraph 621 of words along the following lines: “The general principle of recognizing pre-commencement priorities should be interpreted to include priorities based upon a subordination agreement, provided the parties’ agreement is not to provide a ranking higher than otherwise would be accorded under the applicable law”;(d) 在第621段末尾添加大意如下的一句:“确认启动前优先顺序的一般原则应解释为包括以排序推后协议为基础的优先顺序,只要当事人的协议提供的优先权不会高于本来根据适用的法律提供的优先权”;
(e) Addition of the word “treaty” between “international” and “obligations” in paragraph 631 and addition of the following words after “obligations”: “such as those applicable to employees claims, which are discussed further below”;(e) 在第631段中的“国际”和“义务”两词之间添加“条约”一词,并在“必要性”一词之后添加大意如下的词语:“例如适用于雇员债权的义务,下文对此有进一步的讨论”;
(f) Insertion of a full stop after the phrase “class of priority claims” in the first sentence of paragraph 633 and amendment of the following two sentences along the following lines: “In a number of cases those claims rank higher than other priority claims, and specifically above tax and social security claims, and in a few cases above secured claims (see paras. 625 and following above).(f) 将第633段第一句中的“优先债权类别”一语之后的逗号改为句号,并将随后的两句改为大意如下的句子:“在有些情况下,这些债权的排序优先于其他优先债权,具体而言即优先于税收和社会福利债权,在少数情况下,优先于有担保债权(见上文第625段及其后各段)。
The approach of providing priority for workers’ claims is generally consistent with the special protection that is afforded to employees in other areas of insolvency law (see chapter III.D.6) as well as with the approach of international treaties on protection of workers.111”;将员工债权列为优先的做法一般符合破产法其他领域中向雇员提供的特别保护(见第三章D.6节)并符合关于保护员工的国际条约的做法。 111”;
(g) Insertion in the second sentence of paragraph 634 after “wage guarantee fund” of the following words: “or insurance scheme providing a separate source of funds to ensure the settlement of employees’ claims”.(g) 在第634段第二句中的“工资保证基金”之后插入大意如下的一句:“或为确保雇员债权得到清偿而提供单独资金来源的保险计划”。
43. The Commission approved the substance of chapter V, section C, “Treatment of corporate groups in insolvency”.43. 委员会核准了第五章C节“破产中对公司集团的处理”的实质内容。
44. The Commission approved the substance of chapter VI, section A, “Discharge”, including the amendments proposed (A/CN.9/559/Add.1), with the following revisions:44. 委员会核准了第六章A节“债务和债权的解除”的实质内容,包括提议的修正(A/CN.9/ 559/Add.1),但须作下列修订:
(a) Amendment of the heading before recommendation 184 to “Discharge of a natural person debtor in liquidation”;(a) 将建议184之前的标题修正为“清算中自然人债务人债务的解除”;
(b) Placement of the second sentence of recommendation 185 in a new recommendation and amendment of the text along the following lines: “Where the insolvency law provides that conditions may be attached to a debtor’s discharge, those conditions should be kept to a minimum to facilitate the debtor’s fresh start and be clearly set forth in the insolvency law”;(b) 将建议185第二句放到一项新的建议中,并对案文作大意如下的修正:“如果破产法规定可对解除债务人债务附加条件,则这些条件应保持在最低限度以便利债务人重新创业,并明确载于破产法中”;
(c) Reversal of the order of paragraphs 653 and 654, insertion of the heading “(a) Where the debtor is a legal entity” before paragraph 654; insertion of the heading “(b) Where the debtor is a natural person” before paragraph 653; and addition of a third sentence to paragraph 653 along the following lines: “It should be noted that discharge of a natural person debtor generally does not affect the liability of a third party that has guaranteed the obligations of that debtor”.(c) 将第653和654两段的顺序对调,在第654段之前添加“(a)如果债务人为法人实体”这一标题,在第653段之前添加“(b)如果债务人为自然人”这一标题,并在第653段添加大意如下的第三句:“应当指出的是,解除自然人债务人债务一般不会对已为该债务人的债务作出担保的第三方当事人的责任产生影响”。
45. The Commission approved the substance of chapter VI, section B, “Conclusion of proceedings”, including the amendments proposed (A/CN.9/559/Add.1) with the following revisions:45. 委员会核准了第六章B节“程序的终结”的实质内容,包括提议的修正(A/CN.9/ 559/Add.1),但须作下列修订:
(a) Reversal of the order of recommendations 186 and 187 to reflect the emphasis accorded to reorganization throughout the draft guide;(a) 将建议186和187的顺序对调,以反映整个指南草案中对重组的强调;
(b) Deletion of the words following “closed” at the end of recommendation 187;(b) 删去建议187中在“应当”一词与“结束”一词之间的所有词语;
(c) Addition of a second sentence to paragraph 667 along the following lines: “It is desirable that the insolvency law specify the party that can apply for conclusion of proceedings, whether the application for conclusion and the decision to conclude should be publicized and whether creditors could be heard on the application”.(c) 在第667段添加大意如下的第二句:“可取的做法是,破产法应规定可申请终结程序的当事人,不论关于终结的申请和关于终结的决定是否应予以公示,也不论债权人是否可就该申请提出申诉”。
46. Those recommendations not specifically referred to in the present report were approved by the Commission without amendment.46. 委员会核准了本报告中未予具体述及的那些建议,而未作任何修正。
47. The Commission approved those terms of the glossary set forth in document A/CN.9/551 and not finalized by Working Group V (Insolvency Law) at its thirtieth session, as follows:47. 委员会核准了A/CN.9/551号文件所载术语表中尚未由第五工作组(破产法)第三十届会议最后审定的的下列术语:
(a) “Creditor”, “debtor in possession”, “ordinary course of business” “preference” and “related person”, without amendment;(a) “债权人”、“债务人主事”、“正常营业过程”、“优惠”和“有关人员”,而未作任何修正;
(b) “Claim”, with the words “other theory of legal obligation” amended to “other type of legal obligation” and the word “assets” in the note retained without square brackets;(b) “债权”,将“其他法律义务理论”改为“其他类型的法律义务”,保留注中的“资产”,删除其前后的方括号;
(c) “Commencement of proceedings”, with the words “The event determining the” deleted;(c) “启动程序”,删除“决定……的事件”这几个词;
(d) “Netting”, with the word “mutual” deleted and the word “under” retained without square brackets;(d) “净额结算”,删除“相互”这个词,保留“规定的”这个词,删除其前后的方括号;
(e) “Priority”, with the word “person” amended to “claim”;(e) “优先权”,将“人”改为“债权”;
(f) “Secured claim”, with the words after “debtor’s default” deleted;(f) “有担保债权”,删除“债务到期而”之后的短语;
(g) “Secured creditor”, with the text amended to “A creditor holding a secured claim”;(g) “有担保债权人”,将原文改为“持有有担保债权的债权人”;
(h) “Security interest”, with the text amended to “A right in an asset to secure payment or other performance of one or more obligations”;(h) “担保权益”,将原文改为“对资产的权利,籍此保证一笔或多笔债务得以偿付或以其他方式得以履行”;
(i) “Voluntary restructuring negotiations”, with the words “resulting in” replaced with “aiming at”;(i) “自愿重组谈判”,将“导致”一词改为“旨在”;
(j) “Fraudulent transfer” deleted.(j) 删除“欺诈性转让”这个术语。
48. The Commission approved those terms of the glossary set forth in document A/CN.9/WG.V/WP.70 (Part I) and not considered by Working Group V at its thirtieth session, as follows:48. 委员会核准了A/CN.9/WG.V/WP.70号文件第一部分所载术语表中尚未由第五工作组(破产法)第三十届会议最后审定的下列术语:
(a) “Reorganization”, “sale as a going concern” and “suspect period” without amendment;(a) “重组”、“作为经营中企业出售”和“嫌疑期”,未作任何修订;
(b) “Reorganization plan”, with the second and third sentences deleted;(b) “重组计划”,删除第二和第三句;
(c) “Set-off”, with the second sentence deleted and “(balanced)” in the first sentence replaced with words along the lines of “applied in satisfaction or reduction”;(c) “抵消”,删除第二句,将第一句中的“(轧平)”大致改为“用于清偿或减少”;
(d) “Stay of proceedings”, with the word “perfection” replaced with “actions to make a security interest effective against third parties”;(d) “中止程序”,将“完善”这个词改为“使担保权益对抗第三方的行动”;
(e) “Unsecured creditor” replaced with “a creditor without a security interest” and the remainder of the definition deleted;(e) 将“无担保债权人”改为“无担保权益的债权人”并删除该定义的其余部分;及
and
(f) “Retention of title”, “secured debt”, “state-owned enterprise”, “superpriority” and “unsecured debt” deleted.(f) 删除“保留所有权”、“附担保债务”、“国有企业”、“超级优先权”和“无担保债务”等术语。
49. The Commission approved terms (a)-(i), (k)-(w) and (y) without amendment.49. 委员会核准了术语(a)至(i)项、(k)至(w)项和(y)项,而未作任何修正。
Term (j), “encumbered asset”, was amended by deleting the word “obtained”; term (x), “post-commencement claim”, was amended by deleting the words “from an act or omission occurring”; term (z), “protection of value”, was amended to make the language conform to recommendation 39 and to refer to assets owned by third parties by replacing “a security interest” with “encumbered assets and assets owned by third parties”.(j)项的术语“设押资产”中将“取得”改为“享有”;对术语(x)“程序启动后的债权”进行修订,删除“作为或不作为所导致的”这一短语;对(z)项的术语“保护价值”进行了修订,使其用语与建议39保持一致并提及第三方拥有的资产,为此删除了“担保权益”的提法,改为“设押资产和第三方拥有的资产的价值”。
50. The Commission approved the following additions and revisions to the commentary of the draft guide to reflect the Commission’s deliberations and decisions on the recommendations:50. 委员会核准了为反映委员会就各项建议进行的审议和作出的决定而对指南草案的评注作出的下列增补和修订:
(a) In part one of the draft guide, the addition of two notes on interpretation to the effect that:(a) 在指南草案第一部分中,就解释问题增添大致如下的说明:
(i) References to “person” should be interpreted as including both natural and legal persons, unless otherwise indicated;㈠ 除非另有指明,对“人”的提及应解释为既包括自然人也包括法人;以及
(ii) “Creditors” should be interpreted as including both the creditors in the forum State and foreign creditors, unless otherwise specified;㈡ 除非另有规定,“债权人”应解释为既包括法院地国中的债权人也包括外国债权人;
(b) Addition of the term “court” to the glossary with the following definition: “A judicial or other authority competent to control or supervise an insolvency proceeding”;(b) 在术语表中增添“法院”一词的定义如下:“有控制或监督破产程序的权限的司法当局或其他当局”;
(c) Addition of a footnote to paragraph 41, cross-referencing paragraph 621 on treatment of subordination agreements in insolvency;(c) 第41段增添一个脚注,比照提及关于破产中退让协议的处理的第621段;
(d) Revision of the first sentence of paragraph 58 to reflect amendments to part two, chapter IV, section B, on expedited reorganization proceedings along the following lines: “Since reaching agreement through voluntary restructuring negotiations is often impeded by the ability of creditors to take individual enforcement action and by the need for unanimous consent to alter the terms of some existing classes of debt, some countries have adopted different types of mechanism, including ‘pre-insolvency’ or ‘pre-packaged’ procedures, to address those situations. The expedited reorganization proceedings discussed in the Guide to address those situations follow the procedure of reorganization, but on an expedited basis, combining voluntary restructuring negotiations, where a plan is negotiated and agreed by a majority of affected creditors, with reorganization proceedings commenced under the insolvency law to obtain court confirmation of the plan in order to bind dissenting creditors”;(d) 为了反映对关于快速重组程序的第二部分第四章B节所作的修正,对第58段第一句作大意如下的修订:“鉴于债权人采取个别强制执行行动的能力以及更改某些现有类别债务的条款需要得到一致同意往往会阻碍通过自愿重组谈判达成协议,因此有些国家采用了不同类型的机制处理这些情形,其中包括“破产前”或“事先组合成套的”程序。指南中讨论的旨在处理这些情形的快速重组程序遵循重组程序,但是以快速方式进行,在大多数受影响的债权人谈判和商定了一项计划的情况下,将自愿重组谈判与根据破产法的规定启动的重组程序相结合,以获得法院对该计划的认可,从而使其对持异议的债权人具有约束力”;
(e) In part two of the draft guide, revision of the fourth sentence of paragraph 116 concerning use of presumptions of insolvency, along the following lines: “There is a practical need for a creditor to be able to present proof, such as by way of a presumption, which establishes the insolvency of a debtor, without placing an unreasonably heavy burden of proof on creditors.(e) 在指南草案第二部分中,对关于使用破产推定的第116段第四句作大致如下的修订:“实际需要债权人能够出示证据,例如以推定的方式出示证据,从而确立债务人的破产,同时又不给债权人规定过重的举证责任。
A presumption that the debtor is generally unable to pay its debts might be established where, for example, the debtor fails to pay one or more of its debts, and the unpaid debt is undisputed, that is, not subject to a legitimate dispute or offset.例如,在债务人未能偿付一项或多项债务并且该未偿债务是无可争辩的债务情况下,即不能对其提出合法争辩或加以抵消,债务人基本上无力偿债的推定即可成立。
Where the law provides for such a presumption, there is a corresponding need for the insolvency law to provide the debtor with an opportunity to rebut the presumption and specify the grounds upon which it might be rebutted.如果法律对这种推定作出规定,破产法就有必要相应地为债务人提供反驳这种推定的机会并具体规定可据以反驳这种推定的理由。
These grounds might include the debtor showing that it was able to pay its debts; that the debt was subject to a legitimate dispute; or any other negation of the elements by which a creditor established the presumption.这些理由可包括:债务人表明其能够偿付其债务;可对该债务提出合法争辩;或对债权人作出其推定所依据的要素的任何其他否定。
Notifying a debtor of an application for commencement of insolvency proceedings by the creditor will allow the debtor the opportunity to dispute a creditor’s claims regarding its financial position (see also chapter I.B.5 (e))”;债权人申请启动破产程序后将此事通知债务人,将使债务人有机会对债权人有关其财务状况的指称提出争辩(另见第一章B.5(e)节)”;
(f) Addition of text at the end of paragraph 142 to address notification of foreign creditors, along the following lines: “A further consideration is whether to expressly address notification of foreign creditors in any notice requirements included in an insolvency law, to ensure the equal treatment of domestic and foreign creditors, and to take account of the international trend of abolishing discrimination based upon the nationality of the creditor. The factors to be balanced in determining that issue are discussed below in the context of the manner of giving notice”;(f) 为了处理通知外国债权人问题,在第142段结尾处添加大意如下的案文:“进一步的考虑是,是否要在破产法所载任何通知要求中明确论及通知外国债权人问题,以确保本国债权人和外国债权人的平等待遇,并考虑到废止基于债权人国籍的区别对待做法的国际趋势。下文结合发出通知的方式讨论在确定这一问题方面需加以平衡的各种因素”;
(g) Addition of text at the end of paragraph 143, to reflect changes to recommendation 13, paragraph (b), along the following lines: “The debtor would have various courses of action open to it, including consenting to the application, disputing the applicant’s claim as to its financial position, and requesting the commencement of different proceedings (e.g. where the application is for liquidation, requesting commencement of reorganization). The debtor may also have jurisdictional or procedural defences to a creditor application”;(g) 为了反映对建议13(b)项所作的更改,在第143段结尾处增加大意如下的案文:“债务人可自行选择采取各种行动方针,其中包括同意该申请、对申请人关于其财务状况的指称提出争辩以及请求启动不同的程序(例如在申请清算的情况下,请求启动重组)。债务人还可对债权人的申请提出管辖抗辩或程序抗辩”;
(h) Addition of a sentence at the end of paragraph 148 along the following lines: “For example, where an application to commence insolvency proceedings might otherwise be denied, some insolvency laws provide an exception for individuals with insufficient assets to fund the administration of proceedings, enabling the affairs of that debtor to be investigated to determine if there are assets that can be recovered and whether or not the debtor should receive a discharge”;(h) 在第148段结尾处添加大意如下的一句:“例如,对于启动破产程序的申请可能会在其他方面被否决的情形下,有些破产法为其资产不足以支付管理程序费的个人规定了一种例外情形,从而能够对该债务人的事务进行调查,以确定是否存在着可加以追回的资产以及是否应给该债务人解除债务”;
(i) Addition after the first sentence of paragraph 170 of text along the following lines: “Where the debtor is a natural person, some jurisdictions exclude torts of a personal nature such as defamation, injury to credit or reputation, or personal bodily injury. The debtor remains personally entitled to sue and to retain what is recovered on the basis that the incentive to vindicate wrongdoing otherwise would be diminished, but the debtor not be entitled to sue for any loss of earnings associated with those causes of action”;(i) 在第170段第一句之后添加大意如下的案文:“如果债务人是自然人,有些法域将诽谤、损害信用或信誉或人身伤害等个人性质的侵权行为排除在外,债务人个人仍然有权提起诉讼和保留所追回的资产,前提是以其他方式报复不法行为的动机将减弱,但是,对于与这些有关的任何收益损失,债权人无权提起诉讼”;
(j) Addition after paragraph 181 of text along the following lines, based on paragraph 13 of document A/CN.9/550, to address the issue of making a security interest effective against a third party: “With respect to actions to make a security interest effective against third parties, some laws dealing with security interests provide specified time periods within which those security interests should be made effective against third parties, whether by registration, publicity or some other means.(j) 为了处理担保权益对抗第三方的问题,根据A/CN.9/550号文件第13段在第181段之后添加大意如下的案文:“关于使担保权益对第三方具有对抗效力的行动,一些关于担保权益的法律规定了具体的时限,在此时限内,应通过登记、公示或某些其他方式使这些担保权益对第三方具有对抗效力。
Where the law of a State includes such time periods, the insolvency law may recognize them, permitting security interests to be made effective against the debtor and third parties after commencement of insolvency proceedings, but within the specified time period.如果一国的法律包括了这种时限,破产法可以对其加以确认,允许在破产程序启动后在一定期限内使担保权益对债务人具有效力并对第三方具有对抗效力。
Where the law does not include such time periods, the stay applicable on commencement of insolvency proceedings would operate to prevent the security interest from being made effective.如果法律并未包括这种时限,在破产程序启动时适用的中止将发挥作用,防止担保权益产生效力。
The question of whether such an act in insolvency would make the security interest effective against third parties should be distinguished from the question of whether or not such acts should be permitted.关于发生破产时这种行为是否将使担保权益对第三方具有对抗效力的问题,应当同是否允许此类行为的问题加以区分。
The effect in insolvency will depend upon the act that is required to make the interest effective.在破产中的效力将取决于使这种权益具有效力所需的行为。
Where, for example, effectiveness requires registration, it might be permitted to occur after commencement, but where it involves, for example, the secured creditor taking possession of an asset, a different view might be taken, as such an action would reduce the assets available for the estate”;例如,如果要求通过登记取得效力,就可以允许在程序启动后产生效力,但是如果产生效力涉及有担保债权人占有资产,就会有不同的看法,因为这种占有行动会减少破产财产可使用的资产”;
(k) Addition of a sentence at the end of paragraph 196 to reflect changes to recommendation 33, along the following lines: “Provisional measures would also terminate when an application for commencement is denied or the order for provisional measures is successfully challenged”;(k) 在第196段结尾处添加内容大致如下的一句,以反映对建议33所作的修改:“启动申请被驳回或临时措施令受到成功质疑时,临时措施也可终止”;
(l) Deletion of the words “such as the date of commencement, with provision for ongoing review” at the end of the second sentence of paragraph 213 and the addition of text to address valuation of assets, along the following lines: “having regard to the purpose for which the valuation is required.
In some cases assets may have been valued by the parties before commencement of the proceedings and that valuation may still be valid at commencement.
There may be a need for an overall valuation shortly after commencement for the purpose of registering all assets and liabilities and preparing a net balance of the debtor’s position, so that the insolvency representative will have some idea of the value of the estate. Assets, in particular encumbered assets, may need to be valued in the course of proceedings to determine the value of the secured claim (and any related unsecured claim) and issues of protection. Assets may also need to be valued in support of the disposition of segments of the business or of specific assets other than in the ordinary course of business, and at confirmation to satisfy applicable requirements. A related issue is the cost of valuation and the party that should bear that cost” and deletion of the last sentence of paragraph 213;(l) 在第213段第二句结尾处,删除“启动日期等…,同时规定进行不间断的审查”,添加内容大致如下的案文,以处理资产估值问题:“同时顾及要求进行估值的目的。在某些情形下,当事人可能会在程序启动前对资产进行估值,此类估值在程序启动时可能仍然有效。为了对所有资产和负债进行登记,编写债务人财务状况净余额报表,在启动后不久就可能有必要进行全面估值,从而使破产代表对资产的价值有所了解。在破产程序进行过程中有必要对资产,特别是设押资产进行估值,以确定附担保债权(和任何相关的无担保债权)的价值及保全问题。为了支持在企业的正常经营过程之外处分部分企业或特定资产,也有必要对资产进行估值,并应经过确认以满足有关的要求。与此相关的问题是估值的费用和应负担该费用的当事人”,删除第213段的最后一句;
(m) Addition after the first sentence of paragraph 225, to reflect changes to recommendations 41 and 117, paragraph (b), of a sentence along the following lines: “Where a creditor committee is formed and the insolvency law provides for creditors to be consulted on the sale of assets outside the ordinary course of business, a requirement to notify creditors of any proposed sale might be satisfied by notifying the creditor committee, in order to minimize costs and avoid any delay associated with notifying all creditors”;(m) 在第225段第一句之后添加内容大致如下的一句,以反映对建议41和117(b)项所作的修改:“如果要成立债权人委员会并且破产法规定在企业正常经营过程以外变卖资产必须同债权人进行磋商,可使用通知债权人委员会的方式满足将任何拟议的变卖通知债权人的要求,目的是尽量降低费用,避免因通知所有债权人的问题出现任何延迟”;
(n) To reflect the substance of recommendation 65, the addition of a sentence before the last sentence of paragraph 276, along the following lines: “An insolvency law should clearly address those circumstances in which the debtor is required to cure a default in order for the contract to be continued”;(n) 为反映建议65的实质内容,在第276段最后一句之前添加一句,其内容大致如下:“破产法应明确述及债务人为使合同得以延续而须补救违约的那些情形”;
(o) To reflect changes to recommendation 66, addition of a sentence along the following lines, after the second sentence of paragraph 278: “Where a contract continues to be performed prior to a determination to continue or reject that contract, the costs of continued performance arising under the contract should be payable as an administrative expense” and, at the end of the paragraph, a further sentence along the following lines: “If the insolvency representative uses third party-owned assets that are in the possession of the debtor subject to contract, the costs under the contract of continued performance of the contract should be payable as an administrative expense, and the third party should be protected against diminution of the value of those assets, to the extent that that is not covered by the contract”;(o) 为反映对建议66所作的修改,在第278段第二句之后添加内容大致如下的一句:“如果在决定延续或否决合同之前该合同继续得到履行,根据该合同产生的继续履约费用应作为破产财产管理费偿付”,在该段结尾再添加内容大致如下的一句:“如果破产代表使用由债务人根据合同加以占有的第三方拥有的资产,根据该合同继续履约所产生的费用应作为破产财产管理费偿付,并应对第三方给予保护,以防止这些资产的价值缩减,但条件是这不在合同涵盖的范围以内”;
(p) Addition, in paragraph 314, of an example to explain that the reference to “potential creditors” is to parties that were not creditors at the time the avoidable transaction took place, but who were about to become creditors, such as where the debtor was negotiating new lending and transferred assets to avoid their becoming subject to a security interest;(p) 在第314段中添加一则实例,以解释,“潜在债权人”是指在可撤销交易发生时尚不是债权人但将要成为债权人的当事人,例如在债务人谈判新的贷款和转移资产以避免此类资产受制于担保权益的情况下有可能成为债权人的当事人;
(q) Deletion, from the first sentence of paragraph 316, of the words from “and generally” to the end of the sentence, to reflect the changes adopted with respect to recommendation 73;(q) 删除第316段第一句中从“一般要求”至该句结尾处的词句,以反映就建议73所通过的修改意见;
(r) Addition of a sentence at the end of paragraph 341 on timing of commencement of avoidance, along the following lines: “Whichever approach is adopted, it is desirable that the time period be relatively short, as in the examples noted above, to avoid uncertainty and ensure that the insolvency proceedings proceed expeditiously”;(r) 在第341段结尾处添加关于启动撤销程序时限的一句,其内容大致如下:“不管采取哪种做法,正如上文实例所示,时限宜相对较短,以避免出现不确定的情形,并确保破产程序的迅速进行”;
(s) Addition of the following words at the end of the first sentence of paragraph 343 to reflect the “ordinary course” defence in recommendation 82: “and, for example, was a transaction in the ordinary course of business”;(s) 在第343段第一句“可撤销交易”之后添加以下词语以反映建议82中“正常经营过程”这一抗辩理由:“而是举例来说正常经营过程中的交易”;
(t) Addition, in the first sentence of paragraph 387, of the words “concerning the debtor” to reflect changes to recommendation 96, as well as a reference to “professional secrets or privileged or otherwise confidential information”;(t) 在第387段第一句“资料”这个词之前添加“有关债务人的”的词句,以反映对建议96所作的修改,并增列“专业机密或保密资料或其他方面的机密资料”的提法;
(u) Revision of the opening words of paragraph 408 (xv), to reflect the revision of recommendation 104, along the following lines: “continuing operation and management of the business”;(u) 对第408(xv)段开头处的词语进行修订,以反映对建议104所作的修订,其写法大致如下:“企业的继续经营和管理”;
(v) Addition of a sentence at the end of paragraph 451, to reflect the discussion on recommendation 112, along the following lines: “Where the insolvency law provides for such a meeting to be convened, it is desirable that it also specify the matters to be discussed and resolved at that meeting”;(v) 在第451段结尾处添加内容大致如下的一句,以反映有关建议112的讨论情况:“如果破产法规定将召集此类会议,则破产法还宜载明此种会议拟讨论和解决的问题”;
(w) Addition before the last sentence of paragraph 466, to align it with recommendations 117, paragraph (b) and 41 and paragraph 225, of text along the following lines: “The creditor committee may also have a role with respect to receiving notice on behalf of creditors of certain issues of interest to the creditors it represents. For example, where the insolvency law provides that creditors should be consulted on the sale of assets outside the ordinary course of business, notice of any such proposed sale may be provided through the creditor committee to save time, minimize costs and facilitate consultation between the committee and the creditors it represents”;(w) 在第466段最后一句之前添加内容大致如下的案文,以使该段与建议117(b)项和41及第225段保持一致:“债权人委员会在代表债权人接收与它所代表的债权人有关的某些问题的通知上也可发挥作用。举例来说,如果破产法规定在企业正常经营过程以外变卖资产应同债权人进行磋商,可通过债权人委员会提供有关任何此类拟议变卖的通知,以节省时间,尽量降低费用,为委员会和委员会所代表的债权人之间进行磋商提供便利”;
(x) To reflect the changes made to recommendation 129, the addition of the words “a summary of the plan” and “non-financial information that might have an impact on the future performance of the debtor, such as the availability of a new patent” to the second sentence of paragraph 505;(x) 为了体现对建议129所作的改动,在第505段第二句添加“计划概述”和“可能对债务人未来绩效产生影响的非财务信息,例如可否获得新的专利”;
(y) Revision of the second and third sentences of paragraph 547 along the following lines: “As already discussed, this approach may not resolve the financial difficulties of the debtor, depending upon the state of implementation of the plan when it fails, and could lead to a race for assets that the commencement of collective proceedings was intended to avoid. There may be situations, however, where the appropriate course of action is to permit the court to close proceedings and allow parties in interest to exercise their rights at law. An example might be where the remaining assets are secured and there will be no distribution to unsecured creditors. In some circumstances and depending upon the state of implementation of the plan, a compromise approach may be to allow ...”(y) 对第547段第二和第三句作大意如下的修订:“正如已经讨论过的那样,这种做法或许并不能解决债务人的财务困难,这要取决于计划失败时的执行情况,同时,这种做法还会导致竞相争夺资产,有违启动集体程序的初衷。然而,在某些情况下,适当的行动方针是允许法院结束程序,使各利益方可以行使其法定权利。这方面的一个例子或许是,剩余资产获得担保,将不对无担保债权人进行分配。在一些情况下,同时根据计划的执行情况,一种折衷的办法可以是允许……”;
;
(z) Revision of paragraph 557 to align it with the changes made to recommendations 146 and 146A, along the following lines: “It is desirable that expedited reorganization proceedings be available on the application of a debtor that is not yet eligible to commence proceedings under the general reorganization provisions of an insolvency law, but is likely to be generally unable to pay its debts in the future as they mature. Including provisions in an insolvency law that permit such debtors to commence expedited proceedings recognizes the need to address financial difficulty at an early stage and allows advantage to be taken of a voluntary restructuring agreement that the majority of affected creditors has approved. Commencing expedited proceedings will ensure the protection of dissenting creditors under the insolvency law. Jurisdictional requirements relevant to applications for insolvency proceedings generally would also apply”;(z) 对第557段作大意如下的修订,以使其与建议146和146A所作变动保持一致:“按照破产法一般重组规定不符合启动程序条件,但很可能在今后债务到期时基本上无力偿付其债务的债务人,应可申请快速重组程序。在破产法中纳入允许此类债务人启动快速程序的规定,承认了需要在早期阶段解决财务困难,有助于利用大多数受影响债权人已同意的自愿重组协议的好处。启动快速程序将确保按照破产法保护持异议债权人。与申请破产程序有关的司法要求一般也将适用”;
(aa) Addition at the beginning of paragraph 558 of a sentence along the following lines: “An insolvency law may also provide that expedited proceedings are available to a debtor that is already eligible to commence full proceedings under the insolvency law (see chapter I.B).” ;(aa) 在第558段开始处添加大意如下的一句:“破产法还可规定凡符合条件可根据破产法启动全部程序的债务人可申请快速程序(见第一章B节)”;
(bb) With respect to paragraphs 559-565, the addition (as appropriate) of text to address the content of recommendations 149, paragraph (b), 150, 152 and 153 concerning the effects of commencement of expedited proceedings and the circumstances where it will be appropriate for the court to broaden the classes of creditors affected; notification of commencement of expedited proceedings; the effect of a confirmed plan; and the failure of implementation.(bb) 关于第559-565段,(适当)增加案文,以处理建议149(b)项、150、152和153的内容,这些建议分别涉及启动快速程序的影响和在哪些情况下可由法院扩大受影响债权人的类别;启动快速程序的通知;经确认计划的效力;执行的失败。有关案文将参考第四章中论及同一些问题的材料;
That text would draw upon the material addressing the same issues in chapter IV;
(cc) To address the issue of non-monetary claims, addition after the second sentence of paragraph 571 of a sentence along the following lines: “An insolvency law may also need to address the treatment of claims of a non-monetary nature, such as a right to performance of an obligation (e.g. delivery of specific property) or a non-recourse loan”;(cc) 为了处理非货币债权问题,在第571段第二句之后添加大意如下的一句:“破产法或许还需要解决如何处理非货币性质的债权,例如对要求履行某种义务(交付特定财产等)的权利或无追索权贷款”;
(dd) In paragraph 594, to reflect the revision of recommendation 162, addition of the following text: (i) “or require special treatment, such as where they are claims by related persons” at the end of the second sentence; (ii) “or subjected to special treatment” in the third sentence; and (iii) “and facilitate review by the court where the insolvency representative’s decision is contested” at the end of the fourth sentence;(dd) 在第594段,为了体现对建议162所作的修订,添加下列案文:㈠在第二句结尾处,“或要求作出专门处理,例如在债权是相关人员提出时”;㈡在第三句中,“或进行专门处理”;㈢在第四句结尾处,“,并在破产代表的决定受到质疑时,便利法院的复审”;
(ee) Revision of the third last sentence of paragraph 669 to reflect the changes made to recommendations 145A and 153, along the following lines: “Where the reorganization plan is not fully implemented, the insolvency law may provide that where there is a substantial breach of the plan by the debtor or the plan cannot be implemented, the insolvency law may provide for the court to convert the proceedings to liquidation, in order to avoid leaving the debtor in an insolvent state with its financial situation unresolved. Alternatively, the insolvency law may provide for dismissal of the proceedings in appropriate circumstances. These might include where the remaining assets are secured and there will be no distribution to unsecured creditors. Whether conversion constitutes a formal conclusion of the reorganization proceedings ...”(ee) 对第669段倒数第三句作大意如下的修订,以反映对建议145A和153所作的改动:“对于重组计划未完全执行的情形,破产法可规定,在债务人实质上违反了该计划或该计划无法执行时,法院可将程序改为清算,以避免债务人陷入破产状态,财务困境得不到解决。或者,破产法可以规定在适当情况下撤销程序。这些情形可能包括剩余资产获得担保,将不对无担保债权人进行分配。转换程序是否构成重组程序的正式终结……”;
;
(ff) Addition of a sentence on applicable law in insolvency proceedings at the end of paragraph 652, “Labour contracts”, contained in document A/CN.9/WG.V/WP.72, along the following lines: “In some States, such protections will apply only to individual employment contracts, while in others, these provisions also will apply to collective bargaining agreements”.(ff) 在A/CN.9/WG.V/WP.72号文件所载第652段 “劳动合同”末尾增加关于破产程序适用法律的一句:“在一些国家,此类保护仅适用于具体就业合同,在另一些国家,其也适用于集体谈判协议”。
51. The Commission approved the inclusion of the UNCITRAL Model Law on Cross-Border Insolvency and the Guide to Enactment as an annex to the draft guide and noted that, since paragraphs 18, 19, 31, 72, 74 and 75 of the Guide to Enactment referred to the Convention on Insolvency Proceedings of the European Union, it would need to be amended to take account of the entry into force of Council regulation (EC) No. 1346/2000 of 29 May 2000 on insolvency proceedings.51. 委员会批准将《贸易法委员会跨国界破产示范法》(1997年)作为附件纳入指南草案,并指出,既然《示范法颁布指南》第18、19、31、72、74和75段提到了《欧洲联盟破产程序公约》,则有必要对该示范法进行修正,以考虑到欧洲理事会2000年5月29日关于破产程序的第1349/2000号条例的生效。
52. The Commission also noted that references to the discussion of relevant issues in the commentary were to be added to the recommendation section and that relevant recommendations might also be referred to at appropriate points in the commentary.52. 委员会还指出,在评论意见中提及的有关问题的讨论情况应增列入建议部分,并可在评论意见的适当之处提到有关建议。
53. The Commission requested the Secretariat to edit and finalize the text of the guide in the light of the Commission’s deliberations, undertaking any further revisions required to align the commentary of the draft with the recommendations.53. 委员会请秘书处根据委员会的审议情况编辑并最后审定指南的案文,并作出任何必要的进一步修订,使指南草案中的评论意见与各项建议保持一致。
54. The Commission heard a statement from the observer for the International Monetary Fund (IMF), recognizing the broad participation of the international community and the resulting high quality of the draft text and looking forward to it serving as a key tool in informing effective insolvency law internationally.54. 委员会听取了国际货币基金组织(货币基金组织)观察员所作的说明,承认国际社会的广泛参与使文本草案的质量很高,并期待着指南成为在国际上宣传有效的破产法的一个主要工具。
Reference was made to the agreement reached between IMF, the World Bank and UNCITRAL on the basis of the proposal set forth in paragraph 21 of document A/CN.9/551.有与会者提及货币基金组织、世界银行和贸易法委员会在A/CN.9/551号文件第21段中所述提议的基础上而达成的一致意见。
It was noted that in the next few months the World Bank would finalize the revision of its Principles and Guidelines for Effective Insolvency and Creditor Rights Systems, that those Principles would then be combined with the draft guide and some additional work on institutional and regulatory frameworks to form a unified document, which would be presented to the Executive Boards of IMF and the Bank in October 2004.有与会者注意到,世界银行在最近几个月内将最后审定其《关于有效的破产和债权人权利制度的原则和准则》;这些原则随后将与指南草案以及体制和管理框架方面的一些其他工作结合起来,最后形成一份统一的文件于2004年10月提交给货币基金组织和世行的执行理事会。
Endorsement by the Boards would allow the unified standard to be used in the assessment of countries’ insolvency systems.获得这两个理事会的赞同后,就可以在评估各国的破产制度方面使用统一的标准。
55. At its 792nd meeting, on 25 June, the Commission adopted the following decision:55. 委员会在其2004年6月25日第792次会议上通过了下述决定:
The United Nations Commission on International Trade Law,联合国国际贸易法委员会,
Recognizing the importance to all countries of strong insolvency regimes,认识到强有力的破产制度对所有国家的重要性,
Recognizing also that it is demonstrably in the public interest to have an effective and efficient insolvency regime as a means of encouraging economic development and investment,认识到建立有成效和有效率的破产制度,使之成为鼓励经济发展和投资的手段,显然符合公众利益,
Noting the growing realization that reorganization regimes are critical to corporate and economic recovery, the development of entrepreneurial activity, the preservation of employment and the availability of venture capital,注意到人们越来越意识到重组制度对于公司和经济的复苏、开展创业活动、维持就业和获得风险资本都至关重要,
Noting also that the effectiveness of reorganization regimes affects the availability of finance in the capital market, with comparative analysis of such systems becoming both common and essential for lending purposes, which affects countries at all levels of economic development,还注意到重组制度能否有效发挥作用,影响到能否在资本市场获得融资,为贷款目的对这种制度进行比较分析正变得越来越普遍和重要,与所有经济发展水平的国家都具有关系,
Noting further the importance of social policy issues, including the interests of stakeholders in an insolvent debtor, to the design of an insolvency regime,进一步注意到社会政策问题,包括利害攸关者在破产债务人中的利益,对设计破产制度的重要性,
Recognizing that solutions to the key economic, legal and legislative issues raised by insolvency that are negotiated internationally through a process involving a broad range of constituents will be useful both to States that do not have an effective and efficient insolvency regime and to States that are undertaking a process of review and modernization of their insolvency regimes,认识到通过广泛多方面参与的国际谈判过程就破产引起的关键经济、法律和立法问题达成的解决办法,对于未建立有成效和有效率的破产制度的国家以及正在审查本国破产制度并使之现代化的国家都是有益的,
Noting that the UNCITRAL legislative guide on insolvency law (to which the UNCITRAL Model Law on Cross-Border Insolvency2 and Guide to Enactment3 are annexed) and an UNCITRAL legislative guide on secured transactions, which is currently under preparation in Working Group VI (Security Interests), together will form key elements of a modern commercial law framework,注意到(附件中载有《贸易法委员会跨国界破产示范法》和《颁布指南》的)的《贸易法委员会破产法立法指南》连同第六工作组(担保权益)目前正在拟订的贸易法委员会担保交易立法指南将构成现代商法框架的关键要素,
Recalling the mandate given to Working Group V (Insolvency Law) to prepare a comprehensive statement of key objectives and core features for a strong insolvency, debtor-creditor regime, including out-of-court restructuring, and a legislative guide containing flexible approaches to the implementation of such objectives and features, including a discussion of the alternative approaches possible and the benefits and detriments of such approaches and recommendations,回顾交给第五工作组(破产法)的任务是就一项强有力的破产、债务人/债权人制度编拟一份综合文件,列出关键目标及核心特点,包括考虑庭外改组办法,并编拟一项立法指南,列出落实这些目标和特点的各种灵活办法,包括讨论各种可能的备选办法和这些办法和建议的利弊,
Appreciating the participation in and support for the development of the legislative guide of international intergovernmental and non-governmental organizations active in the field of insolvency law reform,赞赏在破产法改革领域积极进行工作的国际政府间组织和非政府组织对立法指南拟订工作的参与和支持,
Noting with approval the collaboration and commitment to consistent resolution of common issues between Working Group V (Insolvency Law) and Working Group VI (Security Interests) on the treatment of secured creditors and security interests in insolvency,赞许地注意到第五工作组(破产法)和第六工作组(担保权益)之间在破产程序中对有担保债权人和担保权益的处理方面进行的协作和对连贯地解决这方面的共同问题所作的承诺,
Confirming its intention to continue coordination and cooperation with the World Bank and the International Monetary Fund to facilitate the development of a unified international standard in the area of insolvency law,确认意图继续与世界银行和国际货币基金组织开展协作与合作,以促进在破产法领域拟定一项统一的国际标准,
Expressing its appreciation to Working Group V (Insolvency Law) for its work in developing the draft UNCITRAL legislative guide on insolvency law,表示赞赏第五工作组(破产法)在编写《贸易法委员会破产法立法指南》草案方面所进行的工作,
1. Adopts the UNCITRAL Legislative Guide on Insolvency Law, consisting of the text contained in the working paper of Working Group V (Insolvency), as amended in the note by the Secretariat of 30 April 2004, with the amendments adopted by the Commission at its thirty-seventh session, and of the UNCITRAL Model Law on Cross-Border Insolvency2 and Guide to Enactment3 annexed thereto, and authorizes the Secretariat to edit and finalize the text of the Legislative Guide in the light of the deliberations of the Commission;1. 通过由A/CN.9/WG.V/WP.70第一和第二部分案文构成的《贸易法委员会破产法立法指南》,该指南包括第五工作组(破产法)工作文件中所载案文,案文经秘书处2004年4月30日说明修正,所作修正已获得委员会第三十七届会议通过,并包括作为附件的贸易法委员会《跨国界破产示范法》2和《颁布指南》3,授权秘书处根据委员会的审议情况对指南进行编辑和最后定稿;
2. Requests the Secretary-General to transmit the text of the Legislative Guide to Governments and other interested bodies;2. 请秘书长将立法指南案文分发给各国政府和其他有关机构;
3. Recommends that all States utilize the Legislative Guide to assess the economic efficiency of their insolvency law regimes and give favourable consideration to the Legislative Guide when revising or adopting legislation relevant to insolvency, and invites States that have used the Legislative Guide to advise the Commission accordingly;3. 建议各国利用立法指南来评估本国破产法制度的经济效益并在修订或通过与破产相关的法规时对立法指南给予积极的考虑,同时请已采用立法指南的国家相应通报委员会;
4. Recommends also that all States continue to consider implementation of the UNCITRAL Model Law on Cross-Border Insolvency.4. 建议各国继续考虑实施《贸易法委员会跨国界破产示范法》。
IV. Arbitration: progress report of Working Group II四. 仲裁:第二工作组进度报告
56. At its thirty-second session, in 1999, the Commission, having exchanged views on its future work in the area of international commercial arbitration, decided to entrust that work to one of its working groups.56. 委员会1999年第三十二届会议在就国际商事仲裁领域未来的工作交流了意见之后,决定将这一工作委托给其一个工作组。
It agreed that the priority items for consideration by the working group should be, inter alia, requirement of written form for the arbitration agreement and enforceability of interim measures of protection.委员会一致认为,供工作组审议的优先项目应尤其是仲裁协议的书面形式要求和临时保全措施的可执行性。
The working group, subsequently named Working Group II (Arbitration and Conciliation), commenced its work pursuant to that mandate at its thirty-second session (Vienna, 20-31 March 2000).工作组随后命名为第二工作组(仲裁和调解),在其第三十二届会议(2000年3月20日至31日,维也纳)上根据这一任务授权开始了其工作。
57. At its thirty-seventh session, the Commission took note of the progress made by the Working Group at its thirty-ninth (Vienna, 10-14 November 2003) and fortieth (New York, 23-27 February 2004) sessions (see A/CN.9/545 and A/CN.9/547, respectively).57. 委员会在第三十七届会议上注意到工作组在其第三十九届会议(2003年11月10日至14日,维也纳)和第四十届会议(2004年2月23日至27日,纽约)所取得的进展(分别见A/CN.9/545和A/CN.9/547)。
The Commission noted that the Working Group had continued its discussions on a draft text for a revision of article 17 of the UNCITRAL Model Law on International Commercial Arbitration on the power of an arbitral tribunal to grant interim measures of protection and on a draft provision on the recognition and enforcement of interim measures of protection issued by an arbitral tribunal (for insertion as a new article of the Model Law, tentatively numbered 17 bis).委员会注意到,工作组继续讨论了《贸易法委员会国际商事仲裁示范法》中关于仲裁庭命令采取临时保全措施的权力的第17条的一份修订案文草案,及一份关于承认和执行仲裁庭发布的临时保全措施的条款草案(供添加为《示范法》的新的一条,暂定为第17条之二)。
The Commission commended the Working Group for the progress made so far regarding the issue of interim measures of protection.委员会赞扬工作组迄今为止在临时保全措施问题上取得的进展。
58.
The Commission was informed that the Working Group intended to complete its review of draft articles 17 and 17 bis of the Model Law, including finalizing its position on how to deal with ex parte interim measures in the Model Law, at its next two sessions (see para. 136 (b) below).58. 委员会获悉,工作组有意在其下两届会议上完成对《示范法》第17条和第17条之二草案的修订,其中包括最后确定其在《示范法》中在如何处理单方面临时措施问题上的立场(见下文第136(b)段)。
The view was reiterated that the issue of ex parte interim measures, which the Commission agreed remained an important issue and a point of controversy, should not delay progress on the revision of the Model Law.对以下观点作了重申,即委员会一致认为单方面临时措施是一个重大问题,且仍存在争议,但这一问题不应拖延在修订《示范法》方面的进展。
It was observed, in response, that the Working Group had not spent much time discussing the issue at its recent sessions.针对这一观点,有与会者指出,工作组在其最近几届会议上并未多拿出点时间来讨论这一问题。
The hope was expressed that consensus could be reached on the issue by the Working Group at its next session, based on a revised draft to be prepared by the Secretariat.与会者希望工作组下届会议能够在拟由秘书处拟订的修订草案基础上就这一问题达成协商一致意见。
59.
The Commission also noted that the Working Group had yet to complete its work in relation to draft article 17 ter dealing with interim measures issued by state courts in support of arbitration and in relation to the “writing requirement” contained in article 7, paragraph 2, of the Model Law and article II, paragraph 2, of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (the “New York Convention”).59. 委员会还注意到,工作组有待于完成其在涉及国家法院为支持仲裁而发布的临时措施的第17条之三草案方面的工作以及在《示范法》第7条第2款和《承认及执行外国仲裁裁决公约》(《纽约公约》)第二条第2款中载列的“书面要求”方面的工作。
With respect to the New York Convention, the Commission was informed that the Working Group had been invited to consider whether the Convention should be included in a list of international instruments to which the draft convention dealing with certain issues of electronic contracting currently being prepared by Working Group IV (Electronic Commerce) would apply (see also paras. 67-72).关于《纽约公约》,委员会获悉,已请工作组审议是否应将该公约列入一份国际文书一览表中,第四工作组(电子商务)目前正在编拟的涉及电子合同某些问题的公约草案将适用于这些国际文书(另见第67-72段)。
60. With respect to future work in the field of settlement of commercial disputes, the Commission recalled that, at its previous session, it had heard proposals that arbitrability as well as a revision of the UNCITRAL Arbitration Rules and the UNCITRAL Notes on Organizing Arbitral Proceedings could be considered for inclusion in future work, once the existing projects currently being considered by the Working Group had been completed.60. 关于解决商事纠纷领域未来的工作,委员会回顾其前一届会议已听取了有关建议,即一旦工作组目前正在审议的现有项目得以完成,即可考虑将可仲裁性问题以及对《贸易法委员会仲裁规则》和《贸易法委员会关于安排仲裁程序的说明》的修订工作纳入未来的工作。
While the Commission was generally of the view that it would be premature to make a final decision at its current session regarding possible future work in the field of settlement of commercial disputes, some support was expressed for the Working Group to consider the possibility of undertaking a limited revision of the UNCITRAL Arbitration Rules.虽然委员会总的认为在其本届会议上就解决商事纠纷领域未来可能开展的工作作出最后决定时机尚不成熟,但是有与会者表示在某种程度上支持工作组考虑对《贸易法委员会仲裁规则》作限定范围的修订的可能性。
In that respect, the view was expressed that particular caution should be exercised in determining the scope of such a revision, which should be precisely defined in order to avoid undermining the stability of the reference offered by the UNCITRAL Arbitration Rules over the almost 30 years of existence of that instrument.就此,有与会者认为,在确定这种修订的范围方面应特别谨慎,应将修订范围准确地界定为避免损害由《贸易法委员会仲裁规则》在其问世以来的将近三十年里提供的参考的稳定性。
The view was also expressed that preliminary consideration of a possible revision of the Rules should not prevent the Working Group from envisaging other possible topics for future work, such as the use of arbitration in corporate governance or the use of online dispute resolution mechanisms.还据认为,对《贸易法委员会仲裁规则》的可能修订所作的初步考虑不应妨碍工作组为未来工作设想其他可能的议题,例如在公司管理中使用仲裁或使用网上纠纷解决机制等议题。
61. The Commission noted that 2005 would mark the twentieth anniversary of adoption of the Model Law and agreed that conferences to celebrate that anniversary should be organized in different regions to provide a forum for considering the experience of courts and arbitral tribunals with domestic enactments of the Model Law, as well as for considering possible future work in the field of settlement of commercial disputes.61. 委员会注意到,2005年将是《示范法》通过二十周年,因此商定,应在各个区域举办庆祝这一周年的会议,以提供一个论坛,用于审议法院和仲裁庭在本国颁布《示范法》方面的经验以及审议解决商事纠纷领域未来可能开展的工作。
V. Transport law: progress report of Working Group III五. 运输法:第三工作组进展报告
62. 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.62. 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),要求其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 instrument on transport law should cover door-to-door transport operations, subject to further consideration of the scope of application of the draft instrument after the Working Group had considered the substantive provisions of the draft instrument and come to a more complete understanding of their functioning in a door-to-door context.委员会2002年第三十五届会议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,但认为,在工作组审议了文书草案的实质性条文并能更全面地认识到这些条文对门到门业务所起的作用之后,尚需对文书草案的适用范围作进一步审议。
At its thirty-sixth session, in 2003, the Commission noted the complexities involved in the preparation of the draft instrument and authorized the Working Group, on an exceptional basis, to hold its twelfth and thirteenth sessions on the basis of two-week sessions, with the agreement that the length of the Working Group’s sessions would be reassessed at the thirty-seventh session of the Commission, in 2004.在2003年第三十六届会议上,委员会注意到编写文书草案工作的复杂性,批准第三工作组作为例外将其第十二届和第十三届会议的会期定为两周,并商定在2004年委员会第三十七届会议上重新评估工作组届会的会期。
For the consideration of the matter at the Commission’s thirty-seventh session, see paragraphs 132 and 133 below.委员会第三十七届会议对该问题的审议情况, 见下文第132和133段。
63. At its thirty-seventh session, the Commission took note of the reports of the twelfth (Vienna, 6-17 October 2003) and thirteenth (New York, 3-14 May 2004) sessions of the Working Group (A/CN.9/544 and A/CN.9/552, respectively).63. 在第三十七届会议上,委员会注意到工作组第十二届会议(2003年10月6日至17日,维也纳)和第十三届会议(2004年5月3日至14日,纽约)的报告(分别为A/CN.9/544和A/CN.9/552)。
64. The Commission noted with appreciation that the Working Group had continued its consideration of the draft instrument on the carriage of goods [wholly or partly] [by sea].64. 委员会赞赏地注意到,工作组继续审议了[全程或部分途程][海上]货物运输文书草案。
The Commission reaffirmed its appreciation of the magnitude of the project and of the complexities involved in the preparation of the draft instrument, given in particular the controversial issues that remained open for discussion and that required the striking of a delicate balance between the various conflicting interests at stake.委员会重申其理解这一项目规模之大和编写文书草案工作的复杂性,特别是考虑到仍然有待讨论的需要在各相互冲突的利益方之间达成微妙平衡的一些有争议的问题。
65. The Commission was informed that, at its twelfth and thirteenth sessions, the Working Group had proceeded with its second reading of the draft instrument and had made progress regarding a number of difficult issues, such as those regarding the scope of application of the instrument and of key liability provisions.65. 委员会获悉,工作组在第十二届和第十三届会议上开始了对文书草案的二读,并在一些诸如涉及文书的适用范围和关键性赔偿责任条款等难点问题上取得了进展。
The Commission was also informed that, with a view to accelerating the exchange of views, the formulation of proposals and the emergence of consensus in preparation for a third and final reading of the draft instrument, a number of delegations participating in the thirteenth session of the Working Group had taken the initiative of creating an informal consultation group for the continuation of discussion between sessions of the Group.委员会还获悉,为加快交流意见、编写提案和形成共识,以便为文书草案的三读和最后一读做好准备,一些参加工作组第十三届会议的代表团主动成立了非正式协商小组,以便在工作组闭会期间继续讨论。
66. The Commission expressed its support for the efforts of the Working Group to accelerate the progress of its work on the complex project.66. 委员会对工作组加快在这一复杂项目上的工作进展的努力表示支持。
With respect to a possible time frame for completion of the draft instrument, a number of speakers were of the view that it would be desirable to complete a third reading of the draft text with a view to its adoption by the Commission in 2006.关于完成文书草案的可能的时间表,一些发言者认为,完成草案的三读是可取的,以便委员会在2006年通过文书。
However, it was also felt by a number of speakers that achieving a high degree of quality should be a paramount objective in the preparation of the draft instrument.然而,另有一些发言者认为,实现文书的高质量应当是拟订文书草案的首要目标。
That objective should not be compromised by hasty deliberation of the important issues that remained to be solved.这一目标不应当由于草率审议仍有待解决的重要问题而受到损害。
After discussion, the Commission agreed that 2006 would be a desirable goal for completion of the project, but that the issue of establishing a deadline for such completion should be revisited at its thirty-eighth session, in 2005.经过讨论,委员会同意,将2006年作为完成这一项目的可取的目标,但委员会也一致认为,设定一个完成文书的最后期限的问题应当在2005年第三十八届会议上再次审议。
(For the next two sessions of the Working Group, see paragraph 136 (c) below.)(关于工作组下两届会议,见下文第136(c)段。
VI. Electronic commerce: progress report of Working Group IV六. 电子商务:第四工作组的进度报告
67. At its thirty-fourth session, in 2001, the Commission endorsed a set of recommendations for future work that had been made by Working Group IV (Electronic Commerce) at its thirty-eighth session (New York, 12-23 March 2001).67. 委员会2001年第三十四届会议同意第四工作组(电子商务)第三十八届会议(2001年3月12日至23日,纽约)提出的关于今后工作的一系列建议。
68. At its thirty-seventh session, the Commission took note of the reports of the Working Group on the work of its forty-second (Vienna, 17-21 November 2003) and forty-third (New York, 15-19 March 2004) sessions (A/CN.9/546 and A/CN.9/548, respectively).68. 委员会第三十七届会议注意到工作组第四十二届(2003年11月17日至21日,维也纳)和第四十三届会议(2004年3月15日至19日,纽约)的工作报告(分别为A/CN.9/546和A/CN.9/548)。
69. The Commission noted with appreciation that the Working Group had continued its consideration of a preliminary draft convention dealing with selected issues of electronic contracting and reaffirmed its belief that an international instrument dealing with certain issues of electronic contracting would be a useful contribution that would facilitate the use of modern means of communication in cross-border commercial transactions.69. 委员会赞赏地注意到,工作组已继续审议了处理有关电子订约选定问题的公约初稿并重申其相信,一项处理电子订约某些问题的国际文书将是一项有益的贡献,将促进在跨国界商业交易中利用现代通信手段。
70. The Commission was informed that the Working Group had undertaken a review of articles 8-15 of the revised text of the preliminary draft convention at its forty-second session.70. 委员会得悉,工作组第四十二届会议已对该公约初稿修订案文的第8-15条进行了审查。
The Commission noted that the Working Group, at its forty-third session, had reviewed articles X and Y as well as articles 1-4 of the draft convention and that the Working Group had held a general discussion on draft articles 5-7 bis.委员会注意到,工作组第四十三届会议已经审议了该公约草案的第X和Y条以及第1-第4条,工作组就第5条-第7条之二的草案进行了一般性讨论。
71. The Commission expressed its support for the efforts by the Working Group to incorporate in the draft convention provisions aimed at removing possible legal obstacles to electronic commerce that might arise under existing international trade-related instruments.71. 委员会表示支持工作组努力在该公约草案中列入有关条款,以便消除根据现行有关贸易的国际文书会产生的对电子商务可能的法律障碍。
The Commission was informed that the Working Group had agreed that it should endeavour to complete its work on the draft convention with a view to enabling its review and approval by the Commission in 2005.委员会得悉,工作组一致认为其应努力完成其有关公约草案的工作,以便使公约草案能在2005年由委员会进行审查和核准。
The Commission expressed its appreciation for the Working Group’s endeavours and agreed that a timely completion of the Group’s deliberations on the draft convention should be treated as a matter of importance, which would justify the approval of a forty-fourth session of the Working Group of two weeks’ duration, to be held in October 2004 (see paras. 134 and 136 (d) below).委员会对工作组的努力表示赞赏并一致认为,对于及时完成工作组就公约草案所进行的审议应作为一项重要事项来处理,这证明有理由核准工作组于2004年10月举行为期两周的第四十四届会议(另见下文第134和136(d)段)。
72. Views were exchanged regarding possible future work in the field of electronic commerce after completion of the current project.72. 会议就现有项目完成后在电子商务领域今后可能进行的工作交换了意见。
While it was generally agreed that no decision could be made in that respect at that stage, the Commission took note of various suggestions.虽然会上普遍一致同意,在目前阶段不能在这方面作出任何决定,但是委员会注意到所提出的各种建议。
One suggestion was that the Working Group should consider the preparation of guidelines to assist States with the establishment of a comprehensive legal framework to facilitate the use of electronic commerce.一项建议认为,工作组应考虑编拟有关的指导原则,以协助各国建立综合性的立法框架以促进利用电子商务。
Possible elements of such guidelines could include data protection issues, intellectual property rights and electronic fraud issues.这种指导原则的可能内容包括数据保护问题、知识产权以及电子欺诈问题。
Another suggestion was that the Working Group might re-examine the issue of negotiability and transfer of rights in tangible or intangible goods by electronic means.另一项建议认为,工作组可以重新审查对有形或无形商品的权利是否可通过电子手段进行流通和转让的问题。
Yet another suggestion was that the Working Group might need to consider its future role in the light of the conclusions to be reached in 2005 by the World Summit on the Information Society, convened by the United Nations and the International Telecommunication Union.还有一项建议认为,工作组可能需要根据联合国和国际电信联盟(国际电联)举行的信息社会问题世界首脑会议在2005年作出的结论审议其今后的作用。
One more suggestion noted was that the Working Group could serve as an instrument of cooperation with other working groups and with bodies outside UNCITRAL.另一项建议表明,该工作组可作为与其他工作组和贸易法委员会之外机构进行合作的手段。
The Secretariat was requested to consider preparing any relevant study to facilitate discussion by the Commission at its thirty-eighth session, in 2005, on the issue of future work in the area of electronic commerce.要求秘书处考虑编制任何有关的研究报告,以促进委员会2005年第三十八届会议就电子商务领域今后工作问题所进行的讨论。
VII. Security interests: progress report of Working Group VI七. 担保权益:第六工作组的进度报告
73. At its thirty-fourth session, in 2001, the Commission entrusted Working Group VI (Security Interests) with the task of developing an efficient legal regime for security rights in goods involved in a commercial activity, including inventory.73. 贸易法委员会在其2001年第三十四届会议上赋予第六工作组(担保权益)拟订一项关于商业活动中所涉包括库存品在内的货物上的担保权益有效法律制度的任务。
At its thirty-fifth session, in 2002, the Commission confirmed the mandate given to the Working Group and that the mandate should be interpreted widely to ensure an appropriately flexible work product, which should take the form of a legislative guide.委员会在其2002年第三十五届会议上确认了赋予工作组的任务授权,并确认应当对这项任务授权作广义解释,以确保取得适当灵活的工作成果,该工作成果应采取立法指南的形式。
At its thirty-sixth session, in 2003, the Commission confirmed that it was up to the Working Group to consider the exact scope of its work and, in particular, whether trade receivables, letters of credit, deposit accounts and intellectual and industrial property rights should be covered in the draft legislative guide.委员会在其2003年第三十六届会议上确认应当由工作组考虑其确切的工作范围,特别是立法指南草案是否应涵盖贸易应收款、信用证、存款账户和知识产权及工业产权。
74. At its thirty-seventh session, the Commission had before it the reports of Working Group VI on the work of its fourth (Vienna, 8-12 September 2003) and fifth (New York, 22-25 March 2004) sessions (A/CN.9/543 and A/CN.9/549, respectively).74. 委员会在第三十七届会议上收到了第六工作组关于其第四(2003年9月8日至12日,维也纳)和第五届(2004年3月22日至25日,纽约)会议工作情况的报告(分别为A/CN.9/543和A/CN.9/549)。
The Commission also had before it the report of the second joint session of Working Groups V (Insolvency Law) and VI (A/CN.9/550).委员会还收到了第五工作组(破产法)和第六工作组第二届联席会议的报告(A/CN.9/550)。
75.
The Commission commended Working Group VI for having completed the second reading of the draft guide on secured transactions, including the introduction and the chapters on key objectives (A/CN.9/WG.VI/WP.6/Add.1) and creation (A/CN.9/WG.VI/WP.6/Add.3), as well as the third reading of the chapter on publicity (A/CN.9/WG.VI/WP.9/Add.2), priority (A/CN.9/WG.VI/WP.9/Add.3), insolvency (A/CN.9/WG.VI/WP.9/Add.6) and conflict of laws (A/CN.9/WG.VI/WP.9/Add.7).75. 委员会赞扬第六工作组完成了对担保交易指南草案包括导言和关于关键目标(A/CN.9/WG.VI/WP.6/Add.1)和设定(A/CN.9/WG.VI/WP.6/Add.3)各章的二读以及关于公示(A/CN.9/WG.VI/WP.9/Add.2)、优先权(A/CN.9/WG.VI/WP.9/ Add.3)、破产(A/CN.9/WG.VI/WP.9/Add.6)和法律冲突(A/CN.9/WG.VI/WP.9/Add.7)各章的三读。
In that connection, the Commission noted with interest that, at its fifth session, the Working Group had agreed that publicity should be a precondition of the effectiveness of security rights against third parties and of ensuring the protection of third parties (A/CN.9/549, para. 35).委员会就此注意到,工作组在其第五届会议上一致认为,公示应成为担保权对抗第三方效力并确保对第三方进行保护的先决条件(A/CN.9/549,第35段)。
The Commission also expressed its appreciation to Working Groups V and VI for the progress made during their second joint session, at which they had considered pending issues of common interest (see A/CN.9/WG.V/WP.71).委员会还赞赏第五和第六工作组在其第二届联席会议上取得的进展,该届会议审议了共同关心的悬而未决问题(A/CN.9/WG.V/WP.71)。
76. In addition, the Commission noted with appreciation the progress made by the Working Group in the coordination of its work on conflict of laws with the Hague Conference on Private International Law and in particular the plans for a joint meeting of experts.76. 此外,委员会赞赏地注意到工作组在与海牙国际私法会议协调其法律冲突的工作方面,特别是在规划联合专家会议方面取得的进展。
The Commission also commended the efforts to coordinate with the International Institute for the Unification of Private Law (Unidroit), which was preparing a text on security interests in securities.委员会还称赞在与国际统一私法协会(统法会)和世界银行进行协调上所作出的努力,统法会正在编写证券担保权益法规。
The Commission also expressed its appreciation for the coordination with the World Bank, which was preparing principles and guidelines for effective insolvency and creditor rights systems, and in particular for the agreement that the World Bank text would form with the draft legislative guide on secured transactions a single international standard.委员会还赞赏与世界银行的协调,世界银行则正在编写《关于有效的破产和债权人权利制度的原则和准则》,特别称赞就世界银行条文将与担保权益立法指南草案一并构成一项统一的国际标准而达成的共识。
77. Moreover, the Commission noted with interest that a preliminary consolidated set of recommendations might be ready by early 2005.77. 而且,委员会有兴趣地注意到,一整套初步建议可能将于2005年初准备就绪。
The Commission also welcomed the preparation of additional chapters on various types of asset, such as negotiable instruments, deposit accounts, letters of credit and intellectual property rights.委员会还对编写关于流通票据、存款账户、信用证和知识产权等各类资产的其他章节表示欢迎。
In that connection, while the importance of those types of asset was generally recognized, it was stated that including them in the draft guide should not be at the expense of slowing down work with respect to the core assets within the scope of the draft guide (i.e. goods, including inventory, and trade receivables).有与会者就此指出,尽管人们普遍承认这类资产的重要性,但将其列入指南草案不应以放慢有关指南草案范围内核心资产(即包括库存品在内的货物和贸易应收款)的工作速度作为代价。
78. After discussion, the Commission confirmed the mandate given to Working Group VI at the thirty-fourth session of the Commission and subsequently confirmed at its thirty-fifth and thirty-sixth sessions (see para. 73 above).78. 经讨论后,委员会确认了在其第三十四届会议上向第六工作组下达并经其第三十五和三十六届会议确认的任务授权(见上文第73段)委员会还确认其第三十六届会议的决定,即应当由工作组考虑其确切的工作范围。
The Commission also requested the Working Group to expedite its work so as to submit the draft guide to the Commission for final adoption as soon as possible and, it is hoped, in 2006.委员会还请工作组加快其工作速度,以便尽快并且希望是在2006年能将指南草案提交委员会最后通过。
(For the next two sessions of the Working Group, see para.  136 (f) below.)(关于工作组下两届会议,见下文第136(f)段)。
VIII. Possible future work in the area of public procurement八. 公共采购领域未来的工作
79. At its thirty-sixth session, in 2003, the Commission considered a note by the Secretariat on possible future work in the area of public procurement (A/CN.9/539 and Add.1).79. 委员会在其2003年第三十六届会议上审议了秘书处关于公共采购领域未来的工作的说明(A/CN.9/539和Add.1)。
It was observed that the UNCITRAL Model Law on Procurement of Goods, Construction and Services contained procedures aimed at achieving competition, transparency, fairness, economy and efficiency in the procurement process and that it had become an important international benchmark in procurement law reform.委员会认识到,1994年《贸易法委员会货物、工程和服务采购示范法》载有一些旨在实现采购过程中的竞争、透明度、公平、经济和效率的程序,而且已成为采购法改革方面的一项重要的国际尺度。
Nevertheless, it was also observed that, despite the widely recognized value of the Model Law, novel issues and practices had arisen since its adoption that might justify an effort to adjust its text.但是,尽管示范法的价值已获得广泛承认,人们还是认识到自其通过以来已产生了种种新问题和新做法,因此可能需要对其案文进行调整。
At that session, strong support was expressed for the inclusion of procurement law in the Commission’s work programme and the Commission requested the Secretariat to prepare detailed studies on the issues identified in the note by the Secretariat (A/CN.9/539 and Add.1) and to formulate proposals on how to address them with a view to their consideration by a working group that might be convened in the third quarter of 2004.在该届会议上,与会者强烈支持将采购法纳入委员会的工作方案,而且委员会还请秘书处就其说明(A/CN.9/539和Add.1)中查明的问题编写详细的研究报告,并就如何处理这些问题提出建议,以便由可能于2004年第三季度召开的工作组会议审议。
80. At its thirty-seventh session, the Commission had before it a note by the Secretariat (A/CN.9/553) submitted pursuant to that request containing a summary of the studies of issues that might merit consideration in a review of the Model Law; those studies had been undertaken by the Secretariat since the thirty-sixth session of the Commission, in consultation with organizations having experience and expertise in the area of public procurement, and focused on issues arising from the increased use of electronic communications in public procurement (A/CN.9/553, paras. 10‑40), as well as possible additional issues (A/CN.9/553, paras. 41-82).80. 委员会在其第三十七届会议上收到了依照该项请求提交的秘书处的说明(A/CN.9/553),其中载有可能值得在审查1994年《贸易法委员会示范法》时加以审议的问题的研究概要;这些研究是秘书处自委员会第三十六届会议以来与在政府采购领域有经验和专门知识的组织协商开展的,重点是那些因政府采购中越来越多地利用电子通信而产生的问题(A/CN.9/553,第10-40段)以及可能出现的其他问题(A/CN.9/553,第41-82段)。
81. The Commission agreed that the Model Law would benefit from being updated to reflect new practices, in particular those resulting from the use of electronic communications in public procurement, and the experience gained in the use of the Model Law as a basis for law reform.81. 委员会一致认为,增订《采购示范法》以反映新的惯例,特别是政府采购中对电子通信的使用而形成的惯例以及在利用示范法作为采购法改革的基础方面所取得的经验,对示范法是大有好处的。
In addition to the legislative treatment of electronic communications in public procurement, the procurement of services and remedies and enforcement were mentioned as examples of issues worthy of consideration.除了政府采购方面电子通信的法律问题外,还提到了服务采购、救济和执行等值得加以审议的问题的例子。
It was also stated that it might be useful to consider simplifying the presentation of the model provisions.与会者还指出,考虑简化示范条款的编排方式可能是有益的。
However, it was pointed out that in updating the Model Law care should be taken not to depart from the basic principles behind it and not to modify the provisions whose usefulness had been proven.但有人指出,在增订示范法时应当谨慎从事,以免背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。
82. The Commission decided to entrust the drafting of proposals for the revision of the Model Law to its Working Group I (Procurement).82. 委员会决定将起草示范法修订建议的工作交给第一工作组(采购)进行。
The Working Group was given a flexible mandate to identify the issues to be addressed in its considerations and the Secretariat was requested to present to the Working Group appropriate notes further elaborating upon issues discussed in the note by the Secretariat (A/CN.9/553) in order to facilitate the considerations of the Group.已请工作组在完成任务时灵活从事,以便确定拟在其审议中予以处理的问题,并请秘书处向工作组提交适当的说明,进一步阐明秘书处说明(A/CN.9/553)中所讨论的问题,以便为工作组的审议提供便利。
(For the next two sessions of the Working Group, see para. 136 (a) below.)(关于工作组下两届会议,见下文第136(a)段。
IX. Monitoring implementation of the New York Convention九. 监测《纽约公约》的执行情况
83. The Commission recalled that, at its twenty-eighth session, in 1995, it had approved a project, undertaken jointly with Committee D of the International Bar Association, aimed at monitoring the legislative implementation of the New York Convention.83. 委员会回顾,其曾在1995年第二十八届会议上,核可与国际律师协会D委员会共同执行一个项目,旨在监测《纽约公约》的立法执行情况。
The Secretariat presented an oral progress report to the Commission, indicating that, as at 8 April 2004, there were 134 States parties to the New York Convention and that the Secretariat had received 75 replies to the questionnaire.秘书处向委员会口头提出了一份进度报告,说明截至2004年4月8日止,纽约公约共有缔约国134个,而且秘书处已收到75份对调查表的答复。
84. The Commission expressed its appreciation to those States parties which had provided replies since its thirty-sixth session and called on the remaining States parties to send their replies.84. 委员会对那些自第三十六届会议以来提出了答复的缔约国表示赞赏,并号召其余缔约国提交答复。
Subject to the availability of necessary resources, the Secretariat was invited to make every effort to produce a preliminary analysis of the replies received for consideration by the Commission at its thirty-eighth session, in 2005.在有必要资源可资利用的情况下,请秘书处尽最大努力编写对所收到的答复的初步分析,以供委员会2005年第三十八届会议审议。
X. Case law on UNCITRAL texts and digests of case law on the United Nations Sales Convention and other uniform texts十. 关于贸易法委员会法规的判例法和关于《联合国采购公约》和其他统一法规的判例法摘要
A. Case lawA. 判例法
85. The Commission noted with appreciation the continuing work under the system established for the collection and dissemination of case law on UNCITRAL texts (CLOUT), consisting of the preparation of abstracts of court decisions and arbitral awards relating to UNCITRAL texts, compilation of the full texts of those decisions and awards, as well as of the preparation of research aids and analytical tools, such as thesauri and indices.85. 委员会满意地注意到收集和传播贸易法委员会法规判例法(法规判例法)的系统继续进行的工作,包括编写关于贸易法委员会法规的法院判决和仲裁裁决的摘要,汇编这些判决和裁决的完整文本,以及制定研究辅助手段和分析手段,例如词汇汇编和索引。
As at 22 June 2004, 42 issues of CLOUT had been prepared for publication, dealing with 489 cases, relating mainly to the United Nations Convention on Contracts for the International Sale of Goods and the UNCITRAL Model Law on International Commercial Arbitration.8到2004年6月22日为止,已经编写了42期法规判例法供发表,涉及到489个案件,主要是关于《联合国国际货物销售合同公约》和《贸易法委员会国际商事仲裁示范法》8。
86. The Commission expressed its appreciation to the national correspondents for their work in selecting decisions and preparing case abstracts.86. 委员会对国家通信员收集判决和编写案例摘要的工作表示感谢。
It was widely felt that CLOUT continued to be an important aspect of the overall training and technical assistance information activities undertaken by UNCITRAL.人们普遍感到,法规判例法仍然是贸易法委员会就信息活动开展全面培训和技术援助的一个重要方面。
It was also generally felt that the wide distribution of CLOUT in both paper and electronic formats, in all the six official languages of the United Nations, promoted the uniform interpretation and application of UNCITRAL texts by facilitating access to decisions and awards from other jurisdictions.人们还普遍认为,使用纸面和电子形式,以联合国全部六种正式语文广泛传播法规判例法便利了接触其他法域的判决和裁决,推动了统一解释和适用贸易法委员会的法规。
B. Digests of case law on the United Nations Sales Convention and other uniform textsB. 《联合国销售公约》和其他统一法规判例法摘要
87. The Commission recalled that, at its thirty-fourth session, in 2001, it had requested the Secretariat to prepare, in cooperation with experts and national correspondents, a text in the form of an analytic digest of court and arbitral decisions identifying trends in the interpretation of the United Nations Sales Convention.87. 委员会回顾其在2001年第三十四届会议上,请秘书处与专家和国家通讯员合作,以法院判决和仲裁裁决的分析摘要的形式,编写一份案文,查明解释《联合国销售公约》的趋势。
The Commission was informed that a digest of case law on the Convention had been prepared pursuant to the Commission’s guidelines for preparing such a digest.27 Taking note of the introduction to the digest of case law on the Sales Convention (A/CN.9/562), the Commission expressed its appreciation to experts and national correspondents for their contribution to the preparation of the digest.委员会得知,按照委员会编写此一摘要的方针,已编写了该公约判例法摘要。 27委员会注意到《联合国销售公约》判例法摘要的导言(A/CN/9/562),表示感谢专家和国际通讯员为编写摘要作出了贡献。
The Commission was further informed that, pursuant to its request at its thirty-fifth session, in 2002, the sample drafts of a digest of case law on articles 3, 14 and 34 of the Model Law had been prepared by the Secretariat (A/CN.9/563 and Add.1).委员会还得知,按照其在2002年第三十五届会议上提出的请求,秘书处编写了关于《仲裁示范法》第3、14和34条判例法摘要的草案样本(A/CN.9/563和Add.1)。
88.
There was general support in the Commission for both digests, to be published in the six official languages of the United Nations, which would assist in the dissemination of information on the two texts and further promote their adoption as well as their uniform interpretation.88. 委员会对这两份摘要表示了普遍的支持。 这两份将以联合国六种正式语文发表的摘要,将推动传播关于两项案文的信息,进一步促进其获得采纳和统一解释。
In addition, it was said that the digests would help judges, arbitrators, practitioners, academics and government officials use the case law relating to UNCITRAL texts more efficiently.此外,与会者表示,摘要将有助于法官、仲裁员、从业者、学术人员和政府官员更有效地利用贸易法委员会法规的判例法。
In addition, the existence of the digests would eliminate any objection or reservation that those UNCITRAL texts failed to enhance legal certainty because of the lack of sufficient experience with their application.此外,摘要的产生将消除任何有关异议或保留,即认为这些贸易法委员会法规由于缺乏足够的适用经验,未能加强法律确定性。
Thus, the digest of case law on the Sales Convention would help to reduce the practice of excluding its applicability in contracts where it would otherwise apply.因此,关于《销售公约》判例法的摘要将有助于减少在合同中本该适用该公约时排斥其适用可能的做法。
89. In the context of the discussion of the sample drafts of a digest of case law on the Model Law, it was stated that digests of case law should not constitute an independent authority indicating the interpretation to be given to individual provisions, but should rather serve as a reference tool summarizing and pointing to the decisions that had been included in the digests.89. 在讨论《示范法》案例法摘要样本草案的过程中,人们表示,案例法不应构成说明如何解释具体条款的独立依据,而应成为一个参考工具,概述并指明在摘要中纳入的有关判决。
In addition, it was reiterated that the digests should present court decisions and arbitral awards in an objective way without any criticism or endorsement.此外,与会者重申,摘要应以客观方式载列法院判决和仲裁裁决,不应作出任何批评或赞成的表示。
It was also stated that the digest of case law on the Model Law should avoid paraphrasing and thus possibly misrepresenting provisions of the Model Law.与会者还表示,《示范法》判例法摘要应避免意译进而可能曲解《示范法》条款。
90. The Commission noted that 2005 would mark the twenty-fifth anniversary of the adoption of the Sales Convention and the twentieth anniversary of the adoption of the Model Law and noted with satisfaction that conferences would be organized in different regions of the world in order to celebrate those anniversaries and to consider the experience of courts and arbitral tribunals with those texts (see also para. 61 above).90. 委员会指出,2005年是《销售公约》通过25周年和《示范法》通过20周年纪念,并满意地注意到,将在世界不同地区组织会议,举行纪念活动,并审议法院和仲裁法庭在这些法规方面的经验(另见上文第61段)。
States were invited to consider organizing such conferences.已请各国考虑组织此类会议。
91. Bearing in mind those comments, the Commission expressed its satisfaction with the publication of the digest of case law on the Sales Convention and requested the Secretariat to complete the preparation of a digest of case law relating to the Model Law.91. 委员会考虑到这些评论意见,表示满意《销售公约》判例法摘要的发表,并请秘书处继续完成《示范法》判例法摘要的编写工作。
XI. Training and technical assistance: follow-up to the in-depth evaluation of work of the Commission’s secretariat concerned with training and technical assistance十一. 培训和技术援助:对委员会秘书处有关培训和技术援助的工作深入评 价的后续行动
92. The Commission had before it a note by the Secretariat (A/CN.9/560) describing the training and technical activities undertaken since its thirty-sixth session and the direction of future activities, in particular in view of the approval by the General Assembly in December 2003 of additional human resources for the secretariat of UNCITRAL (in the form of three Professional officers), which would be devoted in part to implementing its expanded functions as regards training and technical assistance.92. 委员会收到了秘书处的说明(A/CN.9/560),介绍了自委员会第三十六届会议以来所进行的培训和技术援助活动,以及今后活动的方向,特别是鉴于大会于2003年12月为贸易法委员会秘书处核准了额外的人力资源(以三名专业干事的形式),这些人力资源将部分地用于执行其在培训和技术援助方面已经扩大了职司。
The Commission noted that recruitment action was already under way, with two positions having already been filled and the other having been advertised.委员会注意到,已经采取了征聘行动,有两个职位已经得到填补,而另一个职位已经登了广告。
93. The Commission requested the Secretariat to prepare a work programme and timetable for implementation of the expanded technical assistance function.93. 委员会请秘书处就执行已扩大的技术援助职司编制一项工作方案和时间表。
The Commission recommended that the Secretariat identify national and regional needs, in conjunction with national, regional and international organizations, such as the International Trade Centre, and permanent missions to the United Nations; technical legal assistance requirements in the area of international trade law reform; and opportunities for the development of joint programmes, as well as opportunities in existing programmes providing technical legal assistance in that area.委员会建议,秘书处应与各国家、区域和国际组织,例如国际贸易中心,一道确定国家和区域的需要,并且请各常驻联合国代表团查明国际贸易法改革领域的法律技术援助需要,查明制定联合方案的机会以及现有方案提供该领域内法律技术援助的机会。
94. The Commission reiterated its appeal to all States, international organizations and other interested entities to consider making contributions to the Trust Fund for UNCITRAL Symposia, if possible in the form of multi-year contributions, so as to facilitate planning and enable the Secretariat to meet the increasing demands from developing countries and States with economies in transition for training and technical legislative assistance.94. 委员会重申其吁请所有缔约国、国际组织和其他有关实体考虑向贸易法委员会信托基金就贸易法委员会专题讨论会提供捐款,如果有可能的话,以多年捐款的形式,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经济国家对培训和立法技术援助日益增加的需求。
The Commission expressed its appreciation to those States which had contributed to the fund since the thirty-sixth session, namely, France, Greece, Mexico, Singapore and Switzerland.委员会对自从第三十六届会议以来已对该基金捐款的那些国家表示感谢,这些国家有:法国、希腊、墨西哥、新加坡和瑞士。
The Commission also expressed its appreciation to organizations that had contributed to the programme by providing funds or staff or by hosting seminars.委员会还对通过提供经费或工作人员或主办讨论会等办法为该方案作出贡献的各组织表示感谢。
95. 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 are members of the Commission.95. 委员会吁请联合国系统各有关机关、组织、机构和个人对为向委员会成员中的发展中国家提供旅行资助而设立的信托基金提供自愿捐款。
The Commission noted that no contributions to the trust fund for travel assistance had been received since the thirty-sixth session, but noted with appreciation those countries which, since the inception of the fund, had contributed, namely, Austria, Cambodia, Cyprus, Kenya, Mexico and Singapore.委员会注意到,自第三十六届会议以来没有收到对该信托基金就旅行资助提供的任何捐款,但是赞赏地注意到,自从该基金设立以来已经提供捐款的那些国家有奥地利、柬埔寨、塞浦路斯、肯尼亚、墨西哥和新加坡。
96. It was noted that, since the thirty-sixth session of the Commission, seminars and briefing missions had been organized by the Secretariat (see A/CN.9/560, para.  19).96. 委员会注意到,自从委员会第三十六届会议以来,秘书处已经组织了各种研讨会和简况报告会(见A/CN.9/560,第19段)。
In addition, it was noted that members of the Secretariat had participated as speakers at a number of meetings convened by other organizations and also that a number of requests had been turned down for lack of resources.此外,还注意到秘书处的成员作为发言者参加了其他组织举办的一系列会议,并注意到由于缺少资源,谢绝了若干请求。
XII.十二. 贸易法委员会法规的现状和促进
Status and promotion of UNCITRAL legal texts 97. 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.9/561).97. 委员会根据秘书处的一份说明(A/CN.9/561)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。
The Commission noted with pleasure the new actions of States and jurisdictions subsequent to the closure of its last session, on 11 July 2003, regarding the following instruments:委员会欣慰地注意到自其上届会议2003年7月11日闭幕以来有些国家和法域就下列文书采取了新的行动:
(a) Convention on the Limitation Period in the International Sale of Goods (New York, 1974), as amended by the Protocol of 11 April 1980. New action by Paraguay; number of States parties: 18;(a) 经1980年4月11日议定书修正的《国际货物销售时效期限公约》(1974年,纽约)。采取新行动的国家是巴拉圭;缔约国数目:18个;
(b) [Unamended] Convention on the Limitation Period in the International Sale of Goods (New York, 1974). New action by Paraguay; number of States parties: 25;(b) [未经修正的]《国际货物销售时效期限公约》(1974年,纽约)。采取新行动的国家是巴拉圭;缔约国数目:25个;
(c) United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980). New action by the Republic of Korea; number of States parties: 63;(c) 《联合国国际货物销售合同公约》(1980年,维也纳)。采取新行动的国家是大韩民国;缔约国数目:63个;
(d) Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958). New action by Nicaragua; number of States parties: 134;(d) 《承认和执行外国仲裁裁决公约》(1958年,纽约)。采取新行动的国家是尼加拉瓜;缔约国数目:134个;
(e) UNCITRAL Model Law on International Commercial Arbitration (1985). New jurisdictions that have enacted legislation based on the Model Law: Bangladesh, Japan, Spain and Thailand;(e) 《贸易法委员会国际商事仲裁示范法》(1985年)。根据示范法颁布法规的新的法域是:孟加拉国、日本、西班牙和泰国;
(f) UNCITRAL Model Law on Procurement of Goods, Construction and Services (1994). New jurisdictions that have enacted legislation based on the Model Law: Slovakia;(f) 《贸易法委员会货物、工程和服务采购示范法》(1994年)。根据示范法颁布法规的新的法域是:斯洛伐克;
(g) UNCITRAL Model Law on Electronic Commerce (1996). New jurisdictions that had enacted legislation based on the Model Law: Dominican Republic; Mauritius; Panama;(g) 《贸易法委员会电子商务示范法》(1996年)。已根据示范法颁布法规的新的法域是:多米尼加共和国、毛里求斯、巴拿马、南非、开曼群岛(大不列颠及北爱尔兰联合王国海外领地)和美利坚合众国的马萨诸塞州;
South Africa;
the overseas territory of the United Kingdom of Great Britain and Northern Ireland, the Cayman Islands; and, within the United States of America, the State of Massachusetts; (h) UNCITRAL Model Law on Cross-Border Insolvency (1997). New jurisdictions that had enacted legislation based on the Model Law: Poland and Romania;(h) 《贸易法委员会跨国界破产示范法》(1997年)。根据示范法颁布法规的新法域是:波兰和罗马尼亚;
(i) UNCITRAL Model Law on Electronic Signatures (2001). New jurisdictions that had enacted legislation based on the Model Law: Mexico;(i) 《贸易法委员会电子签名示范法》(2001年)。根据示范法颁布法规的新法域是:墨西哥;
(j) UNCITRAL Model Law on International Commercial Conciliation (2002). New jurisdictions that had enacted legislation based on the Model Law: Croatia. The Uniform Mediation Act, which was prepared by the National Conference of Commissioners on Uniform State Laws in the United States and was recommended to the states of the United States, was also based on the Model Law.(j) 《贸易法委员会国际商事调解示范法》(2002年)。根据示范法颁布法规的新法域是:克罗地亚。由美国统一州法律问题全国专员会议编写并推荐给美国各州的《统一调解法》也以示范法为依据。
98. The Commission requested States that had enacted or were about to enact legislation based on a model law prepared by the Commission or that were considering legislative action regarding a convention resulting from the work of the Commission to inform the secretariat of the Commission accordingly.98. 委员会请已经或即将根据委员会拟订的示范法颁法律的国家或正在考虑就委员会所拟订的一项公约采取立法行动的国家向委员会秘书处通报有关情况。
In that connection, the Commission was informed that its secretariat would include copies of national enactments on the UNCITRAL web site, in the original language and, where available, in a translation, even if unofficial, into one or more of the official languages of the United Nations.在这方面,委员会获悉,秘书处将把各国颁布贸易法委员会文书的法规用原语文放在贸易法委员会的网站上,并在可能的情况下将其译成一种或数种联合国的正式语文,即使是非正式的译文。
Making available national enactments of UNCITRAL instruments was said to be useful to other States in their consideration of similar legislative action.据指出,提供颁布贸易法委员会文书的各国的法规对其他国家考虑采取类似立法行动是有益的。
Member States were requested to assist the secretariat in obtaining the necessary authorization to publish legislation on the UNCITRAL web site in cases where specific texts or legislation databases were subject to copyright protection.委员会请各成员国在某些案文或法规数据库须受版权保护的情况下协助秘书处取得在贸易法委员会网站上发表这些法规的必要授权。
99. The Commission noted that, in order to be complete and produce practical results, efforts towards the unification and harmonization of trade law needed to result in the adoption and uniform application by States of texts prepared by the Commission.99. 委员会指出,为了圆满地完成并产生实际结果,为统一和协调贸易法所作出的努力必须促成各国通过并统一地适用贸易法委员会拟订的各项法规。
To achieve that result, the Commission requested its secretariat to increase its efforts aimed at assisting States in considering texts prepared by the Commission for adoption.为取得这一结果,委员会要求其秘书处加强努力,协助各国审议由委员会拟订的各种案文,以便获得通过。
The Commission appealed to the representatives and observers attending the meetings of the Commission and its working groups to contribute, to the extent they deemed appropriate, to facilitating consideration of texts of the Commission by legislative organs of their States.委员会吁请出席委员会及其各工作组会议的代表和观察员在其认为适当的情况下对促进本国立法机关审议委员会的法规作出贡献。
XIII. Relevant General Assembly resolutions十三. 有关的大会决议
A. Resolutions 58/75 and 58/76A. 第58/75号和第58/76号决议
100. The Commission took note with appreciation of General Assembly resolutions 58/75, on the report of the Commission on the work of its thirty‑sixth session, and 58/76, on the Model Legislative Provisions on Privately Financed Infrastructure Projects, both of 9 December 2003.100. 委员会赞赏地注意到大会2003年12月9日关于委员会第三十六届会议工作报告的第58/75号决议和关于《私人融资基础设施项目示范立法条文》的第58/76号决议。
B. Resolution 58/270B. 第58/270号决议
101. The Commission also took note with appreciation of General Assembly resolution 58/270 of 23 December 2003, entitled “Questions relating to the proposed programme budget for the biennium 2004-2005”, in annex III of which the General Assembly decided to approve the following new posts in the Commission’s secretariat to be funded from the regular budget for the biennium 2004-2005: 1 D-2, 1 P-5 and 1 P-2.101. 委员会还赞赏地注意到大会2003年12月23日题为“与2004-2005两年期方案概算有关的问题”的第58/270号决议,在其附件三中,大会决定核准由2004-2005两年期经常预算供资的委员会秘书处下列新员额:一个D-2,一个P-5和一个P-2。
In that connection, the Commission recalled its deliberations at its thirty-fifth and thirty-sixth sessions regarding the strengthening of its secretariat.,在这方面,委员会回顾了分别于2002年和2003年举行的其第三十五届会议和第三十六届会议关于充实其秘书处的审议。
102. The Commission was informed that two new posts had already been filled, one by a lateral transfer from New York, and that the third post was currently being advertised with a view to completing the recruitment process as soon as possible.102. 委员会获悉,两个新的员额已填补,其中一个新的员额是来自纽约的平级调动,第三个员额目前已登出布告,以期尽快完成征聘程序。
As a result of the expansion of the Commission’s secretariat, it had been upgraded from a branch to a division within the Office of Legal Affairs—the International Trade Law Division.由于委员会秘书处的扩大,其在法律事务厅内已由一个处升级为一个司(国际贸易法司)。
The Commission noted that the Division was in a process of restructuring: in particular, two pillars, of which the Commission had been informed at its thirty-sixth session, were being established, one dealing primarily with uniform legislation and the other focusing on technical assistance coordination and external affairs.委员会注意到,该司正在进行重组:委员会第三十六届会议曾获悉,尤其是该司正在建立两大支柱,一个主要处理统一立法问题,另一个主要负责技术援助协调和对外事务。
XIV. Coordination and cooperation: follow-up to the in-depth evaluation of work of the Commission’s secretariat concerned with coordination and cooperation十四. 协调与合作:对深入评价委员会秘书处有关协调与合作的工作采取后续行动
A. Coordination of work in the area of security interestsA. 协调担保权益领域的工作
103. The Commission had before it a note by the Secretariat entitled “Coordination of work: activities of international organizations in the area of security interests” (A/CN.9/565).103. 委员会收到了秘书处的一份说明,标题为“工作协调:国际组织在担保权益领域中的活动”(A/CN.9/565)。
The Commission noted with appreciation the coordination efforts undertaken by its secretariat and agreed that increased efforts were necessary to ensure that comprehensive and consistent advice be given to States by all organizations involved in the area of security interests law.委员会赞赏地注意到秘书处的协调努力,并一致认为必须加紧努力以确保涉足担保权益法领域的各组织向各国提供全面并且前后一致的咨询意见。
104. The Commission noted in particular efforts of the European Commission towards a new community instrument in which the issue of the law applicable to third-party effects of assignments, which had been settled in article 22 of the United Nations Convention on the Assignment of Receivables in International Trade (General Assembly resolution 56/81, annex) by reference to the law of the State in which the assignor was located, would be addressed.104. 委员会尤其注意到欧盟委员会为拟定新的共同体文书所作出的努力,该文书将处理转让对抗第三方效力的法律的适用问题,《联合国国际贸易应收款转让公约》(大会第56/81号决议,附件)第22条则已通过规定参照转让人所在国法律而解决了这一问题。
In that connection, the Commission noted with appreciation that initial contacts between its secretariat and representatives of the European Commission had indicated a willingness to address the matter in a coordinated way that would be consistent with the Assignment Convention.委员会就此赞赏地注意到,其秘书处和欧盟委员会代表所进行的初步接触表明有意愿按照《转让公约》以协调一致的方式述及这一问题。
105.
It was widely felt that the rule in article 22 of the Assignment Convention provided certainty for third parties and thus would most likely increase the availability and reduce the cost of credit and that adoption of a different rule by the European Union would not only have a negative impact on the availability and the cost of credit but would also produce disharmony in trade relationships involving parties located within and outside the European Union, as well as European Union parties where a priority dispute was brought before a court in a non-European Union country.105. 与会者普遍认为,《转让公约》第22条中所载的规则给第三方带来了确定性,并因而很有可能增加信贷供应量,降低信贷成本;欧洲联盟如采用不同的规则不仅会对信贷供应和信贷成本产生消极的影响,而且还会在涉及欧洲联盟内外的当事人以及将优先权争端提交非欧洲联盟国家法院审理的欧洲联盟各当事人的贸易关系中产生不和。
106. A number of States, including States members of the European Union, indicated that they were considering ratifying or acceding to the Assignment Convention and that, as a result, had a great interest in seeing the Union adopt an approach to the issue of the law applicable to third-party effects of assignments that would be consistent with the approach followed in article 22 of the Assignment Convention.106. 包括欧洲联盟成员国在内的一些国家表示,它们正在考虑批准或加入《转让公约》,因此,对确保欧洲联盟就适用于转让对抗第三方效力的适用法律问题所采取的做法与《转让公约》第22条所采取的做法保持一致十分关心。
In the discussion, strong support was expressed for holding a coordination meeting that would involve representatives of the European Commission, UNCITRAL and relevant industry to resolve the matter as soon as possible so as to remove any obstacle to wide adoption of the Assignment Convention.有与会者在讨论中极力支持由欧盟委员会、贸易法委员会和相关业界的代表举行一次协调会议,尽快解决这一问题,以消除普遍采纳《转让公约》所存在的任何障碍。
107. After discussion, the Commission recommended that every effort be made to avoid a future European Union instrument taking a different approach from article 22 of the Assignment Convention and requested the Secretariat to organize a meeting with representatives of the European Commission, Member States of the United Nations and industry with a view to resolving the matter as soon as possible.107. 经过讨论,委员会建议尽一切努力避免欧盟未来的文书采取不同于《转让公约》第22条的做法,并请秘书处组织举行一次与欧盟委员会、联合国会员国和业界代表的会议,以尽快解决这一问题。
B. International colloquium on commercial fraudB. 商业欺诈问题国际讨论会
108. At its thirty-fifth session, the Commission had considered a proposal that the Secretariat prepare a study of fraudulent financial and trade practices in various areas of trade and finance for consideration at a future session of the Commission.108. 委员会在其第三十五届会议上审议了一项提案,该提案要求秘书处编写一份关于贸易和金融的各个领域存在的金融和贸易欺诈性做法的研究报告,供委员会今后一届会议审议。
At that session, the Commission had been informed that fraudulent practices, which were often international in character, had a significant adverse economic impact on world trade and negatively affected legitimate devices used in world trade.委员会在该届会议上了解到,经常具有国际性的欺诈做法对世界贸易产生了严重的经济影响,损害了在世界贸易中使用的合法手段。
It was noted that the incidence of such fraud was growing, in particular since the advent of the Internet had offered additional avenues to the perpetrators.有与会者注意到,尤其是因为互联网的问世给作案人提供了新的途径,此类欺诈的数量有增无减。
109. At its thirty-sixth session, the Commission had considered a note by the Secretariat on possible future work relating to commercial fraud (A/CN.9/540).109. 委员会在其第三十六届会议上审议了秘书处关于今后可能进行的与商业欺诈问题有关的工作的说明(A/CN.9/540)。
The Commission had been informed at that session that one of the major problems in attempting to combat commercial fraud in an effective manner was the difficulty of bringing together the appropriate public and private bodies necessary to do so and support had been expressed for the recommendation made by the Secretariat that an international colloquium be organized to address various aspects of the problem of commercial fraud from the point of view of private law and to permit an exchange of views from various interested parties, including those working in national Governments, intergovernmental organizations and relevant private organizations with a particular interest and expertise in combating commercial fraud.委员会在该届会议上了解到,在努力有效打击商业欺诈方面遇到的主要问题之一是难以使开展这项工作所必需的有关公营机构和私营机构携手合作,有与会者支持秘书处所作的建议,即举办一次国际讨论会,从私法的角度讨论商业欺诈问题的各个方面,使有关各方得以就此交换看法,其中包括那些在本国政府、政府间组织和有关私营组织中工作的对打击商业欺诈问题特别关心并具有这方面专长的人士。
110. At its thirty-seventh session, the Commission had before it a note by the Secretariat containing a report on the Colloquium on International Commercial Fraud (A/CN.9/555), held in Vienna from 14 to 16 April 2004.110. 委员会在第三十七届会议上收到了秘书处的说明,载有关于2004年4月14日至16日在维也纳举行的国际商业欺诈问题讨论会的报告(A/CN.9/555)。
The Commission expressed its appreciation for the note and the suggestions for future work contained in it (A/CN.9/555, paras. 62-71). It heard statements to the effect that the rising incidence of commercial fraud posed a considerable and growing obstacle to the growth of international trade.委员会赞赏地注意到这份说明及其就今后工作提出的建议(A/CN.9/555,第62-71段),听取了各方面的发言,其内容大致为商业欺诈的发生日益严重阻碍了国际贸易的发展。
111. As to the work that might be done in that area in the future, the Commission was in agreement that it would be useful if, wherever appropriate, examples of commercial fraud were to be discussed 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.111. 关于今后在该领域可以开展的工作,委员会一致认为,只要情况允许,就应特别结合委员会正在开展的项目讨论商业欺诈的实例,从而使参与此类项目的各位代表在其审议期间考虑到欺诈问题。
The Secretariat was requested to facilitate such discussions where it seemed appropriate.委员会要求秘书处在适当情况下为此类讨论提供便利。
112. In addition, noting that education and training played a significant part in the prevention of fraud, the Commission noted with interest suggestions according to which the Secretariat should consider preparing, in close consultation with experts, including those who had been involved in the preparation of the Colloquium, lists of common features present in typical fraudulent schemes.112. 此外,由于注意到教育和培训对预防欺诈发挥的重要作用,委员会感兴趣地注意到,有些与会者建议秘书处应考虑与包括参加筹备讨论会的专家在内的专家密切磋商编写一些清单,列出典型欺诈性做法的共同特征。
Such lists, accompanied by comments, could be useful as educational material for participants in international trade and other potential targets of fraudsters to the extent they would help them protect themselves and avoid becoming victims of fraudulent schemes.此类清单加上评注后,即可成为从事国际贸易的人和有可能成为欺诈人的目标其他人的教材,但这些教材必须有助于这些人自我保护,避免成为欺诈做法的受害人。
National and international organizations interested in fighting commercial fraud could be invited to circulate such material among their members, an exercise that could help test and improve those lists.可以请关注打击商业欺诈工作的国内组织和国际组织将此类材料分发给成员,此举有助于对此类清单进行验证和改进。
While it was not proposed that the Commission itself or its intergovernmental working groups be directly involved in that activity, the Secretariat would keep the Commission informed about it.虽然并未建议委员会或其各政府间工作组直接参与这项活动,但秘书处将随时向委员会通报这方面的情况。
C. Implementation of General Assembly resolution 58/75 and the report of the Office of Internal Oversight ServicesC. 大会第58/75号决议和内部监督事务厅报告的执行情况
113. The Commission took note of the provisions of General Assembly resolution 58/75 related to the Commission’s coordination role, and the report of the Office of Internal Oversight Services on the in-depth evaluation of legal affairs, in particular recommendation 13, entitled “Increased coordination with trade law organizations”, which read as follows:113. 委员会注意到大会第58/75号决议有关委员会协调作用的各项条文以及内部监督事务厅关于深入评价法律事务的报告,特别是题为“加强与贸易法组织的协调”的建议13,该项建议的案文如下:
“To enhance coordination in accordance with its basic mandate and ensure a concerted approach to common issues, the International Trade Law Branch (ITLB) should meet annually with key organizations working on trade law issues to share information and workplans.”“为根据它的基本任务加强协调和确保协调解决共同的问题,国际贸易法处应每年同处理贸易法问题的主要组织开会,交流信息和工作计划。”
114. There was general support for the notion that the Commission, as the core legal body in the United Nations system in the field of international trade law, should adopt a more proactive attitude, through its secretariat, in fulfilling the terms of its mandate as regards coordination of activities of international organizations active in the field of international trade law both within and outside the United Nations system.114. 与会者普遍支持下述想法,即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应采取一种更为积极主动的态度,通过其秘书处履行其在协调联合国系统内外活跃于国际贸易法领域各国际组织的活动的任务授权。
It was agreed that such coordination might include the establishment of regular patterns of communication with intergovernmental organizations.与会者一致认为,此类协调可包括同政府间组织建立经常联系方式。
It was also agreed that the Commission should work, where appropriate, with international non-governmental organizations that were formulating rules governing international trade.与会者还认为,委员会应酌情与制订国际贸易规则的国际非政府组织进行合作。
The exercise by the Commission of an increased role in the coordination of the work programme of the various organizations involved might also be envisaged.也可设想加强委员会在协调各有关组织的工作方案方面的作用。
It was widely recognized that fulfilling that part of the Commission’s mandate, which was dependent to a large extent on the availability of the necessary resources, should be facilitated by the recent increase in the staff of its secretariat.鉴于委员会这方面的任务授权主要取决于有无必要的资源,与会者普遍承认,委员会秘书处最近增加人手应有助于委员会履行这方面的任务。
115. As to the practical means of enhancing coordination referred to in recommendation 13, it was generally agreed that the idea of meeting annually with international organizations working on trade law issues should be interpreted in a flexible manner to allow for periodical exchanges of information on a sector-by-sector basis (for example, as regards procurement, online dispute resolution, transport documents, insolvency and secured transactions).115. 关于建议13中加强协调的实际手段,与会者普遍认为,应对处理贸易法问题的各国际组织每年举行会议的构想作灵活的解释,以便能按照各部门的情况(例如,在有关采购、在线争端解决、运输单证、破产和担保交易方面)定期交换信息。
It was also agreed that particular emphasis should be placed on coordination of activities between the Commission and regional organizations.与会者还一致认为,应尤其重视协调委员会与各区域组织之间的活动。
In that respect, it was agreed that the Commission should seek to increase the use of its standards in efforts for the harmonization of trade law at the regional level.关于这一点,与会者一致认为,委员会应设法在区域一级协调贸易法的努力中增加委员会各项标准的使用。
XV.十五. 其他事项
Other business
A. Partnerships between the United Nations and non-state actors, in particular the private sectorA. 联合国与非国家行动方特别是私营部门之间的伙伴关系
116. The Commission had before it a note by the Secretariat on recent developments throughout the United Nations system with respect to partnerships between the United Nations and non-state actors, in particular the private sector, and possible implications of those developments for the Commission’s work (A/CN.9/564).116. 委员会收到了秘书处关于整个联合国系统内在联合国与非国家行动方特别是私营部门之间的伙伴关系方面的最新动态及其对委员会工作可能产生的影响的一份说明(A/CN.9/564)。
The Commission agreed on the importance to the work of the Commission of actively engaging non-state actors, through their direct participation at meetings of the Commission and its intergovernmental working groups, in the work of promoting texts adopted by the Commission and in technical assistance related to UNCITRAL texts.委员会一致认为,积极地让非国家行动方通过直接参加委员会及其政府间工作组的会议参与推广委员会通过的法规和提供与贸易法委员会法规有关的技术援助的工作,对于委员会的工作是有着重要意义的。
117. With respect to public-private partnerships, the Commission heard a statement by a representative of the Global Compact Office of the Secretariat on the origin, goals and objectives of the Global Compact and of its achievements and adherence to date.117. 在公私营部门之间伙伴关系方面,委员会听取了秘书处全球契约办公室代表就全球契约的起源、宗旨和目标及其迄今为止的成就和遵守情况所作的发言。
The key principles, in the areas of human rights, labour standards and the environment, which the Global Compact sought to integrate into business activities to advance good corporate citizenship were set forth in paragraph 6 of the note by the Secretariat (A/CN.9/564) and further information was available on the web site of the Global Compact (www.unglobalcompact.org).全球契约所寻求纳入企业活动以推动良好公司公民行为的在人权、劳工标准和环境等领域的关键原则已列于秘书处说明第6段(A/CN.9/564),进一步的信息可查阅全球契约办公室网站www.unglobalcompact.org。
The Commission noted the relevance of the Global Compact to the work of the Commission and the potential for UNCITRAL texts to advance the goals of the Global Compact.委员会注意到全球契约对于委员会工作的适切性以及贸易法委员会法规推动全球契约目标的可能性。
The Commission recommended that member States and observers make information on the initiative known to private enterprises and business associations, such as chambers of commerce, in their own countries in order to promote wider adherence to and the application of its principles.委员会建议,会员国和观察员应让其本国的私营企业及商会等工商团体了解这一举措,以便促进广泛遵守及适用其各项原则。
B. Willem C. Vis International Commercial Arbitration MootB. Willem C. Vis模拟国际商事仲裁
118. It was noted with appreciation that the Institute of International Commercial Law at Pace University School of Law in White Plains, New York, had organized the Eleventh Willem C. Vis International Commercial Arbitration Moot in Vienna from 2 to 8 April 2004.118. 委员会赞赏地注意到,纽约怀特普莱恩斯佩斯大学法学院国际商法研究所于2004年4月2日至8日在维也纳举办了第十一次Willem C. Vis模拟国际商事仲裁。
As in previous years, the Moot had been co-sponsored by the Commission.与往年一样,该模拟活动由委员会协同主办。
It was noted that legal issues dealt with by the teams of students participating in the Eleventh Moot had been based on the United Nations Sales Convention, the International Arbitration Rules of the Singapore International Arbitration Centre, the UNCITRAL Model Law on International Commercial Arbitration and the New York Convention.委员会注意到,参与第十一次模拟活动的各队学生所辩论的法律问题是以《联合国销售公约》、《新加坡国际仲裁中心国际仲裁规则》、《贸易法委员会国际商事仲裁示范法》及《纽约公约》为基础选编的。
Some 135 teams from law schools in 42 countries had participated in the Eleventh Moot.42个国家的法学院的约135支代表队参加了第十一次模拟活动。
The best team in oral arguments was that of Osgoode Hall of York University, Toronto, Canada.口头辩论的最优秀队伍是加拿大多伦多约克大学奥斯古德厅法学院。
The Commission noted that its secretariat had organized lectures relating to its work during the period in which the Moot had been held.委员会注意到,在模拟活动举办期间,委员会秘书处还同时举办了与委员会工作有关的讲座。
It was widely felt that the annual Moot, with its broad international participation, presented an excellent opportunity to disseminate information about uniform law texts and for teaching international trade law.与会者普遍认为,年度模拟活动及其广泛的国际参与为传播关于统一法案文的资讯和教授国际贸易法提供了极好的机会。
It was noted that the Twelfth Willem C. Vis International Commercial Arbitration Moot was to be held in Vienna from 18 to 24 March 2005.委员会注意到,第十二次Willem C. Vis模拟国际商事仲裁将于2005年3月18日至24日在维也纳举办。
C. UNCITRAL web siteC. 贸易法委员会网站
119. The Commission expressed its appreciation for the UNCITRAL web site (www.uncitral.org), which contained current UNCITRAL documents and travaux préparatoires in the six official languages of the United Nations.119. 委员会对贸易法委员会网站表示赞赏(www.uncitral.org),网站载有以联合国六种正式语文发表的当前文件和准备工作文件。
It regarded the web site as an important component of the Commission’s overall programme of information activities and training and technical assistance and noted that the web site was being used increasingly by delegates for efficient access to documents needed in their work.委员会将该网站视为委员会信息活动和培训及技术援助的总体方案的一个重要组成部分,并注意到代表们正越来越多地利用该网站有效地检索其工作中所需的文件。
The Commission encouraged the Secretariat to continue to bear in mind the principle of multilingualism in maintaining and upgrading the site.委员会鼓励秘书处在维护和更新该网址时继续注意多语文原则。
D. BibliographyD. 文献目录
120. The Commission noted with appreciation the bibliography of recent writings related to its work (A/CN.9/566).120. 委员会赞赏地注意到与其工作有关的最新文献目录(A/CN.9/566)。
The Commission was informed that the bibliography was being updated on the UNCITRAL web site on an ongoing basis.委员会获悉,文献目录在贸易法委员会网站上随时不断更新。
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 its secretariat.委员会强调了使文献目录尽可能完整的重要性,因此,请各国政府、学术机构、其他有关组织和作者个人向委员会秘书处寄送有关出版物。
E. Limitation of documentationE. 文件限制
121. The Commission was apprised of an internal memorandum of 21 April 2004 from the Secretary-General containing drafting guidelines for reports drafted and/or compiled in the Secretariat.121. 委员会听取了2004年4月21日秘书长的内部备忘录,其中载有秘书处起草和/或汇编的报告起草准则。
Under the drafting guidelines, reports (including those of intergovernmental bodies) should be “action-oriented” and limited to:根据起草准则,报告(包括政府间机构的报告)应“面向行动”并限于:
1. A brief discussion on organizational and procedural matters.(1) 组织和程序事项的简要讨论。
2. Recommendations, including resolutions and decisions adopted.(2) 建议,包括通过的决议和决定。
3. Policy recommendations emanating from multi-stakeholder dialogues and panels and roundtables rather than summaries of the meetings.(3) 产生于多方利益方对话、小组讨论会和圆桌会议的政策建议而不是会议摘要。
4. New developments, findings and recommendations, particularly for recurrent reports.(4) 新的发展、结果和建议,尤其是经常性报告。
5. Quotations from United Nations documents only when legislative authority is cited.(5) 只有在提出法律根据时才引述联合国文件案文”。
Furthermore, the drafting guidelines provide that reports should not include:此外,起草准则还规定:“报告中不应包括:
1. A summary of statements made at opening and closing meetings, unless pertinent to conclusions reached.(1) 会议开幕和闭幕时的发言摘要,除非与达成的结论有关。
2. Summaries of statements by individuals, a list of speakers for each item could be included instead.(2) 个人发言摘要;只须列入每个项目的发言者名单。
3. A general summary of statements under each item.(3) 在每个项目项下发言的一般性摘要。
4. Analysis of information provided unless required to support policy findings.(4) 提供的资料分析,除非需用于支持政策结果。
5. A lengthy discussion on organizational and procedural matters.(5) 有关组织和程序事项的冗长讨论。
6. Repetition of already published texts or repetition of texts with only minor changes.(6) 重复已经印发的案文或重复只有较小改动的案文。
7. Extraneous information that does not contribute to deliberations.(7) 无助于审议的不相干的资料”。
Finally, according to the drafting guidelines:最后,根据起草准则:
1. Biennialization/triennialization and consolidation of reports are not a priori reasons to exceed page limits.(1) 不能认为将报告变成两年/三年一期及加以合并就可理所当然地超过页数限制。
2. When the Secretary-General is not explicitly requested to reproduce in extenso information received from Member States, government replies should be summarized and page limits should apply.(2) 如果秘书长没有被明确要求全文印发从会员国收到的资料,则政府的答复应摘要印发并适用页数限制。
3. Cut-off dates should be established and maintained for inclusion of information requested from Member States.(3) 应确立和坚持列入请会员国提供的资料的截止日期。
4. Specific questionnaires should be provided whenever possible to focus information provided. The questionnaires could also encourage limiting the replies to a predetermined length.(4) 凡有可能即应提供具体的调查表,以便将重点放在所提供的资料上。调查表还可鼓励将答复限制在预先确定的篇幅内。
5. A list of reports requested at each session should be presented to the body concerned before closure of the session.(5) 每届会议请求提供的报告清单应在会议闭幕前提交有关机构。
122. In his memorandum, the Secretary-General requested officials of the Secretariat to ensure that reports prepared under their authority, including those to be issued in the name of intergovernmental and expert bodies, were drafted in strict accordance with the drafting guidelines.122. 秘书长在其备忘录中请秘书处人员确保,在其职权范围内编写的报告,包括已发表的以政府间和专家机构名义编写的报告,是严格的依照起草准则起草的。
123. With respect to the notion of “page limit” referred to in the memorandum, the attention of the Commission was drawn to the report of the Secretary-General on improving the performance of the Department of General Assembly Affairs and Conference Services (A/57/289), paragraph 57 of which reads as follows:123. 关于备忘录中提及的“页数限制”概念,与会者提请委员会注意秘书长关于改进大会事务和会议事务部的工作情况的报告(A/57/289)。
“57.该文件第57段指出:
Enforcing page limits.“57. 执行页数限制。
As a result of reinforced instructions by the Secretary-General, the 16-page limit (7,200 words) on reports originating in the Secretariat is being applied systematically.由于秘书长一再指示,对秘书处编写的报告的16页(7,200字)限制正在有系统地实施。
Waivers to the rule are granted in only a limited number of cases.可以不遵守这一限制的报告数目十分有限。
More attention must also be paid to the 20-page guideline (9,000 words) for reports of subsidiary bodies, special rapporteurs and the like, which account for a significant proportion of documents issued.还应更多地注意为附属机构和特别报告员等提出的报告规定的20页(9,000字)的指导原则。 这些文件占了所印发文件的相当大的部分。
Essentially, the 20-page limit will now serve as a guideline for all reports not falling within the 16-page limit.20页的限制今后基本上将作为所有不在16页限制之内的文件的指导原则。
Since Secretariat officials often draft such reports, they will be required to strive for observance of the guideline”.由于秘书处人员常常是此类报告的撰写者,将要求他们努力遵守这一指导原则”。
In addition, the attention of the Commission was drawn to paragraph 15 of General Assembly resolution 53/208 B of 18 December 1998, in which the Assembly stressed once again the need for compliance with existing page limits; and invited all intergovernmental bodies to consider, where appropriate, the possibility of further reducing the length of their reports from 32 to 20 pages without adversely affecting either the quality of presentation or the content of the reports.此外,与会者还提请委员会注意大会1998年12月18日第53/208号决议B部分第15段,其中大会再次强调必须遵守目前关于页数限制的规定,并请所有政府间机构斟酌情况考虑将它们的报告从32页进一步减少到20页,但不得影响报告的编制格式的质量或内容。
124. The Commission appreciated the provision of background information on the drafting guidelines contained in the Secretary-General’s memorandum (see para.  121 above), which aimed to achieve the page limits for reports of subsidiary bodies as discussed above. However, the Commission recalled the particular characteristics of its work that made it inappropriate for page limits to be applied to the documentation of the Commission or its subsidiary bodies.124. 委员会理解秘书长备忘录(见上文第121段)中所载关于起草准则的背景信息的规定,不过,委员会回顾了其工作的特殊特点,这些特点使得委员会或其附属机构的文件不适合适用页数限制。
125. The Commission noted that it had been established by the General Assembly by its resolution 2205 (XXI) with a broad mandate to further the progressive harmonization and unification of the law of international trade and in that respect to bear in mind the interests of all peoples, in particular those of developing countries, in the extensive development of international trade.125. 委员会注意到,委员会是由大会第2205(XXI)号决议设立的,负有进一步推动逐渐协调和统一国际贸易法的范围广泛的任务授权,并在这样做时铭记所有人民特别是发展中国家人民在广泛发展国际贸易方面的利益。
The Commission also recalled that, if international legal rules were to be drawn up by consensus, the building of such consensus would typically require an analysis and precise statement of existing law and commercial practice.委员会还回顾说,如果以协商一致意见拟订国际法律规则,这种协商一致意见的形成将一般要求对现有法律和商业惯例进行分析及作出准确的阐述。
In addition, the Commission recalled that the legal standards it prepared for consideration by States when modernizing their legislation in the field of international trade law had to be justified by evidence of existing law and the requirements of its progressive development in the light of the current needs of the international community.此外,委员会还回顾说,其所拟订的供各国在使各自在国际贸易法领域的法规现代化时加以考虑的法律标准必须以现有法律和其根据国际社会的当前需要而逐渐发展的需要的证据作为理由。
Thus, the draft articles or other recommendations contained in documentation prepared for the Commission or its subsidiary bodies and in the reports of the Commission and its subsidiary bodies themselves had to be supported by sufficient references to existing law, commercial practice and other relevant data, including treaties, judicial decisions and, occasionally, doctrine.因此,在为委员会或其附属机构编写的文件中以及在委员会及其附属机构本身的报告中载列的条款草案或其他建议必须辅之以对现有法律、商业惯例和其他有关资料(包括条约、司法裁决,和有时也包括原则)的充分提及。
126.
In addition, the Commission noted that maintaining the level of detail and high quality of its documentation was necessary for the following reasons: (a) they were a critical component in the process of consulting States and obtaining their views; (b) they assisted individual States in the understanding and interpretation of the rules embodied in legal standards prepared by the Commission; (c) they were part of the travaux préparatoires of such standards and were frequently referred to or quoted by national legislators, judges and lawyers applying the standards; and (d) they contributed to the dissemination of information about international trade law in accordance with the relevant United Nations programme.126. 此外,委员会还注意到,由于以下几个原因,有必要保持其文件的详尽程度和高质量:(a)是与各国进行磋商并征求其意见进程的一个关键组成部分;(b)可协助个别国家理解和解释委员会拟订的法律标准中体现的规则;(c)是此类标准的准备工作文件的一部分,并且为应用这些标准的各国立法者、法官和律师经常提及或引述;以及(d)这有助于根据相关联合国方案传播有关国际贸易法的信息。
127. Accordingly, the Commission considered that it would be entirely inappropriate to attempt in advance and in abstracto to fix the maximum length of its reports or those of its subsidiary bodies or of the various studies and other working documents presented to it or its subsidiary bodies.127. 因此,委员会认为完全不宜事先和抽象地试图固定其报告或其附属机构的报告或各种研究报告及向委员会或其附属机构提交的其他工作文件的最长篇幅。
As explained above, the length of a given Commission document would depend on a number of variable factors, such as the nature of the topic and the extent of relevant legal practice, doctrine and precedent.如上所述,一份特定委员会文件的篇幅取决于若干变量因素,例如议题的性质以及相关法律惯例、原则和先例的范围。
The Commission considered therefore that regulations on page limits such as those contained in the report of the Secretary-General (A/57/289) should not apply to its documentation.因此,委员会认为,例如大会报告(A/57/289)所载关于页数限制的管制措施不应适用于委员会的文件。
In that respect, the Commission noted an important qualification in the Secretary-General’s drafting guidelines that reports should not include “analysis of information provided unless required to support policy findings”.在这方面,委员会注意到秘书长的起草准则中有一项重要的限定,即报告不应包括“提供的资料分析,除非需用于支持政策结果”。
To the extent that the reports of the Commission and its subsidiary bodies invariably contained explanations and recommendations adopted concerning texts of legal standards prepared by the Commission, such explanations and recommendations were “policy findings” and should necessarily be supported by the “analysis of information” that constituted the travaux préparatoires.只要委员会及其附属机构的报告始终如一地载有所通过的有关由委员会编拟的法律标准案文的解释和建议,此类解释和建议即为“政策结果”,而应有必要得到构成准备工作文件的“分析和资料”的支持。
The Commission unanimously agreed that travaux préparatoires were indispensable to legislative deliberations and to judicial interpretation and differed fundamentally from summaries of meetings devoted to other types of deliberation.委员会一致认为,准备工作文件是立法审议和司法解释工作中不可或缺的,此类文件与专门用于其他类型审议的会议摘要有着根本的不同。
128. It was noted that a waiver of page limits could be granted with respect to particular documents, but that that was a time-consuming process.128. 与会者指出,只有特定文件可以不遵守页数限制,但这很耗费时间。
The Commission urged the General Assembly to reconsider the application of page limits in connection with the Commission’s work.委员会促请大会重新审议对其工作适用页数限制问题。
The Commission also recalled that it and its subsidiary bodies were fully conscious of the need to achieve economies whenever possible in the overall volume of documentation and would continue to bear such considerations in mind, as evidenced by the efforts made, in particular, by its Working Group III (Transport Law), which had recently achieved a considerable reduction in the length of its report (A/CN.9/552).委员会还回顾,委员会及其附属机构充分意识到任何时候只要有可能就要在文件总量中做到节约的必要性,并将继续铭记这些考虑因素,已经做出的努力,特别是第三工作组(运输法)的努力便是证明,该工作组最近大大缩减了其报告的篇幅(A/CN.9/552)。
It was generally felt, however, that such efforts had reached the limit beyond which further reduction would considerably affect the quality of the documentation needed to reflect the implications of a particularly important and complex project.不过,委员会普遍认为,这种努力已达到极限,如果超过这一极限,进一步的缩减就会大大影响文件的质量,从而无法反映特别重要的复杂项目所涉影响。
F. Provision of summary recordsF. 简要记录的提供
129. The Commission was informed that, in its resolution 58/250 of 23 December 2003, the General Assembly had requested the Secretary-General to review the list of bodies entitled to summary records, in full consultation with all relevant intergovernmental bodies, with a view to assessing the need for such records, and to explore the possibility of delivering them in a more efficient and effective manner.129. 委员会获悉,大会在其2003年12月23日第58/250号决议第二.B节第9段,已请秘书长“与所有有关政府间机构充分协商……审核有资格[享有简要记录]的机构清单,以期评估这类记录的必要性,并探索更有效益和有效率地交付简要记录的可能性”。
The Secretariat had therefore been requested to consult with the members of the Commission to determine whether they could consider the possibility of relinquishing or curtailing the use of summary records.就此,已请秘书处与委员会各成员进行协商,以确定他们是否可考虑放弃或减少对简要记录的使用的可能性。
The two main factors brought to the attention of the Commission on behalf of the Committee on Conferences were the limited resources available for producing those records and the consequent delay in their issuance.代表会议委员会提请委员会注意的两个主要因素是:可用于编印这些记录的资源有限,及结果是其印发迟延。
The Commission was informed that, under the prevailing circumstances, it was unlikely that records would be produced in a timely manner in the foreseeable future.委员会获悉,在普遍情况下,在可预见的将来,这些记录不太可能得到及时编印。
The following possible alternatives to summary records were suggested for consideration by the Commission: (a) unedited verbatim transcripts in the original language (as currently in use by the Committee on the Peaceful Uses of Outer Space); (b) digital sound recordings of the proceedings made available in all six official languages on the United Nations web site or at specially equipped listening booths; (c) provisional issuance of summary records in the original language, with non-simultaneous issuance in the other languages at a later stage; or (d) limiting summary records to decision-making meetings (the Commission, for example, using summary records only when preparing legal instruments).与会者提出了可能替代简要记录的下列方式供委员会审议:(a)未经编辑的原文录音打字本(和平利用外层空间委员会目前正在使用这一方式);(b)在联合国网站上或在配有特别设备的听音间提供会议记录的所有六种正式语文的数码录音;(c)临时印发原文简要记录,而在稍后阶段印发其他语文的记录;或(d)将简要记录限制在决策会议范围内(例如,委员会只是在编拟法律文书时才使用简要记录)。
130. The Commission unanimously stressed the importance of summary records as essential elements of the travaux préparatoires that should be available for subsequent reference when interpreting the standards drawn up by the Commission.130. 委员会一致强调简要记录作为准备工作文件的必要要素的重要性,应在解释委员会拟订的标准时提供简要记录作为随后的参考。
It was generally agreed that the issuance of summary records shortly after the related deliberations had taken place was desirable and would allow for the reproduction of those records in the UNCITRAL Yearbook prepared during the year following a given session of the Commission.与会者普遍认为,在进行了有关审议之后不久即印发简要记录是可取的,这样有助于在委员会某一特定届会之后的一年里编写的《贸易法委员会年鉴》中复印这些记录。
However, it was also agreed that speed in the production of summary records was not the most important factor.不过,与会者还一致认为编印简要记录的速度并不是最重要的因素。
Summary records would remain useful and indispensable for the full understanding of the legislative history of a given legal text even if they were issued a few years after the adoption of that text.即使简要记录是在一项特定的法律案文获得通过之后经过若干年才予以印发,简要记录对充分理解该法律案文的立法史仍然是有用的和不可或缺的。
With respect to the suggested alternatives, it was generally agreed that: (a) unedited verbatim transcripts would be of little use in view of the lack of a translation in the other official languages; (b) digital sound recordings would be even less useful in view of the lack of proper indexing, which would make the use of such recordings extremely difficult and time-consuming; (c) provisional issuance of summary records in the original language might be acceptable, provided that the other language versions would in fact be issued, albeit at a later stage; and (d) limiting the use of summary records was already consistent with the practice followed by UNCITRAL, which made use of summary records only in the context of its deliberations for the preparation of a normative instrument.对于所建议的替代方式,与会者普遍认为:(a)未经编辑的录音打字稿由于没有其他正式语文的译文而几乎没有什么用处;(b)数码录音由于没有适当的索引而甚至更无用处,会使得对这种录音的使用极为不便和费时;(c)临时印发原文简要记录的做法可能可以接受,条件是其他语文本事实上将予以印发,尽管是在稍后阶段印发;以及(d)限制简要记录的使用范围同贸易法委员会所遵循的惯例已经是一致的,即只是在其审议某一规范性文书的编拟工作的情况下才使用简要记录。
G. Proposed strategic framework for the period 2006-2007G. 2006-2007年期间拟议战略框架
131. The Commission’s attention was drawn to subprogramme 5 (Progressive harmonization, modernization and unification of the law of international trade) of the proposed strategic framework for the period 2006-2007 (A/59/6 (Prog.6)).131. 与会者提请委员会注意“2006-2007年期间拟议战略框架”(A/59/6(Prog.6))的次级方案5(国际贸易法的逐渐协调、现代化和统一)。
The Commission noted with appreciation that, in drafting the indicators of achievement for 2006-2007, the Secretariat had put into practice the lessons learned as regards the formulation of the expected accomplishments and indicators of achievement for the biennium 2002-2003.委员会赞赏地注意到秘书处在草拟2006-2007年的成就指标时,应用了在拟订2002-2003两年期预期成就和成就指标方面的经验教训。
In particular, in situations where it was acceptable or unavoidable to formulate expected accomplishments in broad and unfocused terms, those had been combined with realistic and usable indicators of achievement.特别是在以范围广泛和不确定重点的方式拟订预期成就的做法是可接受或不可避免的情况下,这些预期成就已与切合实际的、有用的成就指标结合了起来。
XVI. Date and place of future meetings十六. 今后会议的日期和地点
A. General discussion on the duration of sessionsA. 关于届会会期的一般性讨论
132. The Commission recalled that, at its thirty-sixth session, it had agreed that: (a) working groups should normally meet for a one-week session twice a year; (b) extra time, if required, could be allocated from the unused entitlement of another working group provided that such an arrangement would not result in the increase of the total number of 12 weeks of conference services per year currently allotted to sessions of all six working groups of the Commission; and (c) if any request by a working group for extra time would result in the increase of the 12-week allotment, it should be reviewed by the Commission, with proper justification being given by that working group regarding the reasons for which a change in the meeting pattern was needed.132. 委员会回顾其在第三十六届会议上同意:(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,则应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了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地分配办法提出适当理由。
At the same session, it had also been agreed that the situation with regard to the duration of sessions of Working Group III (Transport Law) would need to be reassessed at the thirty-seventh session of the Commission (see also para.  62).在同一届会议上,委员会还同意,应在委员会第三十七届会议上重新评估第三工作组(运输法)的会期情况(另见第62段)。
133. At its thirty-seventh session, for the reasons noted by the Commission at its thirty-sixth session, the Commission decided to accommodate again the need of Working Group III (Transport Law) for two-week sessions, utilizing the entitlement of Working Group V (Insolvency Law), which was not expected to meet in the second half of 2004 or in 2005.133. 委员会在第三十七届会议上,出于其第三十六届会议上指出的理由,决定针对第三工作组(运输法)届会为期二周的需要,使用第五工作组(破产法)的时间权限,因为该工作组预期2004年下半年或2005年不会开会。
134. The Commission also approved the holding of a two-week session of Working Group IV (Electronic Commerce) in October 2004 in order to ensure the uninterrupted process of negotiation and drafting of the draft convention and its circulation for comments shortly after the session in October.134. 委员会还批准2004年10月召开为期二周的第四工作组(电子商务)的届会,以确保谈判和起草公约草案及10月份届会后迅速分发该草案征求意见的过程不受打扰。
The Commission noted that, by accelerating the work of Working Group IV, it would be possible not to hold one week of meetings of Working Group IV in late 2005.委员会注意到,由于加快了第四工作组的工作,该工作组很可能在2005年末不需要召开为期一周的会议。
B. Thirty-eighth session of the CommissionB. 委员会第三十八届会议
135. The Commission approved the holding of its thirty-eighth session in Vienna from 4 to 22 July 2005.135. 委员会批准了2005年7月4日至22日在维也纳召开其第三十八届会议。
It was noted that the Commission did not intend to make full use of its four-week allotment of conference services in 2005.据指出,委员会不准备全部使用2005年分配的为期四周的会议服务。
The duration of the session might be shortened further, should a shorter session become advisable in view of the draft texts produced by the various working groups.该届会议的会期还可能进一步缩短,只要各工作组编写法规草案的情况表明缩短会期是可取的。
C. Sessions of working groups up to the thirty-eighth session of the CommissionC. 在委员会第三十八届会议之前各工作组的届会
136. The Commission approved the following schedule of meetings for its working groups:136. 委员会批准了各工作组下述会议安排:
(a) Working Group I (Procurement) would hold its sixth session in Vienna from 30 August to 3 September 2004 and its seventh session in New York from 4 to 8 April 2005;(a) 第一工作组(采购)将于2004年8月30日至9月3日在维也纳举行第六届会议,2005年4月4日至8日在纽约举行第七届会议。
(b) Working Group II (Arbitration) would hold its forty-first session in Vienna from 13 to 17 September 2004 and its forty-second session in New York from 10 to 14 January 2005;(b) 第二工作组(仲裁)将于2004年9月13日至17日在维也纳举行第四十一届会议,2005年1月10日至14日在纽约举行第四十二届会议。
(c) Working Group III (Transport Law) would hold its fourteenth session in Vienna from 29 November to 10 December 2004 and its fifteenth session in New York from 18 to 28 April 2005 (the United Nations would be closed on 29 April, Orthodox Good Friday);(c) 第三工作组(运输法)将于2004年11月29日至12月10日在维也纳举行第十四届会议,2005年4月18日至28日在纽约举行第十五届会议(4月29日是受难节,联合国放假一天)。
(d) Working Group IV (Electronic Commerce) would hold its forty-fourth session in Vienna from 11 to 22 October 2004 and, if necessary, a forty-fifth session in New York from 11 to 15 April 2005;(d) 第四工作组(电子商务)将于2004年10月11日至22日在维也纳举行第四十四届会议,如有必要,则于2005年4月11日至15日在纽约举行第四十五届会议。
(e) Working Group V (Insolvency Law). No session of the Working Group was envisaged;(e) 第五工作组(破产法)。预计该工作组不需要举行届会。
(f) Working Group VI (Security Interests) would hold its sixth session in Vienna from 27 September to 1 October 2004 and its seventh session in New York from 24 to 28 January 2005.(f) 第六工作组(担保权益)将于2004年9月27日至10月1日在维也纳举行其第六届会议,2005年1月24日至28日在纽约举行第七届会议。
D. Sessions of working groups in 2005 after the thirty-eighth session of the CommissionD. 2005年各工作组在委员会第三十八届会议之后的届会
137. The Commission noted that tentative arrangements had been made for working group meetings in 2005 after its thirty-eighth session (the arrangements were subject to the approval of the Commission at its thirty-eighth session):137. 委员会注意到已为其三十八届会议之后各工作组的会议作出临时安排(有关安排需经委员会第三十八届会议批准):
(a) Working Group I (Procurement) would hold its eighth session in Vienna from 17 to 21 October 2005;(a) 第一工作组(采购)将于2005年10月17日至21日在维也纳举行第八届会议。
(b) Working Group II (Arbitration) would hold its forty-third session in Vienna from 3 to 7 October 2005;(b) 第二工作组(仲裁)将于2005年10月3日至7日在维也纳举行第四十三届会议。
(c) Working Group III (Transport Law) would hold its sixteenth session in Vienna from 28 November to 9 December 2005;(c) 第三工作组(运输法)将于2005年11月28日至12月9日在维也纳举行第十六届会议。
(d) Working Group IV (Electronic Commerce). No session of the Working Group was envisaged;(d) 第四工作组(电子商务)。预计该工作组不需要举行会议。
(e) Working Group V (Insolvency Law). No session of the Working Group was envisaged;(e) 第五工作组(破产法)。预计该工作组不需要举行届会。
(f) Working Group VI (Security Interests) would hold its eighth session in Vienna from 5 to 9 September 2005.(f) 第六工作组(担保权益)将于2005年9月5日至9日在维也纳举行第八届会议。
Annex附件
List of documents before the Commission at its thirty-seventh session委员会第三十七届会议收到的文件一览表
Symbol文件号
Title or description标题或说明
A/CN.9/541A/CN.9/541
Annotated provisional agenda and organization of work of the thirty-seventh session第三十七届会议临时议程和会议日程安排
A/CN.9/542A/CN.9/542
Report of Working Group V (Insolvency Law) on the work of its twenty-ninth session (Vienna, 1-5 September 2003)第五工作组(破产法)第二十九届会议工作报告(2003年9月1日至5日,维也纳)
A/CN.9/543A/CN.9/543
Report of Working Group VI (Security Interests) on the work of its fourth session (Vienna, 8-12 September 2003)第六工作组(担保权益)第四届会议工作报告(2003年9月8日至12日,维也纳)
A/CN.9/544A/CN.9/544
Report of Working Group III (Transport Law) on the work of its twelfth session (Vienna, 6-17 October 2003)第三工作组(运输法)第十二届会议工作报告(2003年10月6日至17日,维也纳)
A/CN.9/545A/CN.9/545
Report of Working Group II (Arbitration) on the work of its thirty-ninth session (Vienna, 10-14 November 2003)第二工作组(仲裁)第三十九届会议工作报告(2003年11月10日至14日,维也纳)
A/CN.9/546A/CN.9/546
Report of Working Group IV (Electronic Commerce) on the work of its forty-second session (Vienna, 17‑21 November 2003)第四工作组(电子商务)第四十二届会议工作报告(2003年11月17日至21日,维也纳)
A/CN.9/547A/CN.9/547
Report of Working Group II (Arbitration) on the work of its fortieth session (New York, 23-27 February 2004)第二工作组(仲裁)第四十届会议工作报告(2004年2月23日至27日,纽约)
A/CN.9/548A/CN.9/548
Report of Working Group IV (Electronic Commerce) on the work of its forty-third session (New York, 15-19 March 2004)第四工作组(电子商务)第四十三届会议工作报告(2004年3月15日至19日,纽约)
A/CN.9/549A/CN.9/549
Report of Working Group VI (Security Interests) on the work of its fifth session (New York, 22-25 March 2004)第六工作组(担保权益)第五届会议工作报告(2004年3月22日至25日,纽约)
A/CN.9/550A/CN.9/550
Report of Working Group V (Insolvency Law) and Working Group VI (Security Interests) on the work of their second joint session (New York, 26 and 29 March 2004)第五工作组(破产法)和第六工作组(担保权益)第二届联席会议工作报告(2004年3月26日和29日,纽约)
A/CN.9/551A/CN.9/551
Report of Working Group V (Insolvency Law) on the work of its thirtieth session (New York, 29 March-2 April 2004)第五工作组(破产法)第三十届会议工作报告(2004年3月29日至4月2日,纽约)
A/CN.9/552A/CN.9/552
Report of Working Group III (Transport Law) on the work of its thirteenth session (New York, 3-14 May 2004)第三工作组(运输法)第十三届会议工作报告(2004年5月3日至14日,纽约)
A/CN.9/553A/CN.9/553
Note by the Secretariat on possible future work in the area of public procurement秘书处关于政府采购领域今后可能开展的工作的说明
A/CN.9/554A/CN.9/554
Report on the UNCITRAL-INSOL Judicial Colloquium on Cross-Border Insolvency, 2003贸易法委员会/破产专业人员国际联合会跨国界破产问题司法学术讨论会的报告
A/CN.9/555A/CN.9/555
Report on the UNCITRAL Colloquium on International Commercial Fraud贸易法委员会国际商业欺诈问题讨论会报告
A/CN.9/556A/CN.9/556
[Not issued.][未印发]
A/CN.9/557A/CN.9/557
Explanatory note on the United Nations Convention on the Assignment of Receivables in International Trade关于《联合国国际贸易应收款转让公约》的解释性说明
A/CN.9/558A/CN.9/558
Compilation of comments by international organizations on the draft UNCITRAL legislative guide on insolvency law国际组织关于贸易法委员会破产法立法指南草案的评论意见汇编
A/CN.9/558/Add.1A/CN.9/558/Add.1
Compilation of comments by Governments on the draft UNCITRAL legislative guide on insolvency law政府提交的关于贸易法委员会破产法立法指南草案的评论意见汇编
A/CN.9/559 and Add.1-3A/CN.9/559和Add.1-3
Draft UNCITRAL legislative guide on insolvency law: revisions to document A/CN.9/WG.V/WP.70贸易法委员会破产法立法指南草案:对A/CN.9/WG.V/WP.70 号文件的修订
A/CN.9/560A/CN.9/560
Note by the Secretariat on training and technical assistance秘书处关于培训和技术援助问题的说明
A/CN.9/561A/CN.9/561
Note by the Secretariat on the status of conventions and model laws秘书处关于各公约和示范法的现状的说明
A/CN.9/562A/CN.9/562
Note by the Secretariat: introduction to the digest of case law on the United Nations Sales Convention秘书处的说明:《联合国销售公约》判例法概要引言
A/CN.9/563 and Add.1A/CN.9/563和Add.1
Note by the Secretariat: uniform interpretation of UNCITRAL texts; sample digest of case law on the UNCITRAL Model Law on International Commercial Arbitration (1985)秘书处的说明:贸易法委员会法规的统一解释;《贸易法委员会国际商事仲裁示范法》(1985年)判例法概要样例
A/CN.9/564A/CN.9/564
Note by the Secretariat on partnerships between the United Nations and non-state actors, in particular the private sector: recent developments across the United Nations and possible implications for the Commission’s work秘书处关于联合国与非国家行动方特别是私营部门之间的伙伴关系:整个联合国的最新动态及其对委员会工作可能产生的影响的说明
A/CN.9/565A/CN.9/565
Note by the Secretariat on the coordination of work: activities of international organizations in the area of security interests秘书处关于工作协调:国际组织在担保权益领域中的活动的说明
A/CN.9/566A/CN.9/566
Note by the Secretariat: bibliography of recent writings related to the work of UNCITRAL秘书处的说明:与贸易法委员会工作有关的最新文献目录
A/CN.9/WG.V/WP.70 (Parts I and II)A/CN.9/WG.V/WP.70(第一和二部分)
Draft legislative guide on insolvency law破产法立法指南草案
A/CN.9/WG.V/WP.71A/CN.9/WG,V/WP.71
Note by the Secretariat on the treatment of security interests in the draft legislative guide on insolvency law秘书处关于破产法立法指南草案中对担保权益的处理的说明
A/CN.9/WG.V/WP.72A/CN.9/WG.V/WP.72
Note by the Secretariat on the draft legislative guide on insolvency law秘书处关于破产法立法指南草案的说明
1 Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years. Of the current membership, 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). 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 of the Commission following their election.1 根据大会第2205(XXI)号决议,委员会成员经选举产生,任期六年。在现任成员中,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)。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,其任期应与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。
2 Official Records of the General Assembly, Fifty-second Session, Supplement No. 17 (A/52/17), annex I.2 《大会正式记录,第五十二届会议,补编第17号》(A/52/17),附件一。
3 A/CN.9/442, annex.3 A/CN.9/442,附件一。
4 A/CN.9/WG.V/WP.70 (Parts I and II).4 A/CN.9/WG.V/WP.70(第一和二部分)。
5 A/CN.9/559 and Add.1-3.5 A/CN.9/559和Add.1-3。
6 Official Records of the General Assembly, Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 12-53.6 《大会正式记录,第五十九届会议,补编第17号》(A/59/17),第12-53段。
7 Ibid., Fifty-fourth Session, Supplement No. 17 (A/54/17), para. 380.7 同上,《第五十四届会议,补编第17号》(A/54/17),第380段。
8 Ibid., Fortieth Session, Supplement No. 17 (A/40/17), annex I.8 同上,《第四十届会议,补编第17号》(A/40/17),附件一。
9 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 203.9 同上,《第五十八届会议,补编第17号》(A/58/17),第203段。
10 United Nations, Treaty Series, vol. 330, No. 4739.10 《联合国条约汇编》,第330卷,第4739号。
11 Official Records of the General Assembly, Thirty-first Session, Supplement No. 17 (A/31/17), para. 57.11 《大会正式记录,第三十一届会议,补编第17号》(A/31/17),第57段。
12 UNCITRAL Yearbook, vol. XXVII: 1996, part three, annex II.12 《贸易法委员会年鉴,第二十七卷:1996年》,第三部分,附件二。
13 Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 204.13 《大会正式记录,第五十八届会议,补编第17号》,(A/58/17),第204段。
14 Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr. 3), para. 345.14 同上,《第五十六届会议,补编第17号和更正》(A/56/17和Corr.1),第345段。
15 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), para. 224.15 同上,《第五十七届会议,补编第17号》(A/57/17),第224段。
16 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 208.16 同上,《第五十八届会议,补编第17号》(A/58/17),第208段。
17 Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), paras. 291‑293.17 同上,第五十六届会议,补编第17号和更正(A/56/17和Corr.3),第291至293段。
18 Ibid., para. 358.18 同上,第358段。
19 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), para. 204.19 同上,《第五十七届会议,补编第17号》(A/57/17),第204段。
20 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 222.20 同上,《第五十八届会议,补编第17号》(A/58/17),第222段。
21 Ibid., Forty-ninth Session, Supplement No. 17 and corrigendum (A/49/17 and Corr.1), annex I.21 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。
22 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 225-230.22 同上,《第五十八届会议,补编第17号》(A/58/17),第225-230段。
23 Ibid., para. 229.23 同上,第229段。
24 Ibid., para. 230.24 同上,第230段。
25 Ibid., Fiftieth Session, Supplement No. 17 (A/50/17), paras. 401-404.25 同上,《第五十届会议,补编第17号》(A/50/17),第401-404段。
26 United Nations, Treaty Series, vol. 1489, No. 25567.26 《联合国条约汇编》,第1489卷,第25567号。
27 Official Records of the General Assembly, Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), para. 395.27 同上,《第五十六届会议,补编第17号和更正》(A/56/17和Corr.3),第395段。
28 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), para. 243.28 同上,《第五十七届会议,补编第17号》(A/57/17),第243段。
29 Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), paras. 393‑395.29 同上,《第五十六届会议,补编第17号和更正》(A/56/17和Corr.3),第393-395段。
30 United Nations, Treaty Series, vol. 1511, No. 26121.30 《联合国条约汇编》,第1511卷,第26121号。
31 Ibid., No. 26119.31 同上,第26119号。
32 Official Records of the General Assembly, Fifty-first Session, Supplement No. 17 (A/51/17), annex I.32 《大会正式记录,第五十一届会议,补编第17号》(A/51/17),附件一。
33 Ibid., Fifty-sixth Session, Supplement No. 17 (A/56/17), annex II.33 同上,《第五十六届会议,补编第17号》(A/56/17),附件二。
34 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), annex I.34 同上,《第五十七届会议,补编第17号》(A/57/17),附件一。
35 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), paras. 258-271.35 同上,《第五十七届会议,补编第17号》(A/57/17),第258-271段。
36 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 256-261.36 同上,《第五十八届会议,补编第17号》(A/58/17),第256-261段。
37 Ibid., paras. 257 and 258.37 同上,第257和258段。
38 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), paras. 279-290.38 同上,《第五十七届会议,补编第17号》(A/57/17),第279-290段。
39 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 238 and 240.39 同上,《第五十八届会议,补编第17号》(A/58/17),第238和240段。
40 E/AC.51/2002/5.40 E/AC.51/2002/5。
41 Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275.41 《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第275段。
42 Ibid., para. 208.42 同上,第208段。