A_73_17_EC
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A/73/17 V1805221.docx (English)A/73/17 V1805220.docx (Chinese)
United Nations联合国
Report of the United Nations Commission on International Trade Law联合国国际贸易法委员会报告
第五十届会议
Fifty-first session (25 June–13 July 2018)(2018年6月25日至7月13日)
General Assembly大会
Official Records正式记录
Seventy-third session第七十三届会议
Supplement No. 17补编第17号
General Assembly大会
Official Records正式记录
Seventy-third session第七十三届会议
Supplement No. 17补编第17号
Report of the United Nations Commission on International Trade Law联合国国际贸易法委员会报告
Fifty-first session第五十一届会议
(25 June–13 July 2018)(2018年6月25日至7月13日)
United Nations • New York, 2018联合国 2018年,纽约
Note说明
Symbols of United Nations documents are composed of capital letters combined with figures.联合国文件用英文大写字母附加数字编号。
Mention of such a symbol indicates a reference to a United Nations document.提到这种编号,即指联合国的某一个文件。
[31 July 2018][2018年7月31日]
Contents目录
Page页次
1.1.
Introduction导言
11
2.2.
Organization of the session会议安排
11
A.A.
Opening of the session会议开幕
11
B.B.
Membership and attendance成员和出席情况
11
C.C.
Election of officers选举主席团成员
22
D.D.
Agenda议程
23
E.E.
Establishment of the Committee of the Whole设立全体委员会
44
F.F.
Adoption of the report通过报告
44
3.3.
Finalization and adoption of instruments on international commercial settlement agreements resulting from mediation最后审定并通过关于调解所产生的国际商事和解协议文书
44
A.A.
Introduction导言
44
B.B.
Finalization and approval of the draft convention on international settlement agreements resulting from mediation最后审定并核准关于调解所产生的国际和解协议公约草案
55
1.1.
Consideration of the draft convention审议公约草案
55
2.2.
Decision of the Commission and recommendation to the General Assembly委员会的决定和对大会的建议
88
C.C.
Finalization and adoption of amendments to the UNCITRAL Model Law on International Commercial Conciliation最后审定并通过对《贸易法委员会国际商事调解示范法》的修正
910
1.1.
Consideration of the draft amended Model Law审议《示范法》修正草案
910
2.2.
Adoption of the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation通过《国际商事调解和调解所产生的国际和解协议示范法》
1112
4.4.
Consideration of issues in the area of micro, small and medium-sized enterprises审议微型、小型和中型企业领域的问题
1213
A.A.
Introduction导言
1213
B.B.
Finalization of a draft legislative guide on key principles of a business registry: report of the Committee of the Whole最后审定企业登记处关键原则立法指南草案:全体委员会的报告
1213
1.1.
Introduction导言
1213
2.2.
Objectives of a business registry: paragraph 25企业登记处的目标:第25段
1314
3.3.
Establishment and functions of the business registry企业登记处的设立和职能
1315
4.4.
Operation of the business registry企业登记处的运作
1415
5.5.
Accessibility and information-sharing可获取性和信息共享
1516
6.6.
Fees: paragraph 197费用:第197段
1517
7.7.
Liability and sanctions赔偿责任和制裁
1617
8.8.
Underlying legal reforms基础性法律改革
1617
C.C.
Adoption of the report of the Committee of the Whole and of the UNCITRAL Legislative Guide on Key Principles of a Business Registry通过全体委员会的报告和《贸易法委员会企业登记处关键原则立法指南》
1618
D.D.
Progress report of Working Group I第一工作组进度报告
1719
5.5.
Consideration of issues in the area of insolvency law审议破产法领域的问题
1719
A.A.
Finalization and adoption of the Model Law on the Recognition and Enforcement of Insolvency-Related Judgments and its guide to enactment审定并通过关于跨国界承认和执行与破产有关的判决的示范法及其颁布指南
1719
1.1.
Introduction导言
1719
2.2.
Article-by-article consideration逐条审议
1820
3.3.
Guide to enactment of the Model Law on Recognition and Enforcement of Insolvency-Related Judgments关于承认和执行与破产有关判决的示范法颁布指南
1921
4.4.
Renumbering of the articles of the Model Law and finalization of the guide to enactment示范法条款重新编号和最后拟定颁布指南
2022
5.5.
Adoption of the UNCITRAL Model Law on Recognition and Enforcement of Insolvency-Related Judgments and its guide to enactment通过《关于承认和执行与破产有关的判决的示范法》及其《颁布指南》
2022
B.B.
Progress report of Working Group V第五工作组进度报告
2123
6.6.
Consideration of revised UNCITRAL texts in the area of privately financed infrastructure projects审议私人融资基础设施项目领域经修订的贸易法委员会法规
2224
7.7.
Investor-State dispute settlement reform: progress report of Working Group III投资人与国家间争议解决制度改革:第三工作组进度报告
2324
8.8.
Electronic commerce: progress report of Working Group IV电子商务:第四工作组进度报告
2425
9.9.
Security interests: progress report of Working Group VI担保权益:第六工作组进度报告
2527
10.10.
Celebration of the sixtieth anniversary of the New York Convention纪念《纽约公约》六十周年
2628
A.A.
Celebratory event庆祝活动
2628
B.B.
Decision of the Commission委员会的决定
2729
11.11.
Coordination and cooperation协调与合作
2830
A.A.
General概述
2830
B.B.
Reports of other international organizations其他国际组织的报告
2931
1.1.
Permanent Court of Arbitration常设仲裁法院
2931
2.2.
Organization of American States美洲国家组织
2931
C.C.
International governmental and non-governmental organizations invited to the sessions of UNCITRAL and its working groups获邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织
3031
12.12.
Technical assistance to law reform法律改革技术援助
3132
A.A.
General概述
3132
B.B.
UNCITRAL regional presence贸易法委员会的区域存在
3334
13.13.
Status and promotion of UNCITRAL legal texts贸易法委员会各项法规的现状和推广
3435
A.A.
General discussion一般性讨论
3435
B.B.
Functioning of the transparency repository透明度存储处的运作
3435
C.C.
International commercial law moot competitions国际商法模拟辩论赛
3536
1.1.
Willem C. Vis International Commercial Arbitration Moot维斯国际商事模拟仲裁辩论赛
3536
2.2.
Additional moots其他模拟辩论赛
3637
D.D.
Bibliography of recent writings related to the work of UNCITRAL与贸易法委员会工作相关的近期著述书目
3638
14.14.
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts促进确保统一解释和适用贸易法委员会法规的方式方法
3738
15.15.
Role of UNCITRAL in promoting the rule of law at the national and international levels贸易法委员会在促进国内和国际法治方面的作用
3839
A.A.
Introduction导言
3839
B.B.
Summary of the rule of law briefing法治通报会概要
3940
C.C.
Comments of the Commission on its current role in promoting the rule of law委员会对其目前在促进法治方面的作用的评论
3941
16.16.
Relevant General Assembly resolutions大会的相关决议
4041
17.17.
Work programme工作方案
4041
A.A.
Current legislative programme当前的立法方案
4041
B.B.
Future legislative programme今后的立法方案
4142
C.C.
Technical cooperation and assistance activities技术合作和援助活动
4344
18.18.
Other business其他事项
4445
A.A.
Methods of work工作方法
4445
B.B.
Internship programme实习方案
4647
C.C.
Evaluation of the role of the Secretariat in facilitating the work of the Commission评价秘书处在促进委员会工作上发挥的作用
4647
19.19.
Date and place of future meetings今后会议的日期和地点
4748
A.A.
Fifty-second session of the Commission委员会第五十二届会议
4849
B.B.
Sessions of working groups工作组届会
4849
1.1.
Sessions of working groups between the fifty-first and fifty-second sessions of the Commission委员会第五十一届和五十二届会议之间的工作组届会
4849
2.2.
Sessions of working groups in 2019 after the fifty-second session of the Commission在委员会第五十二届会议之后于2019年举行的工作组届会
4849
Annexes附件
1.1.
United Nations Convention on International Settlement Agreements Resulting from Mediation联合国关于调解所产生的国际和解协议公约
5051
2.1.
UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation, 2018 (amending the UNCITRAL Model Law on International Commercial Conciliation, 2002)贸易法委员会国际商事调解和调解所产生的国际和解协议示范法,2018年(修正2002年《贸易法委员会国际商事调解示范法》)
5658
3.2.
UNCITRAL Model Law on Recognition and Enforcement of Insolvency-Related Judgments贸易法委员会关于承认和执行与破产有关的判决的示范法
6366
4.3.
List of documents before the Commission at its fifty-first session委员会第五十一届会议收到的文件清单
6872
I..
Introduction导言
1.1.
The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the fifty-first session of the Commission, held in New York from 25 June to 13 July 2018.联合国国际贸易法委员会(贸易法委员会)本期报告概述委员会于2018年6月25日至7月13日在纽约举行的第五十一届会议的情况。
2.2.
Pursuant to General Assembly resolution 2205 (XXI) of 17 December 1966, this report is submitted to the Assembly and is also submitted for comments to the United Nations Conference on Trade and Development (UNCTAD).现根据大会1966年12月17日第2205 (XXI)号决议向大会提交本报告,同时一并提交联合国贸易和发展会议(贸发会议)征求意见。
II..
Organization of the session会议安排
A.A.
Opening of the session会议开幕
3.3.
The fifty-first session of the Commission was opened by the Under-Secretary-General for Legal Affairs and United Nations Legal Counsel, Miguel de Serpa Soares, on 25 June 2018.2018年6月25日,联合国主管法律事务的副秘书长兼联合国法律顾问Miguel de Serpa Soares宣布委员会第五十一届会议开幕。
B.B.
Membership and attendance成员和出席情况
4.4.
The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.大会在其第2205 (XXI)号决议中设立了由大会选出的29个国家组成的贸易法委员会。
By its resolution 3108 (XXVIII) of 12 December 1973, the Assembly increased the membership of the Commission from 29 to 36 States.大会通过1973年12月12日第3108 (XXVIII)号决议,将委员会成员国数目从29个国家增至36个国家。
By its resolution 57/20 of 19 November 2002, the General Assembly further increased the membership of the Commission from 36 States to 60 States.大会在2002年11月19日第57/20号决议中进一步将委员会成员国数目从36个国家增至60个国家。
The current members of the Commission, elected on 14 November 2012, 14 December 2012, 9 November 2015, 15 April 2016 and 17 June 2016 are the following States, whose term of office expires on the last day prior to the beginning of the annual session of the Commission in the year indicated: Argentina (2022), Armenia (2019), Australia (2022), Austria (2022), Belarus (2022), Brazil (2022), Bulgaria (2019), Burundi (2022), Cameroon (2019), Canada (2019), Chile (2022), China (2019), Colombia (2022), Côte d’Ivoire (2019), Czechia (2022), Denmark (2019), Ecuador (2019), El Salvador (2019), France (2019), Germany (2019), Greece (2019), Honduras (2019), Hungary (2019), India (2022), Indonesia (2019), Iran (Islamic Republic下列国家是分别于2012年11月14日、2012年12月14日、2015年11月9日、2016年4月15日和2016年6月17日选出的委员会现任成员,任期于所示年份的委员会年度届会开始前的最后一天届满:阿根廷(2022年)、亚美尼亚(2019年)、澳大利亚(2022年)、奥地利(2022年)、白俄罗斯(2022年)、巴西(2022年)、保加利亚(2019年)、布隆迪(2022年)、喀麦隆(2019年)、加拿大(2019年)、智利(2022年)、中国(2019年)、哥伦比亚(2022年)、科特迪瓦(2019年)、捷克共和国(2022年)、丹麦(2019年)、厄瓜多尔(2019年)、萨尔瓦多(2019年)、法国(2019年)、德国(2019年)、希腊(2019年)、洪都拉斯(2019年)、匈牙利(2019年)、印度(2022年)、印度尼西亚(2019年)、伊朗伊斯兰共和国(2022年)、以色列(2022年)、意大利(2022年)、日本(2019年)、肯尼亚(2022年)、科威特(2019年)、黎巴嫩(2022年)、莱索托(2022年)、利比里亚(2019年)、利比亚(2022年)、马来西亚(2019年)、毛里塔尼亚(2019年)、毛里求斯(2022年)、墨西哥(2019年)、纳米比亚(2019年)、尼日利亚(2022年)、巴基斯坦(2022年)、巴拿马(2019年)、菲律宾(2022年)、波兰(2022年)、大韩民国(2019年)、罗马尼亚(2022年)、俄罗斯联邦(2019年)、塞拉利昂(2019年)、新加坡(2019年)、西班牙(2022年)、斯里兰卡(2022年)、瑞士(2019年)、泰国(2022年)、土耳其(2022年)、乌干达(2022年)、大不列颠及北爱尔兰联合王国(2019年)、美利坚合众国(2022年)、委内瑞拉玻利瓦尔共和国(2022年)、赞比亚(2019年)。
of) (2022), Israel (2022), Italy (2022), Japan (2019), Kenya (2022), Kuwait (2019), Lebanon (2022), Lesotho (2022), Liberia (2019), Libya (2022), Malaysia (2019), Mauritania (2019), Mauritius (2022), Mexico (2019), Namibia (2019), Nigeria (2022), Pakistan (2022), Panama (2019), Philippines (2022), Poland (2022), Republic of Korea (2019), Romania (2022), Russian Federation (2019), Sierra Leone (2019), Singapore (2019), Spain (2022), Sri Lanka (2022), Switzerland (2019), Thailand (2022), Turkey (2022), Uganda (2022), United Kingdom of Great Britain and Northern Ireland (2019), United States of America (2022), Venezuela (Bolivarian Republic of) (2022) and Zambia (2019).
5.5.
With the exception of Armenia, Belarus, Cote d’Ivoire, El Salvador, Kenya, Lesotho, Liberia, Mauritania, Pakistan, Sierra Leone and Zambia, all the members of the Commission were represented at the session.除亚美尼亚、白俄罗斯、科特迪瓦、萨尔瓦多、肯尼亚、莱索托、利比里亚、毛里塔尼亚、巴基斯坦、塞拉利昂和赞比亚外,委员会所有成员都派代表出席了本届会议。
6.6.
The session was attended by observers from the following States: Algeria, Bahrain, Belgium, Bolivia (Plurinational State of), Cambodia, Croatia, Dominican Republic, Finland, Gambia, Georgia, Iraq, Morocco, Myanmar, Nepal, Netherlands, Norway, Senegal, Sudan, Uruguay and Viet Nam.下列国家派观察员出席了会议:阿尔及利亚、巴林、比利时、多民族玻利维亚国、柬埔寨、克罗地亚、多米尼加共和国、芬兰、冈比亚、格鲁吉亚、伊拉克、摩洛哥、缅甸、尼泊尔、荷兰、挪威、塞内加尔、苏丹、乌拉圭、越南。
7.7.
The session was also attended by observers from the Holy See and the European Union.教廷和欧洲联盟也派观察员出席了会议。
8.8.
The session was also attended by observers from the following international organizations:下列国际组织也派观察员出席了会议:
(a)(a)
United Nations system: World Bank;联合国系统:世界银行;
(b)(b)
政府间组织:
Intergovernmental organizations: African Legal Support Facility, Gulf Cooperation Council, International Development Law Organization, International Institute for the Unification of Private Law (Unidroit), Organization of American States (OAS) and Permanent Court of Arbitration (PCA);非洲法律支助基金、海湾合作委员会、国际发展法组织、国际统一私法协会(统法协会);
美洲国家组织、常设仲裁法院(常设仲裁院);
(c)(c)
Invited non-governmental organizations: American Arbitration Association/International Centre for Dispute Resolution (AAA/ICDR), American Bar Association, Arbitrators’ and Mediators’ Institute of New Zealand Inc., Association for the Promotion of Arbitration in Africa (APAA), Beijing Arbitration Commission/Beijing International Arbitration Center, China International Economic and Trade Arbitration Commission, Comité Maritime International (CMI), Council of the Notariats of the European Union, European Law Students’ Association, EU Federation for the Factoring and Commercial Finance Industry, Factors Chain International, Florence International Mediation Chamber, Group of Latin American International Commercial Law Lawyers (GRULACI), Hong Kong Mediation Centre, INSOL International, International Academy of Mediators, International Arbitration Institute, International Bar Association (IBA), International Chamber of Commerce受邀请的非政府组织:美国仲裁协会/争议解决国际中心、美国律师协会、新西兰仲裁员和调解员协会、非洲促进仲裁协会、北京仲裁委员会/北京国际仲裁中心、中国国际经济和贸易仲裁委员会、国际海事委员会(海事委员会)、欧洲联盟公证人理事会、欧洲法律学生协会、和欧洲联盟保理和商业金融业联合会、保理商联号国际、佛罗伦萨国际调解庭、拉丁美洲国际商法顾问小组、香港调解中心、破产管理从业人员国际协会、国际调解员研究院、国际仲裁学会、国际律师协会、国际商会、国际破产学会、国际法研究所、国际调解研究所、国际公证联盟、司法人员国际联盟、国际妇女破产和重整联合会、互联网名称与数字地址分配机构、耶路撒冷仲裁中心、模拟仲裁辩论赛校友会、美洲自由贸易国家法律中心、纽约国际仲裁中心、俄罗斯仲裁协会、维也纳国际仲裁中心。
(ICC) , International Insolvency Institute, International Law Institute (ILI) , International Mediation Institute, International Union of Judicial Officers, International Union of Notaries, International Women’s Insolvency and Restructuring Confederation, Internet Corporation for Assigned Names and Numbers, Jerusalem Arbitration Center, Moot Alumni Association, National Law Center for Inter-American Free Trade, New York International Arbitration Center, Russian Arbitration Association and Vienna International Arbitral Centre (VIAC).
9.9.
The Commission welcomed the participation of international non-governmental organizations with expertise in the main items on the agenda.委员会欢迎在主要议程项目方面拥有专门知识的国际非政府组织参加会议。
Their participation was crucial for the quality of texts formulated by the Commission and the Commission requested the Secretariat to continue to invite such organizations to its sessions.它们参加会议对于提高委员会拟定的案文的质量至关重要,委员会请秘书处继续邀请这类组织参加其届会。
C.C.
Election of officers选举主席团成员
10.10.
The Commission elected the following officers:委员会选出了下列主席团成员:
Chair:
Beate Czerwenka (Germany)主席: Beate Czerwenka(德国)
Vice-Chairs:
Daniel Mbabazize (Uganda)副主席: Daniel Mbabazize(乌干达)
Natalie Yu-Lin Morris-Sharma (Singapore)Natalie Yu-Lin Morris-Sharma(新加坡)
Zoltàn Nemessányi (Hungary)Zoltàn Nemessányi(匈牙利)
Rapporteur:
Juan Cuéllar Torres (Colombia)报告员: Juan Cuéllar Torres(哥伦比亚)
D.D.
Agenda议程
11.11.
The agenda of the session, as amended, was adopted by the Commission at its 1069th meeting, on 25 June.委员会在6月25日第1069次会议上通过的会议修正议程如下:
It was as follows:
1.1.
Opening of the session.会议开幕。
2.2.
Election of officers.选举主席团成员。
3.3.
Adoption of the agenda.通过议程。
4.4.
Finalization and adoption of instruments on international commercial settlement agreements resulting from mediation.最后审定并通过关于调解所产生的国际商事和解协议文书。
5.5.
Consideration of issues in the area of micro, small and medium-sized enterprises:审议微型、小型和中型企业领域的问题:
(a)(a)
Finalization and adoption of a legislative guide on key principles of a business registry;最后审定并通过企业登记处关键原则立法指南;
(b)(b)
Progress report of Working Group I.第一工作组进度报告。
6.6.
Celebration of the sixtieth anniversary of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958) (the “New York Convention”).《承认及执行外国仲裁裁决公约》(1958年,纽约)(《纽约公约》)六十周年纪念。
7.7.
I
nvestor-State dispute settlement reform: progress report of Working Group III.投资人与国家间争议解决制度改革:第三工作组进度报告。
8.8.
Electronic commerce: progress report of Working Group IV.电子商务:第四工作组进度报告。
9.9.
Security interests: progress report of Working Group VI.担保权益:第六工作组进度报告。
10.10.
Work programme of the Commission.委员会的工作方案。
11.11.
Date and place of future meetings.今后会议的日期和地点。
12.12.
Consideration of issues in the area of insolvency law:审议破产法领域的问题:
(a)(a)
Finalization and adoption of a model law on cross-border recognition and enforcement of insolvency-related judgments and its guide to enactment;最后审定并通过关于跨国界承认和执行与破产有关的判决的示范法及其颁布指南;
(b)(b)
Progress report of Working Group V.第五工作组进度报告。
13.13.
Coordination and cooperation:协调与合作:
(a)(a)
General;概述;
(b)(b)
Reports of other international organizations;其他国际组织的报告;
(c)(c)
International governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups.受邀参加贸易法委员会及其工作组届会的国际政府间组织和非政府组织。
14.14.
Technical assistance to law reform:法律改革技术援助:
(a)(a)
General;概述;
(b)(b)
UNCITRAL regional presence.贸易法委员会的区域存在。
15.15.
Status and promotion of UNCITRAL legal texts:贸易法委员会各项法规的现状和推广:
(a)(a)
General;概述;
(b)(b)
Functioning of the transparency repository;透明度存储处的运作;
(c)(c)
International moot competitions;国际模拟辩论赛;
(d)(d)
Bibliography of recent writings related to the work of UNCITRAL.与贸易法委员会工作有关的近期著述目录。
16.16.
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts: CLOUT and digests.促进可确保贸易法委员会法规统一解释和适用的方式方法:判例法和摘要集。
17.17.
Role of UNCITRAL in promoting the rule of law at the national and international levels.贸易法委员会在促进国内和国际法治方面的作用。
18.18.
Relevant General Assembly resolutions.大会的有关决议。
19.19.
Consideration of revised UNCITRAL texts in the area of privately financed infrastructure projects.审议私人融资基础设施项目领域经修订的贸易法委员会法规。
20.20.
Other business.其他事项。
21.21.
Adoption of the report of the Commission.通过委员会的报告。
E.E.
Establishment of the Committee of the Whole设立全体委员会
12.12.
The Commission established a Committee of the Whole and referred to it, for consideration, agenda item 5 (a).委员会设立了全体委员会,并将议程项目5(a)交其审议。
The Commission elected Maria Chiara Malaguti (Italy) to chair the Committee of the Whole in her personal capacity.委员会选出Maria Chiara Malaguti女士(意大利)以个人身份担任全体委员会主席。
The Committee of the Whole met on 26 and 27 June 2018 and held four meetings.全体委员会于2018年6月26日和27举行会议,共举行了四次会议。
At its 1074th meeting, on 27 June, the Commission considered and adopted the report of the Committee of the Whole and agreed to include it in the present report (see para. 111 below).委员会6月27日第1074次会议审议并通过了全体委员会的报告,并同意将之列入本报告(见下文第111段)。
(The report of the Committee of the Whole is reproduced in chapter IV, section B, of the present report.)(全体委员会的报告转载于本报告第四章B节。
F.F.
Adoption of the report通过报告
13.13.
The Commission adopted the present report by consensus at its 1078th meeting, on 29 June, at its 1081st meeting, on 3 July, at its 1082nd and 1083rd meetings, on 5 July, and at its 1085th meeting, on 6 July.委员会在6月29日第1078次会议、7月3日第1081次会议、7月5日第1082次和第1083次会议以及7月6日第1085次会议上以协商一致方式通过了本报告。
III..
Finalization and adoption of instruments on international commercial settlement agreements resulting from mediation最后审定并通过关于调解所产生的国际商事和解协议文书
A.A.
Introduction导言
14.14.
The Commission recalled its decision, made at its forty-eighth session, in 2015, to mandate Working Group II to commence work on the topic of enforcement of settlement agreements to identify relevant issues and develop possible solutions, including the possible preparation of a convention, model provisions or guidance texts.委员会回顾其在2015年第四十八届会议上作出的决定,即授权第二工作组开始就和解协议执行专题开展工作,以查明相关问题并制定可能的解决办法,包括可能拟订一部公约、示范条文或指导案文。
At its forty-ninth session, in 2016, the Commission had confirmed that the Working Group should continue its work on the topic.委员会2016年第四十九届会议确认,工作组应继续就此专题开展工作。
At its fiftieth session, in 2017, the Commission had taken note of the compromise reached by the Working Group at its sixty-sixth session (A/CN.9/901, para. 52) and had expressed support for the Working Group to finalize its work on the basis of that compromise by preparing a draft convention on international settlement agreements resulting from mediation as well as a draft amendment to the UNCITRAL Model Law on International Commercial Conciliation (2002).委员会2017年第五十届会议注意到工作组第六十六届会议达成折中意见(A/CN.9/901,第52段),并表示支持工作组在这一折中方案的基础上完成其工作,拟订一部关于调解所产生的国际和解协议公约草案以及《贸易法委员会国际商事调解示范法》修正草案。
15.15.
The Commission had before it the reports of Working Group II (Dispute Settlement) on the work of its sixty-seventh session, held in Vienna from 2 to 6 October 2017, and of its sixty-eighth session, held in New York from 5 to 9 February 2018 (A/CN.9/929 and A/CN.9/934).委员会收到了第二工作组(争议解决)2017年10月2日至6日在维也纳举行的第六十七届会议和2018年2月5日至9日在纽约举行的第六十八届会议的工作报告(A/CN.9/929和A/CN.9/934)。
16.16.
It also had before it the texts of the draft convention on international settlement agreements resulting from mediation as contained in document A/CN.9/942 and of the draft amended UNCITRAL Model Law on International Commercial Conciliation as contained in document A/CN.9/943 (together referred to as the “draft instruments”).委员会还收到了载于A/CN.9/942号文件的关于调解所产生的国际和解协议公约草案和载于A/CN.9/943号文件的《贸易法委员会国际商事调解示范法》修正草案的案文(统称为“文书草案”)。
17.17.
The Commission took note of the summary of the deliberations on the draft instruments that had taken place at the sixty-seventh and sixty-eighth sessions of the Working Group, and of the consensus reached by the Working Group in relation to the instruments.委员会注意到工作组第六十七届和六十八届会议对文书草案进行审议的总结,以及工作组就这些文书达成的共识。
The Commission also took note of the comments by States on the draft instruments as set out in document A/CN.9/945.委员会还注意到各国对A/CN.9/945号文件所载文书草案的评论。
B.B.
Finalization and approval of the draft convention on international settlement agreements resulting from mediation最后审定并核准关于调解所产生的国际和解协议公约草案
1.1.
Consideration of the draft convention审议公约草案
18.18.
The Commission considered the text of the draft convention, as contained in paragraph 4 of document A/CN.9/942.委员会审议了载于A/CN.9/942号文件第4段的公约草案案文。
Terminology术语
19.19.
The Commission affirmed the decision of the Working Group to replace the term “conciliation” with “mediation” throughout the draft instruments and approved the explanatory text describing the rationale for that change, as indicated in document A/CN.9/942, paragraph 5, which would be used, with necessary adjustments, when revising existing UNCITRAL texts on conciliation (see also para. 51 below).委员会确认了工作组关于文书草案全文将术语“conciliation”(“调解”)改为“mediation”(“调解”)的决定,并核准了A/CN.9/942第5段对这一调整的理由作出说明的解释性案文,该案文经必要调整后将在重审贸易法委员会关于调解的现有法规时使用(另见下文第51段)。
Title and preamble标题和序言
20.20.
The Commission approved the title of the draft convention and the preamble.委员会核准了公约草案的标题和序言。
Reference to “Party/Parties to the Convention”“公约当事方”的提法
21.21.
The Commission agreed that the term “a Party to the Convention” or “Parties to the Convention” should be used in the draft convention.委员会商定,公约草案应使用“公约当事方”这一术语。
Draft article 1: Scope of application第1条草案:适用范围
22.22.
The Commission approved article 1, without modification.委员会核准了第1条,未作修改。
Draft article 2: Definitions第2条草案:定义
Paragraph 2第2款
23.23.
The Commission agreed that the definition of the terms “electronic communication” and “data message” should be deleted from paragraph 2 on the basis that those definitions were contained in other United Nations and UNCITRAL instruments, namely the United Nations Convention on the Use of Electronic Communications in International Contracts (2005), the UNCITRAL Model Law on Electronic Commerce (1996) and the UNCITRAL Model Law on Electronic Signatures (2001), which could be used as a reference for the interpretation of those terms in the context of the draft convention.委员会商定,应从第2款中删除“电子通信”和“数据电文”这两个术语的定义,因为这些定义载于联合国和贸易法委员会的其他文书,即《联合国国际合同使用电子通信公约》(2005年)、《贸易法委员会电子商务示范法》(1996年)和《贸易法委员会电子签名示范法》(2001年),这些文书可作为在公约草案范围内解释这些术语的参考。
Paragraph 4第4款
24.24.
The Commission considered paragraph 4, aimed at clarifying the notions of “granting relief” and “seeking relief”.委员会审议了旨在澄清“准予救济”和“寻求救济”概念的第4款。
A proposal was made to simplify paragraph 4 along the lines of: “‘Relief’ means any of the actions set out in article 3”.会上提出将第4款简化如下:“‘救济'系指第3条规定的任何行动”。
It was, however, pointed out that the notion of “actions” might be ambiguous.但有人指出,“行动”的概念可能含糊不清。
Another suggestion was made to delete paragraph 4 and include a cross reference to article 3 in the chapeau of article 4 in order to make it abundantly clear that the term “relief” referred to both enforcement of settlement agreements (under art. 3, para. 1) and the right for a party to invoke a settlement agreement as a defence against a claim (under art. 3, para. 2).另一项建议是删除第4款,并在第4条起首部分加入比照提及第3条的内容,以便非常清楚地表明,“救济”一词既指执行和解协议(根据第3条第1款),也指当事方援用和解协议作为对索赔的抗辩的权利(根据第3条第2款)。
After discussion, the Commission agreed to delete paragraph 4 as it was generally considered unnecessary.经讨论,委员会商定删除第4款,因为普遍认为该款没有必要。
25.25.
The Commission approved article 2, as modified (see paras. 23 and 24 above).委员会核准了经修改的第2条(见上文第23、24段)。
Draft article 3: General principles第3条草案:一般原则
26.26.
The Commission noted that article 3 provided for States’ obligations under the draft convention regarding both enforcement of settlement agreements (para. 1) and the right for a party to invoke a settlement agreement as a defence against a claim (para. 2).委员会注意到,第3条规定了各国在公约草案下关于强制执行和解协议(第1款)和当事人援用和解协议作为对索赔抗辩的权利(第2款)的义务。
It was clarified that the fact that the notions of “enforcement” and “enforceability” as used in the instruments should not be understood as indicating that enforcement referred to something different to enforceability.会上澄清,文书中使用“执行”和“可执行性”概念,不应理解为表示执行所指的不同于可执行性。
It was stated that “enforcement” in the meaning of the instruments covered both the process of issuing an enforceable title and the enforcement of that title.会上指出,文书中所指的“执行”既涵盖可执行权证的签发过程,也涵盖该权证的执行。
27.27.
The Commission approved article 3, without modification.委员会核准了第3条,未作修改。
Draft article 4: Requirements for reliance on settlement agreements第4条草案:对依赖于和解协议的要求
28.28.
The Commission noted that article 4 reflected a balance between the formalities that were required to ascertain that a settlement agreement resulted from mediation and the need for the draft convention to preserve the flexible nature of the mediation process.委员会注意到第4条反映了两方面的平衡:一方面是确定和解协议产生于调解所必需的手续,另一方面是公约草案保持调解过程灵活性的必要性。
29.29.
The Commission considered whether the words “such as”, which appeared at the end of the chapeau of paragraph 1 (b), should be replaced with the words “in the form of”.委员会审议了是否应将第1款(b)项起首部分末尾的“例如”一词改为“以下形式的”。
Support was expressed for retaining the words “such as” as it was considered that they better expressed the open-ended nature of the list in article 4, paragraph 1, should the parties be unable to produce the evidence that the settlement agreement resulted from mediation listed in article 4, subparagraphs 1 (b) (i)–(iii) (see also below, para. 60).会上表示支持保留“例如”一词,因为据认为该用语更好地表达了第4条第1款所列清单的开放性,尤其是如果当事方无法提供证据证明和解协议产生于第4条第1款(b)项㈠–㈢目所列调解的话(另见下文第60段)。
30.30.
The Commission approved article 4, without modification.委员会核准了第4条,未作修改。
Draft article 5: Grounds for refusing to grant relief第5条草案:拒绝准予救济的理由
31.31.
The Commission noted the extensive consultations held by the Working Group at its sixty-eighth session aimed at clarifying the various grounds provided for in paragraph 1, in particular the relationship between subparagraph (b) (i), which mirrored a similar provision of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York Convention) and was considered to be of a generic nature, and subparagraphs (b) (ii) and (iii), (c) and (d), which were deemed to be illustrative in nature.委员会注意到工作组第六十八届会议进行了广泛协商,目的是澄清第1款中规定的各种理由,特别是(b)项㈠目与(b)项㈡和㈢目、(c)项和(d)项之间的关系,前者是仿照《承认及执行外国仲裁裁决公约》(《纽约公约》)的一项类似规定,并且被认为具有通类性质,后者被认为是示例性的。
The Commission also noted that, at that session of the Working Group, various attempts to group the grounds differently had been unsuccessful;委员会还注意到,在工作组该届会议上为以不同方式重新组合这些理由做出的种种尝试均未获成功;
such attempts represented serious efforts to avoid overlap, in the light of the importance of the issue;鉴于这一问题的重要性,这种尝试是为避免重叠而作出的认真努力;
difficulties arose because of the need to accommodate the concerns of different domestic legal systems, which had resulted in the failure of attempts to achieve consensus.由于需要顾及不同国内法律制度的关切产生了种种困难,结果导致这些尝试未达至共识。
The Commission further noted the shared understanding of the Working Group that there might be overlap among the grounds provided for in paragraph 1 and that competent authorities should take that aspect into account when interpreting the various grounds.委员会进一步注意到工作组的共同理解,即第1款中规定的各种理由可能互有重叠,主管机关在解释各种理由时应当考虑到这一点。
32.32.
The Commission approved article 5, without modification.委员会核准了第5条,未作修改。
Draft article 6: Parallel applications or claims第6条草案:并行申请或者请求
33.33.
The Commission noted that article 6 provided the competent authority with the discretion to adjourn its decision if an application or claim relating to a settlement agreement had been made to a court, arbitral tribunal or other competent authority, which might affect the process.委员会注意到,对于向法院、仲裁庭或者其他主管机关提出一项可能影响进程的与和解协议有关的申请或者请求的情形,第6条为主管机关提供了暂停作出决定的裁量权。
The Commission confirmed the understanding of the Working Group that article 6 should apply both when enforcement of a settlement agreement was sought and when a settlement agreement was invoked as a defence.委员会确认工作组的理解,即第6条应适用于寻求执行和解协议和援用和解协议作为抗辩这两种情形。
34.34.
The Commission approved article 6, without modification.委员会核准了第6条,未作修改。
Draft article 7: Other laws or treaties第7条草案:其他法律或者条约
35.35.
The Commission considered article 7, which mirrored article VII of the New York Convention and was aimed at permitting the application of more favourable national legislation or treaties to matters covered by the draft convention.委员会审议了第7条,该条反映了《纽约公约》第七条,旨在允许对公约草案所涉事项适用更有利的国内法规或条约。
The Commission confirmed the understanding that:委员会确认了下述理解:
(a)
(a) article 7 would not allow States to apply the draft convention to settlement agreements excluded under article 1, paragraphs 2 and 3, as such settlement agreements would fall outside the scope of the draft convention;公约草案第7条将不允许各国对第1条第(2)和第(3)款所排除的和解协议适用公约草案,因为此类和解协议将不属于公约草案范围;
and (b)
States would nevertheless have the flexibility to enact relevant domestic legislation, which could include in its scope such settlement agreements.(b)虽然如此,各国仍可灵活颁布相关国内立法,将此种和解协议包括在其范围之内。
36.36.
The Commission approved article 7, without modification.委员会核准了第7条,未作修改。
Draft final provisions最后条款草案
Draft article 8: Reservations第8条草案:保留
37.37.
The Commission noted that article 8 provided for two reservations authorized under the draft convention.委员会注意到,第8条规定了公约草案授权的两项保留。
38.38.
Regarding the reservation on the application of the draft convention on the basis of the parties’ consent, under subparagraph 1 (b), the Commission recalled paragraph 78 of document A/CN.9/934, in which it was clarified that, with regard to how article 8, subparagraph 1 (b), of the draft convention would operate in practice, the understanding was that even without an explicit provision in the draft convention, parties to a settlement agreement would be able to exclude the application of the draft convention.关于根据第1款(b)项在当事人同意的基础上对公约草案的适用所作的保留,委员会回顾了A/CN.9/934号文件第78段,其中澄清,关于公约草案第8条第1款(b)项在实践中如何运用,有一项理解是,即使公约草案中没有明确规定,和解协议当事人依然能够排除公约草案的适用。
39.39.
In the context of those discussions, it was further clarified that subparagraph 1 (b) referred to an opt-in possibility, and that article 5, subparagraph 1 (d), would find application where the parties would agree to opt out of the application of the draft convention.在这些讨论中进一步澄清,第1款(b)项提及选择适用的可能性,第5条第1款(d)项适用于当事人同意选择不适用公约草案的情况。
40.40.
After discussion, the Commission approved article 8, without modification.经过讨论,委员会核准了第8条,未作修改。
Draft article 9: Effect on settlement agreements第9条草案:对和解协议的效力
41.41.
The Commission noted that article 9 addressed the impact of the entry into force of the draft convention and of any reservations or withdrawal thereof on settlement agreements concluded before such entry into force.委员会注意到,第9条述及公约草案生效以及任何保留或保留的撤回生效对此种生效之前订立的和解协议的影响。
Similarly, article 16, paragraph 2, addressed the effect of the denunciation of the draft convention on settlement agreements concluded before such denunciation took effect.同样,第16条第2款述及退出公约草案对退约生效之前订立的和解协议的影响。
It was recalled that the purpose of the provisions was to enhance legal certainty for parties to settlement agreements.回顾说,这些条款的目的是增进对和解协议当事人的法律确定性。
42.42.
The Commission approved article 9, without modification.委员会核准了第9条,未作修改。
Draft article 11: Signature, ratification, acceptance, approval, accession第11条草案:签署、批准、接受、核准、加入
43.43.
In connection with draft article 11, the attention of the Commission was drawn to an offer from the Government of Singapore to organize a ceremony for the signing of the convention, once adopted.关于第11条草案,会上提请委员会注意新加坡政府提议在公约通过后主办签署仪式。
The Commission was informed that the Government of Singapore was prepared to assume the additional costs that might be incurred by convening a signing ceremony outside the premises of the United Nations so that the organization of the signing ceremony would not require additional resources under the United Nations budget.委员会获悉,新加坡政府准备承担在联合国所在地之外举行签署仪式可能产生的额外费用,从而不需要由联合国预算为主办签字仪式提供额外资源。
44.44.
The Commission expressed its gratitude for the offer of the Government of Singapore to act as host for such an event, and the proposal was unanimously supported.委员会对新加坡政府提议主办这一活动表示感谢,这项建议获得一致支持。
The Commission therefore agreed that paragraph 1 of article 11 would read as follows: “This Convention is open for signature by all States in Singapore, on 1 August 2019, and thereafter at United Nations Headquarters in New York.”因此,委员会商定,第11条第1款内容如下:“本公约于2019年8月1日在新加坡开放供各国签署,此后在纽约联合国总部开放供各国签署。”
45.45.
Unanimous support was also expressed for the convention to be referred to as the “Singapore Convention on Mediation”.会上还对将公约称为“《新加坡调解公约》”表示一致支持。
Draft article 13: Non-unified legal systems — Draft article 15: Amendment第13条草案:非统一法律制度-第15条草案:修正
46.46.
The Commission clarified the understanding that article 13 would be applicable in the context of amendments to the convention under article 15, so that States could avail themselves of article 13 to decide whether and how to apply amendments to the convention under article 15 to their territorial units.委员会澄清了一项谅解,即第13条将适用于根据第15条对《公约》做出的修正,以便各国可以利用第13条决定是否以及如何对其领土单位适用根据第15条对《公约》做出的修正。
47.47.
The Commission approved in substance articles 10 to 16, as modified (see para. 44 above).委员会核准了经修改的第10至16条的实质内容(见上文第44段)。
Material accompanying the draft convention公约草案的随附材料
48.48.
The Commission agreed that, resources permitting, the travaux préparatoires of the draft convention should be compiled by the Secretariat, so that they could be easily accessible.委员会一致认为,如果资源允许,公约草案的准备工作文件应由秘书处汇编,以便于查阅。
2.2.
Decision of the Commission and recommendation to the General Assembly委员会的决定和对大会的建议
49.49.
At its 1070th meeting, on 25 June 2018, the Commission adopted by consensus the following decision and recommendation to the General Assembly:在2018年6月25日第1070次会议上,委员会以协商一致方式通过了下述决定和对大会的建议:
The United Nations Commission on International Trade Law,联合国国际贸易法委员会,
Recalling its mandate under General Assembly resolution 2205 (XXI) of 17 December 1966 to further the progressive harmonization and unification of the law of international trade and in that respect to bear in mind the interests of all peoples, in particular those of developing countries, in the extensive development of international trade,回顾大会1966年12月17日第2205 (XXI)号决议赋予委员会的任务,即促进国际贸易法的逐步协调和统一,并为此念及各国人民,尤其是发展中国家人民在国际贸易广泛发展中的利益,
Recognizing the value of mediation as a method of amicably settling disputes arising in the context of international commercial relations,认识到调解作为一种友好解决国际商业关系中产生的争议的方法所具有的价值,
Recalling General Assembly resolution 57/18 of 19 November 2002, in which the Assembly noted with appreciation the adoption of the United Nations Commission on International Trade Law Model Law on International Commercial Conciliation (2002), and expressing the conviction that the Model Law, together with the United Nations Commission on International Trade Law Conciliation Rules (1980), the use of which was recommended by the General Assembly in its resolution 35/52 of 4 December 1980, contributes significantly to the establishment of a harmonized legal framework for the fair and efficient settlement of disputes arising in international commercial relations,回顾大会2002年11月19日第57/18号决议,大会在该决议中赞赏地注意到通过了《联合国国际贸易法委员会国际商事调解示范法》(2002年),并表示深信《示范法》以及大会1980年12月4日第35/52号决议所建议使用的《联合国国际贸易法委员会调解规则》(1980年)大大有助于建立用于公平和高效解决国际商事关系中产生的争议的统一法律框架,
Convinced that the adoption of a convention on international settlement agreements resulting from mediation that is acceptable to States with different legal, social and economic systems would complement the existing legal framework on international mediation and would contribute to the development of harmonious international economic relations,深信通过一部可为法律、社会和经济制度不同的国家接受的关于调解所产生的国际和解协议的公约将补充现行国际调解法律框架,并将有助于发展和谐的国际经济关系,
Recalling that the decision of the Commission to concurrently prepare a draft convention on international settlement agreements resulting from mediation and an amendment to the Model Law on International Commercial Conciliation was intended to accommodate the different levels of experience with mediation in different jurisdictions and to provide States with consistent standards on cross-border enforcement of international settlement agreements resulting from mediation, without creating any expectation that interested States will adopt either instrument,回顾委员会决定并行拟订一部关于调解所产生的国际和解协议的公约草案和《国际商事调解示范法》修正本,其目的是顾及不同法域在调解方面的经验参差不齐并为各国提供关于跨境执行调解所产生的国际和解协议的一致标准,同时不对有关国家将通过其中一项文书确立任何预期,
Noting that the preparation of the draft convention on international settlement agreements resulting from mediation was the subject of due deliberation in the Commission and that the draft convention benefited from consultations with Governments and interested intergovernmental and invited non-governmental organizations,注意到委员会就拟订关于调解所产生的国际和解协议公约草案进行了适当审议,而且公约草案受益于与各国政府以及有关政府间组织和获邀非政府组织的协商,
Having considered the draft convention at its fifty-first session, in 2018,在委员会2018年第五十一届会议上审议了公约草案,
Drawing attention to the fact that the text of the draft convention was circulated for comment before the fifty-first session of the Commission to all Governments invited to attend the meetings of the Commission and the Working Group as members or observers,提请注意公约草案案文已在委员会第五十一届会议之前分发给作为成员或观察员应邀出席委员会和工作组届会的所有国家政府征求意见,
Considering that the draft convention has received sufficient consideration and has reached the level of maturity for it to be generally acceptable to States,认为公约草案已经得到充分审议并已达到可为各国普遍接受的成熟水平,
1.1.
Submits to the General Assembly the draft convention on international settlement agreements resulting from mediation, as it appears in annex I to the report of the United Nations Commission on International Trade Law on the work of its fifty-first session;向大会提交联合国国际贸易法委员会第五十一届会议工作报告附件一所载关于调解所产生的国际和解协议公约草案;
2.2.
Recommends that the General Assembly, taking into account the extensive consideration given to the draft convention by the Commission and its Working Group II (Dispute Settlement), consider the draft convention with a view to adopting, at its seventy-third session, on the basis of the draft convention approved by the Commission, a United Nations Convention on International Settlement Agreements Resulting from Mediation, authorizing a signing ceremony to be held as soon as practicable in 2019 in Singapore, upon which the Convention would be open for signature, and recommending that the Convention be known as the “Singapore Convention on Mediation”;建议大会在考虑到委员会及其第二工作组(争议解决)已对公约草案进行广泛审议的情况下对公约草案进行审议,以期根据委员会核准的公约草案在大会第七十三届会议上通过《联合国关于调解所产生的国际和解协议公约》; 授权视实际情况尽快于2019年在新加坡举行签署仪式,届时《公约》将开放供签署; 建议将《公约》称为“《新加坡调解公约》”;
3.3.
Requests the Secretary-General to publish the Convention, upon adoption, including electronically, in the six official languages of the United Nations and to disseminate it broadly to Governments and other interested bodies.请秘书长在《公约》获得通过后发布《公约》,包括以电子方式、用联合国六种正式语文发布,并向各国政府及其他有关机构广泛传播。
C.C.
Finalization and adoption of amendments to the UNCITRAL Model Law on International Commercial Conciliation最后审定并通过对《贸易法委员会国际商事调解示范法》的修正
1.1.
Consideration of the draft amended Model Law审议《示范法》修正草案
50.50.
The Commission approved the title of the draft amended Model Law, as well as its structure and presentation in three different sections.委员会核准了《示范法》修正草案的标题及其分三节的结构和编排方式。
The Commission agreed to replace the word “Mediation” in the heading of section 2 with the words “International commercial mediation”, it being understood that such modification would not have any implication as to the applicability of the Model Law to various fields where mediation was used, including investor-State dispute settlement.委员会商定,将第2节标题中“调解”一词改为“国际商事调解”,但有一项理解,即这种修改不会对《示范法》适用于使用调解的各个领域——包括投资人与国家间争议解决——产生任何影响。
51.51.
The Commission also approved the replacement of the term “conciliation” by “mediation” throughout the draft instruments, as well as in the explanatory text describing the rationale for that change reproduced in footnote 2 to the draft amended Model Law (see also para. 19 above).委员会还核准文书草案全文将术语“conciliation”(“调解”)改为“mediation”(“调解”),并核准了《示范法》修正草案脚注2所转载的对这一调整的理由作出说明的解释性案文(见上文第19段)。
52.52.
The Commission noted that, in its deliberations on the draft amended Model Law, the Working Group had generally agreed that the guiding principles would be to ensure a level of consistency with the draft convention and, at the same time, to preserve the existing text of the Model Law to the extent possible.委员会注意到,工作组在《示范法》修正草案审议过程中普遍认为,指导原则是确保与公约草案保持一定程度的一致性,同时尽量保持《示范法》的现有案文。
Draft section 1: General provisions第1节草案:总则
53.53.
The Commission adopted section 1, without modification.委员会通过了第1节,未作修改。
Draft section 2: International commercial mediation第2节草案:国际商事调解
54.54.
The Commission adopted section 2, with the modification to its title (see para. 50 above).委员会通过了第2节,同时对其标题做了修改(见上文第50段)。
Draft section 3: International settlement agreements第3节草案:国际和解协议
55.55.
The Commission considered draft articles 16 to 20, which addressed international settlement agreements in a manner consistent with the draft convention.委员会审议了第16至20条草案,这些条款关于国际和解协议的处理方式与公约草案一致。
Draft article 16: Scope of application of the section and definitions第16条草案:本节适用范围和定义
56.56.
The Commission agreed that the modifications approved with respect to the draft convention should be reflected in the relevant provisions of the draft amended Model Law (see above, paras. 23 and 24).委员会一致认为,关于公约草案的核准修改意见应当反映在《示范法》修正草案的有关条文中(见上文第23、24段)。
Accordingly, the Commission agreed to delete the definition of the terms “electronic communication” and “data message” in draft article 16, paragraph 6, and to delete draft article 16, paragraph 7.因此,委员会商定,删除第16条第6款中“电子通信”和“数据电文”两术语的定义,并删除第16条第7款草案。
57.57.
The Commission adopted article 16, as modified (see para. 56 above).委员会通过了经修改的第16条(见上文第56段)。
Draft article 17: General principles第17条草案:一般原则
58.58.
The Commission noted that article 17 provided for the principles regarding both enforcement of settlement agreements (para. 1) and the right for a party to invoke a settlement agreement as a defence against a claim (para. 2).委员会注意到,第17条规定了关于执行和解协议(第1款)和当事人援用和解协议作为对索赔抗辩的权利(第2款)的原则。
59.59.
The Commission adopted article 17, without modification.委员会通过了第17条,未作修改。
Draft article 18: Requirements for reliance on settlement agreements第18条草案:对依赖于和解协议的要求
60.60.
The Commission noted that article 18 reflected a balance between the formalities that would be required to ascertain that the settlement agreement resulted from mediation and the need for the instrument to preserve the flexible nature of the mediation process.委员会注意到第18条反映了两方面的平衡:一方面是确定和解协议产生于调解所必需的手续,另一方面是文书保持调解过程灵活性的必要性。
As agreed in the context of the consideration of the draft convention, the Commission agreed to retain the words “such as”, which appeared at the end of the chapeau of paragraph 1 (b) (see above, para. 29).根据公约草案审议过程中商定的意见,委员会同意保留第1款(b)项起首部分末尾的“例如”一词(见上文第29段)。
61.61.
The Commission adopted article 18, without modification.委员会通过了第18条草案,未作修改。
Draft article 19: Grounds for refusing to grant relief第19条草案:拒绝准予救济的理由
62.62.
The Commission noted the extensive consultations of the Working Group at its sixty-eighth session aimed at clarifying the various grounds provided for in paragraph 1 (see also above, para. 31).委员会注意到工作组第六十八届会议进行了广泛协商,目的是澄清第1款中规定的各种理由(另见上文第31段)。
63.63.
The Commission adopted article 19, without modification.委员会通过了第19条,未作修改。
Draft article 20: Parallel applications or claims第20条草案:并行申请或者请求
64.64.
The Commission noted that article 20 provided the competent authority with the discretion to adjourn its decision if an application or claim relating to the settlement agreement had been made to a court, arbitral tribunal or other competent authority, which might affect the process.委员会注意到,对于向法院、仲裁庭或者其他主管机关提出一项可能影响进程的与和解协议有关的申请或者请求的情形,第20条为主管机关提供了暂停作出决定的裁量权。
65.65.
The Commission adopted article 20, without modification.委员会通过了第20条,未作修改。
Footnotes脚注
66.66.
The Commission considered the footnotes to the draft amended Model Law.委员会审议了《示范法》修正草案的脚注。
The Commission agreed that the third sentence of footnote 5 should become a separate footnote to article 16, paragraph 1.委员会商定,脚注5第三句应单列为第16条第1款的脚注。
In footnote 6, the Commission agreed to add the word “also” before the word “international” so that the possible addition to paragraph 4 in footnote 6 would read as follows: “A settlement agreement is also ‘international’ if it results from international mediation as defined in article 3, paragraphs 2, 3 and 4.”在脚注6中,委员会商定将“国际”一词之前的“为”字改为“也为”一词,因此,脚注6中提及的第4款可能增列的内容改拟如下:“产生于第3条第2款、第3款和第4款所界定的国际调解的和解协议也为‘国际’和解协议。”
Material accompanying the draft amended Model Law《示范法》修正草案的随附材料
67.67.
The Commission noted the recommendation of the Working Group that, resources permitting, the travaux préparatoires of the draft amended Model Law should be compiled by the Secretariat so that they could be easily accessible.委员会注意到工作组的建议,即秘书处应在资源允许的情况下汇编《示范法》修正草案的准备工作文件,以便于查询。
It was agreed that the Secretariat should be tasked with the preparation of a text to supplement the “Guide to enactment and use of the UNCITRAL Model Law on International Commercial Conciliation”.委员会商定,应当责成秘书处编写“《贸易法委员会国际商事调解示范法颁布和使用指南》”的补充案文。
In that regard, the Commission agreed that the “Guide to enactment and use” should provide guidance on how sections 2 and 3 of the amended Model Law should each be enacted as a stand-alone legislative text.为此,委员会一致认为“《颁布和使用指南》”应当就如何作为自成一体的立法案文分别颁布《示范法》修正本第2节和第3节提供指导。
2.2.
Adoption of the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation通过《国际商事调解和调解所产生的国际和解协议示范法》
68.68.
At its 1070th meeting, on 25 June 2018, the Commission adopted by consensus the following decision:在2018年6月25日第1070次会议上,委员会以协商一致方式通过了下述决定:
The United Nations Commission on International Trade Law,联合国国际贸易法委员会,
Recalling its mandate under General Assembly resolution 2205 (XXI) of 17 December 1966 to further the progressive harmonization and unification of the law of international trade and in that respect to bear in mind the interests of all peoples, in particular those of developing countries, in the extensive development of international trade,回顾大会1966年12月17日第2205 (XXI)号决议赋予委员会的任务,即促进国际贸易法的逐步协调和统一,并为此念及各国人民,尤其是发展中国家人民在国际贸易广泛发展中的利益,
Recognizing the value of mediation as a method of amicably settling disputes arising in the context of international commercial relations,认识到调解作为一种友好解决国际商业关系中产生的争议的方法所具有的价值,
Recalling General Assembly resolution 57/18 of 19 November 2002, in which the Assembly noted with appreciation the adoption of the United Nations Commission on International Trade Law Model Law on International Commercial Conciliation (2002), and expressing the conviction that the Model Law, together with the United Nations Commission on International Trade Law Conciliation Rules (1980), the use of which was recommended by the General Assembly in its resolution 35/52 of 4 December 1980, contributes significantly to the establishment of a harmonized legal framework for the fair and efficient settlement of disputes arising in international commercial relations,回顾大会2002年11月19日第57/18号决议,大会在该决议中赞赏地注意到通过了《联合国国际贸易法委员会国际商事调解示范法》(2002年),并表示深信《示范法》以及大会1980年12月4日第35/52号决议所建议使用的《联合国国际贸易法委员会调解规则》(1980年)大大有助于建立用于公平和高效解决国际商事关系中产生的争议的统一法律框架,
Believing that the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation will significantly assist States in enhancing their legislation governing the use of modern mediation techniques and in formulating such legislation where none currently exists,相信《国际商事调解和调解所产生的国际和解协议示范法》将大大有助于各国加强关于利用现代调解方法的立法并制订目前尚不存在的此类立法,
Recalling that the decision of the Commission to concurrently prepare a draft convention on international settlement agreements resulting from mediation and an amendment to the Model Law on International Commercial Conciliation was intended to accommodate the different levels of experience with mediation in different jurisdictions and to provide States with consistent standards on cross-border enforcement of international settlement agreements resulting from mediation, without creating any expectation that interested States will adopt either instrument,回顾委员会决定并行拟订一部关于调解所产生的国际和解协议的公约草案和《国际商事调解示范法》修正本,其目的是顾及不同法域在调解方面的经验参差不齐并为各国提供关于跨境执行调解所产生的国际和解协议的一致标准,同时不对有关国家将通过其中一项文书确立任何预期,
Noting that the preparation of the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation was the subject of due deliberation in the Commission and that the draft Model Law benefited from consultations with Governments and interested intergovernmental and invited non-governmental organizations,注意到委员会就拟订《国际商事调解和调解所产生的国际和解协议示范法》进行了适当审议,而且示范法草案受益于与各国政府以及有关政府间组织和获邀非政府组织的协商,
1.1.
Adopts the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation as it appears in annex II to the report of the United Nations Commission on International Trade Law on the work of its fifty-first session;通过联合国国际贸易法委员会第五十一届会议工作报告附件二所载《国际商事调解和调解所产生的国际和解协议示范法》;
2.2.
Recommends that all States give favourable consideration to the enactment of the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation when they enact or revise their laws, in view of the desirability of uniformity of the law of dispute settlement procedures and the specific needs of international commercial mediation practice;建议所有国家鉴于统一争议解决程序法律的可取性以及国际商事调解惯例的具体需要,在颁布或修订本国法律时对颁布《国际商事调解和调解所产生的国际和解协议示范法》给予积极的考虑;
3.3.
Requests the Secretary-General to publish the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation, including electronically, in the six official languages of the United Nations, and to disseminate it broadly to Governments and other interested bodies.请秘书长发布《国际商事调解和调解所产生的国际和解协议示范法》,包括以电子方式、用联合国六种正式语文发布,并向各国政府及其他有关机构广泛传播。
IV..
Consideration of issues in the area of micro, small and medium-sized enterprises审议微型、小型和中型企业领域的问题
A.A.
Introduction导言
69.69.
The Commission recalled that, at its forty-sixth session, in 2013, it had agreed that work on reducing the legal obstacles faced by micro, small and medium-sized enterprises throughout their life cycle, in particular in developing economies, should be added to its work programme and that such work should be allocated to Working Group I.委员会回顾在其2013年第四十六届会议上商定,委员会工作方案中应添加以特别是在发展中经济体减少微型、小型和中型企业整个寿命周期面临的法律障碍为宗旨的工作,并应将这项工作分配给第一工作组。
The Commission also recalled that it had agreed at that session that such work should start with a focus on legal questions surrounding the simplification of incorporation.委员会还回顾其曾在该届会议上商定,此项工作应首先侧重于围绕简化企业设立的法律问题。
The Commission further recalled that Working Group I, since its twenty-third session, in 2014, had considered the legal issues surrounding the simplification of incorporation and good practices in business registration, both of which aimed at reducing the legal obstacles encountered by micro, small and medium-sized enterprises throughout their life cycle.委员会进一步回顾,自2014年第二十三届会议以来,第一工作组审议了围绕简化企业设立程序的法律问题以及企业登记方面的良好做法,这两方面都着眼于减少微型、小型和中型企业整个寿命周期遇到的法律障碍。
70.70.
The Commission had before it:委员会收到了:
(a)
(a) the reports of Working Group I (Micro, Small and Medium-sized Enterprises) on its twenty-ninth and thirtieth sessions (A/CN.9/928 and A/CN.9/933, respectively);第一工作组(微型、小型和中型企业)第二十九届和第三十届会议报告(分别为A/CN.9/928、A/CN.9/933);
(b) a note by the Secretariat on the draft legislative guide on key principles of a business registry (A/CN.9/940);(b)秘书处关于企业登记处关键原则立法指南草案的说明(A/CN.9/940);
and (c) a note by the Secretariat on adopting an enabling legal environment for the operation of micro, small and medium-sized enterprises (A/CN.9/941), which was intended to provide the context for the work of UNCITRAL on micro, small and medium-sized enterprises.(c)秘书处关于创建有利于微型、小型和中型企业运营的法律环境的说明(A/CN.9/941),其目的是提供贸易法委员会在微型、小型和中型企业方面工作的背景情况。
B.B.
Finalization of a draft legislative guide on key principles of a business registry: report of the Committee of the Whole最后审定企业登记处关键原则立法指南草案:全体委员会的报告
71.71.
The Committee of the Whole, established by the Commission at its fifty-first session (see para. 12 above), considered the text of the draft legislative guide on key principles of a business registry and approved the changes as set out below.由委员会第五十一届会议设立的全体委员会(见上文第12段)审议了企业登记处关键原则立法指南草案案文,并核准了下文所载明的修改意见。
Paragraphs and recommendations not referred to below were adopted by the Committee as drafted.下文凡未提及的段落和建议,均已由全体委员会按现在的案文通过。
1.1.
Introduction导言
Paragraph 2第2段
72.1.
The Committee agreed to replace the word “certain” with “many” and to add the words “depending on their legal forms” after the word “businesses”.全体委员会商定,将“某些”一词改为“许多”,并在“企业”一词之后加上“根据其法律形式”。
Terminology: paragraph 12术语:第12段
73.2.
To resolve concerns about the use of terminology, the Committee agreed to delete the definition of “business registration” and the reference to “business registration system” in the definition of “business registry” and to adopt the following definition of “business registry”: “‘Business registry’ means the State’s mechanism for receiving, storing and making accessible to the public certain information about businesses, as required by domestic law.”为解决对术语使用的关切,全体委员会商定,删除“企业登记”的定义以及“企业登记处”定义中对“企业登记系统”的提及,并通过“企业登记处”的以下定义:“‘企业登记处’是指国家按照国内法的要求接收、储存和向公众提供关于企业的某些信息的机制。”
74.3.
The Committee also agreed to add a footnote to that definition to the following effect:全体委员会还商定,该定义添加一条大意如下的脚注:
“The business registry may also function as a one-stop shop to support mandatory registration with other relevant authorities (e.g., taxation and social security authorities) — this is discussed further in paragraph 57.”“企业登记处也可作为一站式服务点,支持向其他主管机构(如税务和社会保障机构)办理强制登记——这一点将在第57段中进一步讨论。”
With respect to the use of the phrase “business registration system” throughout the text, the Committee agreed that it could be replaced with the term “business registry” as appropriate;关于全文使用“企业登记制度”一语,全体委员会商定,可以酌情将其替换为“企业登记处”;
it was noted that the direct replacement would not be possible in all instances.会上指出,不可能在所有情况下都直接替换。
75.4.
The Committee agreed to delete the definition of “formal economy” on the basis that that issue was addressed in A/CN.9/941.全体委员会商定,删除“正规经济”的定义,其依据是,这一问题已在A/CN.9/941中述及。
76.5.
The Committee agreed to delete the words “or a non-business entity” from the definition of “unique identifier” and from other parts of the text, as appropriate, such as from paragraphs 101 and 104 (see paras. 92 and 93 below).全体委员会商定,从“独一识别码”定义中以及酌情从案文其他部分,如第101和104段(见下文第92、93段),删除“或一个非企业实体”一语。
2.2.
Objectives of a business registry: paragraph 25企业登记处的目标:第25段
77.6.
The Committee agreed to delete from the paragraph the sentence commencing with the words “A desirable approach” and also agreed that the paragraph should end after the words “and social security authorities” in the penultimate sentence.全体委员会商定,从该段中删除以“一种可取的办法”开头的句子,还商定,该段应在倒数第二句中“和社会保障主管机构”之后结束。
Purposes of the business registry: paragraph 26企业登记处的目标:第26段
78.7.
The Committee agreed to delete the following words from the paragraph: “However, since business registration may be viewed as a conduit through which businesses of all sizes and legal forms interact with the State and operate in the formal economy (see paras. 123 to 126 below and rec. 20),”.全体委员会商定,从该段中删除以下一句:“不过,由于企业登记被视为一个渠道,所有规模和法律形式的企业通过这一渠道与国家互动并在正规经济中经营(见下文第123至126段及建议20)。”
79.8.
The Committee agreed to add, before the penultimate sentence of paragraph 26, text explaining that, in some States, one of the consequences of business registration was that the registered information had erga omnes legal effect.全体委员会商定,在第26段倒数第二句之前添加案文,解释在某些国家企业登记的后果之一是所登记的信息具有普遍适用的法律效力。
Simple and predictable legislative framework permitting registration: recommendation 3允许办理登记的简单、可预测立法框架:建议3
80.9.
The Committee agreed that the chapeau and subparagraph (a) of the recommendation should read: “Laws governing the business registry should: (a) Adopt a simple structure and avoid the unnecessary use of exceptions or granting of discretionary power;”.全体委员会商定,该建议起首部分和(a)项应改为:“关于商业登记处的法律应当:(a)采用简单的结构,避免不必要地使用例外情形或准予酌处权;
”。
Key features of a business registry: paragraph 32企业登记处的关键特征:第32段
81.10.
The Committee agreed to delete from the paragraph the following words: “whether or not the information in the business registry is legally binding on the registry, the registrant, the registered business or on third parties, nor to”.全体委员会商定,从该段中删除以下词语:“企业登记处的信息是否对登记处、登记人、已登记企业或第三方具有法律约束力,也不是”。
3.3.
Establishment and functions of the business registry企业登记处的设立和职能
Responsible authority: paragraph 40负责的主管机构:第40段
82.11.
The Committee agreed to replace the word “liability” in the first sentence with the word “responsibility”.全体委员会商定,将第一句中的“liability”(“责任”)一词改为“responsibility”(“责任”)。
Appointment and accountability of the registrar: paragraph 43登记官的任命和问责:第43段
83.12.
The Committee agreed to revise the second sentence as follows: “In this regard, the applicable law of the enacting State should establish principles for the accountability of the registrar to ensure appropriate conduct in administering the business registry (the potential liability of the registry is addressed in paras. 213–218 and rec. 47 below).”全体委员会商定,对第二句修改如下:“在这方面,颁布国的适用法律应当确立登记官问责制的原则,以确保在管理企业登记处方面的适当施行(登记处的潜在责任在下文第213-218段及建议47中论及)。”
Core functions of business registries: paragraphs 53 and 56企业登记处的核心职能:第53和56段
84.13.
The Committee agreed to delete from paragraph 53 the words “and in any event, the assignment of a unique identifier will assist in ensuring the unique identity of the business within and across jurisdictions (see also paras. 98 to 105 below).”全体委员会商定,从第53段中删除以下词语“无论如何,独一识别码的分配将有助于确保企业在法域内外的独特身份(另见下文第98至105段)。”
85.1.
The Committee also agreed that the reference to email in paragraph 56 (as well as paras. 74, 120 and 196) should be expanded to include electronic address or other electronic means of communication.全体委员会还商定,第56段(以及第74、120和193段)中提及电子邮件的内容应加以扩大,包括电子邮件地址或其他电子通信手段。
4.4.
Operation of the business registry企业登记处的运作
Electronic, paper-based or mixed registry: recommendation 12电子、纸介或混合型登记处:建议12
86.2.
The Committee agreed to replace the title of the recommendation with “Medium to operate a business registry”.全体委员会商定,将该建议的标题改为“企业登记处的操作媒介”。
Electronic documents and electronic authentication methods: paragraph 85 and recommendation 13电子文件和电子认证方法:第85段及建议13
87.3.
The Committee agreed to modify the third sentence of paragraph 85 to refer to “electronic signature or other means of identification and authentication”.全体委员会商定,修改第85段第三句,提及“电子签名或其他身份识别和认证手段”。
88.4.
The Secretariat was requested to ensure that the reference to “electronic signatures and other equivalent identification methods” in recommendation 13, subparagraph (a), was consistent with the language used in other UNCITRAL texts.全体委员会请秘书处确保建议13(a)项中对“电子签名及其他等同身份识别方法”的提及与贸易法委员会其他法规中使用的措辞一致。
A one-stop shop for business registration and registration with other authorities: paragraphs 86 and 88企业登记与向其他主管机构登记的一站式服务处:第86至88段
89.5.
The Committee agreed to delete the reference to “justice and employment authorities” in paragraph 86.全体委员会商定,删除第86段中的“司法和就业主管机构”。
90.6.
The Committee also agreed to delete the second sentence of paragraph 88 and to adjust the third sentence as appropriate, in particular by deleting the word “additional”.全体委员会还商定,删除第88段第二句并酌情调整第三句,特别是删除“另”字。
Use of unique identifiers: paragraphs 98, 101 and 102使用独一识别码:第98、101、102段
91.7.
The Committee agreed to delete the last sentence of paragraph 98.全体委员会商定,删除第98段最后一句。
92.8.
The Committee also agreed to replace the word “entities” in the first sentence of paragraph 101 with the word “businesses” and similarly the word “entity” with the word “business” in the penultimate sentence.全体委员会还商定,第101段第一句中“实体”一词改为“企业”,同样,倒数第二句中“实体”一词也改为“企业”。
The Committee further agreed to revise the third sentence as follows: “The unique identifier is usually allocated by an authority with which the business is required to register and does not change during the existence of that business, or after its deregistration.”全体委员会进一步商定对第三句修订如下:“独一识别码通常由要求企业向其登记的机构分配,并且在该企业存续期间或者注销之后始终不变。”
93.9.
The Committee further agreed to delete the last two sentences of paragraph 102.全体委员会还商定删除第102段最后两句。
Business permitted or required to register: paragraphs 124 and 125允许或要求办理登记的企业:第124、125段
94.10.
The Committee agreed to delete the reference to “government bodies” in the fourth sentence of paragraph 124.全体委员会商定,删除第124段第四句对“政府机构”的提及。
95.11.
In respect of paragraph 125, the Committee agreed that:关于第125款,全体委员会商定如下:
(a) the first sentence should end after the word “markets”;(a)
第一句应在“市场”一词之后结束;
(b) the words “and, subject to the legal form chosen for the business which may require it to be registered,” should be deleted;(b)删除“以及以为企业选择的法律形式为前提”的字样;
and(c)新的第二句应修订如下:“无论如何,将个人资产与企业专用资产分离或限制企业所有人的责任总是需要登记的。”
(c) the new second sentence should be revised as follows: “In any event, registration is always required for the separation of personal assets from assets devoted to the business or for limiting the liability of the owner of the business.”
Minimum information required for registration: paragraph 127登记所要求的最低限信息:第127段
96.1.
The Committee agreed to delete the words “and economic framework” from the first sentence of the paragraph.全体委员会商定,该段第一句删除“和经济框架”的字样。
Rejection of an application for registration: paragraph 149拒绝登记申请:第149段
97.2.
The Committee agreed to replace “may” with “must” and to add the word “only” before the word “if” in the first sentence of the paragraph, as well as to delete the last sentence of that paragraph.全体委员会商定,将“可”一词改为“必须”,并在该段第一句中将“如果”改为“只有当……时”。
5.5.
Accessibility and information-sharing可获取性和信息共享
Access to registration services of the business registry: paragraph 167 and recommendation 33获取企业登记处的登记服务:第167段及建议33
98.3.
The Committee agreed that:全体委员会商定如下:
(a)
(a) the title of section B and that of recommendation 33 should be changed to: “Access to services of the business registry”;B节的标题和建议33的标题应改为:
“获取企业登记处的服务”;
(b) the first sentence of paragraph 167 should refer to “all potential users, including potential registrants”;(b)第167段第一句应当提及“所有潜在用户,包括潜在登记人”;
and (c) the opening phrase of recommendation 33 should be amended to read: “The law should permit access to the business registry without discrimination”.(c)建议33开头语应改为:“法律应当允许访问企业登记处,不受到歧视”。
Equal rights of women to access the registration services of the business registry: paragraphs 173 and 174 and recommendation 34妇女获取企业登记处登记服务的平等权利:第173、174段及建议34
99.1.
The Committee agreed that in the last sentence of paragraph 173, the word “some” should be replaced with “many”.全体委员会商定,第173段最后一句中“某些”一词应改为“许多”。
100.2.
The Committee also agreed that in the last sentence of paragraph 174, a reference should be added to the Universal Declaration of Human Rights so that the sentence reads: “Such steps are also in compliance with the non-discrimination commitments of States under international human rights instruments, such as the Universal Declaration of Human Rights, as well as with the obligations of States parties to the United Nations Convention on the Elimination of All Forms of Discrimination against Women and other United Nations treaties for the elimination of discrimination based on gender.”全体委员会还商定,第174段最后一句应加入提及《世界人权宣言》的内容,因此,该句内容如下:“这些步骤也符合各国在国际人权文书(如《世界人权宣言》)中所作的不歧视承诺以及《联合国消除对妇女一切形式歧视公约》和消除基于性别歧视的其他联合国条约缔约国的保证。”
101.3.
The Committee further agreed to add a new paragraph after paragraph 174 along the lines of: “To establish gender-neutral business registration frameworks, States also need to institute policies to collect anonymized, sex-disaggregated data for business registration on a voluntary basis through the business registry.全体委员会进一步商定,第174段之后加入新的一段,写法如下:“为建立无性别倾向的企业登记框架,各国还需要制定政策,以在自愿基础上通过企业登记处收集企业登记方面按性别分列的匿名数据。
Such efforts would facilitate a Government’s ability to determine the extent of informal barriers.这种努力将有助于政府确定非正式障碍的程度。
Evidence for policy development continues to suffer because of the lack of sex-disaggregated data for statistical purposes.”由于缺乏用于统计目的的按性别分列的数据,有助于制定政策的证据仍然不足。”
102.4.
Finally, the Committee agreed to add a new subparagraph to recommendation 34, reading: “(c) Provide for the adoption of policies to collect anonymized, sex-disaggregated data for business registration through the business registry.”最后,全体委员会商定,建议34添加一新项如下:“(c)规定采取通过企业登记处收集企业登记方面按性别分列的匿名数据的政策。”
Direct electronic access to submit registration, to request amendments and to search the registry: paragraphs 185 and 188 and recommendation 37直接网上登录以提交登记、请求修订和查询登记处:第185、188段及建议37
103.1.
The Committee agreed to:全体委员会商定如下:
(a)
(a) revise the title of section F and recommendation 37 to “Direct electronic access to registry services”;将F节和建议37的标题修改为“直接以电子方式获取登记处服务”;
(b) add the words “including mobile devices,” after the words “any electronic device” in the first sentence of paragraph 185;(b)第185段第一句在“任何电子设备”之后添加“包括移动装备”;
and(c)删除该段最后两句。
(c) delete the last two sentences of that paragraph.2.
104.
The Committee also agreed to revise paragraph 188 as follows:全体委员会还商定对第188段修改如下:
(a)
(a) to end the third sentence after the words “multiple points of access”;第三句在“多个访问点”之后结束;
and (b) to revise the last sentence to read: “The overall objective of access to business registry services is the same for both electronic and paper-based or mixed registries: to make the registration and information retrieval process as simple, transparent, efficient, inexpensive and publicly accessible as possible.”(b)最后一句修改如下:“对于电子登记处、纸介登记处或混合型登记处来说,获取企业登记处服务的总体目标都是一样的:使登记和信息检索程序尽可能简单、透明、高效、便宜和便利公众。”
6.6.
Fees: paragraph 197费用:第197段
105.3.
The Committee agreed to delete the words “while to a lesser extent, fines may also generate funds” from the paragraph.全体委员会商定,从该段中删除“此外罚款也可能创造较少的资金收入”字样。
Fees charged for information: recommendation 42收取的信息费:建议42
106.4.
The Committee agreed to add the word “Basic” at the beginning of recommendation 42, subparagraph (a).全体委员会商定,在建议42(a)项“信息”之前加上“基本”一词。
7.7.
Liability and sanctions赔偿责任和制裁
107.5.
The Committee agreed to move paragraph 210 to follow paragraph 207.全体委员会商定,第210段挪至第207段之后。
8.8.
Underlying legal reforms基础性法律改革
Clarity of the law: paragraphs 238 and 239 and recommendation 56法律的清晰度:第238、239段及建议56
108.6.
The Committee agreed to:全体委员会商定如下:
(a)
(a) delete paragraph 238;删除第238段;
(b) insert “, where possible,” after the word “unification” in paragraph 239;(b)第239段中“统一”之前加上“尽可能”;
(c) add “, in a clear manner,” after the word “should” in recommendation 56;(c)建议56中“应当”之后加上“以明确方式”字样;
and (d) end that recommendation after the words “business registration”.(d)该条建议删除“为清晰的单一立法案文”字样。
Flexible legal forms for business: paragraph 240 and recommendation 57灵活的企业法律形式:第240段及建议57
109.7.
The Committee heard a proposal to delete recommendation 57, subparagraph (b), or, if deletion was not approved, to revise it along the following lines: “The law in all States, no matter which registration system may apply, should adopt the measures necessary to promote the creation and growth of businesses and ensure that the registration procedures for micro, small and medium-sized enterprises are fast, efficient, reliable and low cost.”全体委员会听取了一项关于删除建议57(b)项的提议,或者如果删除未获核准,则对其修订如下:“各国法律,无论适用哪一种登记制度,都应采取必要措施,以促进企业的创建和发展,并确保微型、小型和中型企业的登记程序快速、高效、可靠和低成本。”
110.8.
In the course of the discussion of that proposal, the Committee heard a number of additional proposals seeking to achieve a compromise between different views on the substance of the recommendation.在讨论该建议的过程中,全体委员会听取了试图就该建议实质内容上的不同意见达成折中提出的补充提议。
Although some of those proposals received some support, the Committee ultimately agreed that recommendation 57, subparagraph (b), should be deleted.虽然其中一些建议得到一些支持,但全体委员会最终商定删除建议57(b)项。
The Committee agreed that a cross reference to paragraphs 115–117 should be added at the end of paragraph 240.全体委员会商定,应在第240段结尾处添加比照提及第115-117段的内容。
C
C..
Adoption of the report of the Committee of the Whole and of the UNCITRAL Legislative Guide on Key Principles of a Business Registry通过全体委员会的报告和《贸易法委员会企业登记处关键原则立法指南》
111.9.
At its 1074th meeting, on 27 June 2018, the Commission adopted the report of the Committee of the Whole and agreed that it should form part of the present report.在2018年6月27日第1074次会议上,委员会通过了全体委员会的报告,同意该报告应当构成本报告的一部分。
It also adopted the following decision:委员会通过了下述决定:
The United Nations Commission on International Trade Law,联合国国际贸易法委员会,
Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, in which the Assembly established the United Nations Commission on International Trade Law with the purpose of promoting the progressive harmonization and unification of the law of international trade in the interests of all peoples, in particular those of developing countries,回顾大会1966年12月17日第2205 (XXI)号决议,大会在该决议中设立了联合国国际贸易法委员会,目的是为各国人民的利益,特别是为发展中国家人民的利益而促进国际贸易法的逐步协调和统一,
Recognizing the importance to all States of a fair, stable and predictable legal framework for the promotion of development-oriented policies that support productive activities, decent job creation, entrepreneurship, the equal rights of women to economic resources, creativity and innovation, and encourage the formalization and growth of micro, small and medium-sized enterprises,认识到公平、稳定和可预测的法律框架对所有国家都很重要,有利于促进面向发展的政策,以支持生产性活动、体面就业机会的创造、创业、妇女对经济资源拥有平等权利、创造性和创新,并鼓励微型、小型和中型企业正规化和发展壮大,
Noting that simple, efficient and cost-effective business registration can assist in business formation of all sizes and types of business, in particular micro, small and medium-sized enterprises,注意到简单、高效和具有成本效益的企业登记可有助于所有规模和类别企业尤其是微型、小型和中型企业的企业组建,
Noting also that when business registries perform their functions in accordance with simplified and streamlined procedures they greatly contribute to the economic development of a State as they allow expedited access to business information from interested users, including from foreign jurisdictions, thus facilitating the search for potential business partners, clients or sources of finance and reducing risks in transacting and contracting,还注意到企业登记处按照简化、顺畅的程序履行职能将大大促进一国的经济发展,因为企业登记处有利于从有关用户包括从外国法域迅速获取企业信息,从而便利寻找潜在商业伙伴、客户或资金来源,并降低交易和订约风险,
Noting further the widespread wave of reforms of business registration systems carried out by States in all regions and at all levels of development and, accordingly, the wealth of lessons learned that have informed the preparation of the legislative guide on key principles of a business registry and the growing opportunities for the use and application of such guide,进一步注意到所有区域和所有发展水平的国家进行企业登记制度改革形成广泛浪潮,因而吸取了丰富的经验教训,为编写企业登记处关键原则立法指南提供了信息依据,而使用和适用此种指南的机会也越来越多,
Recalling the mandate given to Working Group I (Micro, Small and Medium-sized Enterprises) to prepare legal standards aimed at reducing the legal obstacles encountered by micro, small and medium-sized enterprises throughout their life cycle, in particular those in developing economies,回顾赋予第一工作组(微型、小型和中型企业)的任务是制定旨在减少微型、小型和中型企业特别是发展中经济体微型、小型和中型企业在整个寿命周期遇到的法律障碍的法律标准,
Convinced that legislative recommendations negotiated internationally through a process involving a broad range of constituents will be useful to both States that do not have an efficient and effective business registration system and States that are undertaking a process of review and reform of their business registration systems,深信通过有广泛多方面参与的国际谈判过程达成的立法建议对于尚未建立高效和有效企业登记制度的国家和正在推进本国企业登记制度审查和改革进程的国家均有裨益,
Expressing its appreciation to Working Group I for its work in developing the draft legislative guide on key principles of a business registry and to intergovernmental and invited non-governmental organizations active in the field of business registration reform for their support and participation,表示赞赏第一工作组为编写企业登记处关键原则立法指南草案而开展的工作以及活跃于企业登记改革领域的政府间组织和获邀非政府组织的支持和参与,
1.1.
Adopts the UNCITRAL Legislative Guide on Key Principles of a Business Registry, contained in document A/CN.9/940, as revised by the Commission at its fifty-first session, and authorizes the Secretariat to edit and finalize the text of the Legislative Guide in the light of those revisions;通过载于A/CN.9/940号文件经委员会第五十一届会议修订的《贸易法委员会企业登记处关键原则立法指南》,并授权秘书处按照这些修订意见编辑和审定《立法指南》案文;
2.2.
Requests the Secretary-General to publish the Legislative Guide, including electronically, in the six official languages of the United Nations, and to disseminate it to Governments and other interested bodies, so that it becomes widely known and available;请秘书长发布《立法指南》,包括以电子形式、用联合国六种正式语文发布,并向各国政府和相关机构传播《立法指南》,使之广为人知并可供查阅;
3.3.
Recommends that the Legislative Guide be given due consideration, as appropriate, by legislators, policymakers, registry system designers and other interested bodies and individuals.建议立法者、决策者、登记处系统设计者以及其他相关机构和个人酌情对《立法指南》给予适当考虑。
D.D.
Progress report of Working Group I第一工作组进度报告
112.10.
The Commission noted that Working Group I, at its thirty-first session, would resume its deliberations on a draft legislative guide on an UNCITRAL limited liability organization, with a view to completing the first reading of the draft text.委员会注意到第一工作组第三十一届会议将继续审议贸易法委员会有限责任组织立法指南草案,以期完成案文草案一读。
V..
Consideration of issues in the area of insolvency law审议破产法领域的问题
A.A.
Finalization and adoption of the Model Law on the Recognition and Enforcement of Insolvency-Related Judgments and its guide to enactment审定并通过关于跨国界承认和执行与破产有关的判决的示范法及其颁布指南
1.1.
Introduction导言
113.11.
The Commission recalled that, at its forty-seventh session, in 2014, it had approved a mandate for Working Group V (Insolvency Law) to develop a model law or model legislative provisions providing for the recognition and enforcement of insolvency-related judgments.委员会回顾其2014年第四十七届会议批准赋予第五工作组(破产法)一项任务,即制定一部就承认和执行与破产有关的判决作出规定的示范法或示范立法条文。
It also recalled that the Working Group had discussed that topic at its forty-sixth to fifty-third sessions (from 2014 to 2018), and noted that, at its fifty-second session, the Working Group had requested the Secretariat to circulate the draft model law to States for comment (A/CN.9/931, para. 41).委员会进一步回顾,工作组已在其第四十六届会议至第五十三届会议(2014年至2018年)上讨论了这一议题,并注意到工作组曾在第五十二届会议上请秘书处向各国分发示范法草案征求意见(A/CN.9/931,第41段)。
114.12.
The Commission had before it:在本届会议上,委员会收到下列文件:
(a)
(a) the reports of Working Group V (Insolvency Law) on the work of its fifty-second and fifty-third sessions (A/CN.9/931 and A/CN.9/937, respectively);第五工作组(破产法)第五十二届和第五十三届会议工作报告(分别为A/CN.9/931、A/CN.9/937);
(b) the draft Model Law on Recognition and Enforcement of Insolvency-Related Judgments (as contained in the annex to document A/CN.9/937);(b)关于承认和执行与破产有关的判决的示范法草案(载于A/CN.9/937号文件附件);
(c) the draft guide to enactment of the Model Law on Recognition and Enforcement of Insolvency-Related Judgments (A/CN.9/WG.V/WP.157);(c)《关于承认和执行与破产有关的判决的示范法》颁布指南草案(A/CN.9/ WG.V/WP.157);
(d) a note by the Secretariat on amendments to the draft guide to enactment agreed by the Working Group at its fifty-third session (A/CN.9/955);(d)秘书处关于工作组第五十三届会议商定的对颁布指南草案的修订的说明(A/CN.9/955);
and (e) a compilation of comments on the draft Model Law (A/CN.9/956, A/CN.9/956/Add.1, A/CN.9/956/Add.2 and A/CN.9/956/Add.3).(e)示范法草案评论意见汇编(A/CN.9/956、A/CN.9/956/Add.1、A/CN.9/956/Add.2、A/CN.9/956/Add.3)。
115.13.
The Commission commenced with an article-by-article consideration of the draft Model Law and then took up the accompanying draft guide to enactment.委员会首先逐条审议示范法草案,然后讨论附随颁布指南草案。
2.2.
Article-by-article consideration逐条审议
Preamble and articles 1 to 12, 14 and X序言和第1至12、14和X条
116.14.
Article 13. Grounds to refuse recognition and enforcement of an insolvency-related judgment第13条 对承认和执行与破产有关的判决加以拒绝的理由
117.15.
The Commission approved the following amendments to article 13:委员会核准了对第13条草案的下列修改:
(a)(a)
In subparagraph (a) (ii), adding the words “in this State” after the word “notified” and replacing the words “fundamental principles” with “the rules”;在(a)项㈡目中,在“通知”一词前添加“在本颁布国”三字,并将“基本原则”改为“规则”;
(b)(b)
In subparagraph (g) (ii), replacing the words “the defendant” with the words “that party”.在(g)项㈡目中,将“被告”一词改为“该当事人”。
118.16.
A proposal was made to delete the words at the end of subparagraph有一项建议是删除(g)㈡项末尾处以“除非”开始的语句。
(g) (ii), commencing with the word “unless”.
It was indicated that the text to be deleted might be superfluous as it was difficult to envisage a situation where the exclusion could be applied in practice.会上表示,拟删除的案文可能是多余的,因为难以设想一种实际适用除外规定的情形。
It was said that, if it was not possible to come up with a practical example, that phrase should be deleted.会上指出,如果无法举出一种实例,该语句即应删除。
That proposal did not receive sufficient support.这项建议未得到足够支持。
Proposals to delete subparagraph (h) in its entirety or to retain the chapeau but delete subparagraphs (h) (i) and (ii) were also made.有些建议提出完全删除(h)项,或者保留前导段,但删除(h)项㈠和㈡目。
Reference was made to document A/CN.9/956/Add.3 in that respect and it was stated that subparagraph (h) legitimized the exercise of insolvency jurisdiction in situations that were not widely accepted, such as situations where the exercise of court jurisdiction was based on the mere presence of the debtor’s assets in the jurisdiction.会上就此提到A/CN.9/956/Add.3号文件,指出,(h)项将使在某些并未广泛接受的情形下行使破产管辖权合法化,例如,行使法院管辖权的依据仅仅是债务人资产存在于有关法域这种情形。
In response it was stated that subparagraph (h) would provide a useful tool in the recovery of assets.对此指出,(h)项将为追讨资产提供有益的工具。
The proposals to delete all or part of subparagraph这些全部或部分删除(h)项的建议未获得充分支持。
(h)17.
di not receive sufficient support. 119.
The Commission heard another proposal to add a further subparagraph to article 13 along the following lines:委员会听取了另一项建议,即第13条另加一项,行文大致如下:
(x)(x)
The judgment affects the rights of creditors in this State, who could have opened an insolvency proceeding in relation to the same debtor whose insolvency proceeding issued the insolvency-related judgment, and these creditors would be better off if the laws of this State apply, unless they have agreed to this treatment.该项判决影响到本颁布国债权人的权利,而这些债权人本可对作出了与破产有关判决的破产程序所针对的同一债务人启动破产程序,并且如果适用本颁布国的法律,这些债权人的待遇将会更好些,除非他们已同意就此所获得的待遇。
120.18.
It was indicated that that additional subparagraph would complement article 13, subparagraph (f), as it would cover situations where adequate protection was not specifically requested but was nonetheless needed by creditors in the receiving State to ensure that they were not worse off than they would have been had they been subject to local insolvency proceedings.会上表示,该另加款项将补充第13条(f)项,因其涉及的情形是,虽未具体请求充分保护,但接案国的债权人仍然需要此种保护,如此方能确保其获得的待遇不会比其被置于当地破产程序之下获得的待遇更差。
In support of that proposal, reference was made to document A/CN.9/956/Add.3.为支持这一建议,会上提到A/CN.9/956/Add.3号文件。
121.19.
Various concerns were expressed, including:会上表示了各种关切,包括:
(a) the manner in which the new subparagraph would interact with other articles of the draft text, including article 13, subparagraph (f);
(b) whether the provision was intended to apply only to States that had enacted the UNCITRAL Model Law on Cross-Border Insolvency (1997);(a)
新增项将与案文草案其他条款——包括第13条(f)项——产生什么样的相互关系; (b)该项是否意在仅适用于颁布了《贸易服务用户跨国界破产示范法》(1997年)的国家;
and (c) the breadth of the exception and, in particular, the possibility that the words “affects the rights of creditors” could lead to litigation to determine whether creditors were adversely affected by the judgment, and the delay that might be occasioned by that litigation to what was intended to be a straightforward and expeditious mechanism for the recognition of judgments.(c)这一例外情形的广泛程度,特别是“影响到债权人的权利”这些词语导致提起诉讼以确定债权人是否受到该项判决的不利影响的可能性,以及此种诉讼可能给本应是直接、迅捷的判决承认机制带来的拖延。
After discussion, the proposal did not receive sufficient support.经讨论后,该建议未获得充分支持。
122.20.
The Commission approved article 13 with the amendments noted in paragraph 117 above.委员会核准了第13条,所做修改在上文第117段中注明。
Article 15.第15条 可分性
Severability
123.21.
A proposal to replace the word “shall” with “may” in draft article 15 did not receive sufficient support and the Commission approved article 15 as drafted.会上提出在第15条草案中将“应当”一词改为“可能”二字,但未获得充分支持,委员会按草案原样核准了第15条。
3.3.
Guide to enactment of the Model Law on Recognition and Enforcement of Insolvency-Related Judgments关于承认和执行与破产有关判决的示范法颁布指南
Purpose and origin of the Model Law示范法的目的和起源
Paragraph 8第8段
124.22.
A proposal to delete the last sentence of paragraph 8 did not received sufficient support.一项建议是删除第8段最后一句,但未获得充分支持。
Article 2.第2条 定义
Definitions
Subparagraph 59 (d)第59段(d)项
125.23.
With reference to subparagraph 59 (d) of the draft guide, reference was made to the ongoing work of the Hague Conference on Private International Law on a global judgments convention.关于指南草案的第59段(d)项,会上提及海牙国际私法会议正在就一项全球判决公约开展工作。
It was explained that, while a neutral approach was taken in subparagraph 59 (d) with respect to the applicability of the Model Law to judgments on causes of action arising prior to the commencement of insolvency proceedings, other international instruments might take a different approach.解释说,关于本示范法可否适用于对破产程序启动前产生的诉讼理由的判决,虽然第59段(d)项采取了中性方法,但其他国际文书有可能采取不同做法。
It was added that a reference to that approach could provide useful guidance to legislators and assist in ensuring consistency across international instruments.补充说,提及这种做法可为立法者提供有益的指导,并有助于确保国际文书之间的一致性。
Suggestions were made to insert a reference in subparagraph 59 (d) to existing and future international agreements.会上建议在第59段(d)项中插入一段词语提及现有和未来的国际协定。
In response, it was indicated that, on the one hand, legislators were usually not concerned with instruments not yet in force or still under negotiation and, on the other hand, States had to take into account their international obligations when making legislative decisions.对此指出,一方面,立法者通常不关心尚未生效的或仍在谈判中的文书,另一方面,各国在作出立法决定时必须考虑到所承担的国际义务。
126.24.
After discussion, the Commission agreed that the beginning of the second sentence of the paragraph should be revised to read “Enacting States will need” and that the following sentence should be inserted at the end of subparagraph 59 (d):经讨论后,委员会商定,本段第二句的起句应修改如下:“各颁布国将需要……”,并在第59段(d)项的末尾添加一句如下:
“Enacting States may also wish to have regard to the treatment of such judgments under other international instruments.”“各颁布国还似宜考虑到其他国际文书中对此类判决的处理方法。”
Article 7. Public policy exception第7条 公共政策的例外
Paragraph 70第70段
127.25.
It was indicated that, during the preparation of the model law, several reasons had been suggested to support the absence of a uniform definition of public policy in the model law and that paragraph 70 seemed to be too narrow.会上指出,在拟订示范法过程中曾提出了几个支持不在示范法中给出公共政策统一定义的理由,而第70段似乎过于狭窄。
It was suggested that the paragraph should be drafted in a more neutral manner and that a reference to the Model Law should be inserted.建议应当以更为中性的方式起草该段行文,并应插入提及示范法的内容。
In response, it was indicated that the notion of public policy was general and not exclusive to the Model Law.对此,会上表示,公共政策的概念是通用的,并不局限于本示范法。
128.26.
After discussion, the Commission agreed on the following text for paragraph 70:经讨论后,委员会商定第70段案文如下:
“The notion of public policy is grounded in national law and may differ from State to State.“公共政策的概念建立在国内法基础上,可能因国而异。
No uniform definition of that notion is attempted in article 7.”第7条并不试图就此概念给出统一定义。”
Article 13. Grounds to refuse recognition and enforcement of an insolvency-related judgment第13条 对承认和执行与破产有关的判决加以拒绝的理由
Paragraph 105第105段
129.27.
Various proposals were made with respect to the last sentence of paragraph 105.会上对第105段最后一句提出各种建议。
In particular, it was suggested that there was a need to better explain the basis of the inconsistency arising under article 13, subparagraph (c), and the use of the phrase “mutually exclusive”.特别是,建议有必要更好地解释第13条(c)项下产生不一致情况的依据,并采用“相互排斥的”一语。
After discussion, the Commission agreed to revise the final sentence of the paragraph as follows:经讨论后,委员会商定对本段最后一句修改如下:
“Under subparagraph (c), inconsistencies between judgments occur when findings of fact or conclusions of law, which are based on the same issues, are different.”“在(c)项下,当基于同样问题的事实认定或法律结论不同时,即发生判决不一致情况。”
4.4.
Renumbering of the articles of the Model Law and finalization of the guide to enactment示范法条款重新编号和最后拟定颁布指南
130.28.
The Secretariat was requested to renumber the articles of the Model Law and to edit and finalize the text of the guide to enactment in the light of the changes agreed to the text of article 13 (see para. 117 above).委员会请秘书处对示范法条款重新编号,并授权秘书处根据第13条案文的商定修改意见编辑并最后拟定颁布指南案文(见上文第117段)。
It was noted that the list of references to the discussion at UNCITRAL and in the Working Group in the guide to enactment would be updated.会上指出,将更新颁布指南中的贸易法委员会和工作组讨论情况参考文件清单。
5.5.
Adoption of the UNCITRAL Model Law on Recognition and Enforcement of Insolvency-Related Judgments and its guide to enactment通过《关于承认和执行与破产有关的判决的示范法》及其《颁布指南》
131.29.
At its 1080th meeting, on 2 July 2018, after consideration of the text of the draft Model Law on Recognition and Enforcement of Insolvency-Related Judgments and the guide to enactment, the Commission adopted the following decision:在2018年7月2日第1080次会议上,在审议关于承认和执行与破产有关的判决的示范法草案及颁布指南案文之后,委员会通过了下述决定:
The United Nations Commission on International Trade Law,联合国国际贸易法委员会,
Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, in which the Assembly established the United Nations Commission on International Trade Law with the purpose of promoting the progressive harmonization and unification of the law of international trade in the interests of all peoples, in particular those of developing countries,回顾大会1966年12月17日第2205 (XXI)号决议,大会在该决议中设立了联合国国际贸易法委员会,目的是为各国人民的利益,特别是为发展中国家人民的利益而促进国际贸易法的逐步协调和统一,
Recognizing that effective insolvency regimes are increasingly seen as a means of encouraging economic development and investment and of fostering entrepreneurial activity and preserving employment,认识到有效的破产制度愈益被视为鼓励经济发展和投资并促进创业活动和保持就业的一种手段,
Convinced that the law of recognition and enforcement of judgments is becoming more and more important in a world in which it is increasingly easy for enterprises and individuals to have assets in more than one State and to move assets across borders,深信关于承认和执行判决的法律日益重要,因为当今世界上企业和个人在不止一个国家拥有资产并跨国界转移资产越来越容易,
Considering that international instruments on the recognition and enforcement of judgments in civil and commercial matters exclude insolvency-related judgments from their scope,考虑到关于承认和执行民商事判决的国际文书将与破产有关的判决排除在其范围之外,
Concerned that inadequate coordination and cooperation in cases of cross-border insolvency, including uncertainties associated with recognition and enforcement of insolvency-related judgments, can operate as an obstacle to the fair, efficient and effective administration of cross-border insolvencies, reducing the possibility of rescuing financially troubled but viable businesses, making it more likely that debtors’ assets are concealed or dissipated and hindering reorganizations or liquidations that would be the most advantageous for all interested persons, including the debtors, the debtors’ employees and the creditors,关切跨国界破产案件协调与合作不足,包括在承认和执行与破产有关的判决方面涉及种种不确定性,可能阻碍对跨国界破产进行公平、高效和有效的管理,从而减少挽救虽陷入财务困境但仍有存活力的企业的可能性,使得债务人的资产更有可能隐匿或散失,妨碍将对包括债务人、债务人雇员和债权人在内的所有利益相关人最为有利的重整或清算,
Convinced that fair and internationally harmonized legislation on cross-border insolvency that respects national procedural and judicial systems and is acceptable to States with different legal, social and economic systems would contribute to the development of international trade and investment,深信尊重国内程序和司法制度并为法律、社会和经济制度不同的国家所接受的公平和国际协调的跨国界破产立法将有助于发展国际贸易和投资,
Appreciating the support for and the participation of intergovernmental and invited non-governmental organizations active in the field of insolvency law reform in the development of a draft model law on recognition and enforcement of insolvency-related judgments and its guide to enactment,赞赏活跃于破产法改革领域的政府间组织和获邀非政府组织支持并参与关于承认和执行与破产有关的判决的示范法草案及其颁布指南的拟订工作,
Expressing its appreciation to Working Group V (Insolvency Law) for its work in developing the draft Model Law on Recognition and Enforcement of Insolvency-Related Judgments and its guide to enactment,表示赞赏第五工作组(破产法)为拟订关于承认和执行与破产有关的判决的示范法草案及其颁布指南而开展的工作,
1.1.
Adopts the UNCITRAL Model Law on Recognition and Enforcement of Insolvency-Related Judgments, as it appears in annex III to the report of the United Nations Commission on International Trade Law on its fifty-first session, and its guide to enactment, consisting of the text contained in A/CN.9/WG.V/WP.157, with the amendments listed in document A/CN.9/955 and the amendments adopted by the Commission at its fifty-first session;通过《贸易法委员会关于承认和执行与破产有关的判决的示范法》及其《颁布指南》,前者载于联合国国际委员会第五十一届会议报告附件三,后者由A/CN.9/WG.V/WP.157所载案文和A/CN.9/955号文件所列修订意见以及委员会第五十一届会议通过的修订意见组成;
2.2.
Requests the Secretary-General to publish the UNCITRAL Model Law on Recognition and Enforcement of Insolvency-Related Judgments and its guide to enactment, including electronically, in the six official languages of the United Nations, and to disseminate it broadly to Governments and other interested bodies;请秘书长发布《贸易法委员会关于承认和执行与破产有关的判决的示范法》及其《颁布指南》,包括以电子方式,用联合国六种正式语文公布,并向各国政府及其他有关机构广泛传播;
3.3.
Recommends that all States give favourable consideration to the UNCITRAL Model Law on Recognition and Enforcement of Insolvency-Related Judgments when revising or adopting legislation relevant to insolvency, and invites States that have used the Model Law to advise the Commission accordingly;建议所有国家在修订或通过与破产有关的立法时对《贸易法委员会关于承认和执行与破产有关的判决的示范法》给予积极考虑,并请已使用《示范法》的国家向委员会通报相关情况;
4.4.
Also recommends that all States continue to consider implementation of the UNCITRAL Model Law on Cross-Border Insolvency (1997).还建议所有国家继续考虑实施《贸易法委员会跨国界破产示范法》(1997年)。
B.B.
Progress report of Working Group V第五工作组进度报告
132.30.
The Commission recalled that Working Group V, at its forty-fourth session, held in Vienna from 16 to 20 December 2013, had commenced its deliberations on a legislative text addressing the cross-border insolvency of enterprise groups.委员会回顾,第五工作组2013年12月16日至20日在维也纳举行的第四十四届会议开始对涉及企业集团跨国界破产的立法案文进行审议。
That text, which the Working Group had decided should be a model law, was likely to be available, together with a guide to enactment, for finalization and adoption by the Commission at its fifty-second session, in 2019.工作组当时决定这一案文应当成为一部示范法,因此其案文有可能连同一部颁布指南一并提交委员会2019年第五十二届会议最后审定和通过。
In addition, the Commission noted that a draft commentary and recommendations on the obligations of directors of enterprise group companies in the period approaching insolvency (which would supplement part four of the UNCITRAL Legislative Guide on Insolvency Law, dealing with obligations of directors in the period approaching insolvency, (2013)) had been prepared and it was likely that the text could be finalized and adopted at the same time as the draft model law and guide to enactment on enterprise group insolvency.另外,委员会注意到,已经拟订了关于临近破产期间企业集团公司董事义务的评注和建议草案(补充《贸易法委员会破产法立法指南》涉及临近破产期间董事义务的第四部分(2013年)),该案文有可能与关于企业集团破产的示范法和颁布指南草案同时加以最后审定和通过。
133.31.
The Commission also took note that the Working Group, at its fifty-first session, held in New York from 10 to 19 May 2017, had commenced its deliberations on the insolvency of micro, small and medium-sized enterprises, based upon the provisions of the UNCITRAL Legislative Guide on Insolvency Law (2004) and that that work was ongoing.委员会还注意到,工作组2017年5月10日至19日在纽约举行的第五十一届会议已在《贸易法委员会破产法立法指南》(2004年)条文的基础上,开始审议微型、小型和中型企业破产问题,此项工作仍在进行当中。
134.32.
The Commission expressed its satisfaction with the progress of the work of the Working Group, in particular its management of parallel topics and the likelihood of completion of several texts so that they could be considered by the Commission at its fifty-second session, in 2019.委员会对工作组的工作进度表示满意,特别是其对并行议题的处理以及完成若干项案文的可能性,从而有可能在委员会2019年第五十二届会议上对其举行审议。
VI..
Consideration of revised UNCITRAL texts in the area of privately financed infrastructure projects审议私人融资基础设施项目领域经修订的贸易法委员会法规
135.33.
At its forty-eighth and forty-ninth sessions, in 2015 and 2016, the Commission had reiterated its belief in the key importance of public-private partnerships to infrastructure and development.在于2015年和2016年举行的第四十八届和第四十九届会议上,委员会重申相信公私伙伴关系对基础设施和发展至关重要。
The Commission had decided that the Secretariat should consider updating where necessary all or parts of the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (2000), and involve experts in the process.委员会决定,秘书处应当考虑在有专家参与的情况下对《贸易法委员会私人融资基础设施项目立法指南》(2000年)的全部或部分进行必要增订。
At its fiftieth session, in 2017, the Commission had confirmed that the Secretariat (with the assistance of experts) should continue to update and consolidate the Legislative Guide, the accompanying Legislative Recommendations and the UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects (2003), and should report further to the Commission at its fifty-first session, in 2018.委员会在2017年第五十届会议上确认,秘书处应(在专家协助下)继续增订和汇编《立法指南》、随附各项立法建议和《私人融资基础设施项目示范立法条文》(2003年),并在2018年第五十一届会议上进一步向委员会报告有关情况。
The Secretariat had since organized and convened the Third International Colloquium on Public-Private Partnerships in Vienna on 23 and 24 October 2017.自那时起,秘书处于2017年10月23日至24日在维也纳组织和召集了第三次公私伙伴关系国际专题讨论会。
136.34.
The Commission had before it a note by the Secretariat setting out the proposals of the Secretariat on both the scope and nature of the proposed amendments to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects, as well as the process for implementing them (A/CN.9/939).委员会收到了秘书处的一份说明,其中载有秘书处关于对《贸易法委员会私人融资基础设施项目立法指南》的拟议修正范围和性质以及落实这些修正的程序的建议(A/CN.9/939)。
Revised drafts of the introduction and of chapters I, II and III of the Legislative Guide reflecting the changes proposed by the Secretariat were contained in A/CN.9/939/Add.1, A/CN.9/939/Add.2 and A/CN.9/939/Add.3, for review and consideration by the Commission.《立法指南》导言以及第一、二和三章的修订草案载于A/CN.9/939/Add.1、A/CN.9/939/Add.2和A/CN.9/939/Add.3,其中反映了秘书处提议的供委员会审查和审议的改动。
137.35.
The Commission took note of the general policy proposals for amending the Legislative Guide, as well as the specific amendments proposed by the Secretariat in the revised drafts of the introduction and of chapters I, II and III.委员会注意到关于修正《立法指南》的一般性政策建议,以及秘书处在导言以及第一、二和三章修订草案中提出的具体修正意见。
The Commission endorsed the general policy proposals for amending the Legislative Guide.委员会核可了关于修正《立法指南》的一般性政策建议。
The Commission also approved in principle the nature of the amendments proposed by the Secretariat, subject to specific comments and further adjustments that might be proposed in the course of the consultations with experts that the Commission encouraged the Secretariat to pursue with a view to submitting to the Commission the complete set of all draft revised chapters of the Guide, to be renamed the UNCITRAL Legislative Guide on Public-Private Partnerships, for consideration and adoption at its fifty-second session, in 2019.委员会还原则上核准了秘书处所提议修正意见的性质,但需考虑到在与专家协商过程中可能会提出的具体评论进一步调整意见,委员会鼓励秘书处推进这种协商,以期向委员会提交将更名为《贸易法委员会公私伙伴关系立法指南》、包括所有章节修订草案的全套《指南》,供委员会2019年第五十二届会议审议和通过。
VII..
Investor-State dispute settlement reform: progress report of Working Group III投资人与国家间争议解决制度改革:第三工作组进度报告
138.36.
The Commission recalled that, at its fiftieth session, in 2017, it had approved a mandate for Working Group III to work on the possible reform of investor-State dispute settlement.委员会回顾,在2017年第五十届会议上,委员会核准了第三工作组就投资人与国家间争议解决制度的可能改革开展工作的任务授权。
It further recalled that the Working Group was, in discharging that mandate and in line with the UNCITRAL process, to ensure that the deliberations, while benefiting from the widest possible breadth of available expertise from all stakeholders, would be Government-led, with high-level input from all Governments, consensus-based and fully transparent.委员会进一步回顾,在履行这一任务授权时,按照贸易法委员会的程序,工作组应确保审议工作在受益于所有利益攸关方尽可能广泛的现有专门知识的同时,由政府主导,各国政府提供高级别投入,以协商一致为基础,完全透明。
139.37.
The Commission had before it the reports of Working Group III (Investor-State Dispute Settlement Reform) on the work of its thirty-fourth and thirty-fifth sessions (A/CN.9/930/Rev.1, A/CN.9/930/Add.1/Rev.1 and A/CN.9/935).在该届会议上,委员会收到了第三工作组(投资人与国家间争议解决制度改革)第三十四届和三十五届会议工作报告(A/CN.9/930/Rev.1、A/CN.9/ 930/Add.1/Rev.1、A/CN.9/935)。
140.38.
The Commission noted the discussions of the Working Group, which had focused on the first stage of its mandate (to identify and consider concerns regarding investor-State dispute settlement).委员会注意到工作组的讨论侧重于其任务的第一阶段(即确定并审议投资人与国家间争议解决方面的关切)。
141.39.
Recalling that the process should be Government-led, the Commission welcomed the participation of 80 States and 35 intergovernmental organizations and invited non-governmental organizations in the thirty-fourth session and of 84 States and 50 organizations in the thirty-fifth session of the Working Group.委员会回顾这一进程应由政府主导,欢迎有80个国家、35个政府间组织和获邀非政府组织参加工作组第三十四届会议,有84个国家和50个此类组织参加第三十五届会议。
142.40.
In that context, the Commission expressed its appreciation for the contributions to the UNCITRAL trust fund from the European Union and the Swiss Agency for Development and Cooperation, aimed at allowing the participation of representatives of developing States in the deliberations of the Working Group (see also para. 191 below), and was informed about ongoing efforts by the Secretariat to secure additional voluntary contributions.在这方面,委员会对欧洲联盟和瑞士发展与合作署向贸易法委员会信托基金提供捐款表示赞赏,这些捐款旨在使发展中国家的代表能够参与工作组的审议(另见下文第191段),并获悉秘书处正在为争取更多自愿捐款作出努力。
States were urged to support those efforts.委员会敦促各国支持这些努力。
143.41.
The Commission welcomed the outreach activities of the Secretariat aimed at raising awareness about the work of the Working Group and ensuring that the process would remain inclusive and fully transparent.委员会欢迎秘书处开展外联活动以提高对工作组工作的了解并确保这一进程将继续保持包容性和完全透明。
The Commission noted the engagement of the Working Group, and of the Secretariat, with diverse stakeholders, including intergovernmental organs and organizations such as UNCTAD, the World Trade Organization (WTO), the Organization for Economic Cooperation and Development (OECD), the International Centre for the Settlement of Investment Disputes and PCA.委员会注意到工作组和秘书处与各利益攸关方接触,其中包括政府间机构和组织,如贸发会议、世界贸易组织(世贸组织)、经济合作与发展组织(经合组织)、解决投资争端国际中心和常设仲裁院。
144.42.
The Commission expressed its appreciation for the provision of information by various stakeholders to assist the Working Group in its deliberations, as well as for proposals by an academic forum and a group of practitioners to make information from their research and experience available to the Working Group.委员会表示赞赏各利益攸关方提供信息以协助工作组进行审议,并感谢学术论坛和从业人员小组提出建议,向工作组提供其研究方面的信息和经验。
145.43.
After discussion, the Commission expressed its satisfaction with the progress made by the Working Group and the support provided by the Secretariat.经过讨论,委员会对工作组所取得的进展以及秘书处提供的支持表示满意。
The Commission noted that the Working Group would continue its deliberations pursuant to the mandate given to it, allowing sufficient time for all States to express their views, but without unnecessary delay.委员会注意到,工作组将根据赋予其的任务授权继续进行审议,使所有国家都有足够时间表达意见,但不能无故拖延。
146.44.
The Commission also welcomed the invitation of the Republic of Korea to a regional intersessional meeting on investor-State dispute settlement reform to be held in Incheon on 10 and 11 September 2018.委员会还欢迎大韩民国邀请参加拟于2018年9月10日和11日在仁川举行投资人与国家间争议解决制度改革区域闭会期间会议。
The Commission took note that, while it was clear that no decisions would be taken at the intersessional meeting, the event would provide an open forum for high-level Government representatives and relevant stakeholders in the Asia-Pacific region to discuss issues being deliberated by Working Group III. (For further discussions of methods of work relevant to Working Group III, see paras. 269 and 270 below.)委员会注意到,虽然闭会期间会议显然不会作出决定,但这一活动将为亚太区域的高级别政府代表和相关利益攸关方提供一个公开论坛,讨论第三工作组正在审议的问题(关于与第三工作组工作方法有关的进一步讨论,见下文第269和270段)。
VIII..
Electronic commerce: progress report of Working Group IV电子商务:第四工作组进度报告
147.45.
The Commission recalled that, at its forty-ninth session, in 2016, it had mandated Working Group IV (Electronic Commerce) to take up work on the topics of identity management and trust services, and cloud computing, upon completion of the work on the Model Law on Electronic Transferable Records.委员会回顾,委员会在其2016年第四十九届会议上授权第四工作组(电子商务)在完成《电子可转让记录示范法》工作之后着手进行关于身份管理和信任服务以及云计算专题的工作。
In that context, the Secretariat, within its existing resources, and the Working Group had been asked to continue to update and conduct preparatory work on the two topics, including their feasibility, in parallel and in a flexible manner and to report back to the Commission so that it could make an informed decision at a future session, including on the priority to be given to each topic.为此,委员会请秘书处在现有资源范围内——同时也请工作组——继续增补并进行关于这两个专题的准备工作,包括这两个专题的工作以灵活方式并行展开的可行性,并向委员会提出报告,使委员会能够在今后一届会议上就包括确定每个专题优先顺序在内的问题作出知情决定。
148.46.
The Commission also recalled that, at its fiftieth session, in 2017, having considered the reports of the Working Group on the work of its fifty-fourth and fifty-fifth sessions, it had recognized that, until the following session of the Commission, in 2018, both the Secretariat and the Working Group would be able to handle the projects on cloud computing, identity management and trust services in parallel.委员会还回顾,委员会2017年第五十届会议在审议了工作组第五十四届和五十五届会议工作报告后认识到,在委员会2018年下届会议之前,秘书处和工作组都有能力并行处理云计算、身份管理和信任服务项目。
The Commission had therefore reaffirmed the mandate given to the Working Group at its forty-ninth session, in 2016, and agreed to revisit that mandate at its fifty-first session, in particular if the need arose to prioritize between the topics or to give a more specific mandate to the Working Group as regards its work in the area of identity management and trust services.因此,委员会重申了在其2016年第四十九届会议上赋予工作组的任务授权,并同意在其第五十一届会议上重新审议这一任务授权,特别是届时如果需要确定这些专题的优先顺序或者就工作组在身份管理和信任服务领域中的工作向工作组下达更具体任务授权的话。
149.47.
The Commission had before it the report of the Working Group on its fifty-sixth session, held in New York from 16 to 20 April 2018 (A/CN.9/936).委员会收到了2018年4月16日至20日在纽约举行的工作组第五十六届会议的报告(A/CN.9/936)。
150.48.
The Commission considered the recommendation of the Working Group that the Commission should review the draft notes on the main issues of cloud computing contracts at its fifty-second session, in 2019, and authorize its publication or issuance in the form of an online reference tool, in both cases as a work product of the Secretariat (A/CN.9/936, para. 44).委员会审议了工作组的建议,即委员会应在2019年第五十二届会议上审查关于云计算合同主要问题的说明草稿,并授权以在线参考工具的形式出版或发行这两份文件,这两种情况下均应作为秘书处的工作成果(A/CN.9/936,第44段)。
After discussion, the Commission decided to review the draft notes on the main issues of cloud computing contracts at its fifty-second session, in 2019.经过讨论,委员会决定在2019年第五十二届会议上审议云计算合同主要问题说明草稿。
151.49.
The Commission also considered the suggestion by the Secretariat and discussed by the Working Group that the notes on the main issues of cloud computing contracts could be prepared as an online reference tool (A/CN.9/936, paras. 16 and 17).委员会还审议了工作组讨论过的秘书处建议,即可以作为在线参考工具编写云计算合同主要问题说明(A/CN.9/936,第16、17段)。
The Commission took note of the recommendation of the Working Group that the Commission should request the Secretariat to prepare a note setting out considerations relating to the preparation of the suggested online reference tool (A/CN.9/936, para. 17).委员会注意到工作组的建议,即委员会应当要求秘书处编写一份说明,阐明与制作所提议的线上参考工具有关的各种考虑(A/CN.9/936,第17段)。
152.50.
Broad support was expressed for developing new forms of electronic publication that could more effectively reach users and ultimately increase the relevance of UNCITRAL texts, especially non-legislative texts.会上广泛支持开发新形式电子出版物,这种出版物能够更有效地惠及用户,并最终提高贸易法委员会法规,特别是非立法法规的相关性。
The possible use of an online tool to present the outcome of the work on a practice guide on security interests as well as of the work on a guidance document on international commercial contracts (with a focus on sales), conducted jointly with the Hague Conference on Private International Law and Unidroit, was mentioned.会上提到可能利用在线工具介绍担保权益实务指南的工作成果,以及与海牙国际私法会议和统法协会联合开展的国际商事合同指导文件(侧重于销售)的工作成果。
153.51.
It was indicated that the notion of an online tool could be interpreted in different ways; the envisaged features of the online tool should therefore be clarified.会上表示,在线工具的概念可以有不同解释,因此,应当对所设想的在线工具的特点加以澄清。
Various concerns were expressed, including about how the online tool would address multilingualism, how users and the tool would interact, and the availability of financial and human resources.会上对一些方面表示了各种关切,包括在线工具将如何处理多语种问题,用户与工具如何互动,以及资金和人力资源的可用性。
It was suggested that the Commission could benefit from piloting the use of an online tool.会上提出委员会可从在线工具的试点使用中获益。
154.52.
It was noted that, since the structure and content of each non-legislative text varied, they might need to be presented online in different ways.会上指出,由于每项非立法案文的结构和内容各不相同,可能需要以不同方式对其在线介绍。
The suggestion was made that Working Group VI (Security Interests) could consider how the practice guide on security interests might be presented, and that other working groups may also make useful contributions.会上提出,第六工作组(担保权益)可以考虑如何编排担保权益实务指南,其他工作组也可作出有益贡献。
States and other entities were invited to share their experience, expertise and, when possible, resources in designing and deploying online tools relating to legal texts.会上请各国和其他实体分享在设计和部署与法律文本有关的在线工具方面的经验、专门知识,并在可能的情况下共享资源。
155.53.
After discussion, the Commission requested the Secretariat to prepare, within existing resources, a pilot online tool containing the draft notes on the main issues of cloud computing contracts, for consideration at its fifty-second session, in 2019.经过讨论,委员会请秘书处在现有资源范围内制作一个载列云计算合同主要问题说明草稿的试点在线工具,供委员会2019年第五十二届会议审议。
The Commission also requested the Secretariat to prepare a note illustrating the considerations relating to the preparation of the pilot online tool, including budgetary and other implications, and departure from the existing UNCITRAL publication policy.委员会还请秘书处编写一份说明,说明与制作试点在线工具有关的考虑因素,其中包括所涉预算及其他问题,以及偏离贸易法委员会现行出版政策的情况。
156.54.
The Commission considered the recommendation of the Working Group that it should request the Working Group to conduct work on legal issues relating to identity management and trust services with a view to preparing a text aimed at facilitating cross-border recognition of identity management and trust services, on the basis of the principles and discussing the issues identified by the Working Group at its fifty-sixth session (A/CN.9/936, para. 95).委员会审议了工作组的建议,即委员会应请工作组进行身份管理和信任服务相关法律问题的工作,以期在这些原则的基础上拟订一个旨在便利跨境承认身份管理和信任服务的案文,并讨论工作组第五十六届会议所确定的议题(A/CN.9/936,第95段)。
157.55.
Broad support was expressed for requesting the Working Group to conduct work on legal issues relating to identity management and trust services in the light of the fundamental importance of that topic for the global digital economy.会上普遍支持请工作组就与身份管理和信任服务有关的法律问题开展工作,因为这一专题对全球数字经济至关重要。
158.56.
It was indicated that, while the issues identified by the Working Group at its fifty-sixth session could provide a useful starting point for its deliberations, the mandate of the Working Group should not be restricted to those issues since the flexibility provided by a broader mandate was desirable.会上指出,虽然工作组第五十六届会议确定的问题可以为其审议工作提供有益的起点,但工作组的任务授权不应局限于这些问题,因为可取的做法是通过更广泛的任务授权提供灵活性。
It was also indicated that the Working Group should, to the extent possible, expedite its work on substantive matters.还指出,工作组应尽可能加快实质性事项的工作。
159.57.
After discussion, the Commission requested Working Group IV to conduct work on legal issues relating to identity management and trust services with a view to preparing a text aimed at facilitating cross-border recognition of identity management and trust services, on the basis of the principles and issues identified by the Working Group at its fifty-sixth session (A/CN.9/936, paras. 61–94).经过讨论,委员会请第四工作组进行身份管理和信任服务相关法律问题的工作,以期在工作组第五十六届会议所确定的原则和议题的基础上拟订一个旨在便利跨境承认身份管理和信任服务的案文(A/CN.9/936,第61-94段)。
160.58.
With respect to ongoing work in the field of paperless trade facilitation, including electronic cross-border single window facilities, the Commission was informed that the Secretariat was carrying out that work in cooperation with the Economic Commission for Europe (ECE), the Economic and Social Commission for Asia and the Pacific and other international governmental and non-governmental organizations.关于无纸贸易便利化领域正在进行的工作,包括电子跨境单一窗口设施,委员会获悉,秘书处正在与欧洲经济委员会(欧洲经委会)、亚洲及太平洋经济社会委员会以及其他国际政府组织和非政府组织合作开展这项工作。
IX..
Security interests: progress report of Working Group VI担保权益:第六工作组进度报告
161.1.
The Commission recalled that, at its fiftieth session, in 2017, it had decided that the Working Group should prepare a practice guide to the UNCITRAL Model Law on Secured Transactions.委员会回顾,2017年第五十届会议决定,工作组应编写《贸易法委员会担保交易示范法》实务指南。
At that session, it was agreed that issues addressed in document A/CN.9/926 and the relevant sections of document A/CN.9/913 should form the basis of that work.在该届会议上,一致认为A/CN.9/926号文件以及A/CN.9/913号文件相关章节述及的问题应构成这项工作的基础。
It was widely felt that, to be able to use a law implementing the UNCITRAL Model Law on Secured Transactions to their benefit, parties to transactions, judges, arbitrators, regulators, insolvency administrators and academics would need guidance with respect to contractual, transactional and regulatory issues, as well as issues relating to the financing of micro-businesses.会上普遍认为,为了能够让交易各方、法官、仲裁员、监管人员、破产管理人和学术界从使用一部颁行《贸易法委员会担保交易示范法》的法律中受益,需要在合同问题、交易问题和监管问题以及与微型企业融资有关的问题上为其提供指导。
The Commission further recalled that it had given broad discretion to the Working Group in determining the scope, structure and content of the practice guide.委员会进一步回顾,委员会在确定实务指南的范围、结构和内容方面给予了工作组广泛酌处权。
162.2.
The Commission considered the reports of the Working Group on the work of its thirty-second session, held in Vienna from 11 to 15 December 2017 (A/CN.9/932), and its thirty-third session, held in New York from 30 April to 4 May 2018 (A/CN.9/938).委员会审议了2017年12月11日至15日在维也纳举行的工作组第三十二届会议的工作报告(A/CN.9/932)和2018年4月30日至5月4日在纽约举行的第三十三届会议的工作报告(A/CN.9/938)。
The Commission noted the Working Group’s preliminary discussions on the intended audience, scope, structure, style and overall content of the draft practice guide, which formed the basis of the first draft.委员会注意到,工作组初步讨论了作为初稿基础的实务指南草稿的预期受众、范围、结构、风格和总体内容。
The Commission also noted that the Working Group, at its thirty-third session, had completed its first reading of the draft practice guide, and expressed support for the Working Group to continue its work.委员会还注意到,工作组第三十三届会议完成了对实务指南草稿的一读,并表示支持工作组继续开展工作。
163.3.
After discussion, the Commission expressed its satisfaction with the progress made by the Working Group and noted the Secretariat’s efforts to coordinate with the Basel Committee on Banking Supervision with respect to the regulatory aspects.讨论之后,委员会对工作组取得的进展表示满意,并注意到秘书处努力在监管方面与巴塞尔银行监管委员会进行协调。
Considering the progress made, the Commission requested the Working Group to complete the work expeditiously, with a view to presenting a final draft to the Commission for consideration at its fifty-second session, in 2019.考虑到所取得的进展,委员会请工作组迅速完成此项工作,以期提交最后草稿,供委员会2019年第五十二届会议审议。
(See paras. 152 and 154 above on the issues also relevant to the work of Working Group VI.)(见上文第152和154段,关于还与第六工作组工作有关的问题。
) 十
X..
Celebration of the sixtieth anniversary of the New York Convention纪念《纽约公约》六十周年
A.A.
Celebratory event庆祝活动
164.4.
The Commission held a celebratory event to mark the sixtieth anniversary of the New York Convention.委员会举行了一次庆祝活动,纪念《纽约公约》六十周年。
In addition to the representatives of member States of the Commission and observers, some 300 persons were invited to participate in the event.除委员会成员国的代表和观察员外,大约300人应邀参加了活动。
165.5.
In the opening statements, it was pointed out that the almost universal acceptance of the New York Convention brought legal certainty to business operations worldwide, thereby contributing to decreasing the level of risk and transactional costs associated with international trade.与会者在开幕发言中指出,《纽约公约》几乎得到普遍接受,为全球商业运作带来了法律确定性,从而有助于降低与国际贸易有关的风险度和交易成本。
It was said that the implementation of the New York Convention was an important indicator of a sound business and investment environment.据指出,《纽约公约》的执行情况是良好商业和投资环境的一个重要标志。
Further, it was pointed out that acceptance of the Convention was a demonstration of States’ strong commitment to the rule of law and represented a step towards better access to justice for economic operators.进一步指出,接受《公约》表明各国对法治的坚定承诺,是朝着经济运营者更好地诉诸司法迈出的一步。
Adoption and proper implementation of the Convention were regarded as furthering progress towards achieving the Sustainable Development Goals.《公约》的通过和适当执行被视为促进为实现《可持续发展目标》而取得进展。
The Convention, by establishing a fundamental legal framework for the use of arbitration and its effectiveness, had strengthened respect for binding commitments, inspired confidence in the rule of law and ensured fair treatment in the resolution of disputes arising over contractual rights and obligations.《公约》通过为仲裁的使用及其有效性建立一个基本法律框架,加强了对具约束力承诺的尊重,激发了对法治的信心,并确保在解决涉及合同权利及义务的争端时处事公平。
166.6.
The celebratory event provided an opportunity to consider how the mandate of UNCITRAL contributed in general to the successful development of the international arbitration framework, with the New York Convention as a foundational instrument.庆祝活动提供了一个机会,审议贸易法委员会的任务授权如何总体上有助于以《纽约公约》作为一部基本文书成功地制定国际仲裁框架。
167.7.
The first panel discussion was focused on cooperation and coordination activities.第一场专题小组讨论侧重于合作与协调活动,国际组织和政府合作机构的代表就各自组织在促进《纽约公约》方面的作用发表了见解。
Representatives of international organizations and governmental cooperation agencies provided insights into the role of their organizations in the promotion of the New York Convention.
It was underlined that international organizations had developed specific expertise, and cooperation among organizations was key to strengthening the international framework that had been built over the years.与会者强调,国际组织已经发展了具体的专门知识,各组织之间的合作是加强多年来建立的
168.8.
The second panel discussion addressed the relation between domestic legislative frameworks on the recognition and enforcement of foreign arbitral awards and the New York Convention;第二场专题小组讨论述及承认和执行外国仲裁裁决的国内立法框架与《纽约公约》之间的关系;
the relevance of the law reform process and the role of article VII of the New York Convention in the development of the international arbitration framework was highlighted.并强调了法律改革进程的意义以及《纽约公约》第七条在制定国际仲裁框架方面的作用。
On that point, it was observed that the New York Convention set a maximum level of control that contracting States might exert over arbitral awards, but they remained free to apply more liberal rules than those provided in the Convention.关于这一点,据指出,《纽约公约》规定了缔约国可对仲裁裁决施加控制的最高限,但缔约国仍然可以自由适用比《公约》规定的规则更为宽松的规则。
It was said that article VII had enabled contracting States to adapt to the development of international arbitration for the past 60 years.据指出,第七条使得缔约国能够适应过去60年来国际仲裁的发展变化。
169.9.
The celebratory event also provided an opportunity to highlight the importance of adequate legislative implementation and judicial application of the New York Convention.庆祝活动还提供了一个机会,强调对《纽约公约》充分立法执行和司法适用的重要性。
In that context, the UNCITRAL Secretariat Guide on the New York Convention and the web platform (www.newyorkconvention1958.org) created to publish both the Guide and the resources on which it was based electronically were presented as the most comprehensive freely accessible resource on the Convention.在这方面,指出《贸易法委员会秘书处纽约公约指南》以及为以电子方式发布《指南》及其所依据的资源而创建的网络平台(www.newyorkconvention1958.org)是关于《公约》的最全面、可自由获取的资源。
Other initiatives were presented, such as the ICC Guide to national procedures for recognition and enforcement of awards under the New York Convention and the International Council for Commercial Arbitration Guide to the interpretation of the New York Convention.还介绍了其他倡议,例如,《国际商会关于承认和执行纽约公约裁决的国家程序指南》和《国际商事仲裁理事会关于解释纽约公约指南》。
170.10.
The celebratory event ended with a panel on instruments recently finalized and adopted by UNCITRAL to strengthen the framework for alternative dispute resolution.庆祝活动结束时就贸易法委员会最近审定并通过的旨在加强非诉讼争议解决框架的文书举行了专题小组讨论。
Regarding mediation, it was highlighted that while the finalized draft convention on international settlement agreements resulting from mediation and the UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation (see chapter III above) were mainly intended for the private sector, enforcement of international mediated settlements was a sensitive policy issue for many States, as evidenced by the many responses submitted by States to the initial questionnaire sent by the Secretariat before the commencement of work.关于调解,与会者强调,虽然最后审定的关于调解产生的国际和解协议公约草案和《国际商事调解和调节所产生的国际和解协议示范法》(见上文第三章)主要针对私营部门,但对许多国家来说,执行调解产生的国际和解协议是一个敏感的政策问题,各国对秘书处在工作开始前发出的初步调查问卷给出的许多答复就证明了这一点。
Hope was expressed that the instruments on mediation would be widely adopted, and that the draft convention would be as successful as the New York Convention and would become a cornerstone in the field of alternative dispute settlement.与会者表示希望调解文书将得到广泛通过,公约草案将与《纽约公约》一样成功,成为非诉讼争议解决领域的基石。
To end, the United Nations Convention on Transparency in Treaty-based Investor-State Arbitration was presented as a first step in addressing concerns in investor-State dispute settlement.最后,指出《联合国投资人与国家间基于条约仲裁透明度公约》是处理投资人与国家间争议解决方面关切的第一个步骤。
171.11.
The celebratory event also included an evening reception where the international arbitration community gathered to celebrate the sixtieth anniversary of the Convention.庆祝活动还包括国际仲裁界庆祝《公约》六十周年晚间招待会。
The reception was jointly organized by the Commission and the International Court of Arbitration of ICC, hosted by the United States District Court for the Southern District of New York.招待会由委员会与国际商会国际仲裁法院联合组办,美国纽约州南区地区法院承办。
A number of organizations representing the international arbitration community supported the event, including IBA, the New York State Bar Association, AAA/ICDR, the Chartered Institute of Arbitrators (CIArb), the Centre for Dispute Resolution and JAMS.代表国际仲裁界的一些组织为这一活动提供了支持,包括国际律师协会、纽约州律师协会、美国仲裁协会/国际争议解决中心、特许仲裁员协会、争议解决中心和司法仲裁和调解服务。
172.12.
The Commission commended the Secretariat for the organization of the celebratory event, and the opportunity to reflect on the implementation of the UNCITRAL mandate in relation to the New York Convention.委员会赞扬秘书处组办了这次庆祝活动,并借此机会反思贸易法委员会与《纽约公约》有关的任务授权的执行情况。
It requested the Secretariat to publish the conference proceedings electronically and to disseminate the publication broadly to any interested bodies.委员会请秘书处发布电子版会议议事记录并将其向任何有关机构广为传播。
B.B.
Decision of the Commission委员会的决定
173.13.
At its 1076th meeting, on 28 June 2018, the Commission adopted by consensus the following decision:在2018年6月28日第1076次会议上,委员会以协商一致方式通过了下述决定:
The United Nations Commission on International Trade Law,联合国国际贸易法委员会,
Recalling the adoption of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards on 10 June 1958 by the United Nations Conference on International Commercial Arbitration,回顾联合国国际商业仲裁会议于1958年6月10日通过了《承认及执行外国仲裁裁决公约》,
Recalling also General Assembly resolution 2205 (XXI) of 17 December 1966, in which the Assembly established the United Nations Commission on International Trade Law with the object of promoting the progressive harmonization and unification of the law of international trade by, inter alia, promoting ways and means of ensuring a uniform interpretation and application of international conventions and uniform laws in the field of the law of international trade,还回顾大会1966年12月17日第2205 (XXI)号决议,大会在该决议中设立了联合国国际贸易法委员会,目的是促进国际贸易法的逐步协调和统一,为此,除其他外,促进以各种方式方法确保对国际贸易法领域各项国际公约和统一法的统一解释和适用,
Conscious of the fact that the different legal, social and economic systems of the world, together with different levels of development, are represented in the Commission,认识到委员会所代表的是全世界不同的法律、社会和经济制度以及不同的发展水平,
Recalling successive resolutions of the General Assembly reaffirming the mandate of the Commission as the core legal body within the United Nations system in the field of international trade law to coordinate legal activities in this field,回顾大会先后作出决议,重申委员会作为联合国系统在国际贸易法领域的核心法律机构协调该领域法律活动的任务,
Convinced that the Convention, by establishing a fundamental legal framework for the use of arbitration and its effectiveness, has strengthened respect for binding commitments, inspired confidence in the rule of law and ensured fair treatment in the resolution of disputes arising over contractual rights and obligations,深信《公约》通过为仲裁的使用和有效性建立一个基本法律框架,加强了对具约束力承诺的尊重,激发了对法治的信心,并确保了在解决合同权利和义务所产生的争议时处事公平,
Recalling General Assembly resolution 62/65 of 6 December 2007, in which the Assembly requested the Secretary-General to increase efforts to promote wider adherence to the Convention and its uniform interpretation and effective implementation,回顾大会2007年12月6日第62/65号决议,大会在决议中请秘书长加大力度,推动更广泛地遵守《公约》并促进其统一解释和有效执行,
Taking note of the UNCITRAL Secretariat Guide on the New York Convention, which is aimed at assisting in the dissemination of information on the Convention and further promoting its effective implementation,注意到《贸易法委员会秘书处纽约公约指南》,其目的是协助传播关于《公约》的信息并进一步促进其有效执行,
Expressing its hope that States that are not yet parties to the Convention will soon become parties thereto, which would ensure that the legal certainty afforded by the Convention is universally enjoyed, decreasing the level of risk and transactional costs associated with doing business and thus promoting international trade,表示希望尚未成为《公约》缔约国的国家将很快成为其缔约国,这将确保《公约》提供的法律确定性得以普遍共享,降低经商风险度和交易成本,从而促进国际贸易,
1.1.
Welcomes the initiatives being undertaken by various organs and agencies within and outside the United Nations system to organize conferences, judicial workshops and other similar events to provide a forum for an exchange of views on experiences worldwide with the implementation of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards;欢迎联合国系统内外各机关和机构正在采取举措,组织会议、司法讲习班和其他类似活动,为就世界范围内执行《承认及执行外国仲裁裁决纽约公约》的经验交流看法提供一个论坛;
2.2.
Encourages the use of these events for the promotion of wider adherence to the Convention and greater understanding of its provisions and their uniform interpretation and effective implementation;鼓励利用这些活动推动更广泛地遵守《公约》并促进更深刻理解《公约》规定及其统一解释和有效执行;
3.3.
Invites all States that have not yet done so to consider becoming parties to the Convention.邀请所有尚未成为《公约》缔约国的国家考虑成为其缔约国。
XI.十一
.
Coordination and cooperation协调与合作
A.A.
General概述
174.14.
The Commission had before it a note by the Secretariat (A/CN.9/948) providing information on the activities of international organizations active in the field of international trade law in which the Secretariat had participated since the last note to the Commission (A/CN.9/908).委员会收到了秘书处的一份说明(A/CN.9/948),其中介绍了秘书处自上次向委员会提交说明(A/CN.9/908)以来参加的由活跃于国际贸易法领域的国际组织开展的活动。
The Commission expressed appreciation for the Secretariat engaging with a high number of organizations and entities, both within and outside the United Nations system.委员会对秘书处与联合国系统内外众多组织和实体进行接触表示赞赏。
Among others, the Secretariat had participated in the activities of the following: UNCTAD, ECE, United Nations Inter-Agency Cluster on Trade and Productive Capacity, Inter-Agency Task Force on Financing for Development, World Bank, Hague Conference on Private International Law, OECD, Unidroit, WTO, Asia-Pacific Economic Cooperation (APEC), European Commission, Basel Committee on Banking Supervision and ILI.除其他外,秘书处参加了下列组织的活动:贸发会议、欧洲经委会、联合国贸易和生产能力机构间小组、发展筹资问题机构间工作队、世界银行、海牙国际私法会议、经合组织、统法协会、世贸组织、亚洲太平洋经济合作组织(亚太经合组织)、欧洲联盟委员会、巴塞尔银行监督委员会、国际法研究所。
175.15.
In particular, the Commission noted with satisfaction the coordination activities involving the Hague Conference on Private International Law, particularly with respect to its work on judgments, and Unidroit.特别是,委员会满意地注意到涉及海牙国际私法会议(尤其是其关于判决书的工作)和统法协会的协调活动。
176.16.
The Commission heard an oral report on the preparation of a guidance document in the area of international commercial contract law (with a focus on sales) in coordination with the Hague Conference on Private International Law and with Unidroit.委员会还听取了关于与海牙国际私法会议和统法协会协调编写一项国际商业合同法领域(重点是销售)指导文件的口头报告。
It was indicated that an initial draft was being prepared with the help of experts and that it would be informally circulated to stakeholders.会上表示,正在专家的帮助下编写初稿,初稿将非正式分发给利益攸关方。
It was added that, according to the envisaged timeline, the document should be finalized in 2020, on the occasion of the fortieth anniversary of the United Nations Convention on Contracts for the International Sale of Goods (1980).补充说,按照设想的时间表,该文件应在2020年纪念《联合国国际货物销售合同公约》(1980年)四十周年之际定稿。
177.175.
Broad appreciation was expressed for the joint project.会上对这一联合项目普遍表示赞赏。
It was said that such a project was particularly useful for illustrating the coordination among uniform law instruments.据指出,这一项目特别有益于展示各种统一法律文书之间的协调关系。
Cooperation allowed for efficient allocation of resources.合作有利于有效分配资源。
It was indicated that the project contributed to ensuring the visibility of UNCITRAL, which, in turn, was important for it to carry out its coordination mandate effectively.会上表示,该项目有助于确保贸易法委员会的知名度,这反过来又对其有效履行其协调任务至关重要。
However, it was added that work on the project should be balanced with the needs of UNCITRAL legislative activities.不过,补充说,该项目的工作应当与贸易法委员会立法活动的需要相平衡。
The Commission encouraged the Secretariat to continue its collaboration with the Hague Conference on Private International Law and Unidroit on that project.委员会鼓励秘书处继续就该项目与海牙国际私法会议和统法协会开展合作。
178.176.
The Commission noted that the coordination work of the Secretariat concerned topics currently being considered by the working groups, as well as topics related to texts already adopted by the Commission, and that the Secretariat had participated in expert groups, working groups and plenary meetings with the purpose of sharing information and expertise and avoiding duplication of work in the resultant work products.委员会注意到,秘书处的协调活动涉及各工作组正在审议的议题和与委员会已通过案文有关的议题,为交流信息和专业知识,并避免在所产生的工作成果方面重复工作,秘书处参加了各种专家组会议、工作组会议和全体会议。
179.177.
The Commission observed that coordination work often involved travel to meetings of the different organizations concerned and the use of funds allocated for official travel.委员会注意到,协调工作经常涉及出差参加不同组织的会议以及使用为公务旅行拨付的经费。
The Commission reiterated the importance of such work being undertaken by UNCITRAL as the core legal body in the United Nations system in the field of international trade law and supported the use of travel funds for that purpose.委员会重申贸易法委员会作为联合国系统在国际贸易法领域核心法律机构开展此类工作的重要性,并支持为此目的使用差旅费。
B.B.
Reports of other international organizations其他国际组织的报告
180.1.
The Commission took note of statements made on behalf of international and regional organizations invited to the session.委员会注意到代表下列获邀出席本届会议的国际组织和区域组织所作的发言。
1.1.
Permanent Court of Arbitration常设仲裁法院
181.1.
The representative of PCA made a statement providing a summary of the work of PCA during the period 2017–2018, including an update on the provision of registry support in a number of different arbitration and conciliation proceedings, its role as an appointing authority and, in particular, its experience with the operation of the UNCITRAL Arbitration Rules and some novel ways in which they had recently been used.常设仲裁院的代表作了发言,概述了常设仲裁院2017-2018年期间的工作,包括在若干不同仲裁和调解程序中提供登记处支持服务的最新情况、常设仲裁院作为指定机构的作用,特别是常设仲裁院运用《贸易法委员会仲裁规则》的经验以及最近使用这些规则的一些新颖方式。
PCA had increased its technical contribution to discussions in Working Group III on investor-State dispute settlement reform, including information on costs and appointment and challenges of arbitrators.常设仲裁院增加了对第三工作组投资人与国家间争议解决制度改革讨论的技术贡献,包括提供关于仲裁员费用、任命和回避方面的信息。
2.2.
Organization of American States美洲国家组织
182.1.
The representative of OAS recalled the general mandate received from the OAS General Assembly to promote a greater dissemination of private international law among its member States, in collaboration with other organizations and associations that worked in that area;美洲国家组织的代表回顾了美洲国家组织大会赋予的一般任务,即与在这一领域开展工作的组织和协会合作,促进在成员国中更广泛地传播国际私法:为此特别提到了贸易法委员会、海牙国际私法会议、统法协会以及美洲国际私法协会。
UNCITRAL, the Hague Conference on Private International Law, Unidroit and the American Association of Private International Law had been identified in particular.
The OAS General Assembly had also instructed the secretariat to:美洲国家组织大会还指示秘书处:
(a)
(a) continue promoting the UNCITRAL Model Law on Secured Transactions among member States (the Model Law had been adopted at the Inter-American Specialized Conference on Private International Law held in 2002, and the accompanying Model Regulations had been adopted at the Inter-American Specialized Conference on Private International Law held in 2009);继续在成员国当中推广《贸易法委员会担保交易示范法》(该《示范法》在于2002年举行的美洲国际私法专门会议上获得通过,随附《示范条例》在于2009年举行的美洲国际私法专门会议上获得通过);
(b) extend the training for judges and other public officials on the effective implementation of international treaties on enforcing decisions and arbitral awards;(b)扩大对法官和其他公职人员关于有效执行关于执行判决和仲裁裁决的国际条约的培训;
and (c) disseminate the OAS Model Law on the Simplified Corporation.(c)宣传《美洲国家组织简易公司示范法》。
Lastly, at its most recent session, in June 2018, the OAS General Assembly had requested the Inter-American Juridical Committee to update its 2016 report on principles for electronic warehouse receipts for agricultural products in the light of developments that had occurred since those principles were adopted.最后,美洲国家组织大会在2018年6月举行的最近一届会议上请美洲司法委员会根据自农产品电子仓单原则通过以来的新发展,更新其2016年关于该原则的报告。
183.2.
The representative of OAS also informed the Commission about the activities of the Inter-American Juridical Committee and the instruments it had produced in areas of interest for UNCITRAL, highlighting the importance of the ongoing work on drafting a guide to the law applicable to international contracts, and a set of draft principles on electronic warehouse receipts for agricultural products.美洲国家组织的代表还向委员会通报了美洲司法委员会的活动及其在贸易法委员会感兴趣的领域制定的文书,强调了正在进行的拟订国际合同适用法律指南和一套农产品电子仓单原则草案的工作的重要性。
In those and other areas, the OAS secretariat looked forward to a continuation of its fruitful cooperation with UNCITRAL.在这些领域和其他领域,美洲国家组织秘书处期待着继续与贸易法委员会进行富有成果的合作。
C.C.
International governmental and non-governmental organizations invited to the sessions of UNCITRAL and its working groups获邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织
184.3.
The Commission recalled that, at its forty-fourth session to fiftieth sessions, from 2011 to 2017, it had heard oral reports by the Secretariat about intergovernmental organizations and non-governmental organizations (NGOs) invited to sessions of UNCITRAL.委员会回顾,自2011年至2017年,委员会在其第四十四届会议至第五十届会议上都听取了秘书处关于获邀参加贸易法委员会届会的政府间组织和非政府组织的口头报告。
At its forty-eighth session, in 2015, it had requested the Secretariat, when presenting its oral report on the topic of organizations invited to sessions of UNCITRAL, to provide comments on the manner in which invited organizations fulfilled the criteria applied by the Secretariat in making its decision to invite NGOs.委员会在2015年第四十八届会议上请秘书处在就获邀参加贸易法委员会届会的组织这一议题作口头报告时,说明获邀组织如何满足秘书处在决定邀请非政府组织时所适用的标准。
At its forty-ninth session, in 2016, the Commission had welcomed the detailed and informative report presented by the Secretariat pursuant to that request.委员会在2016年第四十九届会议上欢迎秘书处根据该请求提交的内容翔实的报告。
At its fiftieth session, in 2017, the Commission had requested the Secretariat to provide information about organizations invited to sessions of UNCITRAL in writing for future sessions.委员会在2017年第五十届会议上请秘书处为今后届会提供关于获邀参加贸易法委员会届会各组织的书面情况。
185.1.
The Commission had before it a note submitted pursuant to the request made by the Commission at its fiftieth session (A/CN.9/951).委员会收到了根据委员会第五十届会议的这一请求提交的一份说明(A/CN.9/951)。
The note presented information about the newly accepted organizations and those whose applications had been declined between the start of the fiftieth session of UNCITRAL and 28 May 2018.该说明介绍了从贸易法委员会第五十届会议开始到2018年5月28日期间新接受的组织以及申请被拒绝的组织的情况。
The Commission noted the establishment of a separate list of additional NGOs invited only to sessions of Working Group III (Investor-State Dispute Settlement Reform) for its work on issues of investor-State dispute settlement reform, the reasons for establishing that list and the NGOs included in that list.委员会注意到就另一批非政府组织设立了单独名单,这些组织获邀仅参加第三工作组(投资人与国家间争议解决制度改革)关于投资人与国家间争议解决制度改革议题工作的届会,并注意到设立该名单的理由以及列入该名单的非政府组织。
186.2.
The Commission took note of the request submitted by Public Citizen, an NGO interested in participating as an observer in sessions of Working Group III, but which the Secretariat had not found to be international in membership and focus or to possess demonstrated international expertise in the area of work currently dealt with by Working Group III, for a reconsideration of that decision (A/CN.9/951, para. 5 (d)).委员会注意到公共市民组织提交的复议秘书处决定(A/CN.9/951,第5段(d)项)的请求,该组织是一个有兴趣作为观察员参加第三工作组届会的非政府组织,但秘书处认定其成员组成和侧重点不具国际性,或者在第三工作组目前所涉及的工作领域并不拥有得到证明的国际专门知识。
The Commission confirmed the decision of the Secretariat in that case.委员会确认了秘书处就此案例做出的决定。
XII.十二
.
Technical assistance to law reform法律改革技术援助
A.A.
General概述
187.1.
The Commission had before it a note by the Secretariat (A/CN.9/958/Rev.1) on technical cooperation and assistance activities undertaken in the period since the last report to the Commission in 2017 (A/CN.9/905).委员会收到了秘书处关于自2017年向委员会提交上次报告(A/CN.9/ 905)以来开展技术合作与援助活动的说明(A/CN.9/958/Rev.1)。
The Commission stressed that technical cooperation and assistance activities continued to be an important part of the Secretariat’s activities in order to ensure that the legislative texts developed and adopted by the Commission were enacted or adopted by States and applied and interpreted in a uniform manner to promote the basic goal of harmonization of international trade law.委员会强调,技术合作与援助活动仍然是秘书处活动的一个重要组成部分,其目的是确保委员会制定和通过的立法案文为各国颁布和通过并以统一方式加以适用和解释,从而促进统一国际贸易法这一基本目标。
The technical assistance and cooperation activities of the Secretariat included秘书处的技术援助和合作活动包括:
(a) providing States with information necessary to allow them to enact the various texts developed or adopted by UNCITRAL, including technical information, information and advice on practical experience in the enactment of UNCITRAL texts, (b) providing assistance to the drafting of laws and regulations enacting UNCITRAL texts, including information and advice on interpretation and implementation of texts, and
(c) providing capacity-building for law reform and the interpretation and application of UNCITRAL texts.(a)
The Commission acknowledged that development of legislative texts was only the first step in the process of trade law harmonization and that technical cooperation and assistance activities were vital to the further use, adoption and interpretation of those legislative texts.向各国提供必要的信息,使其能够颁布贸易法委员会制定或通过的各种法规,包括颁布贸易法委员会法规实际经验方面的技术信息、信息和咨询意见,(b)协助起草颁布贸易法委员会法规的法律和条例,包括关于法规解释和执行的信息和咨询意见;
(c)为法律改革以及解释和适用贸易法委员会法规提供能力建设。 委员会承认,制定立法案文只是统一贸易法过程的第一步,技术合作与援助活动对于这些立法案文的进一步使用、通过和解释至关重要。
The Commission expressed its appreciation for the work undertaken by the Secretariat in that regard.委员会对秘书处在这方面开展的工作表示赞赏。
At the same time, the Commission recalled that the main mandate of the Secretariat was to support the Commission’s legislative work and encouraged the Secretariat to ensure that human resources allocated to technical assistance would not adversely affect the servicing of the Commission and its working groups.与此同时,委员会回顾秘书处的主要任务授权是支持委员会的立法工作,并鼓励秘书处确保分配用于技术援助的人力资源不会对服务委员会及其工作组造成不利影响。
188.1.
The Commission noted that the continuing ability to respond to requests from States and regional organizations for these activities was dependent upon the availability of funds to meet the associated costs.委员会注意到,能否继续响应各国和各区域组织对这些活动的请求,取决于是否有资金支付相关费用。
With respect to the Trust Fund for UNCITRAL Symposia, the Commission acknowledged the contribution by the Republic of Korea to support participation in the APEC Ease of Doing Business project (as noted in A/CN.9/958/Rev.1, paras. 10 and 52).关于贸易法委员会专题讨论会信托基金,委员会感谢大韩民国提供捐款,以支持参与亚太经合组织经商便利项目(如A/CN.9/958/Rev.1第10和52段所述)。
The Commission further noted that, despite efforts by the Secretariat to solicit new donations, funds available in the Trust Fund for UNCITRAL Symposia were very limited.委员会进一步注意到,尽管秘书处为寻求新的捐款做出种种努力,但贸易法委员会专题讨论会信托基金所能支配的资金非常有限。
Accordingly, requests for technical cooperation and assistance activities continued to be very carefully considered, and the number of such activities, which of late had mostly been carried out on a cost-share or no-cost basis, was limited.因此,继续对各种技术合作和援助活动请求进行认真审议,此种活动的数量仍然有限,近来大多以费用分摊或无费用方式进行。
The Commission requested the Secretariat to continue exploring alternative sources of extrabudgetary funding, in particular by more extensively engaging permanent missions, as well as other possible partners in the public and private sectors, subject to relevant United Nations rules and regulations on fundraising and relations with the private sector.委员会请秘书处继续探索其他预算外资金来源,特别是更广泛地动员各常驻代表团以及公共和私营部门其他潜在合作伙伴参与,但须遵守联合国关于筹资和与私营部门关系的相关规则和条例。
The Commission also encouraged the Secretariat to seek cooperation and partnership with international organizations, including through regional offices, and bilateral assistance providers in the provision of technical assistance, and appealed to all States, international organizations and other interested entities to facilitate such cooperation and take any other initiative to maximize the use of relevant UNCITRAL standards in law reform.委员会还鼓励秘书处在提供技术援助时争取包括通过区域办事处与各国际组织合作以及与双边援助提供方合作,并呼吁所有国家、国际组织和其他相关实体为此种合作提供便利,并采取任何其他举措以期在法律改革中最大限度地利用贸易法委员会的相关标准。
In that connection, the Commission expressed the wish that the Secretariat would be able to maintain a neutral and independent approach to technical assistance, consistent with the policies of the Commission, bearing in mind that potential donors, including national development agencies, might have their own priority or policy considerations.在这方面,委员会希望秘书处能够按照委员会的政策,对技术援助采取中立和独立的做法,同时考虑到潜在捐助方包括国家开发机构可能有自己的优先事项或政策考虑。
189.2.
The Commission reiterated its call for 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 or as specific-purpose contributions, in order to facilitate planning and enable the Secretariat to meet the increasing number of requests for technical cooperation and assistance activities.委员会再次吁请所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金提供捐款,可能的话采用多年期捐款形式,或提供专门用途捐款,以便于进行规划并使秘书处能够满足越来越多的技术合作和援助活动请求。
190.3.
With respect to the Trust Fund for Granting Travel Assistance to Developing States Members of UNCITRAL, the Commission appealed to the relevant bodies of the United Nations system, organizations, institutions and individuals to make voluntary contributions to the Trust Fund.关于向贸易法委员会发展中国家成员提供旅费补助的信托基金,委员会呼吁联合国系统相关机构、各组织、机构和个人向该信托基金提供自愿捐款。
The Commission noted that the available Trust Fund resources had been used to facilitate participation at the fifty-first session of the Commission for one delegate from Honduras.委员会注意到,该信托基金的可用资源已用于协助洪都拉斯一位代表参加贸易法委员会第五十一届会议。
Owing to the limited resources, only partial assistance could be provided.由于资源有限,仅能提供部分援助。
191.4.
The Commission further noted that the European Union and Swiss Agency for Development and Cooperation had made resources available to provide financial support for the participation of developing countries in Working Group III (Investor-State Dispute Settlement Reform), which had been used to facilitate participation at the thirty-fifth session of Working Group III (New York, 23–27 April 2018) for delegates from El Salvador and Sri Lanka, as the agreement between the United Nations and the European Union also covered the funding of travel for States that are not currently members of UNCITRAL.委员会进一步还注意到,欧洲联盟与瑞士发展署已提供资源,用于为发展中国家参加贸易法委员会第三工作组(投资人与国家间争议解决制度改革)的工作提供财政支持,这些资源已用于协助萨尔瓦多和斯里兰卡代表参加第三工作组第三十五届会议(2018年4月23日至27日,纽约),因为联合国与欧盟之间的协议也涵盖对目前不是贸易法委员会成员的国家的差旅供资。
192.5.
The Commission commended the Secretariat for organizing a round table on technical assistance at the Commission’s 1084th meeting, on Friday, 6 July.委员会赞扬秘书处在7月6日星期五举行的委员会第1084次会议上组织了一次技术援助圆桌会议。
The round table brought together governmental and intergovernmental organizations active in international development assistance to explore synergies and discuss ways to further cooperate with the Secretariat in implementing sound reforms of international trade law.积极参与国际发展援助的政府组织和政府间组织汇聚圆桌会议,探讨协同作用,并讨论如何进一步与秘书处合作实施健全的国际贸易法改革。
The presentations made at the round table and the discussion that took place thereafter offered valuable insights into needs for commercial law reform, the tools and methods for enhancing delivery of law reform projects and the means for evaluating their effectiveness.圆桌会议上所作的专题介绍和随后进行的讨论,就商法改革的必要性、加强法律改革项目实施的工具和方法以及评估其效力的手段提供了宝贵的见解。
The Commission expressed its appreciation to the experts who had participated in the round table.委员会对参加圆桌会议的专家表示感谢。
193.6.
With regard to the dissemination of information on the work and texts of UNCITRAL, the Commission noted the important role played by the UNCITRAL website (www.uncitral.org) and the UNCITRAL Law Library.关于传播贸易法委员会工作和法规的相关信息,委员会注意到贸易法委员会网站(www.uncitral.org)和贸易法委员会法律图书馆发挥的重要作用。
The Commission welcomed the inclusion on the UNCITRAL website of a feature highlighting the role of UNCITRAL in supporting the Sustainable Development Goals.委员会欢迎贸易法委员会网站纳入一项新内容,着重介绍贸易法委员会在支持《可持续发展目标》方面的作用。
The Commission recalled its request that the Secretariat continue to explore the development of new social media features on the UNCITRAL website as appropriate, noting that the development of such features in accordance with the applicable guidelines was also welcomed by the General Assembly.委员会回顾其请秘书处继续酌情探索在贸易法委员会网站上开发新的社交媒体功能,指出大会也欢迎按照适用的准则开发此种功能。
In that regard, the Commission noted with approval the continued development of the “What’s new at UNCITRAL? ” Tumblr microblog and the establishment of an UNCITRAL presence on LinkedIn.在这方面,委员会赞许地注意到继续开发“贸易法委员会有什么新动向?”、“Tumblr微博”,并在LinkedIn上确立贸易法委员会的存在。
Finally, recalling the General Assembly resolutions commending the website’s six-language interface, the Commission requested the Secretariat to continue to provide, via the website, UNCITRAL texts, publications, and related information, in a timely manner and in the six official languages of the United Nations.最后,忆及大会一些决议赞扬该网站使用了六种语文界面,委员会请秘书处继续通过该网站,以联合国六种正式语文及时提供贸易法委员会法规、出版物和相关信息。
B.B.
UNCITRAL regional presence贸易法委员会的区域存在
194.7.
The Commission had before it a note by the Secretariat on the activities undertaken by its Regional Centre for Asia and the Pacific (A/CN.9/947) in the period since the last report to the Commission in 2017 (A/CN.9/910).委员会收到了秘书处关于亚洲及太平洋区域中心自2017年向委员会提交上次报告(A/CN.9/910)以来所开展活动的说明(A/CN.9/947)。
195.8.
The Commission acknowledged the noticeable progress, as a result of the regional activities of the Secretariat, through its Regional Centre, in the levels of awareness, adoption and implementation of harmonized and modern international trade law standards elaborated by UNCITRAL, and emphasized the significance of the Regional Centre in mobilizing contributions to the work of UNCITRAL from the Asia-Pacific region.委员会承认,由于秘书处通过其区域中心开展区域活动,对贸易法委员会拟订的协调统一的现代国际贸易法标准的认识、通过和执行水平有了显著提高,并强调了区域中心对于调动亚洲太平洋区域为贸易法委员会工作做出贡献的重要意义。
196.9.
The Commission noted that the Regional Centre was staffed by one professional, one programme assistant, one team assistant and two legal experts, and that its core project budget allowed for the occasional employment of experts and consultants.委员会注意到,区域中心员工包括一名专业人员、一名方案助理、一名团队助理和两名法律专家,其核心项目预算允许偶尔聘请专家和顾问。
During the reporting period, the Regional Centre had received 15 interns.在本报告所涉期间,区域中心接待了15名实习生。
The Commission also noted that the Regional Centre relied on the annual financial contribution to the Trust Fund for UNCITRAL Symposia to meet the costs of operations and programmes.委员会还注意到,区域中心依靠对贸易法委员会专题讨论会信托基金的年度财政捐款来支付业务和方案费用。
The Commission expressed its gratitude to the Incheon Metropolitan City for extending its financial contribution over a five-year period (2017–2021) for the operation of the Regional Centre, revising the annual contribution to $450,000.委员会感谢仁川广域市将其财政捐款延长了五年(2017年至2021年),以支持区域中心的运作,并将年度捐款额修订为每年450,000美元。
The Commission further expressed its gratitude to the Ministry of Justice of the Republic of Korea and to the government of the Hong Kong Special Administrative Region of China for the extension of their contribution of two legal experts on non-reimbursable loans.委员会还表示感谢大韩民国司法部和中国香港特别行政区政府延长两名无偿借调法律专家的工作期限。
197.10.
The Commission commended the Regional Centre for having continued to deliver its flagship activities during the reporting period, namely the second edition of the UNCITRAL Asia Pacific Judicial Summit (Hong Kong, China, 16–18 October 2017), the Asia Pacific Alternative Dispute Resolution Conference (Seoul, 7–9 November 2017) and the UNCITRAL Asia Pacific Day held by various universities during the last quarter of 2017 with the objective of streamlining activities to promote UNCITRAL texts and establishing regular opportunities for substantive regional contributions to support the present and possible future legislative work of UNCITRAL.委员会赞扬区域中心在本报告所述期间继续开展其旗舰活动,即第二次贸易法委员会亚洲太平洋司法峰会(2017年10月16日至18日,中国香港)、亚洲太平洋非诉讼争议解决会议(2017年11月7日至9日,首尔)以及各大学在2017年最后一个季度举行的贸易法委员会亚太日活动,目的是理顺贸易法委员会法规推广活动,并不断创造机会以便该区域为支持贸易法委员会当前和未来立法工作做出实质性贡献。
198.11.
The Commission noted with appreciation the various public, private and civil society initiatives that the Regional Centre had organized or supported, or in which, through either Incheon-based staff or Vienna-based secretariat staff, it had participated during the reporting period.委员会赞赏地注意到区域中心在报告所述期间组办或支持了各种公共、私人和民间社会举措,或者通过在仁川的工作人员或维也纳秘书处的工作人员参与了这些举措。
The Commission further noted with appreciation that the Regional Centre, in consultation and with the support of Vienna-based secretariat staff had also been engaged in the technical assistance and capacity-building services, provided to States in the Asia-Pacific region and to international and regional organizations and development banks.委员会还赞赏地注意到,与贸易法委员会秘书处维也纳工作人员协商并在其支持下,区域中心还参与了向亚洲太平洋区域国家以及向国际和区域组织及开发银行提供的技术援助和能力建设服务。
199.12.
The Commission encouraged the Secretariat to continue seeking cooperation, including through formal agreements, with regional stakeholders, including development banks, to ensure coordination and funding for its technical assistance and capacity-building activities and services aimed at promoting the adoption of UNCITRAL texts in the region.委员会鼓励秘书处继续寻求以正式协定等方式与区域各相关方合作,包括与各开发银行开展合作,以确保为其旨在促进该区域通过贸易法委员会法规的技术援助和能力建设活动及服务进行协调和筹集资金。
200.13.
The delegate of Cameroon informed the Commission that, since the announcement of its intention to host an UNCITRAL regional centre for Africa, at the Commission’s fiftieth session, in 2017, the Government of Cameroon had continued to examine the financial implications and the feasibility of establishing a UNCITRAL regional centre in the country.喀麦隆代表向委员会通报,自从在委员会2017年第五十届会议上宣布喀麦隆打算担任贸易法委员会非洲区域中心东道国以来,喀麦隆政府继续研究在该国设立一个贸易法委员会区域中心所涉及的财政问题和可行性。
The Commission reiterated its gratitude to the Government of Cameroon for actively pursuing that matter, and encouraged the Secretariat to continue its consultations and consider carefully the level of human resources that the Secretariat would need for the efficient management of any new regional centre and for ensuring adequate supervision by, and coordination with, Vienna-based secretariat staff.委员会再次感谢喀麦隆政府积极推进此事,并鼓励秘书处继续进行协商,并认真考虑秘书处为高效管理任何新的区域中心并确保维也纳秘书处工作人员对其适当监督和与维也纳秘书处工作人员保持协调所需要的人力资源水平。
XIII.十三
.
Status and promotion of UNCITRAL legal texts贸易法委员会各项法规的现状和推广
A.A.
General discussion一般性讨论
201.1.
The Commission considered the status of the conventions and model laws emanating from its work and the status of the New York Convention, on the basis of a note by the Secretariat (A/CN.9/950).委员会以秘书处的一份说明(A/CN.9/950)为基础,审议了由委员会工作产生的各项公约和示范法的现状以及《纽约公约》的现状。
It was noted that certain States had adopted more than one UNCITRAL text in the framework of a comprehensive exercise on commercial law modernization.会上注意到某些国家在商法现代化综合工作框架内通过了不止一项贸易法委员会法规。
The Commission noted with appreciation the information on treaty actions and legislative enactments received since its fiftieth session and invited States to share with the Secretariat information on the enactment of UNCITRAL texts.委员会赞赏地注意到自第五十届会议以来收到的关于条约行动和立法颁布情况的信息,并请各国与秘书处分享关于贸易法委员会法规颁布情况的信息。
202.2.
The Commission also noted the following actions and legislative enactments made known to the Secretariat subsequent to the submission of the Secretariat’s note:委员会还注意到在秘书处说明提交之后向秘书处通报的下述行动和立法颁布情况:
(a)(a)
Mauritius Convention on Transparency: ratification by Cameroon (four States parties);《毛里求斯透明度公约》:喀麦隆批准(4个缔约国);
(b)(b)
UNCITRAL Model Law on Cross-Border Insolvency (1997): new legislation based on the Model Law had been adopted in Israel;《贸易法委员会跨国界破产示范法》(1997年):以色列通过了基于《示范法》的新立法;
(c)(c)
UNCITRAL Model Law on International Commercial Arbitration (1985), with amendments as adopted in 2006: legislation based on the Model Law had been adopted in British Columbia, Canada.《贸易法委员会国际商事仲裁示范法》(1985年),附2006年通过的修正案:加拿大不列颠哥伦比亚通过了基于《示范法》的新立法。
203.3.
The Commission expressed appreciation to the General Assembly for the support it provided to UNCITRAL in its activities and in particular its distinct role in furthering the dissemination of international commercial law.委员会感谢大会对贸易法委员会的活动特别是贸易法委员会在促进传播国际商法方面的独特作用所提供的支持。
In particular, the Commission referred to the long-established practice of the General Assembly, upon acting on UNCITRAL texts, to recommend to States to give favourable consideration to UNCITRAL texts and to request the Secretary-General to publish UNCITRAL texts, including electronically, in the six official languages of the United Nations, and take other measures to disseminate UNCITRAL texts as broadly as possible to Governments and all other relevant stakeholders.尤其是,委员会提到大会的长期惯例,即在就贸易法委员会法规采取行动时建议各国积极考虑贸易法委员会法规并请秘书长以联合国六种正式语文发布贸易法委员会法规,包括以电子方式发布,并采取其他措施尽可能广泛地向各国政府和其他所有相关利害关系方传播贸易法委员会法规。
B.B.
Functioning of the transparency repository透明度存储处的运作
204.1.
The Commission recalled that the repository of published information under the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration (“Transparency Rules”), adopted at its forty-sixth session in 2013, had been established under article 8 of the Transparency Rules (“transparency repository”).委员会回顾,已根据委员会2013年第四十六届会议通过的《贸易法委员会投资人与国家间基于条约仲裁透明度规则》(《透明度规则》)第8条设立了根据《透明度规则》所公布信息的存储处(“透明度存储处”)。
The Commission also recalled reports on the transparency repository that had been provided at its previous sessions.委员会还回顾了前几届会议提供的关于透明度存储处的报告。
205.2.
The Commission recalled that, following ratification by Mauritius, Canada and Switzerland (listed in the chronological order of ratification), the Mauritius Convention on Transparency entered into force on 18 October 2017.委员会回顾,在毛里求斯、加拿大和瑞士(按批准时间排列)批准《毛里求斯透明度公约》后,该《公约》已于2017年10月18日生效。
It also noted that since that date, Cameroon had ratified the Convention (see para. 202 (a) above).还注意到,自该日后,喀麦隆批准了该《公约》(见上文第202段(a)项)。
The Commission noted that none of the ratifying States had made reservations and, as a result, the Transparency Rules were part of the investor-State dispute settlement regime created by investment treaties concluded by those four States.委员会注意到,批准《公约》的国家无一作出保留,所以,《透明度规则》现在已是这四个国家缔结的投资条约所建立的投资人与国家间争议解决制度的组成部分。
Thus, the Transparency Rules apply on a unilateral basis, under all treaties concluded by those States, if the claimant agrees to their application.因此,在这些国家所缔结的所有条约下,只要申请人同意适用,《透明度规则》将在单方面基础上适用。
206.3.
The Commission reiterated its appeal to all States, international organizations and other interested entities to consider making contributions to the funding of the project, preferably in the form of multi-year contributions, so as to facilitate its continued operation.委员会再次呼吁所有国家、国际组织和其他有关实体考虑捐款资助该项目,最好是多年期捐款形式,以便利项目持续运作。
It expressed its gratitude to the European Commission for its continuing financial commitment and to the Fund for International Development (OFID) of the Organization of the Petroleum Exporting Countries for its recent offer of additional funds.委员会感谢欧盟委员会持续的财政承诺和石油输出国组织国际发展基金最近提供的额外资金。
207.4.
The Commission recalled that a certain number of projects and activities taking place throughout the year in which the UNCITRAL transparency standards were promoted, strengthen the trend in investor-State dispute settlement towards increased transparency.委员会回顾,在促进贸易法委员会透明度标准的一年中开展了若干项目和活动,这些项目和活动加强了投资人与国家间争议解决方面提高透明度的趋势。
For instance, the Commission heard about several academic programmes, including moots, where around 4,000 students were able to become familiar with the UNCITRAL transparency standards.例如,委员会听取了包括模拟辩论赛在内的若干学术方案的介绍,通过这些方案,大约4,000名学生能够熟悉贸易法委员会透明度标准。
In addition, the Commission was informed about the continuation of the 18-month project under the overall project “Open regional fund: legal reform”, conducted by the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ), which was a key element of the promotion of the UNCITRAL transparency standards in South-Eastern Europe.此外,委员会获悉,德国国际合作署在“开放区域基金:法律改革”总项目下为期18个月的项目在继续进行,这是在东南欧促进贸易法委员会透明度标准的一项重要内容。
208.5.
The Commission welcomed the report on the transparency repository and expressed its support for continued operation of the repository as a key mechanism for promoting transparency in investor-State arbitration.委员会欢迎关于透明度存储处的报告,并表示支持该存储处作为促进投资人与国家间仲裁透明度的关键机制继续运作。
C.C.
International commercial law moot competitions国际商法模拟辩论赛
1.1.
Willem C. Vis International Commercial Arbitration Moot维斯国际商事模拟仲裁辩论赛
209.6.
The Commission noted that the Association for the Organization and Promotion of the Willem C. Vis International Commercial Arbitration Moot had organized the Twenty-fifth Moot, the oral arguments phase of which had taken place in Vienna from 24 to 29 March 2018, and that the best team in oral arguments had been the National Research University Higher School of Economics of Moscow.委员会注意到维斯国际商事模拟仲裁辩论赛组织和促进协会组办了第二十五届模拟辩论赛,2018年3月24日至29日在维也纳进行了口头辩论阶段,口头辩论的优胜队是莫斯科国立研究大学高等经济学院。
As in previous years, the Moot had been co-sponsored by the Commission.同往年一样,此次辩论赛由委员会协办。
Legal issues addressed by the teams in the Twenty-fifth Moot were based on the United Nations Sales Convention and the UNCITRAL Arbitration Rules.第二十五届模拟辩论赛各参赛队讨论的法律问题以《联合国销售公约》和《贸易法委员会仲裁规则》为基础。
210.7.
A total of 362 teams from 82 countries participated in the 2018 Vis Moot, comprising more than 2,000 students, 1,000 arbitrators and 700 coaches.共有来自82个国家的362支赛队参加了2018年的维斯模拟辩论赛,其中包括约2,000名学生、1,000名仲裁员和700名教练。
It was stressed that Vis Moot contributed to promoting cultural diversity and improving gender representation in international arbitration, both important aspects in increasing the credibility and acceptance of international arbitration.强调了维斯模拟辩论赛有助于促进文化多样性和提高国际仲裁中的性别代表性,这两个方面都是提高国际仲裁可信度和接受度的重要方面。
The oral arguments phase of the Twenty-sixth Willem C. Vis International Commercial Arbitration Moot were to be held in Vienna from 12 to 18 April 2019.第二十六届维斯国际商事模拟仲裁辩论赛口头辩论阶段拟于2019年4月12日至18日在维也纳举行。
211.8.
It was also noted that the Vis East Moot Foundation had organized the Fifteenth Willem C. Vis (East) International Commercial Arbitration Moot, which had been co-sponsored by the Commission.还注意到维斯东方模拟辩论赛基金会组办了第十五届维斯(东方)国际商事仲裁模拟辩论赛,此次辩论赛由委员会协办。
The final phase took place in Hong Kong, China, from 11 to 18 March 2018.决赛阶段于2018年3月11日至18日在中国香港举行。
A total of 125 teams from 31 jurisdictions participated in the Fifteenth (East) Moot and the best team in oral arguments had been ILS Law College (India).来自31个法域的总共125支赛队参加了第十五届(东方)模拟辩论赛,口头辩论优胜队是印度法律学会法学院(印度)。
The Sixteenth (East) Moot was to be held in Hong Kong, China, from 31 March to 7 April 2019.第十六届(东方)模拟辩论赛拟于2019年3月31日至4月7日在中国香港举行。
2.2.
Additional moots其他模拟辩论赛
Madrid Commercial Arbitration Moot 20182018年马德里商事仲裁模拟辩论赛
212.9.
The Commission noted that Carlos III University of Madrid had organized the Tenth International Commercial Arbitration Competition in Madrid from 16 to 20 April 2018.委员会注意到,马德里卡洛斯三世大学于2018年4月16日至20日在马德里举办了第十届国际商事仲裁模拟辩论赛。
The Commission co-sponsored the Moot.委员会协办这届模拟辩论赛。
Legal issues addressed by the teams related to an international sale of goods, where the United Nations Sales Convention, the New York Convention, the UNCITRAL Arbitration Rules and the Transparency Rules were applicable.各参赛队讨论的法律问题涉及国际货物销售,可适用《联合国销售公约》、《纽约公约》、《贸易法委员会仲裁规则》和《透明度规则》。
A total of 27 teams from 13 jurisdictions participated in the Madrid Moot 2018, which was conducted in Spanish.来自13个法域的总共27支赛队参加了2018年西班牙语马德里模拟辩论赛。
The best team in oral arguments had been the Pontifical Catholic University of Peru.口头辩论优胜队是秘鲁天主教大学。
The Eleventh Madrid Moot was to be held from 1 to 5 April 2019.第十一届马德里模拟辩论赛拟于2019年4月1日至5日举行。
Frankfurt Investment Moot Court法兰克福投资模拟法庭
213.10.
The Commission noted that the Eleventh Frankfurt Investment Moot Case involved the application of the Transparency Rules, with a key issue concerning the question of confidential documents.委员会注意到,第十一届法兰克福投资模拟法庭案件涉及适用《透明度规则》,其中一个关键问题涉及机密文件问题。
More than 80 teams from over 30 countries participated in the competition, which took place from 12 to 16 March 2018, and the National University of Singapore had been declared the best team in oral arguments.来自30多个国家的80多支赛队参加了2018年3月12日至16日举行的竞赛,新加坡国立大学被宣布口头辩论优胜队。
The Twelfth Moot will take place from 4 to 8 March 2019.第十二届模拟法庭拟于2019年3月4日至8日举行。
Mediation and negotiation competition调解与谈判竞赛
214.11.
It was noted that the fourth mediation and negotiation competition organized jointly by IBA and VIAC with the support of the Commission was to take place in Vienna on 17–20 July 2018.委员会注意到,第四届调解与谈判竞赛拟于2018年7月17日至20日在维也纳举行,由国际律师协会和维也纳国际仲裁中心联合组办,委员会协办。
Legal issues to be considered were those that were addressed at the Twenty-fifth Willem C. Vis International Commercial Arbitration Moot (see para. 209 above).拟讨论的法律问题是第二十五届维斯国际商事仲裁模拟辩论赛讨论的问题(见上文第209段)。
A total of 33 teams from 15 jurisdictions had registered to participate.共有来自15个法域的33支赛队登记参赛。
Ian Fletcher International Insolvency Law Moot伊恩·弗莱彻国际破产法模拟辩论赛
215.12.
The second Ian Fletcher International Insolvency Law Moot was held in Vancouver, Canada, on 5–8 February 2018, with the winning team being from the University of British Columbia (located in Vancouver).第二届伊恩·弗莱彻国际破产法模拟辩论赛于2018年2月5日至8日在加拿大温哥华举行,优胜队来自不列颠哥伦比亚大学(所在地温哥华)。
The Moot provides an opportunity to learn about international insolvency law and the use of the UNCITRAL Model Law on Cross-Border Insolvency.模拟辩论赛为了解国际破产法和使用《贸易法委员会跨国界破产示范法》提供了机会。
It is supported by the Commission and offers the best individual mooter the opportunity to visit UNCITRAL in New York or Vienna during a session of Working Group V (Insolvency Law) to observe first-hand the experience of Secretariat members.模拟辩论赛得到委员会的支持,并为模拟辩论赛个人最佳辩手提供在第五工作组(破产法)届会期间在纽约或维也纳造访贸易法委员会的机会,以便亲身观察秘书处成员的工作。
D.D.
Bibliography of recent writings related to the work of UNCITRAL与贸易法委员会工作相关的近期著述书目
216.13.
The UNCITRAL Law Library specializes in international commercial law.贸易法委员会法律图书馆专长于国际贸易法。
Its collection features important titles and online resources in that field in the six official languages of the United Nations.馆藏包括这一领域联合国六种正式语文的重要书目和网上资源。
In 2017, library staff responded to approximately 520 reference requests, originating in over 50 countries, and hosted researchers from over 25 countries.2017年,图书馆工作人员对来自50多个国家的约520项查询请求作出了回应,并接待了超过25个国家的研究人员。
217.14.
Considering the broader impact of UNCITRAL texts, the Commission took note of the bibliography of recent writings related to the work of UNCITRAL (A/CN.9/949) and the influence of UNCITRAL legislative guides, practice guides and contractual texts as described in academic and professional literature.考虑到贸易法委员会法规更加广泛的影响,委员会注意到与贸易法委员会工作相关的近期著述书目(A/CN.9/949)以及学术文献和专业文献所描述的贸易法委员会立法指南、实用指南及合约性法规所产生的影响。
The Commission noted the importance of facilitating a comprehensive approach to the creation of the bibliography and the need to remain informed of activities of non-governmental organizations active in the field of international trade law.委员会注意到便利以综合办法建立著述书目的重要性,以及不断了解活跃于国际贸易法领域非政府组织的活动的必要性。
In this regard, the Commission recalled and repeated its request that non-governmental organizations invited to the Commission’s annual session donate copies of their journals, reports and other publications to the UNCITRAL Law Library for review.在这方面,委员会回顾并重申其请求,即请获邀参加委员会年会的非政府组织向贸易法委员会法律图书馆捐赠其期刊、报告和其他出版物,以便进行审阅。
The Commission expressed appreciation to all non-governmental organizations that donated materials.49委员会感谢捐赠材料的所有非政府组织。
The Commission noted, in particular, the addition of current and forthcoming issues of the following journals to the UNCITRAL Law Library collection: The International Journal of Arbitration, Mediation and Dispute Management (Chartered Institute of Arbitrators) and the Dispute Resolution Journal (American Arbitration Association), as well as new donations from the Centre de recherches informatique et droit, the European Consumer Centre Belgium, the International Union of Notaries and the Regional Centre for International Commercial Arbitration — Lagos.委员会尤其注意到贸易法委员会法律图书馆的馆藏中增添了下列期刊的当期刊物和即将发行的刊物:《国际仲裁、调解和争议管理期刊》(特许仲裁员协会)和《争议解决期刊》(美国仲裁协会),以及信息和法律研究中心、比利时欧洲消费者中心、国际公证联盟和拉各斯国际商事仲裁区域中心的新捐赠。
In addition, a great number of book donations were received from Beck, Bruylant, Cambridge University Press, Eleven, Kluwer, LexisNexis and Schulthess.此外,收到了Beck、Bruylant、Cambridge University Press、Eleven、Kluwer、LexisNexis和Schulthess捐赠的大量图书。
XIV.十四
.
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts促进确保统一解释和适用贸易法委员会法规的方式方法
218.15.
The Commission considered a note by the Secretariat on promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts (A/CN.9/946), which provided information on the current status of the Case Law on UNCITRAL Texts (CLOUT) system, including the digests of case law relating to the United Nations Sales Convention and the UNCITRAL Model Law on International Commercial Arbitration.委员会审议了关于促进确保统一解释和适用贸易法委员会法规的方式方法的秘书处说明(A/CN.9/946),其中介绍了法规判例法系统的现状,包括《销售公约》和《国际商事仲裁示范法》相关判例法摘要集的现状。
219.1.
The Commission expressed its appreciation that CLOUT and the digests continued to be used by the Secretariat for promoting uniform interpretation of the law relating to UNCITRAL texts.委员会对秘书处继续利用法规判例法和摘要促进对贸易法委员会法规相关法律的统一解释表示赞赏。
The Commission also noted with satisfaction the increasing number of UNCITRAL legal texts that were currently represented in CLOUT.委员会还满意地注意到,法规判例法目前所涉及的贸易法委员会法规的数量越来越多。
As at the publication date of A/CN.9/946, 190 issues of compiled case-law abstracts had been prepared, dealing with 1,752 cases.截至A/CN.9/946号文件出版之日,已编写190期判例法汇编摘要,涉及1,752个判例。
The cases related to the following legislative texts:这些判例涉及以下法规:
- The New York Convention- 《纽约公约》
- Convention on the Limitation Period in the International Sale of Goods (New York, 1974) and Convention on the Limitation Period in the International Sale of Goods as amended by the Protocol of 11 April 1980 (Vienna)- 《国际货物销售时效期限公约》(1974年,纽约)和经1980年4月11日《议定书》(维也纳)修正的《国际货物销售时效期限公约》
- United Nations Convention on the Carriage of Goods by Sea (Hamburg, 1978)- 《联合国海上货物运输公约》(1978年,汉堡)
- United Nations Sales Convention- 《联合国销售公约》
- United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 1995)- 《联合国独立担保和备用信用证公约》(1995年,纽约)
- United Nations Convention on the Use of Electronic Communications in International Contracts (New York, 2005)- 《联合国国际合同使用电子通信公约》(2005年,纽约)
- UNCITRAL Model Law on International Commercial Arbitration (1985) with amendments as adopted in 2006- 《贸易法委员会国际商事仲裁示范法》(1985年)附2006年通过的修正
- UNCITRAL Model Law on International Credit Transfers (1992)- 《贸易法委员会国际贷记划拨示范法》(1992年)
49 同上,《第七十届会议,补编第17号》(A/70/17),第264段。
- UNCITRAL Model Law on Electronic Commerce (1996)- 《贸易法委员会电子商务示范法》(1996年)
- UNCITRAL Model Law on Cross-Border Insolvency (1997)- 《贸易法委员会跨国界破产示范法》(1997年)
- UNCITRAL Model Law on Electronic Signatures (2001)- 《贸易法委员会电子签名示范法》(2001年)
220.2.
The Commission took note of the considerable gap that still existed between the volume of abstracts referring to Western European and other States and those referring to other geographic regions.委员会注意到,涉及西欧及其他国家的摘要数量与涉及其他地理区域的摘要数量之间仍然存在相当大的差距。
Similarly, the Commission noted that the United Nations Sales Convention and the UNCITRAL Model Law on International Commercial Arbitration were still the texts most represented in the CLOUT system, although in the period under review there was an increase in published cases concerning the New York Convention.同样,委员会注意到,《联合国销售公约》和《贸易法委员会国际商事仲裁示范法》仍然是法规判例法系统中最具代表性的法规,尽管审查本报告所涉期间有关《纽约公约》的已公布案例有所增加。
221.1.
After taking note of the current composition of the network of national correspondents, the Commission encouraged States that had not yet appointed national correspondents to do so in order to contribute to the increased collection of relevant case law.在注意到国家通讯员网络目前的组成情况后,委员会鼓励尚未任命国家通讯员的国家任命国家通讯员,以便有助于更多地收集有关的判例法。
The Commission also noted that in the period under review national correspondents had provided approximately 33 per cent of the abstracts published in CLOUT, while the rest of the abstracts had been prepared by voluntary contributors or by the Secretariat.委员会还注意到,在本报告所涉期间,国家通讯员提供了法规判例法所发表摘要的约33%,其余摘要由自愿撰稿人或秘书处编写。
222.2.
The Commission expressed its appreciation for the volume of users of the CLOUT database in the period under review, as well as the increasing number of full texts of decisions, including decisions stored in the database’s archives, published in the database.委员会对本报告所涉期间法规判例法数据库的用户数量以及数据库上公布的全文决定(包括储存在数据库档案中的决定)不断增加表示赞赏。
The Commission also commended the Secretariat for its use of social media in order to promote visibility of the CLOUT system and encourage contributions.委员会还赞扬秘书处利用社交媒体提高法规判例法系统的知名度并鼓励作出贡献。
223.3.
As at previous sessions, the Commission took note with satisfaction of the performance of the website www.newyorkconvention1958.org, and the successful coordination between that website and CLOUT.与前几届会议一样,委员会满意地注意到www.newyorkconvention1958.org网站的业绩以及该网站与法规判例法系统之间的成功协调。
224.4.
After drawing attention to the resource-intensive nature of the CLOUT system and the need for further means to sustain it, the Commission commended the Secretariat for its work despite its limited resources.在提请注意法规判例法系统的资源密集性质以及需要进一步手段来维持这一系统之后,委员会赞扬秘书处在资源有限的情况下开展的工作。
XV.十五
.
Role of UNCITRAL in promoting the rule of law at the national and international levels贸易法委员会在促进国内和国际法治方面的作用
A.A.
Introduction导言
225.1.
The Commission recalled that the item had been on the agenda of the Commission since its forty-first session, in 2008, in response to the General Assembly’s invitation to the Commission to comment, in its report to the General Assembly, on the Commission’s current role in promoting the rule of law.委员会回顾,该项目自2008年第四十一届会议以来一直列入委员会议程,因为大会请委员会在提交大会的报告中就其目前在促进法治方面的作用发表评论。
The Commission further recalled that, at its forty-first to fiftieth sessions, from 2008 to 2017, the Commission, in its annual reports to the General Assembly, transmitted comments on its role in promoting the rule of law at the national and international levels, including in the post-conflict reconstruction context.委员会进一步回顾,在于2008至2017年举行的第四十一届至第五十届会议上,委员会在提交大会的年度报告中转呈了关于委员会在促进国内和国际法治方面的作用的评论意见,包括在冲突后重建情况下。
226.2.
The Commission also recalled that it had considered it essential to keep a regular dialogue with the Rule of Law Coordination and Resource Group through the Rule of Law Unit and to keep abreast of progress made in the integration of the work of UNCITRAL into the United Nations joint rule of law activities.委员会还回顾,委员会认为通过法治股与法治协调和资源小组定期进行对话至关重要,而且必须随时了解在贸易法委员会工作融入联合国共同法治活动方面取得的进展。
The Commission recalled that, to that end, it requested the Secretariat to organize briefings by the Rule of Law Unit biannually, when sessions of the Commission were held in New York.委员会回顾,为此,委员会请秘书处每两年在贸易法委员会于纽约举行届会时安排由法治股通报情况。
The Commission recalled that the briefings consequently took place at the Commission’s forty-fifth, forty-seventh and forty-ninth sessions, in 2012, 2014 and 2016, and it welcomed holding the rule of law briefing at its fifty-first session.委员会回顾,因此,在2012年、2014年和2016年举行委员会第四十五届、第四十七届和第四十九届会议期间举行了通报会,委员会欢迎在委员会第五十一届会议期间举行通报会。
(A summary of the briefing is contained in section B below.)(通报会概要见下文B节)。
227.3.
At its fifty-first session, in 2018, the Commission also took note of General Assembly resolution 72/119 on the rule of law at the national and international levels, in paragraph 25 of which the Assembly invited the Commission to continue to comment, in its reports to the General Assembly, on its current role in promoting the rule of law.委员会2018年第五十一届会议还注意到关于国内和国际法治的大会第72/119号决议,大会在其中第25段请委员会继续在提交大会的报告中就委员会目前在促进法治方面的作用发表评议。
The Commission recalled that it had been the practice in the Commission to focus comments on its current role in promoting the rule of law on a subtopic identified by the General Assembly for its deliberations under the rule of law agenda item at its subsequent session.委员会回顾,委员会的一贯做法是着重就大会确定的分主题评论委员会目前在促进法治方面的作用,以供大会随后的届会在关于法治的议程项目之下就此进行审议。
228.1.
The Commission noted that the General Assembly, in its resolution 72/119, did not identify any specific subtopic for discussion at its next session, in 2018, inviting Member States and the Secretary-General to suggest possible subtopics for future Sixth Committee debates, for inclusion in the forthcoming annual report, with a view to assisting the Sixth Committee in choosing future subtopics (resolution 72/119, para. 29).委员会注意到,大会没有在其第72/119号决议中确定2018年下届会议讨论的任何具体分主题,大会邀请会员国和秘书长为第六委员会今后的辩论提出可能的分主题,将其列入即将出版的年度报告,以期协助第六委员会选择今后的分主题(第72/119号决议,第29段)。
The Commission further noted that, for that reason, no written note by the Secretariat was presented to the Commission at its fifty-first session.委员会进一步注意到,出于这一原因,没有向委员会第五十一届会议提交秘书处的书面说明。
229.2.
In its comments to the General Assembly this year, the Commission decided to highlight the role for the promotion of the rule of law of the texts adopted or approved at the session, of its ongoing work in the areas of investor-State dispute settlement reform, electronic commerce and public-private partnerships, and of the New York Convention, whose sixtieth anniversary was celebrated during the session.在今年提交大会的评论意见中,委员会决定突出说明本届会议通过或核准的案文、委员会当前在投资人与国家间争议解决制度改革、电子商务和公私伙伴关系领域开展的工作以及《纽约公约》——本届会议期间庆祝其六十周年——在促进法治方面的作用。
(For comments of the Commission transmitted to the General Assembly under this agenda item, as requested in para. 25 of General Assembly resolution 72/119, see sect. C below.)(关于委员会按照大会第72/119号决议第25段的要求在本议程项目下向大会呈送的评论意见,见下文C节。
B.B.
Summary of the rule of law briefing法治通报会概要
230.3.
The Chief of the Rule of Law Unit held a briefing on the current and future rule of law agenda of the United Nations and the expected role of UNCITRAL therein.法治股股长就联合国当前和未来的法治议程以及贸易法委员会在其中的预期作用作了简报。
231.4.
The Commission expressed appreciation to the Chief of the Rule of Law Unit for holding a briefing in UNCITRAL and looked forward to the next rule of law briefing at its fifty-third session, in 2020.委员会对法治股股长在贸易法委员会举行通报会表示赞赏,并期待着在2020年第五十三届会议上举行下一次法治通报会。
The Commission noted with interest the increased attention being paid to the Sustainable Development Goals, in particular Goal 16.委员会感兴趣地注意到,可持续发展目标,特别是目标16日益受到重视。
The Commission was of the view that this broader perspective offered an interesting avenue for a better focusing of its consideration of the relevance of its work for the broader agenda of the United Nations to promote the rule of law at the national and international levels.委员会认为,这一更广泛的视角为更好地集中审议委员会工作对于联合国促进国内和国际法治的更广泛议程的相关性提供了一个令人感兴趣的途径。
The Commission agreed to continue that discussion in connection with its consideration of proposals for changes in its working methods under agenda item 20 (see paras. 264–267 below).委员会同意在审议议程项目20下关于调整委员会工作方法的建议时继续进行这一讨论(见下文第264-267段)。
C.C.
Comments of the Commission on its current role in promoting the rule of law委员会对其目前在促进法治方面的作用的评论
232.5.
The Commission brought the attention of the General Assembly to the preambular paragraphs of the decisions adopted by the Commission during the current session that explained the role of the texts adopted, approved or celebrated at the session to the promotion of the rule of law (see paras. 49, 68, 111, 131 and 173 above).委员会提请大会注意委员会本届会议所通过决定的序言部分各段,其中解释了本届会议所通过、核准或纪念的法规对促进法治的作用(见上文第49、68、111、131、173段)。
233.6.
It also highlighted the importance of the proper identity management in the digital economy, which was the subject of the current work of Working Group IV (see chapter VIII above), for the implementation of the United Nations anti-corruption, anti-money-laundering, anti-fraud and good governance agenda.委员会还强调了数字经济中适当身份管理对于执行联合国反腐败、反洗钱、反欺诈和善政议程的重要性,身份管理是第四工作组目前工作的主题(见上文第八章)。
The Commission also referred to issues of transparency, access to justice and accountability dealt with in its ongoing work on investor-State dispute settlement reform and on the revision of the UNCITRAL texts in the area of infrastructure development (see chapters VI and VII above).委员会还提到其正在进行的关于投资人与国家间争议解决制度改革的工作以及修订贸易法委员会基础设施发展领域法规的工作中所处理的透明度、诉诸司法和问责制问题(见上文第六、七章)。
XVI.十六
.
Relevant General Assembly resolutions大会的相关决议
234.7.
The Commission recalled that, at its fiftieth session, in 2017, it had requested the Secretariat to replace an oral report to the Commission on relevant General Assembly resolutions with a written report to be issued before the relevant session.委员会回顾,在2017年第五十届会议上,委员会曾请秘书处把向委员会提出的关于大会相关决议的口头报告改为在有关届会前印发书面报告。
Pursuant to that request, the Commission had before it at its fifty-first session a note by the Secretariat (A/CN.9/953) summarizing the content of the operative paragraphs of General Assembly resolution 72/113 on the report of UNCITRAL on the work of its fiftieth session and resolution 72/114 on the UNCITRAL Model Law on Electronic Transferable Records, both resolutions having been adopted by the General Assembly on 7 December 2017 on the recommendation of the Sixth Committee (A/72/458).根据这项要求,委员会第五十一届会议收到了秘书处的一份说明(A/CN.9/953),其中概述了大会关于贸易法委员会第五十届会议工作报告的第72/113号决议和关于《贸易法委员会电子可转让记录示范法》的第72/114号决议执行段落的内容,这两项决议均已由大会根据第六委员会的建议于2017年12月7日通过(A/72/458)。
235.8.
The Commission took note of those General Assembly resolutions.委员会注意到这些大会决议。
XVII.十七
.
Work programme工作方案
236.1.
The Commission recalled its agreement to reserve time for discussion of its overall work programme as a separate topic at each session, in order to facilitate the effective planning of its activities.委员会回顾曾商定保留时间,作为每届会议的单独议题讨论委员会的全面工作方案,以此促进委员会活动的有效规划。
237.1.
The Commission took note of the documents prepared to assist its discussions on the topic (A/CN.9/952 and A/CN.9/952/Corr.1 and the documents referred to therein, including the proposals contained in documents A/CN.9/944/Rev.1, A/CN.9/954, A/CN.9/959, A/CN.9/960 and A/CN.9/961, as well as the proposals referred to in working group documents and reports, namely A/CN.9/WG.V/WP.154 and A/CN.9/937, paras. 121–122, as well as A/CN.9/938, paras. 92–93 and annex).委员会注意到为协助讨论这一专题而编写的文件(A/CN.9/952、A/CN.9/ 952/Corr.1和其中提到的文件,包括载于A/CN.9/944/Rev.1、A/CN.9/954、A/CN.9/959、A/CN.9/960、A/CN.9/961号文件的建议,以及工作组文件和报告中提到的建议,即A/CN.9/WG.V/WP.154、A/CN.9/937第121-122段和A/CN.9/938号文件第92-93段及附件)。
A.A.
Current legislative programme当前的立法方案
238.2.
The Commission took note of the progress of its working groups as reported earlier in the session (see chapters III to IX above) and confirmed the programme of current legislative activities set out in table 1 of document A/CN.9/952 and A/CN.9/952/Corr.1 as follows:委员会注意到本届会议早些时候报告的各工作组进度(见上文第三至九章),并确认A/CN.9/952和A/CN.9/952/Corr.1号文件表1所列当前立法活动方案如下:
(a)(a)
As regards micro, small and medium-sized enterprises, the Commission confirmed that Working Group I should continue its work to prepare a legislative guide on a UNCITRAL limited liability organization (see para. 112 above);关于中小微企业,委员会确认,第一工作组应继续开展工作,拟订一部于贸法会有限责任组织立法指南(见上文第112段);
(b)(b)
With respect to investor-State dispute settlement reform, the Commission agreed that Working Group III should continue with its work programme as mandated (see para. 145 above);关于投资人与国家间争议解决制度改革,委员会商定,第三工作组应继续进行其授权工作方案(见上文第145段);
(c)(c)
As regards e-commerce, the Commission confirmed that Working Group IV should continue with its ongoing projects on legal issues related to identity management and trust services (see para. 159 above).关于电子商务,委员会确认,第四工作组应继续进行当前关于身份管理和信任服务相关法律问题的项目(见上文第159段)。
With respect to contractual aspects of cloud computing, the Commission noted that the draft Secretariat notes on the main issues of cloud computing contracts would be available to the Commission at its fifty-second session, in 2019 (see para. 150 above);关于云计算所涉合同问题,委员会注意到秘书处关于云计算合同主要问题的说明草稿将提供给委员会2019年第五十二届会议(见上文第150段);
(d)(d)
With respect to insolvency, the Commission noted that it was anticipated that two draft legislative texts would be sufficiently developed for submission by Working Group V to the Commission for finalization and adoption in 2019, namely the draft model law on enterprise group insolvency and its guide to enactment and a supplement to part four of the UNCITRAL Legislative Guide on Insolvency Law addressing the obligations of directors of enterprise group companies in the period approaching insolvency (see para. 132 above).关于破产问题,委员会注意到,预期将拟就两部立法案文草案,由第五工作组于2019年提交委员会最后审定并通过,即企业集团破产示范法草案及其颁布指南,以及《贸易法委员会破产法立法指南》关于企业集团公司董事在临近破产时期的义务的第四部分的补编(见上文第132段)。
The Commission confirmed that the work on insolvency of micro, small and medium-sized enterprises should continue (see para. 133 above);委员会确认,关于微型、小型和中型企业破产的工作应继续进行(见上文第133段);
(e)(e)
As regards secured transactions, the Commission confirmed that Working Group VI should continue its work to prepare a practice guide on the contractual, transactional and regulatory issues arising in the context of secured transactions (see also para. 163 above), with a request that it be presented to the Commission in 2019 for finalization and adoption.关于担保交易,委员会确认,第六工作组应继续拟订关于担保交易中出现的合同、交易和监管问题的实务指南(另见上文第163段),并要求在2019年将其提交委员会最后审定并通过。
B.B.
Future legislative programme今后的立法方案
239.3.
The Commission recalled the importance of a strategic approach to the allocation of resources to, inter alia, legislative development, and its role in setting the work programme of UNCITRAL, especially as regards the mandates of working groups.委员会回顾了为立法发展等工作分配资源的战略方针的重要性及其在制定贸易法委员会工作方案、特别是各工作组任务方面的作用。
240.4.
The Commission heard several proposals for possible future legislative development.委员会听取了关于今后可能开展的立法制定工作的若干建议。
241.5.
Firstly, the Government of Italy presented a proposal on possible future work on contractual networks (A/CN.9/954).首先,意大利政府就今后可能开展关于契约型网络方面的工作提出一项建议(A/CN.9/954)。
It was recalled that an earlier proposal had been presented to the Commission at its fiftieth session, in 2017, and noted that document A/CN.9/954 clarified aspects of that proposal in response to comments received at the fiftieth session.会上回顾,早些时候曾向委员会第五十届会议提出一项建议,并指出,A/CN.9/954号文件针对第五十届会议收到的评论澄清了该建议的各个方面。
It was noted that those networks provided an opportunity to organize cooperation between businesses without a requirement for a legal entity to be formed.据指出,这些网络提供了一个在不需要组建法律实体的情况下组织企业间合作的机会。
They could facilitate sharing of resources;它们可便利分享资源;
provide a means of accessing business opportunities not otherwise available to individual participating entities;提供一种手段,获取个别参与实体无法获得的商业机会;
facilitate access to finance for the network itself, rather than the individual participating entities;促进网络本身而不是个别参与实体获得资金;
and permit sharing of property and of labour.并允许共享财产和劳力。
It was pointed out that certain international organizations were undertaking projects using clusters, where the governance of the projects was organized in a manner similar to contractual networks but without the legal certainty provided by contractual networks.据指出,某些国际组织正在利用集群开展项目,这些项目的管理方式类似于合同网络,但没有合同网络提供的法律确定性。
In conclusion, the delegation observed that work on such networks would complement the work on the UNCITRAL limited liability organization currently being considered by Working Group I.最后,该代表团指出,关于这种网络的工作将补充第一工作组目前正在审议的关于贸法会有限责任组织的工作。
242.6.
The Government of Switzerland presented a proposal on possible future work on cross-border issues related to the judicial sale of ships (A/CN.9/944/Rev.1).瑞士政府就今后可能开展关于司法拍卖船舶相关跨境问题的工作提出了一项建议(A/CN.9/944/Rev.1)。
The Commission recalled that a proposal had been made at its fiftieth session by CMI, that it had indicated its support for a colloquium to be initiated by CMI to discuss and advance the proposal, and that it had agreed to revisit the topic at a future session.委员会回顾,海事委员会在委员会第五十届会议上提出了一项建议,表示支持海事委员会发起一次座谈会来讨论和推进这项建议,并同意在今后一届会议上重新审议这一专题。
The Commission noted that that colloquium had been held in February 2018 and that the proposal included the outcomes and conclusions of that colloquium.委员会注意到,座谈会已于2018年2月举行,该建议包括座谈会的成果和结论。
243.7.
In support of the proposal, it was noted that that issue had the potential to affect many areas of international trade and commerce, not simply the shipping industry, with several examples of that impact being provided.这项建议的支持者指出,这一问题有可能影响国际贸易和商业的许多领域,而不仅仅是航运业,并提供了这种影响的几个例子。
In support of work being undertaken by UNCITRAL, various parallels were drawn between the work currently being undertaken in Working Group V on recognition of insolvency-related judgments and a possible instrument on judicial sale of ships.为支持贸易法委员会正在开展的工作,第五工作组目前正在进行的关于承认与破产有关判决的工作与可能拟订关于司法拍卖船舶的文书之间存在着各种相似之处。
244.8.
The Governments of Italy, Norway and Spain presented a proposal for possible future work in the field of dispute resolution (A/CN.9/959), in particular on expedited arbitration.意大利、挪威和西班牙政府就今后可能在争议解决领域开展的工作提出了一项建议(A/CN.9/959),其中特别涉及速决仲裁。
The Government of Belgium supported that proposal in its submission (A/CN.9/961), suggesting in addition work on the conduct of arbitrators in the field of commercial arbitration, with a focus on questions of impartiality and independence of arbitrators.比利时政府在其提交的文件(A/CN.9/961)中支持这项建议,进一步提议在商事仲裁领域开展仲裁员行为方面的工作,侧重点是仲裁员的公正性和独立性问题。
It was pointed out that the aim of the proposals was to improve the efficiency and quality of arbitral proceedings.据指出,这些建议的目的是提高仲裁程序的效率和质量。
245.9.
Regarding expedited arbitration, it was suggested that the work could consist of providing information on how the UNCITRAL Arbitration Rules could be modified or incorporated into contracts via arbitration clauses that provided for expedited procedures or in guidance to arbitral institutions adopting such procedures in order to ensure the right balance between speedy resolution of the process and respect for due process.关于速决仲裁,会上指出,这项工作可包括提供资料,说明如何通过规定速决程序的仲裁条款或指导仲裁机构采用此类程序来修改《贸易法委员会仲裁规则》或将其纳入合同,以确保在迅速解决程序和尊重正当程序之间取得适当平衡。
Reference was also made to the possibility of considering jointly the topics of expedited arbitration and adjudication, as expedited arbitration would provide generally applicable tools for reducing the cost and time of arbitration, while adjudication would facilitate use of a particular tool that had demonstrated its utility in efficiently resolving disputes in a specific sector.还提到了综合审议速决仲裁和裁决专题的可能性,因为速决仲裁将为减少仲裁费用和时间提供普遍适用的工具,而裁决将有助于使用已证明其在有效解决特定部门争议方面的效用的特定工具。
10. 委员会还听取了关于秘书处可开展以下工作的建议:
246.(a)
The Commission also heard the proposal that the Secretariat could undertake work on (a) updating the UNCITRAL Conciliation Rules (1980) to both reflect current practice and ensure consistency with the contents of the draft instruments finalized by the Commission at is current session, and (b) preparing notes on organizing mediation proceedings.更新《贸易法委员会调解规则》(1980年),以反映当下做法并确保与委员会本届会议最后审定的文书草案内容保持一致;
(b)编写关于调解程序安排的说明。
247.11.
The Government of Czechia presented a proposal that the Secretariat should closely monitor developments relating to legal aspects of smart contracts and artificial intelligence (A/CN.9/960) and report back to the Commission on areas that might warrant uniform legal treatment, with a view to undertaking work in those fields when appropriate.捷克政府提出一项建议(A/CN.9/960),即秘书处应密切监测智能合同和人工智能法律方面的发展情况,并向委员会报告可能需要统一的法律对待办法的领域,以便酌情在这些领域开展工作。
248.12.
It was indicated that several suggestions had been made in the working groups and in the Commission with respect to various legal aspects of the digital economy.会上表示,在工作组和委员会范围内就数字经济所涉及的各个法律方面提出了若干建议。
It was recalled that additional considerations on those legal aspects had been presented at the Congress held in 2017 on the occasion of the Commission’s fiftieth session, to celebrate the fiftieth anniversary of UNCITRAL.会上回顾,在2017年举行贸易法委员会第五十届会议纪念贸易法委员会成立五十周年之际举行的大会上提出了关于这些法律方面的其他考虑。
It was suggested that UNCITRAL would benefit from a broader understanding of the legal issues related to the digital economy and, that to do so, it should monitor relevant developments on the basis of information compiled by the Secretariat.会上提出,贸易法委员会将受益于对数字经济相关法律问题的更广泛理解,为此,贸易法委员会应根据秘书处汇编的信息监测相关发展。
It was said that in addition to artificial intelligence and smart contracts, topics of possible relevance included the use of distributed ledger technology, supply chain management, payments and cross-border data flows.据指出,除了人工智能和智能合同之外,可能相关的议题还包括使用分布式分类账技术、供应链管理、支付和跨境数据流。
It was stressed that such work should not only legally enable the commercial use of new technologies and methods but also assist developing economies in bridging the digital gap.会上强调,这种工作不仅应在法律上促成新技术和新方法的商业使用,而且还应协助发展中经济体弥合数字鸿沟。
249.13.
In addition to the proposals noted above, reference was made to two proposals that had been considered by working groups and were contained in working group documents as noted in paragraph 237 above.除上面提到的建议之外,还提到了两项建议,这两项建议已由工作组审议,载于上文第237段提到的工作组文件中。
The first of those proposals concerned warehouse receipts, which had first been considered at a colloquium on secured transactions (Vienna, 15–17 March 2017).其中第一项建议涉及仓单,在一次关于担保交易的座谈会(2017年3月15日至17日,维也纳)上首次审议了仓单问题。
After further discussion at its thirty-third session (New York, 30 April–4 May 2018), Working Group VI requested a mandate on that issue to develop a modern and predictable legal regime (A/CN.9/938, paras. 92–93).在其第三十三届会议(2018年4月30日至5月4日,纽约)进一步讨论后,第六工作组请求赋予关于这一问题的任务授权,以制定一种现代、可预测的法律制度(A/CN.9/938,第92-93段)。
In support of the proposal, the importance of warehouse receipts to agriculture and food security was noted, as well as their use in supply and value chains.为支持这一建议,会上指出了仓单对农业和粮食安全的重要性,以及在供应链和价值链中的使用。
250.14.
The second proposal concerned civil law aspects of asset tracing and recovery, which had been considered by Working Group V (A/CN.9/937, paras. 121–122).第二项建议涉及资产追查和追回的民法方面,第五工作组已经审议了这一建议(A/CN.9/937,第121-122段)。
With respect to that proposal, it was suggested that it would be relevant not only to insolvency but also to treatment of commercial fraud and other topics.关于这项建议,会上指出,它不仅与破产有关,而且与处理商业欺诈和其他专题有关。
It was noted that many States lacked adequate legal tools for tracing and recovery.据指出,许多国家缺乏追查和追回方面的适当法律工具。
What was suggested was the development of a toolbox of legislative provisions from which States could choose, as indicated in document A/CN.9/WG.V/WP.154.所提出的建议是,如A/CN.9/WG.V/WP.154号文件所指出的,应当制定一套可供各国选择的立法条文工具箱。
It was emphasized that the work proposed was not intended to address criminal law or cross-border issues and that coordination and cooperation with other relevant organizations would be a key element, in order to avoid potential overlap and duplication.强调指出,所提议的工作并不是为了解决刑法或跨国界问题,与其他相关组织的协调与合作将是一个关键因素,以避免潜在重叠和重复。
The first step, it was proposed, was to undertake work to explore the issues in more detail and identify the scope of possible work.提议第一步先开展工作,更具体地探讨各种问题并确定可能的工作范围。
251.15.
In that context, the European Union delegation presented as an alternative a proposal to dedicate future work to applicable law related to insolvency.在这方面,欧洲联盟代表团作为备选方案提出了一项建议,即今后的工作将专注于与破产有关的适用法律。
It was stressed that the issue of applicable law was an important matter that warranted consideration.据强调,适用法律问题是一个值得考虑的重要事项。
252.16.
After discussion, the Commission agreed that priority, in the allocation of working group time, should be given to the topics of judicial sale of ships and issues relating to expedited arbitration;经过讨论,委员会商定,工作组时间的分配应优先考虑船舶司法拍卖专题和与速决仲裁有关的问题;
that judicial sale of ships should be allocated to the first available working group, possibly Working Group VI when it had completed its current work on the practice guide, and that Working Group II should be mandated to take up issues relating to expedited arbitration.船舶司法拍卖问题应分配给第一个腾出时间的工作组,可能是完成目前关于实务指南工作后的第六工作组,第二工作组应负责处理与速决仲裁有关的问题。
253.17.
Regarding the other topics discussed, the Commission came to the conclusion that the preparatory work on those matters was less mature, and given the limited resources of the Secretariat, should be given less priority.关于所讨论的其他专题,委员会做出下述结论,即关于这些事项的筹备工作不太成熟,鉴于秘书处资源有限,应暂缓考虑。
More preparatory work by the Secretariat would be needed before the Commission could decide on further steps on those matters.在委员会就这些事项决定进一步的步骤之前,秘书处需要做更多的准备工作。
Accordingly, the Commission decided the following:因此,委员会决定如下:
(a)(a)
The Secretariat should conduct exploratory and preparatory work on warehouse receipts in order to refer that work to a working group;秘书处应就仓单进行探索性和准备性工作,以便将工作交给一个工作组处理;
(b)(b)
The Secretariat should compile information on legal issues related to the digital economy, including by organizing, within existing resources and in cooperation with other organizations, symposiums, colloquiums and other expert meetings, and to report that information for its consideration at a future session.秘书处应汇编与数字经济有关的法律问题信息,包括在现有资源范围内并与其他组织合作举办专题讨论会、座谈会和其他专家会议,并报告这些信息,供委员会今后届会审议。
It was stressed that discussions should focus on identifying legal obstacles and their possible solutions and avoid privacy and data protection issues.会上强调,讨论应侧重于查明法律障碍及其可能的解决办法,避开隐私和数据保护议题。
In that respect, it was noted that Working Groups IV and VI had already compiled a list of legal matters related to the use of new technologies and methods, which could provide a basis for further expert discussion;在这方面,注意到第四工作组和第六工作组已经汇编了一份有关使用新技术和新方法的法律事项清单,可以此作为进一步专家讨论的基础;
(c)(c)
With respect to the proposal on contractual networks, Working Group I was authorized to hold a colloquium in the context of a future working group session for the purpose of further analysing the relevance of those networks to the work on developing an enabling legal environment for micro, small and medium-sized enterprises and the desirability of taking up work of those networks.关于就合同网络提出的建议,授权第一工作组在工作组今后届会范围内举行一次座谈会,以便进一步分析这些网络与为微型、小型和中型企业创建有利法律环境的工作的相关性以及开展这些网络方面工作的可取性。
That discussion should also explore legal tools that achieve goals similar to contractual networks that were being used in both civil and common law jurisdictions;这一讨论还应探讨可实现类似于大陆法和英美法法域正在使用的合同网络的目标的法律工具;
(d)(d)
With regard to the proposal on asset tracing in the area of insolvency, the Secretariat should prepare a background study on the relevant issues, taking into account work undertaken by other organizations, in order to avoid duplication and overlap.关于破产领域资产追查方面的建议,秘书处应在考虑到其他组织开展的工作的情况下编写一份有关问题的背景研究报告,以避免重复和重叠。
254.18.
In the area of dispute settlement, the Commission noted that the Secretariat would prepare notes on organizing mediation proceedings and update the UNCITRAL Conciliation Rules in the light of the mediation framework adopted at its current session.在争议解决领域,委员会注意到,秘书处将根据本届会议通过的调解框架,编写关于调解程序安排的说明并更新《贸易法委员会调解规则》。
C.C.
Technical cooperation and assistance activities技术合作和援助活动
255.19.
The Commission recalled the importance of support activities and the need to encourage such activities at the global and regional levels through the Secretariat, through the expertise available in the working groups and the Commission, through member States and through partnering arrangements with relevant international organizations.委员会回顾了支助活动的重要性,并回顾需要鼓励通过秘书处、通过工作组和委员会现有的专门知识、通过成员国以及通过与相关国际组织的伙伴关系安排而在全球和区域范围开展此类活动。
It also recalled the importance of promoting increased awareness of UNCITRAL texts among those organizations and within the United Nations system.还回顾了促进这些组织和联合国系统提高对贸易法委员会各项法规的认识的重要性。
256.20.
The Commission took note of the general priorities identified in the note, as well as the specific priorities for the period 2018–2019.委员会注意到说明中确定的总体优先事项以及2018-2019年期间具体优先事项。
257.21.
In concluding the consideration of the agenda item, it was emphasized that the above-mentioned activities should be undertaken taking into account the extent of the resources available to the Secretariat.在结束这一议程项目的审议时,强调在开展上述活动时应考虑到秘书处现有资源的范围。
XVIII.十八
.
Other business其他事项
A.A.
Methods of work工作方法
258.1.
The Commission heard a proposal presented by the Governments of France, Germany, Israel, Switzerland and the United States concerning the methods of work of the Commission.委员会听取了法国、德国、以色列、瑞士和美国政府提出的关于委员会工作方法的建议。
259.2.
In previous UNCITRAL meetings, the possibility had been raised of reducing the duration of Commission sessions to two weeks.在贸易法委员会以前的会议上曾提出将委员会届会会期缩短为两周的可能性。
The States making that proposal supported that idea and sought to initiate further discussion on the matter.该建议提出国支持这一想法,并试图开启关于这一事项的进一步讨论。
It was suggested that sessions lasting three weeks posed a problem for many member States due to staff workload and that a two-week session would be easier to manage.会上提出,由于工作人员的工作量,为期三周的会议给许多成员国带来困难,两周会议更容易管理。
260.3.
Those making the proposal also indicated that they saw various possibilities for making the Commission sessions more effective.该建议提出国还表示,它们认为可以有各种办法使委员会届会更加有效。
The following changes were suggested for consideration:提出了以下调整办法供考虑:
(a)(a)
Several agenda items could be suitably addressed, at least in part, through information-only documents, for example, the following agenda items: “Coordination and cooperation”, “Technical assistance to law reform”, “Status and promotion of UNCITRAL legal texts” and “Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts: CLOUT and digests”.若干议程项目不妨通过仅限说明情况的文件适当加以处理,至少是部分处理,如下列议程项目:“协调与合作”、“法律改革技术援助”、“贸易法委员会各项法规的现状和推广”、“促进可确保贸易法委员会法规统一解释和适用的方式方法:判例法和摘要集”。
Member States would be informed via those documents, and decisions generally would not need to be made.将通过这些文件向成员国通报情况,一般不需要作出任何决定。
At most, a short explanation by the Secretariat would be required.至多需要由秘书处作简短说明。
States and organizations represented in the meeting could comment on those information documents.出席会议的各国和各组织代表可以就这些说明性文件发表看法。
It was noted that information-only documents were already used in other United Nations organizations to help meetings run efficiently;会上指出,联合国其他组织已经使用仅限说明情况的文件帮助提高会议效率;
(b)(b)
The working groups should increasingly be asked to send legislative texts to the Commission only if they had already undergone extensive consultation;应当更多地请求各工作组仅仅将经过其广泛协商的立法案文送呈委员会;
specific details which were of no special significance should be discussed and decided on in the working groups.没有特殊意义的具体细节应放在工作组讨论和做决定。
The Commission should not assume the role of a working group but must continue to make final decisions on the results submitted by the working groups;委员会不应担当工作组的作用,但委员会必须继续就工作组提交的结果作最后决定;
(c)(c)
Since 2008, the topic “Role of UNCITRAL in promoting the rule of law at the national and international levels” had been handled by the Commission.自2008以来,贸易法委员会一直在处理“贸易法委员会在促进国内和国际法治方面的作用”这一专题。
While the proposal did not aim to suggest that the Commission should no longer deal with that issue and while the presentations made on that topic had succeeded in bringing numerous interesting aspects to the Commission’s attention, there had been only a limited amount of subsequent discussion.虽然该建议并非旨在表明委员会不应再处理这个议题,而且虽然关于这个专题的介绍成功地提请委员会注意诸多令人感兴趣的方面,但只进行了数量有限的后续讨论。
It was requested that the manner in which that issue was handled within the Commission be reviewed;请求对在委员会范围内处理该议题的方式进行审查;
(d)(d)
Time during the annual sessions that would be freed up as a result of the proposal should still be utilized effectively.年会期间因该建议而腾出的时间仍应加以有效利用。
For example, those meeting days could be made available to the working groups, if necessary.例如,这些会议日可在必要时提供给各工作组使用。
261.4.
In summary, the following was proposed:总之,建议可归纳为以下几点:
(a)(a)
Use of information-only documents with a short explanation;使用仅限说明情况的文件并附简短解释;
(b)(b)
More efficient preparation by the working groups to enable more efficient discussions in the Commission;提高各工作组拟订工作的效率,以使委员会能够更高效地进行讨论;
(c)(c)
Review of how to handle the topic “Role of UNCITRAL in promoting the rule of law at the national and international levels” more efficiently;研究如何更高效地处理“贸易法委员会在促进国内和国际法治方面的作用”这一专题;
(d)(d)
Flexible use of meeting days that would be freed up as a result of the proposal.灵活使用由于该建议而腾出的会议日。
262.5.
The Commission welcomed the proposal and, noting that the Secretariat had already implemented a number of the suggestions, commended its responsiveness to the request of member States for streamlining and focusing the Commission’s agenda and the preparation for the Commission’s session.委员会欢迎这一建议,并注意到秘书处已经落实了一些建议,赞扬秘书处响应会员国的请求对委员会议程以及委员会届会的筹备工作进行精简和突出重点。
263.6.
The Secretariat was requested to plan and prepare the fifty-second session of the Commission, in 2019, on the basis of the proposal.请秘书处在该建议的基础上编制贸易法委员会2019年第五十二届会议规划并进行准备工作。
264.1.
In subsequent discussion, the Commission considered the proposal to generate discussion within the Commission on agenda item “Role of UNCITRAL in promoting the rule of law at the national and international levels” (see chapter XV above) and to improve the way the Commission handles that agenda item.在随后的讨论中,委员会审议了关于在委员会内部就议程项目“贸易法委员会在促进国内和国际法治方面的作用”展开讨论(见上文第十五章)并改进委员会处理这一议程项目的方式的建议。
265.2.
The Commission considered the possibility of broadening the discussion of its role in promoting the rule of law at the national and international levels to a discussion of the way the work of UNCITRAL relates to the 2030 Agenda for Sustainable Development and 17 Sustainable Development Goals, both with regard to the instruments developed by UNCITRAL and with regard to assistance to States in their achievement of the Goals.委员会审议了这样的可能性,即扩大关于委员会在促进国内和国际法治方面的作用的讨论范围,以讨论贸易法委员会的工作与《2030年可持续发展议程》和17项《可持续发展目标》的关系,这两个方面既涉及贸易法委员会制定的文书也涉及协助各国实现这些《目标》。
266.3.
It was suggested that in order for the Commission to achieve a more meaningful consideration of that agenda item, the Secretariat could prepare a paper outlining the way that the UNCITRAL instruments and texts relate to the Sustainable Development Goals and identifying concrete issues to be discussed by the Commission.会上提出,为了使委员会更有意义地审议这一议程项目,秘书处不妨编写一份文件,概述贸易法委员会文书和法规与《可持续发展目标》的关系并确定委员会将讨论的具体问题。
It was further suggested that that paper could also take stock of the evolution of the agenda item relating to the rule of law over several Commission meetings and how the Commission could ensure that its work reflected the broader development agenda of the United Nations as a whole.进一步提出,这份文件还可以历数委员会若干次会议上有关法治的议程项目的演变情况,并评估委员会如何才能确保其工作反映整个联合国系统更广泛的发展议程。
267.4.
It was further decided that a discussion would take place at the fifty-second session of the Commission, in 2019, on the basis of the report to be prepared by the Secretariat.会上进一步决定,将在委员会2019年第五十二届会议上以秘书处将编写的这份报告为基础上进行讨论。
268.5.
Also related to the Commission’s working methods, a request was made that email contacts for the delegations attending the Commission and the Working Groups be made available with a view to facilitating intersessional contacts and discussions among delegates.关于委员会的工作方法,会上请求提供出席委员会和工作组会议各代表团的电子邮件联系方式,以便利代表们在闭会期间进行接触和讨论。
The Secretariat clarified that the list of participants for each session of the Commission and each working group did not contain contact details of the delegates but that it would look into a way to make those contacts available on the new version of the UNCITRAL website, in the areas reserved to States.秘书处澄清说,委员会和各工作组每届会议的与会者名单并未载有代表的详细联系方式,但秘书处将研究如何在贸易法委员会网站新版本各国保留区内提供这些联系方式。
In that connection, it was noted that the Secretariat needed to examine carefully applicable rules and policies on the treatment of similar data within the United Nations system.在这方面,会上指出,秘书处需要仔细研究联合国系统内处理类似数据的适用规则和政策。
269.6.
A further suggestion was made with regard to the interaction between Working Group III, the Secretariat and the two groups constituted on its margins, namely the Academic Forum and the Group of Practitioners (see para. 144 above).会上提出的另一项建议涉及第三工作组、秘书处和在其边缘组成的两个小组——即学术论坛和从业人员小组——之间的互动(见上文第144段)。
It was suggested that the Working Group should clarify the way that the Academic Forum and the Group of Practitioners interacted with the Secretariat and with the Working Group respectively and how their contributions were made available to the members of the Working Group and were reflected in the background documents prepared by the Secretariat.会上提出,工作组应澄清学术论坛和从业人员小组分别与秘书处和工作组互动的方式,以及它们的意见如何提供给工作组成员并反映在秘书处编写的背景文件中。
To that effect, the Secretariat was asked to prepare a short paper establishing methods of work with the two groups already established and any further group of representatives (if any).为此,请秘书处编写一份简短文件,明确与已经设立的两个小组和任何其他代表小组(如果有的话)的工作方法。
The Commission requested Working Group III to discuss the issue based on the paper prepared by the Secretariat and to formulate its preferred approach in the report to the Commission.委员会请第三工作组在秘书处编写的文件的基础上讨论这一问题,并在提交委员会的报告中制定其首选做法。
270.7.
A further question was raised regarding the criteria for posting papers, articles and documents by contributors to Working Group III, by the Academic Forum, the Group of Practitioners or other stakeholders on the UNCITRAL website.会上提出的另一个问题涉及学术论坛、从业人员小组或其他利益相关方在贸易法委员会网站上贴出第三工作组撰稿人论文、文章和文件的标准。
The Secretariat indicated that that issue would be considered in the course of the overhaul of its website, and a paper identifying the relevant criteria would be presented to the Commission in its forthcoming session.秘书处表示,将在其网站全面调整过程中考虑这一问题,并将向委员会下届会议提交一份载明相关标准的文件。
B.B.
Internship programme实习方案
271.1.
The Commission recalled the considerations taken by the UNCITRAL secretariat in selecting candidates for internship and noted with satisfaction the continuing positive effects of changes introduced in 2013 and 2014 in the United Nations internship programme (selection procedures and eligibility requirements) on the pool of eligible and qualified candidates for internship from underrepresented countries, regions and language groups.委员会回顾了贸易法委员会秘书处在遴选实习人选时的考虑因素,并满意地注意到2013年和2014年对联合国实习方案所做的改动(遴选程序和资格要求)对任职人员比例不足的国家、区域和语种中符合资格条件的实习生人选储备库持续产生的积极影响。
272.2.
The Commission was informed that since the Secretariat’s oral report to the Commission at its fiftieth session, in July 2017, 21 new interns had undertaken an internship with the UNCITRAL secretariat in Vienna.委员会获悉,自2017年7月秘书处向委员会第五十届会议作口头报告以来,有21名新实习生在维也纳贸易法委员会秘书处进行实习。
Most of the interns were from developing countries.其中大多数实习生来自发展中国家。
273.3.
The Commission was informed that the large majority of applicants were from countries of the regional group of Western Europe and other States and that the Secretariat faced difficulties in attracting candidates from African and Latin American States, as well as candidates with fluent Arabic language skills.委员会了解到,绝大多数申请人来自西欧及其他国家区域组国家,秘书处在吸引非洲和拉丁美洲国家的候选人以及具有流利阿拉伯语技能的候选人方面面临困难。
274.4.
States and observer organizations were requested to bring the possibility of applying for internships at the UNCITRAL secretariat to the attention of interested persons who met those specific requirements.已请各国和观察员组织提醒符合这些具体要求的感兴趣者注意申请在贸易法委员会秘书处实习的可能性。
It was highlighted that, since the internships were unpaid, States and observer organizations might also consider granting scholarships for the purpose of attracting those most qualified for an internship at UNCITRAL.强调指出,由于实习没有报酬,各国和观察员组织也可考虑提供奖学金,以吸引最有资格在贸易法委员会实习的人。
C.C.
Evaluation of the role of the Secretariat in facilitating the work of the Commission评价秘书处在促进委员会工作上发挥的作用
275.5.
The Commission recalled that at its fortieth session, in 2007, it had been informed of the programme budget for the biennium 2008–2009, which listed among the expected accomplishments of the UNCITRAL secretariat “facilitating the work of UNCITRAL”.委员会回顾,在委员会2007年第四十届会议向委员会通报了2008-2009两年期方案预算,其中将“促进贸易法委员会的工作”列入贸易法委员会秘书处的预期成绩。
The performance measure for that expected accomplishment was the level of satisfaction of UNCITRAL with the services provided by its secretariat, as evidenced by a rating on a scale ranging from 1 to 5 (5 being the highest rating).此项预期成绩的业绩衡量指标是贸易法委员会对其秘书处所提供服务的满意度,从1至5级(5级为最高分)的评分可以看出这一点。
At that session, the Commission had agreed to provide feedback to the Secretariat.委员会在该届会议上同意向秘书处提供反馈意见。
276.6.
From the fortieth session to the forty-fifth session of the Commission, in 2012, feedback was provided by States attending the annual sessions of UNCITRAL in response to the questionnaire circulated by the Secretariat by the end of the session.从委员会第四十届会议直到2012年第四十五届会议,出席贸易法委员会年度届会的国家对秘书处在届会结束时分发的调查表作了答复,提供了反馈意见。
That practice had changed since the Commission’s forty-fifth session, in 2012, partly because of the need to solicit more responses.自2012年委员会第四十五届会议起,这种做法有所变化,部分原因是需要征得更多答复。
Instead of an in-session questionnaire, the Secretariat started circulating to all States, closer to the start of each annual session of the Commission, a note verbale with the request to indicate, by filling in the evaluation form enclosed to the note verbale, their level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat during the preceding session.秘书处一改在届会期间分发调查表的做法,开始在委员会每届年会开幕前不久向所有国家发送普通照会,其中请各国填写普通照会所附的评价表,表明其对贸易法委员会秘书处为贸易法委员会前一届会议所提供服务的满意度。
A note verbale requesting to evaluate the performance of the UNCITRAL secretariat during the fiftieth session of UNCITRAL was circulated to all States Members of the United Nations on 14 May 2018, and the period covered was indicated as being from the start of the fiftieth session of UNCITRAL (3 July 2017).2018年5月14日向联合国全体会员国分发了一份普通照会,请求评估贸易法委员会秘书处在贸易法委员会第五十届会议期间的业绩,其中注明所涉期间从贸易法委员会第五十届会议开始(2017年7月3日)。
277.7.
The Commission was informed that the request had elicited 25 responses and that the level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat, as indicated in those responses, remained high (21 States respondents gave 5 out of 5 and 4 States respondents gave 4 out of 5).委员会获悉,这一请求征得25份答复,这些答复显示,对于贸易法委员会秘书处向委员会提供服务的满意度依然很高(满分为5分,21个答复国打了5分,4个答复国打了4分)。
The Commission heard that States in their statements to the Sixth Committee of the General Assembly on the report of the Commission often included their views on the work of the UNCITRAL secretariat in servicing the Commission.委员会获悉,各国就委员会报告向大会第六委员会所作的说明中通常会包含它们对贸易法委员会秘书处在服务委员会方面所做工作的意见。
Such statements did not easily lend themselves to the quantitative assessment.难以根据此种说明进行定量分析。
278.8.
The Commission took note of the concern that the level of responses to the request for evaluation remained low and that it was essential to receive from more States feedback about the UNCITRAL secretariat’s performance in order to have a more objective evaluation of the role of the Secretariat.委员会注意到以下关切:对评估请求的答复率仍然很低,收到更多国家对贸易法委员会秘书处工作情况的反馈意见对于更客观地评价秘书处的作用至关重要。
That was required for budgetary and other purposes.这是为预算和其他目的所必需的。
279.9.
The Commission expressed its deep appreciation to the Secretariat for its excellent work in servicing UNCITRAL.委员会对秘书处为服务贸易法委员会所做的出色工作深表感谢。
XIX.十九
.
Date and place of future meetings今后会议的日期和地点
280.10.
The Commission recalled that at its thirty-sixth session, in 2003, it had agreed that:委员会回顾在2003年第三十六届会议上商定:
(a) working groups should normally meet for a one-week session twice a year;(a)
各工作组一般应每年举行两次会议,每次会议为期一周;
(b) extra time, if required, could be allocated from the unused entitlement of another working group provided that such arrangement would not result in the increase of the total number of 12 weeks of conference services per year currently allotted to sessions of all six working groups of the Commission;(b)如果需要额外时间,可以从另一工作组未使用的配额中调拨,条件是这种安排不能造成目前分配给委员会所有六个工作组届会每年总共12周的会议服务时间增加;
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.(c)如果某一工作组对额外时间的任何请求会导致12周的分配量增加,应当由委员会加以审查,该工作组应就为何需要改变会议安排办法提出适当理由。
The Commission noted that all working groups would meet for two one-week sessions before its fifty-second session, in 2019, except for Working Group II (Dispute Settlement), which would meet only for one one-week session that would take place in New York in the first half of 2019 (see para. 284 (b) below).委员会注意到,所有工作组将在委员会2019年第五十二届会议之前举行两次为期一周的会议,但第二工作组(争议解决)除外,该工作组将只举行一次为期一周的会议,于2019年上半年在纽约举行(见下文第284段(b)项)。
281.1.
The Commission further recalled that at its fiftieth session, in 2017, the Commission had taken note of General Assembly resolutions on the pattern of conferences promulgating policies as regards significant holidays on which United Nations Headquarters and the Vienna International Centre remained open but United Nations bodies were invited to avoid holding meetings.委员会进一步回顾,在2017年第五十届会议上,委员会注意到大会关于会议时地分配办法的各项决议,其中公布了关于重大节日的政策,这些节日期间联合国总部和维也纳国际中心仍将办公,但请联合国机构避免在这些节日举行会议。
The Commission had agreed to take into account those policies as far as possible when considering the dates of its future meetings.委员会同意在考虑今后会议日期时尽量考虑到这些政策。
It had noted at that time that dates tentatively scheduled for the second half of 2018 included Gurpurab (23 November 2018).委员会当时注意到,2018年下半年的暂定日期中包含古鲁那纳克诞辰日(2018年11月23日)。
The Commission had requested the Secretariat to explore whether an alternative week in the second half of 2018 could be found for a session of Working Group IV (Electronic Commerce) in Vienna that would not include a significant holiday, and had decided to consider the matter further at its next session.委员会请秘书处研究2018年下半年能否在维也纳为第四工作组(电子商务)安排另一周时间,其中将不包括重大节日,并决定在其下届会议上进一步审议该事项。
282.2.
At its fifty-first session, the Commission was informed that no alternative dates for the second half of 2018 were found and the dates for the fifty-seventh session of Working Group IV (Electronic Commerce) therefore included Gurpurab (23 November 2018).在第五十一届会议上,委员会获悉,2018年下半年没有找到替代日期,因此,第四工作组(电子商务)第五十七届会议的日期包括古鲁那纳克诞辰日(2018年11月23日)。
The Commission noted that other dates of future meetings as set out below did not include significant holidays.委员会注意到,下文所列今后会议的其他日期不包括重大节日。
A.A.
Fifty-second session of the Commission委员会第五十二届会议
283.3.
The Commission approved the holding of its fifty-second session in Vienna from 8 to 26 July 2019.委员会核准于2019年7月8日至26日在维也纳举行第五十二届会议。
The Commission agreed that it would aim to complete its work agenda in the first two weeks of the session, with the third week being devoted, for example, to expert discussions or a colloquium on aspects of topics for which the Commission had requested preparatory work or that were of broader interest for an UNCITRAL-wide discussion, such as the legal issues arising from particular regional or global trade law initiatives.委员会商定,争取在届会头两周完成工作议程,第三周专门用于举行专家讨论或座谈会,讨论委员会要求开展准备工作或者对贸易法委员会范围内的讨论具有较广泛意义的专题的各个方面,如特定区域或全球贸易法举措产生的法律问题。
B.B.
Sessions of working groups工作组届会
1.1.
Sessions of working groups between the fifty-first and fifty-second sessions of the Commission委员会第五十一届和五十二届会议之间的工作组届会
284.4.
The Commission approved the following schedule of meetings for its working groups:委员会核准了各工作组的下述会议时间安排:
(a)(a)
Working Group I (Micro, Small and Medium-sized Enterprises) would hold its thirty-first session in Vienna from 8 to 12 October 2018, and its thirty-second session in New York, from 25 to 29 March 2019;第一工作组(微型、小型和中型企业)将于2018年10月8日至12日在维也纳举行第三十一届会议,于2019年3月25日至29日在纽约举行第三十二届会议;
(b)(b)
Working Group II (Dispute Settlement) would hold its sixty-ninth session in New York from 4 to 8 February 2019; no session would be held in Vienna in the second half of 2018;第二工作组(争议解决)将于2019年2月4日至8日在纽约举行第六十九届会议:2018年下半年不在维也纳举行任何会议;
(c)(c)
Working Group III (Investor-State Dispute Settlement Reform) would hold its thirty-sixth session in Vienna from 29 October to 2 November 2018, and its thirty-seventh session in New York from 1 to 5 April 2019;第三工作组(投资人与国家间争议解决制度改革)将于2018年10月29日至11月2日在维也纳举行第三十六届会议,于2019年4月1日至5日在纽约举行第三十七届会议;
(d)(d)
Working Group IV (Electronic Commerce) would hold its fifty-seventh session in Vienna from 19 to 23 November 2018, and its fifty-eighth session in New York from 8 to 12 April 2019;第四工作组(电子商务)将于2018年11月19日至23日在维也纳举行第五十七届会议,于2019年4月8日至12日在纽约举行第五十八届会议;
(e)(e)
Working Group V (Insolvency Law) would hold its fifty-fourth session in Vienna from 10 to 14 December 2018, and its fifty-fifth session in New York from 28 to 31 May 2019 (noting that that would be a 4-day session);第五工作组(破产法)将于2018年12月10日至14日在维也纳举行第五十四届会议,于2019年5月28日至31日在纽约举行第五十五届会议(注意这一届会议为期4天);
(f)(f)
Working Group VI (Security Interests) would hold its thirty-fourth session in Vienna from 17 to 21 December 2018, and its thirty-fifth session in New York from 13 to 17 May 2019.第六工作组(担保权益)将于2018年12月17日至21日在维也纳举行第三十四届会议,于2019年5月13日至17日在纽约举行第三十五届会议。
2.2.
Sessions of working groups in 2019 after the fifty-second session of the Commission在委员会第五十二届会议之后于2019年举行的工作组届会
285.5.
The Commission noted that the following tentative arrangements had been made for working group meetings in 2019 after its fifty-second session, subject to the approval by the Commission at that session:委员会注意到,已就委员会第五十二届会议之后各工作组2019年的会议作出以下暂定安排,但需委员会该届会议予以核准:
(a)(a)
Working Group I (Micro, Small and Medium-sized Enterprises) would hold its thirty-third session in Vienna, from 30 September to 4 October 2019;第一工作组(微型、小型和中型企业)将于2019年9月30日至10月4日在维也纳举行第三十三届会议;
(b)(b)
Working Group II (Dispute Settlement) would hold its seventieth session in Vienna, from 23 to 27 September 2019;第二工作组(争议解决)将于2019年9月23日至27日在维也纳举行第七十届会议;
(c)(c)
Working Group III (Investor-State Dispute Settlement Reform) would hold its thirty-eighth session in Vienna from 14 to 18 October 2019;第三工作组(投资人与国家间争议解决制度改革)将于2019年10月14日至18日在维也纳举行第三十八届会议;
(d)(d)
Working Group IV (Electronic Commerce) would hold its fifty-ninth session in Vienna from 25 to 29 November 2019;第四工作组(电子商务)将于2019年11月25日至29日在维也纳举行第五十九届会议;
(e)(e)
Working Group V (Insolvency Law) would hold its fifty-sixth session in Vienna from 2 to 6 December 2019;第五工作组(破产法)将于2019年12月2日至6日在维也纳举行第五十六届会议;
and
(f)(f)
Working Group VI (Security Interests) would hold its thirty-sixth session in Vienna from 18 to 22 November 2019.第六工作组(担保权益)将于2019年11月18日至22日在维也纳举行第三十六届会议。
Annex I附件一
United Nations Convention on International Settlement Agreements Resulting from Mediation联合国关于调解所产生的国际和解协议公约
Preamble序言
The Parties to this Convention,本公约当事方,
Recognizing the value for international trade of mediation as a method for settling commercial disputes in which the parties in dispute request a third person or persons to assist them in their attempt to settle the dispute amicably,认识到调解作为一种商事争议解决办法对于国际贸易的价值,争议当事人籍此办法请求第三人协助其设法友好解决争议,
Noting that mediation is increasingly used in international and domestic commercial practice as an alternative to litigation,注意到国际和国内商业实务越来越多地使用调解替代诉讼,
Considering that the use of mediation results in significant benefits, such as reducing the instances where a dispute leads to the termination of a commercial relationship, facilitating the administration of international transactions by commercial parties and producing savings in the administration of justice by States,考虑到使用调解办法产生显著益处,例如,减少因争议导致终止商业关系的情形,便利商业当事人管理国际交易,并节省国家司法行政费用,
Convinced that the establishment of a framework for international settlement agreements resulting from mediation that is acceptable to States with different legal, social and economic systems would contribute to the development of harmonious international economic relations,深信就调解所产生的国际和解协议确立一种可为法律、社会和经济制度不同的国家接受的框架,将有助于发展和谐的国际经济关系,
Have agreed as follows:兹商定如下:
Article 1.第1条 适用范围
Scope of application
1.1.
This Convention applies to an agreement resulting from mediation and concluded in writing by parties to resolve a commercial dispute (“settlement agreement”) which, at the time of its conclusion, is international in that:本公约适用于调解所产生的、当事人为解决商事争议而以书面形式订立的协议(“和解协议”),该协议在订立时由于以下原因之一而成为国际协议:
(a)(a)
At least two parties to the settlement agreement have their places of business in different States;和解协议至少有两方当事人在不同国家设有营业地;
or或者
(b)(b)
The State in which the parties to the settlement agreement have their places of business is different from either:和解协议各方当事人设有营业地的国家不是:
(i)
The State in which a substantial part of the obligations under the settlement agreement is performed;和解协议所规定的相当一部分义务履行地所在国;
or或者
(ii)
The State with which the subject matter of the settlement agreement is most closely connected.与和解协议所涉事项关系最密切的国家。
2.2.
This Convention does not apply to settlement agreements:本公约不适用于以下和解协议:
(a)(a)
Concluded to resolve a dispute arising from transactions engaged in by one of the parties (a consumer) for personal, family or household purposes;为解决其中一方当事人(消费者)为个人、家庭或者家居目的进行交易所产生的争议而订立的协议;
(b)(b)
Relating to family, inheritance or employment law.与家庭法、继承法或者就业法有关的协议。
3.3.
This Convention does not apply to:本公约不适用于:
(a)(a)
Settlement agreements:以下和解协议:
(i)
That have been approved by a court or concluded in the course of proceedings before a court;经由法院批准或者系在法院相关程序过程中订立的协议;
and
(ii)
That are enforceable as a judgment in the State of that court;可在该法院所在国作为判决执行的协议;
(b)(b)
Settlement agreements that have been recorded and are enforceable as an arbitral award.已记录在案并可作为仲裁裁决执行的协议。
Article 2.第2条 定义
Definitions
1.1.
For the purposes of article 1, paragraph 1:在第1条第1款中:
(a)(a)
If a party has more than one place of business, the relevant place of business is that which has the closest relationship to the dispute resolved by the settlement agreement, having regard to the circumstances known to, or contemplated by, the parties at the time of the conclusion of the settlement agreement;一方当事人有不止一个营业地的,相关营业地是与和解协议所解决的争议关系最密切的营业地,同时考虑到订立和解协议时已为各方当事人知道或者预期的情形;
(b)(b)
If a party does not have a place of business, reference is to be made to the party’s habitual residence.一方当事人无营业地的,以其惯常居住地为准。
2.2.
A settlement agreement is “in writing” if its content is recorded in any form.和解协议的内容以任何形式记录下来即为“书面形式”。
The requirement that a settlement agreement be in writing is met by an electronic communication if the information contained therein is accessible so as to be useable for subsequent reference.电子通信所含信息可调取以备日后查用的,该电子通信即满足了和解协议的书面形式要求。
3.3.
“Mediation” means a process, irrespective of the expression used or the basis upon which the process is carried out, whereby parties attempt to reach an amicable settlement of their dispute with the assistance of a third person or persons (“the mediator”) lacking the authority to impose a solution upon the parties to the dispute.“调解”不论使用何种称谓或者进行过程以何为依据,指由一名或者几名第三人(“调解员”)协助,在其无权对争议当事人强加解决办法的情况下,当事人设法友好解决其争议的过程。
Article 3. General principles第3条 一般原则
1.1.
Each Party to the Convention shall enforce a settlement agreement in accordance with its rules of procedure and under the conditions laid down in this Convention.本公约每一当事方应按照本国程序规则并根据本公约规定的条件执行和解协议。
2.2.
If a dispute arises concerning a matter that a party claims was already resolved by a settlement agreement, a Party to the Convention shall allow the party to invoke the settlement agreement in accordance with its rules of procedure and under the conditions laid down in this Convention, in order to prove that the matter has already been resolved.如果就一方当事人声称已由和解协议解决的事项发生争议,公约当事方应允许该当事人按照本国程序规则并根据本公约规定的条件援用和解协议,以证明该事项已得到解决。
Article 4. Requirements for reliance on settlement agreements第4条 对依赖于和解协议的要求
1.1.
A party relying on a settlement agreement under this Convention shall supply to the competent authority of the Party to the Convention where relief is sought:当事人根据本公约依赖于和解协议,应向寻求救济所在公约当事方主管机关出具:
(a)(a)
The settlement agreement signed by the parties;由各方当事人签署的和解协议;
(b)(b)
Evidence that the settlement agreement resulted from mediation, such as:显示和解协议产生于调解的证据,例如:
(i)
The mediator’s signature on the settlement agreement;调解员在和解协议上的签名;
(ii)
A document signed by the mediator indicating that the mediation was carried out;调解员签署的表明进行了调解的文件;
(iii)
An attestation by the institution that administered the mediation;调解过程管理机构的证明;
or或者
(iv)
In the absence of (i), (ii) or (iii), any other evidence acceptable to the competent authority.在没有第㈠目、第㈡目或者第㈢目的情况下,可为主管机关接受的其他任何证据。
2.2.
The requirement that a settlement agreement shall be signed by the parties or, where applicable, the mediator is met in relation to an electronic communication if:符合下列条件的,即为在电子通信方面满足了和解协议应由当事人签署或者在适用情况下应由调解员签署的要求:
(a)(a)
A method is used to identify the parties or the mediator and to indicate the parties’ or mediator’s intention in respect of the information contained in the electronic communication;使用了一种方法来识别当事人或者调解员的身份并表明当事人或者调解员关于电子通信所含信息的意图;
and并且
(b)(b)
The method used is either:所使用的这种方法:
(i)
As reliable as appropriate for the purpose for which the electronic communication was generated or communicated, in the light of all the circumstances, including any relevant agreement;从各种情况来看,包括根据任何相关的约定,对于生成或者传递电子通信所要达到的目的既是适当的,也是可靠的;
or或者
(ii)
Proven in fact to have fulfilled the functions described in subparagraph (a) above, by itself or together with further evidence.其本身或者结合进一步证据,事实上被证明具备前述(a)项中所说明的功能。
3.3.
If the settlement agreement is not in an official language of the Party to the Convention where relief is sought, the competent authority may request a translation thereof into such language.和解协议不是以寻求救济所在公约当事方正式语文拟订的,主管机关可请求提供此种语文的和解协议译本。
4.4.
The competent authority may require any necessary document in order to verify that the requirements of the Convention have been complied with.主管机关可要求提供任何必要文件,以核实本公约的要求已得到遵守。
5.5.
When considering the request for relief, the competent authority shall act expeditiously.主管机关审议救济请求应从速行事。
Article 5. Grounds for refusing to grant relief第5条 拒绝准予救济的理由
1.1.
The competent authority of the Party to the Convention where relief is sought under article 4 may refuse to grant relief at the request of the party against whom the relief is sought only if that party furnishes to the competent authority proof that:根据第4条寻求救济所在公约当事方的主管机关可根据寻求救济所针对当事人的请求拒绝准予救济,唯需该当事人向主管机关提供以下证明:
(a)(a)
A party to the settlement agreement was under some incapacity;和解协议一方当事人处于某种无行为能力状况;
(b)(b)
The settlement agreement sought to be relied upon:所寻求依赖的和解协议:
(i)
Is null and void, inoperative or incapable of being performed under the law to which the parties have validly subjected it or, failing any indication thereon, under the law deemed applicable by the competent authority of the Party to the Convention where relief is sought under article 4;根据当事人有效约定的和解协议管辖法律,或者在没有就此指明任何法律的情况下,根据在第4条下寻求救济所在公约当事方主管机关认为应予适用的法律,无效、失效或者无法履行;
(ii)
Is not binding, or is not final, according to its terms;根据和解协议条款,不具约束力或者不是终局的;
or或者
(iii)
Has been subsequently modified;随后被修改;
(c)(c)
The obligations in the settlement agreement:和解协议中的义务:
(i)
Have been performed;已经履行;
or或者
(ii)
Are not clear or comprehensible;不清楚或者无法理解;
(d)(d)
Granting relief would be contrary to the terms of the settlement agreement;准予救济将有悖和解协议条款;
(e)(e)
There was a serious breach by the mediator of standards applicable to the mediator or the mediation without which breach that party would not have entered into the settlement agreement;调解员严重违反适用于调解员或者调解的准则,若非此种违反,该当事人本不会订立和解协议;
or或者
(f)(f)
There was a failure by the mediator to disclose to the parties circumstances that raise justifiable doubts as to the mediator’s impartiality or independence and such failure to disclose had a material impact or undue influence on a party without which failure that party would not have entered into the settlement agreement.调解员未向各方当事人披露可能对调解员公正性或者独立性产生正当怀疑的情形,并且此种未予披露对一方当事人有实质性影响或者不当影响,若非此种未予披露,该当事人本不会订立和解协议。
2.2.
The competent authority of the Party to the Convention where relief is sought under article 4 may also refuse to grant relief if it finds that:根据第4条寻求救济所在公约当事方主管机关如果作出以下认定,也可拒绝准予救济:
(a)(a)
Granting relief would be contrary to the public policy of that Party;准予救济将违反公约该当事方的公共政策;
or或者
(b)(b)
The subject matter of the dispute is not capable of settlement by mediation under the law of that Party.根据公约该当事方的法律,争议事项无法以调解方式解决。
Article 6.第6条 并行申请或者请求
Parallel applications or claims
If an application or a claim relating to a settlement agreement has been made to a court, an arbitral tribunal or any other competent authority which may affect the relief being sought under article 4, the competent authority of the Party to the Convention where such relief is sought may, if it considers it proper, adjourn the decision and may also, on the request of a party, order the other party to give suitable security.如果已经向法院、仲裁庭或者其他任何主管机关提出了与一项和解协议有关的申请或者请求,而该申请或者请求可能影响到根据第4条正在寻求的救济,寻求此种救济所在公约当事方的主管机关可在其认为适当的情况下暂停作出决定,并可应一方当事人的请求下令另一方当事人适当具保。
Article 7. Other laws or treaties第7条 其他法律或者条约
This Convention shall not deprive any interested party of any right it may have to avail itself of a settlement agreement in the manner and to the extent allowed by the law or the treaties of the Party to the Convention where such settlement agreement is sought to be relied upon.本公约不应剥夺任何利害关系人可依寻求依赖和解协议所在公约当事方的法律或者条约所许可的方式,在其许可限度内,援用该和解协议的任何权利。
Article 8.第8条 保留
Reservations
1.1.
A Party to the Convention may declare that:公约当事方可声明:
(a)(a)
It shall not apply this Convention to settlement agreements to which it is a party, or to which any governmental agencies or any person acting on behalf of a governmental agency is a party, to the extent specified in the declaration;对于其为一方当事人的和解协议,或者对于任何政府机构或者代表政府机构行事的任何人为一方当事人的和解协议,在声明规定的限度内,本公约不适用;
(b)(b)
It shall apply this Convention only to the extent that the parties to the settlement agreement have agreed to the application of the Convention.本公约适用,唯需和解协议当事人已同意适用本公约。
2.2.
No reservations are permitted except those expressly authorized in this article.除本条明确授权的保留外,不允许作出任何保留。
3.3.
Reservations may be made by a Party to the Convention at any time.公约当事方可随时作出保留。
Reservations made at the time of signature shall be subject to confirmation upon ratification, acceptance or approval.在签署时作出的保留,必须在批准、接受或者核准时加以确认。
Such reservations shall take effect simultaneously with the entry into force of this Convention in respect of the Party to the Convention concerned.此类保留应在本公约对有关公约当事方生效时同时生效。
Reservations made at the time of ratification, acceptance or approval of this Convention or accession thereto, or at the time of making a declaration under article 13 shall take effect simultaneously with the entry into force of this Convention in respect of the Party to the Convention concerned.批准、接受或者核准本公约或者加入本公约时作出的保留,或者在根据第13条作出声明时作出的保留,应在本公约对公约有关当事方生效时同时生效。
Reservations deposited after the entry into force of the Convention for that Party to the Convention shall take effect six months after the date of the deposit.保留书在公约对公约该当事方生效后交存的,于交存日后六个月生效。
4.4.
Reservations and their confirmations shall be deposited with the depositary.保留书及其确认书应交存保存人。
5.5.
Any Party to the Convention that makes a reservation under this Convention may withdraw it at any time.根据本公约作出保留的公约任何当事方可随时撤回保留。
Such withdrawals are to be deposited with the depositary, and shall take effect six months after deposit.此种撤回书应交存保存人,并应于交存后六个月生效。
Article 9.第9条 对和解协议的效力
Effect on settlement agreements
The Convention and any reservation or withdrawal thereof shall apply only to settlement agreements concluded after the date when the Convention, reservation or withdrawal thereof enters into force for the Party to the Convention concerned.本公约以及任何保留或者保留的撤回仅适用于在本公约、保留或者保留的撤回对公约有关当事方生效之日后订立的和解协议。
Article 10.第10条 保存人
Depositary
The Secretary-General of the United Nations is hereby designated as the depositary of this Convention.兹指定联合国秘书长为本公约保存人。
Article 11. Signature, ratification, acceptance, approval, accession第11条 签署、批准、接受、核准、加入
1.1.
This Convention is open for signature by all States in Singapore, on 1 August 2019, and thereafter at United Nations Headquarters in New York.本公约于2019年8月1日在新加坡开放供各国签署,此后在纽约联合国总部开放供各国签署。
2.2.
This Convention is subject to ratification, acceptance or approval by the signatories.本公约须经签署国批准、接受或者核准。
3.3.
This Convention is open for accession by all States that are not signatories as from the date it is open for signature.本公约对自开放供签署之日起未签署本公约的所有国家开放供加入。
4.4.
Instruments of ratification, acceptance, approval or accession are to be deposited with the depositary.批准书、接受书、核准书或者加入书应交存保存人。
Article 12.
Participation by regional economic integration organizations第12条 区域经济一体化组织的参与
1.1.
A regional economic integration organization that is constituted by sovereign States and has competence over certain matters governed by this Convention may similarly sign, ratify, accept, approve or accede to this Convention.由主权国家组成并对本公约所管辖的某些事项拥有管辖权的区域经济一体化组织同样可以签署、批准、接受、核准或者加入本公约。
The regional economic integration organization shall in that case have the rights and obligations of a Party to the Convention, to the extent that that organization has competence over matters governed by this Convention.在这种情况下,区域经济一体化组织享有的权利和承担的义务应与公约当事方相同,但仅限于该组织对本公约所管辖事项拥有管辖权的范围。
Where the number of Parties to the Convention is relevant in this Convention, the regional economic integration organization shall not count as a Party to the Convention in addition to its member States that are Parties to the Convention.当涉及本公约下公约当事方数目时,区域经济一体化组织内的成员国为公约当事方的,该区域经济一体化组织不能算作一个公约当事方。
2.2.
The regional economic integration organization shall, at the time of signature, ratification, acceptance, approval or accession, make a declaration to the depositary specifying the matters governed by this Convention in respect of which competence has been transferred to that organization by its member States.区域经济一体化组织应在签署、批准、接受、核准或者加入时向保存人提出声明,指明对本公约所管辖的哪些事项的管辖权已由其成员国转移给该组织。
The regional economic integration organization shall promptly notify the depositary of any changes to the distribution of competence, including new transfers of competence, specified in the declaration under this paragraph.根据本款提出声明后,如果管辖权分配发生任何变化,包括管辖权新的转移,区域经济一体化组织应迅速通知保存人。
3.3.
Any reference to a “Party to the Convention”, “Parties to the Convention”, a “State” or “States” in this Convention applies equally to a regional economic integration organization where the context so requires.本公约中,对“公约一当事方”、“公约当事方”、“一国”或者“各国”的任何提及,必要时同等适用于区域经济一体化组织。
4.4.
This Convention shall not prevail over conflicting rules of a regional economic integration organization, whether such rules were adopted or entered into force before or after this Convention:
(a) if, under article 4, relief is sought in a State that is member of such an organization and all the States relevant under article 1, paragraph 1, are members of such an organization;对于区域经济一体化组织的规则,无论此种规则在本公约之前或者之后通过或者生效:(a)如果向此种组织一成员国的主管机关寻求第4条下的救济,并且第1条第1款下涉及的所有国家均为此种组织的成员;
or (b) as concerns the recognition or enforcement of judgments between member States of such an organization.或者(b)涉及区域经济一体化组织成员国之间承认或者执行判决的,本公约与此种规则发生冲突时不得优先。
Article 13.第13条 非统一法律制度
Non-unified legal systems
1.1.
If a Party to the Convention has two or more territorial units in which different systems of law are applicable in relation to the matters dealt with in this Convention, it may, at the time of signature, ratification, acceptance, approval or accession, declare that this Convention is to extend to all its territorial units or only to one or more of them, and may amend its declaration by submitting another declaration at any time.公约一当事方拥有两个或者多个领土单位,各领土单位对本公约所涉事项适用不同法律制度的,可在签署、批准、接受、核准或者加入时声明本公约延伸适用于本国的全部领土单位或者仅适用于其中的一个或者数个领土单位,并可随时通过提出另一声明修正其所作的声明。
2.2.
These declarations are to be notified to the depositary and are to state expressly the territorial units to which the Convention extends.此种声明应通知保存人,且明确指出适用本公约的领土单位。
3.3.
If a Party to the Convention has two or more territorial units in which different systems of law are applicable in relation to the matters dealt with in this Convention:公约一当事方拥有两个或者多个领土单位,各领土单位对本公约所涉事项适用不同法律制度的,
(a)(a)
Any reference to the law or rule of procedure of a State shall be construed as referring, where appropriate, to the law or rule of procedure in force in the relevant territorial unit;凡提及一国的法律或者程序规则,应被解释为在适当情况下指有关领土单位的法律或者程序规则;
(b)(b)
Any reference to the place of business in a State shall be construed as referring, where appropriate, to the place of business in the relevant territorial unit;凡提及一国的营业地,应被解释为在适当情况下指有关领土单位的营业地;
(c)(c)
Any reference to the competent authority of the State shall be construed as referring, where appropriate, to the competent authority in the relevant territorial unit.凡提及一国的主管机关,应被解释为在适当情况下指有关领土单位的主管机关。
4.4.
If a Party to the Convention makes no declaration under paragraph 1 of this article, the Convention is to extend to all territorial units of that State.公约一当事方未根据本条第1款作出声明的,本公约延伸适用于该国的全部领土单位。
Article 14.第14条 生效
Entry into force
1.1.
This Convention shall enter into force six months after deposit of the third instrument of ratification, acceptance, approval or accession.本公约应于第三份批准书、接受书、核准书或者加入书交存后六个月生效。
2.2.
When a State ratifies, accepts, approves or accedes to this Convention after the deposit of the third instrument of ratification, acceptance, approval or accession, this Convention shall enter into force in respect of that State six months after the date of the deposit of its instrument of ratification, acceptance, approval or accession.一国在第三份批准书、接受书、核准书或者加入书交存之后批准、接受、核准或者加入本公约的,本公约应于该国交存批准书、接受书、核准书或者加入书之日后六个月对其生效。
The Convention shall enter into force for a territorial unit to which this Convention has been extended in accordance with article 13 six months after the notification of the declaration referred to in that article.对于根据第13条延伸适用本公约的领土单位,本公约应于通知该条所提及的声明后六个月对其生效。
Article 15.第15条 修正
Amendment
1.1.
Any Party to the Convention may propose an amendment to the present Convention by submitting it to the Secretary-General of the United Nations.公约任何当事方均可对本公约提出修正案,将其提交联合国秘书长。
The Secretary-General shall thereupon communicate the proposed amendment to the Parties to the Convention with a request that they indicate whether they favour a conference of Parties to the Convention for the purpose of considering and voting upon the proposal.秘书长应立即将所提修正案转发公约各当事方,请其表示是否赞成召开公约当事方会议,以对该修正提案进行审议和表决。
In the event that within four months from the date of such communication at least one third of the Parties to the Convention favour such a conference, the Secretary-General shall convene the conference under the auspices of the United Nations.如果自通报之日起四个月内至少有三分之一公约当事方赞成召开此种会议,秘书长应在联合国主持下召集公约当事方会议。
2.2.
The conference of Parties to the Convention shall make every effort to achieve consensus on each amendment.公约当事方会议应尽一切努力就每项修正案达成协商一致。
If all efforts at consensus are exhausted and no consensus is reached, the amendment shall, as a last resort, require for its adoption a two-thirds majority vote of the Parties to the Convention present and voting at the conference.如果竭尽一切努力而未达成协商一致,作为最后手段,该修正案须有出席会议并参加表决公约当事方的三分之二多数票方可通过。
3.3.
An adopted amendment shall be submitted by the depositary to all the Parties to the Convention for ratification, acceptance or approval.通过的修正案应由保存人提交给公约所有当事方,请其批准、接受或者核准。
4.4.
An adopted amendment shall enter into force six months after the date of deposit of the third instrument of ratification, acceptance or approval.通过的修正案应在第三份批准书、接受书或者核准书交存之日后六个月生效。
When an amendment enters into force, it shall be binding on those Parties to the Convention that have expressed consent to be bound by it.修正案一经生效,即对已经表示同意受其约束的公约当事方具有约束力。
5.5.
When a Party to the Convention ratifies, accepts or approves an amendment following the deposit of the third instrument of ratification, acceptance or approval, the amendment shall enter into force in respect of that Party to the Convention six months after the date of the deposit of its instrument of ratification, acceptance or approval.在第三份批准书、接受书或者核准书交存后,如果公约一当事方批准、接受或者核准了一修正案,该修正案于公约该当事方交存批准书、接受书或者核准书之日后六个月对其生效。
Article 16.第16条 退约
Denunciations
1.1.
A Party to the Convention may denounce this Convention by a formal notification in writing addressed to the depositary.公约当事方得以书面形式正式通知保存人,宣布其退出本公约。
The denunciation may be limited to certain territorial units of a non-unified legal system to which this Convention applies.退约可限于某些适用本公约的、非统一法律制度的领土单位。
2.2.
The denunciation shall take effect 12 months after the notification is received by the depositary.退约应于保存人收到通知后十二个月生效。
Where a longer period for the denunciation to take effect is specified in the notification, the denunciation shall take effect upon the expiration of such longer period after the notification is received by the depositary.通知中指明退约生效需更长期限的,退约应于保存人收到通知后该更长期限期满时生效。
The Convention shall continue to apply to settlement agreements concluded before the denunciation takes effect.本公约应继续适用于退约生效前订立的和解协议。
DONE at ---- this [X] day of [X] ------, in a single original, of which the Arabic, Chinese, English, French, Russian and Spanish texts are equally authentic.----年[X]月[X]日订于----,正本一份,阿拉伯文、中文、英文、法文、俄文和西班牙文文本具有同等效力。”
Annex II附件二
UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation, 2018 (amending the UNCITRAL Model Law on International Commercial Conciliation, 2002)贸易法委员会国际商事调解和调解所产生的国际和解协议示范法,2018年(修正2002年《贸易法委员会国际商事调解示范法》)
Section 1 — General provisions第1节 — 总则
Article 1. Scope of application of the Law and definitions第1条 本法适用范围和定义
1.1.
This Law applies to international commercial mediation and to international settlement agreements.本法适用于国际商事调解和国际和解协议。
2.2.
For the purposes of this Law, “mediator” means a sole mediator or two or more mediators, as the case may be.在本法中,“调解员”指独任调解员或者两名或者多名调解员,视情形而定。
3.3.
For the purposes of this Law, “mediation” means a process, whether referred to by the expression mediation, conciliation or an expression of similar import, whereby parties request a third person or persons (“the mediator”) to assist them in their attempt to reach an amicable settlement of their dispute arising out of or relating to a contractual or other legal relationship.在本法中,“调解”指当事人请求一名或者多名第三人(“调解员”)协助其设法友好解决合同关系或者其他法律关系所产生的或者与之相关的争议的过程,而不论此种过程以调解或者类似含义的措词称谓。
The mediator does not have the authority to impose upon the parties a solution to the dispute.调解员无权将解决争议的办法强加于当事人。
Article 2.第2条 解释
Interpretation
1.1.
In the interpretation of this Law, regard is to be had to its international origin and to the need to promote uniformity in its application and the observance of good faith.在解释本法时,应考虑到本法的国际渊源,并应考虑到促进统一适用本法和遵守诚信的必要性。
2.2.
Questions concerning matters governed by this Law which are not expressly settled in it are to be settled in conformity with the general principles on which this Law is based.与本法所管辖事项有关的问题,在本法中未明确解决的,应按照本法所依据的一般原则加以解决。
Section 2 — International commercial mediation第2节 — 国际商事调解
Article 3. Scope of application of the section and definitions第3条 本节适用范围和定义
1.1.
This section applies to international commercial mediation.本法适用于国际商事调解。
2.2.
A mediation is “international” if:调解有下列情形的为“国际”调解:
(a)(a)
The parties to an agreement to mediate have, at the time of the conclusion of that agreement, their places of business in different States;达成进行调解的约定时,各方当事人的营业地在不同国家;
or或者
(b)(b)
The State in which the parties have their places of business is different from either:当事人设有营业地的国家不是:
(i)
The State in which a substantial part of the obligations of the commercial relationship is to be performed;商业关系中相当一部分义务履行地所在国;
or或者
(ii)
The State with which the subject matter of the dispute is most closely connected.与争议事项关系最密切的国家。
3.3.
For the purposes of paragraph 2:在第2款中:
(a)(a)
If a party has more than one place of business, the place of business is that which has the closest relationship to the agreement to mediate;一方当事人有不止一个营业地的,与调解约定关系最密切的营业地为营业地;
(b)(b)
If a party does not have a place of business, reference is to be made to the party’s habitual residence.一方当事人无营业地的,以其惯常居住地为准。
4.4.
This section also applies to commercial mediation when the parties agree that the mediation is international or agree to the applicability of this section.当事人约定调解是国际调解或者约定适用本节的,本节还适用于商事调解。
5.5.
The parties are free to agree to exclude the applicability of this section.当事人可自行约定排除适用本法。
6.6.
Subject to the provisions of paragraph 7 of this article, this section applies irrespective of the basis upon which the mediation is carried out, including agreement between the parties whether reached before or after a dispute has arisen, an obligation established by law, or a direction or suggestion of a court, arbitral tribunal or competent governmental entity.在不违反本条第7款规定的前提下,本节均予适用,而不论进行调解以何为依据,包括以当事人在争议发生之前或者之后达成的约定为依据,以法律规定的义务为依据,或者以法院、仲裁庭或者政府主管实体的指示或者建议为依据。
7.7.
This section does not apply to:本节不适用于:
(a)(a)
Cases where a judge or an arbitrator, in the course of judicial or arbitral proceedings, attempts to facilitate a settlement;法官或者仲裁员在司法程序或者仲裁程序过程中试图促成和解的情形;
and
(b)(b)
[…].[……]。
Article 4.第4条 经由协议变更
Variation by agreement
Except for the provisions of article 7, paragraph 3, the parties may agree to exclude or vary any of the provisions of this section.除第7条第3款的规定外,当事人可约定排除或者变更本节的任何规定。
Article 5. Commencement of mediation proceedings第5条 启动调解程序
1.1.
Mediation proceedings in respect of a dispute that has arisen commence on the day on which the parties to that dispute agree to engage in mediation proceedings.对于所发生的争议,调解程序自该争议各方当事人同意参与调解程序之日开始。
2.2.
If a party that invited another party to mediate does not receive an acceptance of the invitation within 30 days from the day on which the invitation was sent, or within such other period of time as specified in the invitation, the party may elect to treat this as a rejection of the invitation to mediate.一方当事人邀请另一方当事人参与调解,自邀请函发出之日起30日内或者在该邀请函规定的其他期限内未收到对该邀请函的接受函的,可决定将此作为拒绝调解邀请处理。
Article 6. Number and appointment of mediators第6条 调解员的人数和指定
1.1.
There shall be one mediator, unless the parties agree that there shall be two or more mediators.调解员应为一人,除非当事人约定应有两名或者多名调解员。
2.2.
The parties shall endeavour to reach agreement on a mediator or mediators, unless a different procedure for their appointment has been agreed upon.当事人应尽力就一名调解员或者多名调解员达成约定,除非已约定不同指定程序。
3.3.
Parties may seek the assistance of an institution or person in connection with the appointment of mediators.当事人可在指定调解员方面寻求机构或个人的协助。
In particular:特别是:
(a)(a)
A party may request such an institution or person to recommend suitable persons to act as mediator;一方当事人可请求上述机构或个人推荐适合担任调解员的人选;
or或者
(b)(b)
The parties may agree that the appointment of one or more mediators be made directly by such an institution or person.当事人可约定由上述机构或者个人直接指定一名或者多名调解员。
4.4.
In recommending or appointing individuals to act as mediator, the institution or person shall have regard to such considerations as are likely to secure the appointment of an independent and impartial mediator and, where appropriate, shall take into account the advisability of appointing a mediator of a nationality other than the nationalities of the parties.在推荐或者指定个人担任调解员时,上述机构或者个人应考虑到可确保指定一名独立和公正调解员的各种因素,情况适当的,还应考虑是否适宜指定一名不属于各方当事人国籍的调解员。
5.5.
When a person is approached in connection with his or her possible appointment as mediator, he or she shall disclose any circumstances likely to give rise to justifiable doubts as to his or her impartiality or independence.可能被指定为调解员的人,应在与此指定有关的洽谈中披露可能对其公正性和独立性产生正当怀疑的任何情形。
A mediator, from the time of his or her appointment and throughout the mediation proceedings, shall without delay disclose any such circumstances to the parties unless they have already been informed of them by him or her.调解员应自其被指定之时起,并在整个调解程序期间,毫无延迟地向各方当事人披露任何此种情形,除非此种情形已由其告知各方当事人。
Article 7. Conduct of mediation第7条 调解的进行
1.1.
The parties are free to agree, by reference to a set of rules or otherwise, on the manner in which the mediation is to be conducted.当事人可通过提及一套规则或者以其他方式,自行约定进行调解的方式。
2.2.
Failing agreement on the manner in which the mediation is to be conducted, the mediator may conduct the mediation proceedings in such a manner as the mediator considers appropriate, taking into account the circumstances of the case, any wishes that the parties may express and the need for a speedy settlement of the dispute.未约定调解进行方式的,调解员可以其认为适当的方式,在考虑到具体案情、各方当事人可能表达的任何意愿以及迅速解决争议的必要性的情况下进行调解程序。
3.3.
In any case, in conducting the proceedings, the mediator shall seek to maintain fair treatment of the parties and, in so doing, shall take into account the circumstances of the case.在任何情况下,调解员进行程序都应力求公平对待各方当事人,并应为此考虑到具体案情。
4.4.
The mediator may, at any stage of the mediation proceedings, make proposals for a settlement of the dispute.调解员可在调解程序任何阶段提出解决争议的建议。
Article 8. Communication between mediator and parties第8条 调解员与当事人之间的联系
The mediator may meet or communicate with the parties together or with each of them separately.调解员可同时与各方当事人会面或者联系,也可与其中一方单独会面或者联系。
Article 9.第9条 披露信息
Disclosure of information
When the mediator receives information concerning the dispute from a party, the mediator may disclose the substance of that information to any other party to the mediation.调解员收到一方当事人关于争议的信息时,可向调解的其他任何当事人披露该信息的实质内容。
However, when a party gives any information to the mediator, subject to a specific condition that it be kept confidential, that information shall not be disclosed to any other party to the mediation.但是,一方当事人向调解员提供任何信息附有必须保密的特定条件的,该信息不得向调解的其他任何当事人披露。
Article 10.第10条 保密
Confidentiality
Unless otherwise agreed by the parties, all information relating to the mediation proceedings shall be kept confidential, except where disclosure is required under the law or for the purposes of implementation or enforcement of a settlement agreement.除非当事人另有约定,与调解程序有关的一切信息均应保密,但按照法律要求或者为了履行或者执行和解协议而披露信息除外。
Article 11. Admissibility of evidence in other proceedings第11条 其他程序中证据可采性
1.1.
A party to the mediation proceedings, the mediator and any third person, including those involved in the administration of the mediation proceedings, shall not in arbitral, judicial or similar proceedings rely on, introduce as evidence or give testimony or evidence regarding any of the following:调解程序的一方当事人、调解员或者任何第三人,包括参与调解程序管理的人在内,不得在仲裁程序、司法程序或者类似程序中依赖于下列任何一项、将其作为证据提出或者就其提供证言或者证据:
(a)(a)
An invitation by a party to engage in mediation proceedings or the fact that a party was willing to participate in mediation proceedings;一方当事人关于参与调解程序的邀请,或者一方当事人曾经愿意参与调解程序的事实;
(b)(b)
Views expressed or suggestions made by a party in the mediation in respect of a possible settlement of the dispute;一方当事人在调解中对可能解决争议的办法所表示的意见或者提出的建议;
(c)(c)
Statements or admissions made by a party in the course of the mediation proceedings;一方当事人在调解程序过程中作出的陈述或者供述;
(d)(d)
Proposals made by the mediator;调解员提出的建议;
(e)(e)
The fact that a party had indicated its willingness to accept a proposal for settlement made by the mediator;一方当事人曾表示愿意接受调解员提出的和解建议的事实;
(f)(f)
A document prepared solely for purposes of the mediation proceedings.完全为调解程序而准备的文件。
2.2.
Paragraph 1 of this article applies irrespective of the form of the information or evidence referred to therein.不论本条第1款所述及信息或者证据的形式如何,本条第1款均适用。
3.3.
The disclosure of the information referred to in paragraph 1 of this article shall not be ordered by an arbitral tribunal, court or other competent governmental authority and, if such information is offered as evidence in contravention of paragraph 1 of this article, that evidence shall be treated as inadmissible.仲裁庭、法院或者其他政府主管机关不得下令披露本条第1款所述及的信息,违反本条第1款提供这类信息作为证据的,该证据应作为不可采信处理。
Nevertheless, such information may be disclosed or admitted in evidence to the extent required under the law or for the purposes of implementation or enforcement of a settlement agreement.尽管如此,在法律规定的限度内或者为了履行或者执行和解协议,可披露或者作为证据采信这类信息。
4.4.
The provisions of paragraphs 1, 2 and 3 of this article apply whether or not the arbitral, judicial or similar proceedings relate to the dispute that is or was the subject matter of the mediation proceedings.不论仲裁程序、司法程序或者类似程序是否与调解程序目前或者曾经涉及的争议有关,本条第1款、第2款和第3款的规定均适用。
5.5.
Subject to the limitations of paragraph 1 of this article, evidence that is otherwise admissible in arbitral or judicial or similar proceedings does not become inadmissible as a consequence of having been used in a mediation.仲裁程序、司法程序或者类似程序中可予采信的证据,不违反本条第1款所规定限制的,不因其曾在调解中使用转而不予采信。
Article 12. Termination of mediation proceedings第12条 调解程序的终止
The mediation proceedings are terminated:调解程序在下列情形下终止:
(a)(a)
By the conclusion of a settlement agreement by the parties, on the date of the agreement;当事人订立了和解协议的,于协议订立日终止;
(b)(b)
By a declaration of the mediator, after consultation with the parties, to the effect that further efforts at mediation are no longer justified, on the date of the declaration;调解员与当事人协商后声明继续进行调解已无必要的,于声明日终止;
(c)(c)
By a declaration of the parties addressed to the mediator to the effect that the mediation proceedings are terminated, on the date of the declaration;当事人向调解员声明终止调解程序的,于声明日终止;
or或者
(d)(d)
By a declaration of a party to the other party or parties and the mediator, if appointed, to the effect that the mediation proceedings are terminated, on the date of the declaration.一方当事人向另一方或者几方当事人以及已指定的调解员声明终止调解程序的,于声明日终止。
Article 13.第13条 调解员担任仲裁员
Mediator acting as arbitrator
Unless otherwise agreed by the parties, the mediator shall not act as an arbitrator in respect of a dispute that was or is the subject of the mediation proceedings or in respect of another dispute that has arisen from the same contract or legal relationship or any related contract or legal relationship.除非当事人另有约定,否则调解员不应担任与调解程序曾经或者目前涉及的争议有关的仲裁员,或者担任与同一合同关系或者法律关系或者任何相关合同关系或者法律关系所引起的另一争议有关的仲裁员。
Article 14. Resort to arbitral or judicial proceedings第14条 诉诸仲裁程序或者司法程序
Where the parties have agreed to mediate and have expressly undertaken not to initiate during a specified period of time or until a specified event has occurred arbitral or judicial proceedings with respect to an existing or future dispute, such an undertaking shall be given effect by the arbitral tribunal or the court until the terms of the undertaking have been complied with, except to the extent necessary for a party, in its opinion, to preserve its rights.当事人同意调解并明确承诺不在具体规定的期限内或者具体规定的事件发生前对现有或者未来争议提起仲裁程序或者司法程序的,仲裁庭或者法院应承认此种承诺的效力,直至所作承诺的条件实现为止,但一方当事人认为维护其权利需要提起程序的除外。
Initiation of such proceedings is not of itself to be regarded as a waiver of the agreement to mediate or as a termination of the mediation proceedings.提起此种程序,其本身不应视为对调解约定的放弃或者调解程序的终止。
Article 15. Binding and enforceable nature of settlement agreements第15条 和解协议的约束力和可执行性
If the parties conclude an agreement settling a dispute, that settlement agreement is binding and enforceable.当事人订立争议和解协议的,该和解协议具有约束力和可执行性。
Section 3 — International settlement agreements第3节 — 国际和解协议
Article 16. Scope of application of the section and definitions第16条 本节适用范围和定义
1.1.
This section applies to international agreements resulting from mediation and concluded in writing by parties to resolve a commercial dispute (“settlement agreements”).本节适用于调解所产生的、当事人为解决商事争议而以书面形式订立的国际协议(“和解协议”)。
2.2.
This section does not apply to settlement agreements:本节不适用于以下和解协议:
(a)(a)
Concluded to resolve a dispute arising from transactions engaged in by one of the parties (a consumer) for personal, family or household purposes;为解决其中一方当事人(消费者)为个人、家庭或者家居目的进行交易所产生的争议而订立的协议;
(b)(b)
Relating to family, inheritance or employment law.与家庭法、继承法或者就业法有关的协议。
3.3.
This section does not apply to:本节不适用于:
(a)(a)
Settlement agreements:以下和解协议:
(i)
That have been approved by a court or concluded in the course of proceedings before a court;经由法院批准或者系在法院相关程序过程中订立的协议;
and
(ii)
That are enforceable as a judgment in the State of that court;可在该法院所在国作为判决执行的协议;
(b)(b)
Settlement agreements that have been recorded and are enforceable as an arbitral award.已记录在案并可作为仲裁裁决执行的协议。
4.4.
A settlement agreement is “international” if, at the time of the conclusion of the settlement agreement:和解协议有下列情形之一的为“国际”和解协议:在订立该协议时,
(a)(a)
At least two parties to the settlement agreement have their places of business in different States;和解协议至少有两方当事人在不同国家设有营业地;
or或者
(b)(b)
The State in which the parties to the settlement agreement have their places of business is different from either:和解协议各方当事人设有营业地的国家不是:
(i)
The State in which a substantial part of the obligations under the settlement agreement is to be performed;和解协议所规定的相当一部分义务履行地所在国;
or或者
(ii)
The State with which the subject matter of the settlement agreement is most closely connected.与和解协议所涉事项关系最密切的国家。
5.5.
For the purposes of paragraph 4:在第4款中:
(a)(a)
If a party has more than one place of business, the relevant place of business is that which has the closest relationship to the dispute resolved by the settlement agreement, having regard to the circumstances known to, or contemplated by, the parties at the time of the conclusion of the settlement agreement;一方当事人有不止一个营业地的,相关营业地是与和解协议所解决的争议关系最密切的营业地,同时考虑到订立和解协议时已为各方当事人知道或者预期的情形;
(b)(b)
If a party does not have a place of business, reference is to be made to the party’s habitual residence.一方当事人无营业地的,以其惯常居住地为准。
6.6.
A settlement agreement is “in writing” if its content is recorded in any form.和解协议的内容以任何形式记录下来即为“书面形式”。
The requirement that a settlement agreement be in writing is met by an electronic communication if the information contained therein is accessible so as to be useable for subsequent reference.电子通信所含信息可调取以备日后查用的,该电子通信即满足了和解协议的书面形式要求。
Article 17. General principles第17条 一般原则
1.1.
A settlement agreement shall be enforced in accordance with the rules of procedure of this State, and under the conditions laid down in this section.应按照本颁布国的程序规则并根据本节规定的条件执行和解协议。
2.2.
If a dispute arises concerning a matter that a party claims was already resolved by a settlement agreement, the party may invoke the settlement agreement in accordance with the rules of procedure of this State, and under the conditions laid down in this section, in order to prove that the matter has already been resolved.如果就一方当事人声称已由和解协议解决的事项发生争议,该当事人可按照本颁布国的程序规则并根据本节规定的条件援用和解协议,以证明该事项已得到解决。
Article 18. Requirements for reliance on settlement agreements第18条 对依赖于和解协议的要求
1.1.
A party relying on a settlement agreement under this section shall supply to the competent authority of this State:当事人根据本节依赖于和解协议,应向本颁布国主管机关出具:
(a)(a)
The settlement agreement signed by the parties;由各方当事人签署的和解协议;
(b)(b)
Evidence that the settlement agreement resulted from mediation, such as:显示和解协议产生于调解的证据,例如:
(i)
The mediator’s signature on the settlement agreement;调解员在和解协议上的签名;
(ii)
A document signed by the mediator indicating that the mediation was carried out;调解员签署的表明进行了调解的文件;
(iii)
An attestation by the institution that administered the mediation;对调解进行管理的机构的证明;
or或者
(iv)
In the absence of (i), (ii) or (iii), any other evidence acceptable to the competent authority.在没有第㈠目、第㈡目或者第㈢目的情况下,可为主管机关接受的其他任何证据。
2.2.
The requirement that a settlement agreement shall be signed by the parties or, where applicable, the mediator, is met in relation to an electronic communication if:符合下列条件的,即为在电子通信方面满足了和解协议应由当事人签署或者在适用情况下应由调解员签署的要求:
(a)(a)
A method is used to identify the parties or the mediator and to indicate the parties’ or mediator’s intention in respect of the information contained in the electronic communication;使用了一种方法来识别当事人或者调解员的身份并表明当事人或者调解员关于电子通信所含信息的意图;
and并且
(b)(b)
The method used is either:所使用的这种方法:
(i)
As reliable as appropriate for the purpose for which the electronic communication was generated or communicated, in the light of all the circumstances, including any relevant agreement;从各种情况来看,包括根据任何相关的约定,对于生成或者传递电子通信所要达到的目的既是适当的,也是可靠的;
or或者
(ii)
Proven in fact to have fulfilled the functions described in subparagraph (a) above, by itself or together with further evidence.其本身或者结合进一步证据,事实上被证明具备前述(a)项中所说明的功能。
3.3.
If the settlement agreement is not in an official language of this State, the competent authority may request a translation thereof into such language.和解协议不是以本颁布国正式语文拟订的,主管机关可请求提供此种语文的和解协议译本。
4.4.
The competent authority may require any necessary document in order to verify that the requirements of this section have been complied with.主管机关可要求提供任何必要文件,以核实本节的要求已得到遵守。
5.5.
When considering the request for relief, the competent authority shall act expeditiously.主管机关审议救济请求应从速行事。
Article 19. Grounds for refusing to grant relief第19条 拒绝准予救济的理由
1.1.
The competent authority of this State may refuse to grant relief at the request of the party against whom the relief is sought only if that party furnishes to the competent authority proof that:本颁布国主管机关可根据寻求救济所针对当事人的请求拒绝准予救济,唯需该当事人向主管机关提供以下证明:
(a)(a)
A party to the settlement agreement was under some incapacity;和解协议一方当事人处于某种无行为能力状况;
(b)(b)
The settlement agreement sought to be relied upon:所寻求依赖的和解协议:
(i)
Is null and void, inoperative or incapable of being performed under the law to which the parties have validly subjected it or, failing any indication thereon, under the law deemed applicable by the competent authority;根据当事人有效约定的和解协议管辖法律,或者在没有就此指明任何法律的情况下,根据主管机关认为应予适用的法律,无效、失效或者无法履行;
(ii)
Is not binding, or is not final, according to its terms;根据和解协议条款,不具约束力或者不是终局的;
or或者
(iii)
Has been subsequently modified;随后被修改;
(c)(c)
The obligations in the settlement agreement:和解协议中的义务:
(i)
Have been performed;已经履行;
or或者
(ii)
Are not clear or comprehensible;不清楚或者无法理解;
(d)(d)
Granting relief would be contrary to the terms of the settlement agreement;准予救济有悖和解协议条款;
(e)(e)
There was a serious breach by the mediator of standards applicable to the mediator or the mediation without which breach that party would not have entered into the settlement agreement;调解员严重违反适用于调解员或者调解的准则,若非此种违反,该当事人本不会订立和解协议;
or或者
(f)(f)
There was a failure by the mediator to disclose to the parties circumstances that raise justifiable doubts as to the mediator’s impartiality or independence and such failure to disclose had a material impact or undue influence on a party without which failure that party would not have entered into the settlement agreement.调解员未向各方当事人披露可能对调解员公正性或者独立性产生正当怀疑的情形,并且此种未予披露对一方当事人有实质性影响或者不当影响,若非此种未予披露,该当事人本不会订立和解协议。
2.2.
The competent authority of this State may also refuse to grant relief if it finds that:本颁布国主管机关如果作出以下认定,也可拒绝准予救济:
(a)(a)
Granting relief would be contrary to the public policy of this State;准予救济将违反本颁布国的公共政策;
or或者
(b)(b)
The subject matter of the dispute is not capable of settlement by mediation under the law of this State.根据本颁布国法律,争议事项无法以调解方式解决。
Article 20.第20条 并行申请或者请求
Parallel applications or claims
If an application or a claim relating to a settlement agreement has been made to a court, an arbitral tribunal or any other competent authority which may affect the relief being sought under article 18, the competent authority of this State where such relief is sought may, if it considers it proper, adjourn the decision and may also, on the request of a party, order the other party to give suitable security.如果已经向法院、仲裁庭或者其他任何主管机关提出了与一项和解协议有关的申请或者请求,而该申请或者请求可能影响到根据第18正在寻求的救济,本颁布国主管机关可在其认为适当的情况下暂停作出决定,也可应一方当事人的请求下令另一方当事人适当具保。
Annex III附件三
UNCITRAL Model Law on Recognition and Enforcement of Insolvency-related Judgments贸易法委员会关于承认和执行与破产有关的判决的示范法
Preamble序言
1.1.
The purpose of this Law is:本法的目的是:
(a)(a)
To create greater certainty in regard to rights and remedies for recognition and enforcement of insolvency-related judgments;为承认和执行与破产有关的判决而建立关于权利和补救措施的更大确定性;
(b)(b)
To avoid the duplication of insolvency proceedings;避免破产程序的重叠;
(c)(c)
To ensure timely and cost-effective recognition and enforcement of insolvency-related judgments;确保及时和在良好成本效益基础上承认和执行与破产有关的判决;
(d)(d)
To promote comity and cooperation between jurisdictions regarding insolvency-related judgments;促进不同法域之间在与破产有关的判决方面的礼让及合作;
(e)(e)
To protect and maximize the value of insolvency estates;保全破产财产并使其价值最大化;
and以及
(f)(f)
Where legislation based on the UNCITRAL Model Law on Cross-Border Insolvency has been enacted, to complement that legislation.在已根据《贸易法委员会跨国界破产示范法》颁布立法的情况下,对该项立法加以补充。
2.2.
This Law is not intended:本法的意图不是为了:
(a)(a)
To restrict provisions of the law of this State that would permit the recognition and enforcement of an insolvency-related judgment;限制本颁布国法律中那些允许承认和执行与破产有关的判决的法律条款;
(b)(b)
To replace legislation enacting the UNCITRAL Model Law on Cross-Border Insolvency or limit the application of that legislation;取代《贸易法委员会跨国界破产示范法》的颁行立法或限制该项立法的适用;
(c)(c)
To apply to the recognition and enforcement in the enacting State of an insolvency-related judgment issued in the enacting State;适用于在颁布国承认和执行在颁布国作出的与破产有关的判决;
or
(d)(d)
To apply to the judgment commencing the insolvency proceeding.适用于启动破产程序的判决。
Article 1.第1条 适用范围
Scope of application
1.1.
This Law applies to the recognition and enforcement of an insolvency-related judgment issued in a State that is different to the State in which recognition and enforcement are sought.本法适用于一国作出的与破产有关的判决在另一国寻求获得承认和执行。
2.2.
This Law does not apply to [...].本法不适用于[……]。
Article 2.第2条 定义
Definitions For the purposes of this Law:在本法中:
(a)(a)
“Insolvency proceeding” means a collective judicial or administrative proceeding, including an interim proceeding, pursuant to a law relating to insolvency in which proceeding the assets and affairs of a debtor are or were subject to control or supervision by a court or other competent authority for the purpose of reorganization or liquidation;“破产程序”是指依照与破产有关的法律实施的集体司法程序或行政程序,包括临时程序,在这一程序中,为达到重整或清算目的,债务人的资产和事务由法院或当时由法院监控或监督;
(b)(b)
“Insolvency representative” means a person or body, including one appointed on an interim basis, authorized in an insolvency proceeding to administer the reorganization or the liquidation of the debtor’s assets or affairs or to act as a representative of the insolvency proceeding;“破产管理人”是指在破产程序中被授权管理债务人财产或事务的重整或清算,或者被授权担任破产程序代表的人或机构,包括临时任命的人或机构;
(c)(c)
“Judgment” means any decision, whatever it may be called, issued by a court or administrative authority, provided an administrative decision has the same effect as a court decision.“判决”是指由法院,或者如果行政决定具有与法院决定同等效力的话,还有行政机关所颁布的任何决定,不论其称谓如何。
For the purposes of this definition, a decision includes a decree or order, and a determination of costs and expenses.在本定义中,决定包含法令或法院令,以及法院关于成本和费用的裁定。
An interim measure of protection is not to be considered a judgment for the purposes of this Law;在本法中,临时保全措施不视作判决;
(d)(d)
“Insolvency-related judgment”:“与破产有关的判决”:
(i)
Means a judgment that:是指满足下列条件的判决:
a.a.
Arises as a consequence of or is materially associated with an insolvency proceeding, whether or not that insolvency proceeding has closed;系作为破产程序的结果产生的,或实质上与破产程序相关联,不论该项破产程序是否已经完结;
and以及
b.b.
Was issued on or after the commencement of that insolvency proceeding; and系在该项破产程序启动时或启动后作出的;
而且
(ii)
Does not include a judgment commencing an insolvency proceeding.不包括破产程序的启动程序判决。
Article 3. International obligations of this State第3条 本颁布国的国际义务
1.1.
To the extent that this Law conflicts with an obligation of this State arising out of any treaty or other form of agreement to which it is a party with one or more other States, the requirements of the treaty or agreement prevail.本颁布国作为一方同另一国或多国签订任何条约或其他形式的协定后对本颁布国产生义务而本法与之相冲突的,以该条约或协定的规定为准。
2.2.
This Law shall not apply to a judgment where there is a treaty in force concerning the recognition or enforcement of civil and commercial judgments, and that treaty applies to the judgment.当有一项关于承认或执行民事和商事判决的现行有效条约且该条约适用于某项判决时,本法不适用于该项判决。
Article 4. Competent court or authority第4条 有管辖权的法院或机关
The functions referred to in this Law relating to recognition and enforcement of an insolvency-related judgment shall be performed by [specify the court, courts, authority or authorities competent to perform those functions in the enacting State] and by any other court before which the issue of recognition is raised as a defence or as an incidental question.本法中提到的与破产有关的一项判决的承认和执行职能应由[此处具体指明颁布国负责履行这些职能的一个或多个法院或一个或多个机关]履行,并由在程序进行期间受理作为抗辩或附带问题提出的承认问题的任何其他法院履行。
Article 5. Authorization to act in another State in respect of an insolvency-related judgment issued in this State第5条 授权在另一国就本颁布国作出的与 破产有关的判决采取行动
A [insert the title of the person or body administering a reorganization or liquidation under the law of the enacting State] is authorized to act in another State with respect to an insolvency-related judgment issued in this State, as permitted by the applicable foreign law.[此处写入根据颁布国法律负责管理重整或清算的人或机构的名称]被授权在适用的外国法律允许的情况下在另一国就本颁布国作出的与破产有关的判决采取行动。
Article 6. Additional assistance under other laws第6条 其他法律下规定的进一步协助
Nothing in this Law limits the power of a court or a [insert the title of the person or body administering a reorganization or liquidation under the law of the enacting State] to provide additional assistance under other laws of this State.本法概不限制法院或[此处写入根据颁布国法律负责管理重整或清算的人或机构的名称]根据本颁布国其他法律提供进一步协助的权力。
Article 7. Public policy exception第7条 公共政策的例外
Nothing in this Law prevents the court from refusing to take an action governed by this Law if the action would be manifestly contrary to the public policy, including the fundamental principles of procedural fairness, of this State.在遵照本法采取的行动将明显违反本颁布国公共政策的情况下,包括违反本颁布国的程序公正基本原则,本法概不阻止法院拒绝采取这一行动。
Article 8.第8条 解释
Interpretation
In the interpretation of this Law, regard is to be had to its international origin and to the need to promote uniformity in its application and the observance of good faith.在解释本法时,应考虑到本法的国际渊源以及促进本法统一适用和遵守诚信的必要性。
Article 9. Effect and enforceability of an insolvency-related judgment第9条 与破产有关的判决的效力和可执行性
An insolvency-related judgment shall be recognized only if it has effect in the originating State and shall be enforced only if it is enforceable in the originating State.一项与破产有关的判决只有当其在原判国具有效力时才应当获得承认,并且只有当其在原判国可以执行时才应当获得执行。
Article 10. Effect of review in the originating State on recognition and enforcement第10条 原判国复审对承认和执行的影响
1.1.
Recognition or enforcement of an insolvency-related judgment may be postponed or refused if the judgment is the subject of review in the originating State or if the time limit for seeking ordinary review in that State has not expired.一项与破产有关的判决如果是原判国复审内容,或者如果在该国寻求普通复审的时限尚未期满,则可以推迟或拒绝对该项判决的承认或执行。
In such cases, the court may also make recognition or enforcement conditional on the provision of such security as it shall determine.在这类情况下,法院还可以规定以提供法院所确定的担保作为给予承认或执行的条件。
2.2.
A refusal under paragraph 1 does not prevent a subsequent application for recognition or enforcement of the judgment.根据第1款作出的拒绝并不妨碍以后申请承认或执行该项判决。
Article 11. Procedure for seeking recognition and enforcement of an insolvency-related judgment第11条 寻求承认和执行与破产有关的判决的程序
1.1.
An insolvency representative or other person entitled under the law of the originating State to seek recognition and enforcement of an insolvency-related judgment may seek recognition and enforcement of that judgment in this State.破产管理人或根据原判国法律有权就一项与破产有关的判决寻求获得承认和执行的其他人,可在本颁布国寻求该项判决获得承认和执行。
The issue of recognition may also be raised as a defence or as an incidental question.承认问题也可作为抗辩理由或作为附带问题提出。
2.2.
When recognition and enforcement of an insolvency-related judgment is sought under paragraph 1, the following shall be submitted to the court:根据第1款寻求与破产有关的判决获得承认和执行的,应向法院提交下列材料:
(a)(a)
A certified copy of the insolvency-related judgment;与破产有关的该项判决的正式副本证明;
and以及
(b)(b)
Any documents necessary to establish that the insolvency-related judgment has effect and, where applicable, is enforceable in the originating State, including information on any pending review of the judgment;任何可证明与破产有关的该项判决在原判国具有效力并可予执行的必要文件,包括关于该项判决尚待进行任何复审的信息;
or
(c)(c)
In the absence of evidence referred to in subparagraphs (a) and (b), any other evidence on those matters acceptable to the court.无(a)项和(b)项所述证明的,可为法院所采信的关于这些事项的其他任何凭证。
3.3.
The court may require translation of documents submitted pursuant to paragraph 2 into an official language of this State.法院可要求将依据第2款提交的文件翻译成本颁布国的一种官方语文。
4.4.
The court is entitled to presume that documents submitted pursuant to paragraph 2 are authentic, whether or not they have been legalized.法院有权推定依据第2款提交的文件为真实文本,不论其是否经过认证。
5.5.
Any party against whom recognition and enforcement is sought has the right to be heard.寻求承认和执行所针对的任何当事人均享有申述权。
Article 12.第12条 临时救济
Provisional relief
1.1.
From the time recognition and enforcement of an insolvency-related judgment is sought until a decision is made, where relief is urgently needed to preserve the possibility of recognizing and enforcing an insolvency-related judgment, the court may, at the request of an insolvency representative or other person entitled to seek recognition and enforcement under article 11, paragraph 1, grant relief of a provisional nature, including:自寻求承认和执行与破产有关的判决之时直至作出决定,如果急需提供救济以保留与破产有关的判决获得承认和执行的可能性,法院可根据破产管理人或第10条第1款规定有权寻求承认和执行的其他人的请求,给予临时性救济,包括:
(a)(a)
Staying the disposition of any assets of any party or parties against whom the insolvency-related judgment has been issued;中止对与破产有关的判决所针对的任何当事人的任何资产的处分;
or
(b)(b)
Granting other legal or equitable relief, as appropriate, within the scope of the insolvency-related judgment.在与破产有关的判决的范围内酌情给予其他法定救济或衡平法救济。
2.2.
[Insert provisions (or refer to provisions in force in the enacting State) relating to notice, including whether notice would be required under this article.][此处写入(或提及颁布国现行规定的)关于通知的规定,包括是否需要根据本条发出通知。
]
3.3.
Unless extended by the court, relief granted under this article terminates when a decision on recognition and enforcement of the insolvency-related judgment is made.除非经由法院延期,根据本条给予的救济在就承认和执行与破产有关的判决作出决定时即告终止。
Article 13. Decision to recognize and enforce an insolvency-related judgment第13条 决定承认和执行与破产有关的判决
Subject to articles 7 and 14, an insolvency-related judgment shall be recognized and enforced provided:在不违反第7条和第14条的情况下,与破产有关的判决应当获得承认和执行,条件是:
(a)(a)
The requirements of article 9 with respect to effect and enforceability are met;满足第9条关于效力和可执行性的要求;
(b)(b)
The person seeking recognition and enforcement of the insolvency-related judgment is an insolvency representative within the meaning of article 2, subparagraph (b), or another person entitled to seek recognition and enforcement of the judgment under article 11, paragraph 1;寻求承认和执行与破产有关的判决的人是第2条(b)项涵义内的破产管理人,或者是根据第11条第1款有权寻求承认和执行判决的其他人;
(c)(c)
The application meets the requirements of article 11, paragraph 2;所提申请满足第11条第2款的诸项要求;
and以及
(d)(d)
Recognition and enforcement is sought from a court referred to in article 4, or the question of recognition arises by way of defence or as an incidental question before such a court.是向第4条所述法院寻求承认和执行,或者承认问题是在这类法院上以抗辩方式或作为附带问题产生。
Article 14. Grounds to refuse recognition and enforcement of an insolvency-related judgment第14条 对承认和执行与破产有关的判决加以拒绝的理由
In addition to the ground set forth in article 7, recognition and enforcement of an insolvency-related judgment may be refused if:除第7条列明的理由外,在下列情况下,也可拒绝承认和执行与破产有关的判决:
(a)(a)
The party against whom the proceeding giving rise to the judgment was instituted:启动了程序并作出判决,而所针对的当事人:
(i)
Was not notified of the institution of that proceeding in sufficient time and in such a manner as to enable a defence to be arranged, unless the party entered an appearance and presented their case without contesting notification in the originating court, provided that the law of the originating State permitted notification to be contested;未充分提前得到已启动该程序的通知,因而不能够作出抗辩安排,除非在原判国法律允许对通知事宜提出异议的情况下,该当事人在原判法院出庭陈述案情但并未对通知事宜提出异议;
or
(ii)
Was notified in this State of the institution of that proceeding in a manner that is incompatible with the rules of this State concerning service of documents;虽得到已启动该程序的通知,但通知的方式与本颁布国关于文件送达的基本原则不符;
(b)(b)
The judgment was obtained by fraud;判决是通过欺诈方式获得的;
(c)(c)
The judgment is inconsistent with a judgment issued in this State in a dispute involving the same parties;判决与本颁布国就相同当事人之间的一项争议作出的判决不相一致;
(d)(d)
The judgment is inconsistent with an earlier judgment issued in another State in a dispute involving the same parties on the same subject matter, provided the earlier judgment fulfils the conditions necessary for its recognition and enforcement in this State;判决与另一国此前就相同当事人之间涉及同一事由作出的判决不相一致,而此前的判决符合在本颁布国获得承认和执行的必要条件;
(e)(e)
Recognition and enforcement would interfere with the administration of the debtor’s insolvency proceedings, including by conflicting with a stay or other order that could be recognized or enforced in this State;承认和执行判决将干扰对债务人破产程序的管理,包括与可在本颁布国获得承认或执行的中止令或其他法院令发生冲突;
(f)(f)
The judgment:该项判决:
(i)
Materially affects the rights of creditors generally, such as determining whether a plan of reorganization or liquidation should be confirmed, a discharge of the debtor or of debts should be granted or a voluntary or out-of-court restructuring agreement should be approved;对全体债权人的权利产生实质性影响,例如判定了是否应当确认一项重整或清算计划,是否应当准予解除债务人义务或解除债务,或是否应当核准一项自愿或庭外重组协议;
and以及
(ii)
The interests of creditors and other interested persons, including the debtor, were not adequately protected in the proceeding in which the judgment was issued;在作出判决的程序中,债权人和其他利益关系人的利益,包括债务人的利益,未得到充分保护;
(g)(g)
The originating court did not satisfy one of the following conditions:原判法院未能满足以下条件之一:
(i)
The court exercised jurisdiction on the basis of the explicit consent of the party against whom the judgment was issued;该法院是在判决所针对的当事人明确表示同意的基础上行使管辖权;
(ii)
The court exercised jurisdiction on the basis of the submission of the party against whom the judgment was issued, namely that that party argued on the merits before the court without objecting to jurisdiction or to the exercise of jurisdiction within the time frame provided in the law of the originating State, unless it was evident that such an objection to jurisdiction would not have succeeded under that law;该法院是在判决所针对的当事人服从管辖权的基础上行使管辖权,即在原判国法律规定的时限内被告在法院就案情提出争辩,但未对管辖权或行使管辖权提出异议,除非根据该法律规定,对管辖权的这种异议将显然不会成功;
(iii)
The court exercised jurisdiction on a basis on which a court in this State could have exercised jurisdiction;该法院行使管辖权的依据是本颁布国法院可行使管辖权的依据;
or
(iv)
The court exercised jurisdiction on a basis that was not incompatible with the law of this State;该法院行使管辖权的依据并非与本颁布国法律不一致;
[States that have enacted legislation based on the UNCITRAL Model Law on Cross-Border Insolvency might wish to enact subparagraph (h).][根据《贸易法委员会跨国界破产示范法》颁布了立法的国家似宜颁布(h)项。
]
(h)(h)
The judgment originates from a State whose insolvency proceeding is not or would not be recognizable under [insert a reference to the law of the enacting State giving effect to the UNCITRAL Model Law on Cross-Border Insolvency], unless:根据[此处提及颁布国关于实施《贸易法委员会跨国界破产示范法》的法律名称],该项判决原判国的破产程序不被承认或不会被承认,除非:
(i)
The insolvency representative of a proceeding that is or could have been recognized under [insert a reference to the law of the enacting State giving effect to the UNCITRAL Model Law on Cross-Border Insolvency] participated in the proceeding in the originating State to the extent of engaging in the substantive merits of the cause of action to which that proceeding related;根据[此处提及颁布国关于实施《贸易法委员会跨国界破产示范法》的法律名称]获得承认或本可获得承认的程序的破产管理人参加了在原判国进行的程序,但以其介入该程序所涉诉由实体的实质为前提;
and以及
(ii)
The judgment relates solely to assets that were located in the originating State at the time the proceeding in the originating State commenced.该项判决仅涉及在原判国启动该程序时位于原判国的资产。
Article 15.第15条 同等效力
Equivalent effect
1.1.
An insolvency-related judgment recognized or enforceable under this Law shall be given the same effect it [has in the originating State] or [would have had if it had been issued by a court of this State].根据本法得到承认或可予执行的与破产有关的判决应被赋予[其在原判国具有]或[如为本颁布国法院作出该项判决其本可具有]的同样效力。
2.2.
If the insolvency-related judgment provides for relief that is not available under the law of this State, that relief shall, to the extent possible, be adapted to relief that is equivalent to, but does not exceed, its effects under the law of the originating State.如果与破产有关的该项判决规定的救济是本颁布国法律所没有的,则该项救济应尽可能调整为在效力上与原判国法律规定同等但不超过其限度的救济。
Article 16.第16条 可分性
Severability
Recognition and enforcement of a severable part of an insolvency-related judgment shall be granted where recognition and enforcement of that part is sought, or where only that part of the judgment is capable of being recognized and enforced under this Law. [States that have enacted legislation based on the UNCITRAL Model Law on Cross-Border Insolvency will be aware of judgments that may have cast doubt on whether judgments can be recognized and enforced under article 21 of that Model Law. States may therefore wish to consider enacting the following provision:]在寻求对与破产有关的判决中可分开部分的承认和执行时,或根据本法该项判决只有该部分可以获得承认和执行时,应当对该部分给予承认和执行。 [根据《贸易法委员会跨国界破产示范法》颁布了立法的国家将会注意到,有些判决可能会对是否可根据该《示范法》第21条承认和执行判决造成疑惑。 因此,各国似宜考虑颁布如下规定:]
Article X.
Recognition of an insolvency-related judgment under [insert a cross-reference to the legislation of this State enacting article 21 of the UNCITRAL Model Law on Cross-Border Insolvency]第X条 依据[此处比照提及本颁布国关于 《贸易法委员会跨国界破产示范法》第21条的颁行立法] 承认与破产有关的判决
Notwithstanding any prior interpretation to the contrary, the relief available under [insert a cross-reference to the legislation of this State enacting article 21 of the UNCITRAL Model Law on Cross-Border Insolvency] includes recognition and enforcement of a judgment.尽管之前有任何相反解释,但依据[此处比照提及本颁布国关于《贸易法委员会跨国界破产示范法》第21条的颁行立法]可以提供的救济包括承认和执行判决。
Annex IV附件四
List of documents before the Commission at its fifty-first session委员会第五十一届会议收到的文件清单
Symbol文号
Title or description标题或说明
A/CN.9/927/Rev.1A/CN.9/927/Rev.1
Provisional agenda, annotations thereto and scheduling of meetings of the fifty-first session第五十一届会议临时议程、临时议程说明和会议日程安排
A/CN.9/928A/CN.9/928
Report of Working Group I (Micro, Small and Medium-sized Enterprises) on the work of its twenty-ninth session第一工作组(微型、小型和中型企业)第二十九届会议工作报告
A/CN.9/929A/CN.9/929
Report of Working Group II (Dispute Settlement) on the work of its sixty-seventh session第二工作组(争议解决)第六十七届会议工作报告
A/CN.9/930/Rev.1A/CN.9/930/Rev.1
Report of Working Group III (Investor-State Dispute Settlement Reform) on the work of its thirty-fourth session — Part I第三工作组(投资人与国家间争议解决制度改革)第三十四届会议工作报告—第一部分
A/CN.9/930/Add.1/Rev.1A/CN.9/930/Add.1/Rev.1
Report of Working Group III (Investor-State Dispute Settlement Reform) on the work of its thirty-fourth session — Part II第三工作组(投资人与国家间争议解决制度改革)第三十四届会议工作报告—第二部分
A/CN.9/931A/CN.9/931
Report of Working Group V (Insolvency Law) on the work of its fifty-second session第五工作组(破产法)第五十二届会议工作报告
A/CN.9/932A/CN.9/932
Report of Working Group VI (Security Interests) on the work of its thirty-second session第六工作组(担保权益)第三十二届会议工作报告
A/CN.9/933A/CN.9/933
Report of Working Group I (Micro, Small and Medium-sized Enterprises) on the work of its thirtieth session第一工作组(微型、小型和中型企业)第三十届会议工作报告
A/CN.9/934A/CN.9/934
Report of Working Group II (Dispute Settlement) on the work of its sixty-eighth session第二工作组(争议解决)第六十八届会议工作报告
A/CN.9/935A/CN.9/935
Report of Working Group III (Investor-State Dispute Settlement Reform) on the work of its thirty-fifth session第三工作组(投资人与国家间争议解决制度改革)第三十五届会议工作报告
A/CN.9/936A/CN.9/936
Report of Working Group IV (Electronic Commerce) on the work of its fifty-sixth session第四工作组(电子商务)第五十六届会议工作报告
A/CN.9/937A/CN.9/937
Report of Working Group V (Insolvency Law) on the work of its fifty-third session第五工作组(破产法)第五十三届会议工作报告
A/CN.9/938A/CN.9/938
Report of Working Group VI (Security Interests) on the work of its thirty-third session第六工作组(担保权益)第三十三届会议工作报告
A/CN.9/939 and A/CN.9/939/Add.1, A/CN.9/939/Add.2 and A/CN.9/939/Add.3A/CN.9/939、A/CN.9/939/Add.1、A/CN.9/939/ Add.2、A/CN.9/939/Add.3
Public-private partnerships (PPPs): proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects公私伙伴关系:对《贸易法委员会私人融资基础设施项目立法指南》的拟议修订
A/CN.9/940A/CN.9/940
Draft legislative guide on key principles of a business registry企业登记处关键原则立法指南草案
A/CN.9/941A/CN.9/941
Adopting an enabling legal environment for the operation of micro, small and medium-sized enterprises (MSMEs)创建有利于微型、小型和中型企业(中小微企业)运营的法律环境
A/CN.9/942A/CN.9/942
Settlement of commercial disputes: international commercial mediation — draft convention on international settlement agreements resulting from mediation解决商事争议:国际商事调解——调解所产生的国际和解协议公约草案
A/CN.9/943A/CN.9/943
Settlement of commercial disputes: international commercial mediation — draft model law on international commercial mediation and international settlement agreements resulting from mediation解决商事争议:国际商事调解——国际商事调解和调解所产生的国际和解协议示范法草案
A/CN.9/944/Rev.1A/CN.9/944/Rev.1
Possible future work on cross-border issues related to the judicial sale of ships: proposal from the Government of Switzerland今后可能就司法拍卖船舶相关的跨境议题开展的工作:瑞士政府的建议
A/CN.9/945A/CN.9/945
Settlement of commercial disputes: draft convention on international settlement agreements resulting from mediation — draft model law on international commercial mediation and international settlement agreements resulting from mediation.解决商事争议:调解所产生的国际和解协议公约草案——国际商事调解和调解所产生的国际和解协议示范法草案。
Compilation of comments意见汇编
A/CN.9/946A/CN.9/946
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts促进确保统一解释和适用贸易法委员会法规的方式方法
A/CN.9/947A/CN.9/947
Activities of the UNCITRAL Regional Centre for Asia and the Pacific贸易法委员会亚洲及太平洋区域中心的活动
A/CN.9/948A/CN.9/948
Coordination activities协调活动
A/CN.9/949A/CN.9/949
Bibliography of recent writings related to the work of UNCITRAL与贸易法委员会工作相关的近期著述书目
A/CN.9/950A/CN.9/950
Status of conventions and model laws公约和示范法现状
A/CN.9/951A/CN.9/951
Coordination and cooperation: international governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups协调与合作:获邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织
A/CN.9/952 and A/CN.9/952/Corr.1A/CN.9/952、A/CN.9/952/Corr.1
Work programme of the Commission委员会的工作方案
A/CN.9/953A/CN.9/953
Relevant General Assembly resolutions大会的相关决议
A/CN.9/954A/CN.9/954
Contractual networks and economic development: a proposal by Italy for possible future work by UNCITRAL on alternative forms of organization to corporate-like models — advanced proposal契约型网络与经济发展:意大利关于贸易法委员会今后可能就公司类模式的备选组织形式开展工作的建议——进一步建议
A/CN.9/955A/CN.9/955
Recognition and enforcement of insolvency-related judgments: draft guide to enactment of the model law承认和执行与破产有关的判决:示范法颁布指南草案
A/CN.9/956 and A/CN.9/956/Add.1, A/CN.9/956/Add.2 and A/CN.9/956/Add.3A/CN.9/956、A/CN.9/956/Add.1、A/CN.9/956/ Add.2、A/CN.9/956/Add.3
Compilation of comments on the draft model law on the recognition and enforcement of insolvency-related judgments as contained in an annex to the report of Working Group V (Insolvency Law) on the work of its fifty-second session (A/CN.9/931)关于第五工作组(破产法)第五十二届会议工作报告(A/CN.9/931)附件所载跨国界承认和执行与破产有关的判决的示范法草案的评论意见汇编
A/CN.9/957A/CN.9/957
Public-private partnerships (PPPs): proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects —comments by the World Bank公私伙伴关系:对《贸易法委员会私人融资基础设施项目立法指南》的拟议修订——世界银行的评论意见
A/CN.9/958/Rev.1A/CN.9/958/Rev.1
Technical cooperation and assistance技术合作与援助
A/CN.9/959A/CN.9/959
Possible future work: proposal by the Governments of Italy, Norway and Spain — future work for Working Group II今后可能开展的工作:意大利、挪威和西班牙政府的建议——第二工作组今后的工作
A/CN.9/960A/CN.9/960
Work programme of the Commission: legal aspects of smart contracts and artificial intelligence — submission by Czechia委员会的工作方案:智能合同和人工智能所涉法律问题——捷克的呈文
A/CN.9/961A/CN.9/961
Possible future work: proposal by the Government of Belgium — future work for Working Group II今后可能开展的工作:比利时政府的建议——第二工作组今后的工作
11
Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years.根据大会第2205 (XXI)号决议,委员会成员经选举产生,任期六年。
Of the current membership, 29 were elected by the Assembly on 14 November 2012, at its sixty-seventh session, one was elected by the Assembly on 14 December 2012, also at its sixty-seventh session, 23 were elected by the Assembly on 9 November 2015, at its seventieth session, five were elected by the Assembly on 15 April 2016, also at its seventieth session, and two were elected by the Assembly on 17 June 2016, again at its seventieth session.在现任成员中,29个由大会第六十七届会议于2012年11月14日选出,1个由大会第六十七届会议于2012年12月14日选出,23个由大会第七十届会议于2015年11月9日选出,5个由大会第七十届会议于2016年4月15日选出,2个由大会第七十届会议于2016年6月17日选出。
By its resolution 31/99, the Assembly altered the dates of commencement and termination of membership by deciding that members would take office at the beginning of the first day of the regular annual session of the Commission immediately following their election and that their terms of office would expire on the last day prior to the opening of the seventh regular annual session following their election.大会在其第31/99号决议中改变了成员资格的迄止日期,决定所有当选成员国应从其当选后紧接着召开的委员会第七届年度常会开始的第一天起就职,任期应于其当选后委员会年度常会开幕前的最后一天届满。
22
Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), paras. 135–142.《大会正式记录,第七十届会议,补编第17号》(A/70/17),第135-142段。
33
Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 162–165.同上,《第七十一届会议,补编第17号》(A/71/17),第162-165段。
44
Ibid., Seventy-second Session, Supplement No. 17 (A/72/17), paras. 236–239.同上,《第七十二届会议,补编第17号》(A/72/17),第236-239段。
55
General Assembly resolution 57/18, annex.大会第57/18号决议,附件。
66
Official Records of the General Assembly, Thirty-fifth Session, Supplement No. 17 (A/35/17), chap. V, sect. A, para. 106.《大会正式记录,第三十五届会议,补编第17号》(A/35/17),第五章,A节,第106段。
See also UNCITRAL Yearbook, vol. XI: 1980, part three, annex II.另见《贸易法委员会年鉴》第十一卷:1980年,第三部分,附件二。
77
A/CN.9/901, para. 93.A/CN.9/901,第93段。
88
Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17).《大会正式记录,第七十三届会议,补编第17号》(A/73/17)。
99
UNCITRAL Yearbook, vol. XXXIII: 2002, part three, annex II.《贸易法委员会年鉴》第三十三卷:2002年,第三部分,附件二。
1010
Official Records of the General Assembly, Thirty-fifth Session, Supplement No. 17 (A/35/17), chap. V, sect. A, para. 106.《大会正式记录,第三十五届会议,补编第17号》(A/35/17),第五章,A节,第106段。
See also UNCITRAL Yearbook, vol. XI: 1980, part three, annex II.另见《贸易法委员会年鉴》第十一卷:1980年,第三部分,附件二。
1111
Official Records of the General Assembly, Seventy-second Session, Supplement No. 17 (A/72/17), paras. 238 and 239.《大会正式记录,第七十二届会议,补编17号》(A/72/17),第238、239段。
See also A/CN.9/901, para. 93.另见A/CN.9/901,第93段。
1212
Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17).《大会正式记录,第七十三届会议,补编第17号》(A/73/17)。
1313
Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 321.同上,《第六十八届会议,补编第17号》(A/68/17),第321段。
1414
Ibid., Seventy-third Session, Supplement No. 17 (A/73/17), chapter IV, section B.同上,《第七十三届会议,补编第17号》(A/73/17),第四章,B节。
1515
Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 155.同上,《第六十九届会议,补编第17号》(A/69/17),第155段。
1616
For the reports of the Working Group on those sessions, see A/CN.9/829, A/CN.9/835, A/CN.9/864, A/CN.9/870, A/CN.9/898, A/CN.9/903, A/CN.9/931 and A/CN.9/937.关于工作组这些届会的报告,见A/CN.9/829、A/CN.9/835、A/CN.9/864、A/CN.9/870、A/CN.9/898、A/CN.9/903、A/CN.9/931、A/CN.9/937。
1717
General Assembly resolution 52/158, annex.大会第57/158号决议,附件。
1818
Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17).《大会正式记录,第七十三届会议,补编第17号》(A/73/17)。
1919
Ibid., chapter V, subsection A.3.同上,第五章,A.3分节。
2020
General Assembly resolution 52/158, annex.大会第52/158号决议,附件。
2121
Available at www.uncitral.org/pdf/english/texts/insolven/Leg-Guide-Insol-Part4-ebook-E.pdf.查阅网址:www.uncitral.org/pdf/english/texts/insolven/Leg-Guide-Insol-Part4-ebook-E.pdf。
2222
Available at www.uncitral.org/uncitral/en/uncitral_texts/insolvency/2004Guide.html.查阅网址:www.uncitral.org/uncitral/en/uncitral_texts/insolvency/2004Guide.html。
2323
Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 363;《大会正式记录,第七十届会议,补编第17号》(A/70/17),第363段;
and ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 360 and 362.同上,《第七十一届会议,补编第17号》(A/71/17),第360、362段。
2424
United Nations publication, Sales No. E.01.V.4.联合国出版物,出售品编号:E.01.V.4。
2525
Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), para. 362.《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第362段。
2626
Ibid., Seventy-second Session, Supplement No. 17 (A/72/17), para. 448.同上,《第七十二届会议,补编第17号》(A/72/17),第448段。
2727
The documents presented at the colloquium and a summary report of the discussions are available in English at the colloquium website (www.uncitral.org/uncitral/en/commission/colloquia/public-private-partnerships-2017.html).专题讨论会上宣读的文件和讨论摘要报告的英文本可在专题讨论会网站查阅(http://www.uncitral.org/uncitral/en/commission/colloquia/public-private-partnerships-2017.html)。
2828
Official Records of the General Assembly, Seventy-second Session, Supplement No. 17 (A/72/17), para. 264.《大会正式记录,第七十二届会议,补编第17号》(A/72/17),第264段。
2929
Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 235.同上,《第七十一届会议,补编第17号》(A/71/17),第235段。
3030
Ibid., Seventy-second Session, Supplement No. 17 (A/72/17), para. 127.同上,《第七十二届会议,补编第17号》(A/72/17),第127段。
3131
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 240.同上,《第六十六届会议,补编第17号》(A/66/17),第240段。
3232
Ibid., Seventy-second Session, Supplement No. 17 (A/72/17), para. 227.同上,《第七十二届会议,补编第17号》(A/72/17),第227段。
3333
Ibid., paras. 222, 223 and 227.同上,第222、223、227段。
3434
United Nations, Treaty Series, vol. 330, No. 4739.联合国,《条约汇编》,第330卷,第4739号。
3535
Ibid.同上。
3636
Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), para. 281.《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第281段。
3737
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 288–298;同上,《第六十六届会议,补编第17号》(A/66/17),第288-298段;
ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 174–178;同上,《第六十七届会议,补编第17号》(A/67/17),第174-178段;
ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 257–261;同上,《第六十八届会议,补编第17号》(A/68/17),第257-261段;
ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 205–207;同上,《第六十九届会议,补编第17号》(A/69/17),第205-207段;
ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 279–281;同上,《第七十届会议,补编第17号》(A/70/17),第279-281段;
ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 286–290;同上,《第七十一届会议,补编第17号》(A/71/17),第286-290段;
and ibid., Seventy-second Session, Supplement No. 17 (A/72/17), paras. 360–364.同上,《第七十二届会议,补编第17号》(A/72/17),第360-364段。
3838
Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 280.同上,《第七十届会议,补编第17号》(A/70/17),第280段。
3939
Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 290.同上,《第七十一届会议,补编第17号》(A/71/17),第290段。
4040
Ibid., Seventy-second Session, Supplement No. 17 (A/72/17), para. 364.同上,《第七十二届会议,补编第17号》(A/72/17),第364段。
4141
Available from www.uncitral.org/uncitral/about/SDGs/Sustainable_Development_Goals.html.查阅网址:www.uncitral.org/uncitral/about/SDGs/Sustainable_Development_Goals.html。
4242
Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 247.《大会正式记录,第七十届会议,补编第17号》(A/70/17),第247段。
4343
General Assembly resolutions 69/115, para. 21;大会第69/115号决议,第21段;
70/115, para. 21;第70/115号决议,第21段;
71/135, para. 23;第71/135号决议,第23段;
and 72/113, para. 29.第72/113号决议,第29段。
4444
Available from http://uncitral.tumblr.com.查阅网址:http://uncitral.tumblr.com。
4545
Available from www.linkedin.com/company/uncitral.查阅网址:www.linkedin.com/company/uncitral。
4646
General Assembly resolutions 61/32, para. 17;大会第61/32号决议,第17段;
62/64, para. 16;第62/64号决议,第16段;
63/120, para. 20;第63/120号决议,第20段;
69/115, para. 21;第69/115号决议,第21段;
70/115, para. 21;第70/115号决议,第21段;
71/135, para. 23;第71/135号决议,第23段;
and 72/113, para. 29.第72/113号决议,第29段。
4747
Official Records of the General Assembly, Seventy-second Session, Supplement No. 17 (A/72/17), para. 292.《大会正式记录,第七十二届会议,补编第17号》(A/72/17),第292段。
4848
Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 107–110;同上,《第六十九届会议,补编第17号》(A/69/17),第107-110段;
ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 152–161;同上,《第七十届会议,补编第17号》(A/70/17),第152-161段;
ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 166–173;同上,《第七十一届会议,补编第17号》(A/71/17),第166-173段;
and ibid., Seventy-second Session, Supplement No. 17 (A/72/17), paras. 308–321.同上,《第七十二届会议,补编第17号》(A/72/17),第308-321段。
49 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 264.
5050
For the decision of the Commission to include the item on its agenda, see Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part two, paras. 111–113.关于委员会将该项目列入议程的决定,见《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第二部分,第111-113段。
5151
General Assembly resolutions 62/70, para. 3;大会第62/70号决议,第3段;
63/128, para. 7;第63/128号决议,第7段;
64/116, para. 9;第64/116号决议,第9段;
65/32, para. 10;第65/32号决议,第10段;
66/102, para. 12;第66/102号决议,第12段;
67/97, para. 14;第67/97号决议,第14段;
68/116, para. 14;第68/116号决议,第14段;
69/123, para. 17;第69/123号决议,第17段;
70/118, para. 20;第70/118号决议,第20段。
and 71/148, para. 22.第71/148号决议,第22段。
5252
Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 386;《大会正式记录,第六十三届会议,补编第17号》和更正(A/63/17及Corr.1),第386段;
ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 413–419;同上,《第六十四届会议,补编第17号》(A/64/17),第413-419段;
ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 313–336;《第六十五届会议,补编第17号》(A/65/17),第313-316段;
ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 299–321;同上,《第六十六届会议,补编第17号》(A/66/17),第299-321段;
ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 195–227;同上,《第六十七届会议,补编第17号》(A/67/17),第195-227段;
ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 267–291;同上,《第六十八届会议,补编第17号》(A/68/17),第267-291段;
ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 215–240;同上,《第六十九届会议,补编第17号》(A/69/17),第215-240段;
ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 318–324;同上,《第七十届会议,补编第17号》(A/70/17),第318-324段;
ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 317–342;同上,《第七十一届会议,补编第17号》(A/71/17),第317-342段;
and ibid., Seventy-second Session, Supplement No. 17 (A/72/17), paras. 435–441.同上,《第七十二届会议,补编第17号》(A/72/17),第435-441段。
5353
Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 335.同上,《第六十五届会议,补编第17号》(A/65/17),第335段。
5454
Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 199–210;同上,《第六十七届会议,补编第17号》(A/67/17),第199-210段;
ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 229–233;同上,《第六十九届会议,补编第17(A/69/17),第229-233段;
and ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 313–317.以及同上,《第七十一届会议,补编第17号》(A/71/17),第313-317段。
5555
Ibid., Seventy-second Session, Supplement No. 17 (A/72/17), para. 480.同上,《第七十二届会议,补编第17号》(A/72/17),第480段。
5656
Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 310.同上,《第六十八届会议,补编第17号》(A/68/17),第310段。
5757
Ibid., paras. 294 and 295.同上,第294、295段。
5858
For further information, see www.uncitral.org/uncitral/en/commission/colloquia_security.html.详见www.uncitral.org/uncitral/en/commission/colloquia_security.html。
5959
Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 263–265.《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第263-265段。
6060
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 328–330;同上,《第六十六届会议,补编第17号》(A/66/17),第328-330段;
ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 344;同上,《第六十八届会议,补编第17号》(A/68/17),第344段;
and ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 277 and 278.同上,《第六十九届会议,补编第17号》(A/69/17),第277、278段。
6161
Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part one, para. 243.同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第243段。
6262
A/62/6 (Sect. 8) and Corr.1, table 8.19 (d).A/62/6(第8节)及Corr.1,表8.19(d)。
6363
Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275.《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第275段。
6464
Ibid., Seventy-second Session, Supplement No. 17 (A/72/17), para. 485.同上,《第七十二届会议,补编第17号》(A/72/17),第485段。
6565
Ibid., para. 490.同上,第490段。
6666
23 November 2018 is Gurpurab.2018年11月23日是古鲁那纳克诞辰日。
11
The term “commercial” should be given a wide interpretation so as to cover matters arising from all relationships of a commercial nature, whether contractual or not.对“商事”一词应作广义解释,以涵盖由于一切商业性质关系而发生的事项,无论这种关系是否属于合同关系。
Relationships of a commercial nature include, but are not limited to, the following transactions:商业性质关系包括但不限于下列交易:
any trade transaction for the supply or exchange of goods or services;供应或者交换货物或者服务的任何贸易交易;
distribution agreement;销售协议;
commercial representation or agency;商业代表或者代理;
factoring;保理;
leasing;租赁;
construction of works;工程建造;
consulting;咨询;
engineering;工程技术;
licensing;发放许可;
investment;投资;
financing;融资;
banking;银行业务;
insurance;保险;
exploitation agreement or concession;开发协议或者特许权;
joint venture and other forms of industrial or business cooperation;合营企业和其他形式的工业或者商业合作;
and carriage of goods or passengers by air, sea, rail or road.航空、海路、铁路或公路客货运输。
22
In its previously adopted texts and relevant documents, UNCITRAL used the term “conciliation” with the understanding that the terms “conciliation” and “mediation” were interchangeable.贸易法委员会在其先前通过的法规和相关文件中使用的术语是“调解”(“conciliation”),但有一项理解,即术语“conciliation”和“mediation”可以互换。
In preparing this Model Law, the Commission decided to use the term “mediation” instead in an effort to adapt to the actual and practical use of the terms and with the expectation that this change will facilitate the promotion and heighten the visibility of the Model Law.在拟订本《示范法》过程中,委员会决定改用术语“mediation”(“调解”),是为了因应这些术语的实际用法和惯常用法,并期望这一改变将有助于增进和提高《示范法》知名度。
This change in terminology does not have any substantive or conceptual implications.术语的这一改变没有任何实质性或概念性影响。
33
States wishing to enact this section to apply to domestic as well as international mediation may wish to consider the following changes to the text:各国如希望颁布本节,将其适用于国内调解和国际调解,似宜考虑对案文作以下修改:
- Delete the word “international” in paragraph 1 of articles 1 and 3;- 删除第1条和第3条第1款中的“国际”一词;
and
- Delete paragraphs 2, 3 and 4 of article 3, and modify references to paragraphs accordingly.- 删除第3条的第2款、第3款和第4款,并相应修改提及之处。
44
The following text is suggested for States that might wish to adopt a provision on the suspension of the limitation period:下述案文是对拟采纳时效期限中止条款的国家提出的:
Article X.第X条 时效期限的中止
Suspension of limitation period
1.1.
When the mediation proceedings commence, the running of the limitation period regarding the claim that is the subject matter of the mediation is suspended.构成调解事项的请求的时效期限自调解程序启动之时起暂停计算。
2.2.
Where the mediation proceedings have terminated without a settlement agreement, the limitation period resumes running from the time the mediation ended without a settlement agreement.调解程序未达成和解协议而终止的,时效期限自调解未达成和解协议而终止之时起恢复计算。
55
A State may consider enacting this section to apply to agreements settling a dispute, irrespective of whether they resulted from mediation.一国可考虑颁布本节,使之适用于争议和解协议,而不论协议是否产生于调解。
Adjustments would then have to be made to relevant articles.然后须对有关条款作出调整。
66
A State may consider enacting this section to apply only where the parties to the settlement agreement agreed to its application.一国可考虑颁布本节,使之仅在和解协议各方当事人同意适用本节的情况下适用本节。
77
A State may consider broadening the definition of “international” settlement agreement by adding the following subparagraph to paragraph 4: “A settlement agreement is also ‘international’ if it results from international mediation as defined in article 3, paragraphs 2, 3 and 4.”一国可考虑为扩大“国际”和解协议定义的范围而在第4款增列一分项如下:“产生于第3条第2款、第3款和第4款所界定的国际调解的和解协议也为‘国际’和解协议。”
11
The enacting State may wish to note that it should choose between the two alternatives provided in square brackets.颁布国似宜注意,对于方括号内提供的两则备选案文,应当二选一。
An explanation of this provision is provided in the Guide to Enactment in the notes to article 15.《颁布指南》在第15条的说明中提供了对这一规定的解释。