A_67_17_EC
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A/67/17 V1255154.doc (English)A/67/17 V1255153.doc (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
Forty-fifth session第四十五届会议
(25 June-6 July 2012)(2012年6月25日至7月6日)
General Assembly Official Records Sixty-seventh session Supplement No. 17大会 正式记录
General Assembly第六十七届会议
Official Records补编第17号
Sixty-seventh session大会 正式记录 第六十七届会议
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
Forty-fifth session第四十五届会议
(25 June-6 July 2012) United Nations(2012年6月25日至7月6日)
• New York, 2012联合国 2012年,纽约
Note说明
Symbols of United Nations documents are composed of capital letters combined with figures.联合国文件用英文大写字母附加数字编号。
Mention of such a symbol indicates a reference to a United Nations document.提到这种编号,即指联合国的某一个文件。 ISSN 0251-916X
Contents目录
Chapter章次
Page页次
Introduction导言
11
Organization of the session会议的组织
11
Opening of the session会议开幕
11
Membership and attendance成员和出席情况
11
Election of officers选举主席团成员
32
Agenda议程
32
Adoption of the report通过报告
44
Finalization and adoption of a Guide to Enactment of the UNCITRAL Model Law on Public Procurement最后审定并通过《贸易法委员会公共采购示范法颁布指南》
44
Consideration of proposals for a Guide to Enactment of the UNCITRAL Model Law on Public Procurement审议关于《贸易法委员会公共采购示范法颁布指南》的各项建议
44
Adoption of the Guide to Enactment of the UNCITRAL Model Law on Public Procurement通过《贸易法委员会公共采购示范法颁布指南》
109
Finalization and adoption of the recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010最后审定并通过关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议
1210
Consideration of the draft recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010审议关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议草案
1311
Adoption of the recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010通过关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议
1513
Arbitration and conciliation仲裁和调解
1714
Progress report of Working Group II第二工作组进度报告
1714
Future work in the field of settlement of commercial disputes今后在解决商事争议领域的工作
1815
Online dispute resolution:网上争议解决:
progress report of Working Group III第三工作组进度报告
1815
Electronic commerce:电子商务:
progress report of Working Group IV第四工作组进度报告
2017
Insolvency law:破产法:
progress report of Working Group V第五工作组进度报告
2218
Security interests:担保权益:
progress report of Working Group VI第六工作组进度报告
2419
Possible future work in the area of public procurement and related areas今后可能在公共采购和相关领域开展的工作
2521
Possible future work in the area of microfinance今后可能在小额金融领域开展的工作
3024
Possible future work by UNCITRAL in the area of international contract law贸易法委员会今后在国际合同法领域可能开展的工作
3125
Preparation of a guide on the 1958 Convention on the Recognition and Enforcement of Foreign Arbitral Awards编拟1958年《承认及执行外国仲裁裁决公约》指南
3226
Endorsement of texts of other organizations赞同其他组织的法规
3327
Unidroit Principles of International Commercial Contracts 20102010年《统法协会国际商事合同通则》
3327
Incoterms 20102010年《国际贸易术语解释通则》
3428
Technical assistance:技术援助:
law reform法律改革
3529
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts促进可确保贸易法委员会法规统一解释和适用的方式方法
3629
Status and promotion of UNCITRAL texts贸易法委员会法规的现状和促进
3931
Coordination and cooperation协调与合作
4033
Coordination and cooperation in the field of security interests在担保权益领域的协调与合作
4133
Reports of other international organizations其他国际组织的报告
4234
International governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups获邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织
4436
Enhancing cooperation with academia加强与学术界的合作
4536
UNCITRAL regional presence贸易法委员会的区域存在
4637
Establishment 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建立:
progress report进度报告
4637
Regional presence in other parts of the world在世界其他地区的区域存在
4738
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
4839
Summary of the briefing通报会摘要
4939
Action by the Commission委员会采取的行动
5242
A strategic direction for UNCITRAL贸易法委员会的战略方向
5545
International commercial arbitration moot competitions国际商事仲裁模拟辩论赛
5746
Willem C. Vis International Commercial Arbitration Moot 20122012年维斯国际商事仲裁模拟辩论赛
5746
Madrid Commercial Arbitration Moot 20122012年马德里商事仲裁模拟辩论赛
5746
Relevant General Assembly resolutions大会的有关决议
5847
Other business其他事项
5847
Guiding Principles on Business and Human Rights:《工商企业与人权:
Implementing the United Nations “Protect, Respect and Remedy” Framework实施联合国“保护、尊重和补救”框架的指导原则》
5847
Entitlement to summary records获得简要记录的权利
5948
Strategic framework for the biennium 2014-20152014-2015两年期战略框架
6149
Internship programme实习方案
6150
Evaluation of the role of the Secretariat in facilitating the work of the Commission对秘书处在促进委员会工作方面所起作用的评价
6250
Election of UNCITRAL member States选举贸易法委员会成员国
6250
Documents related to working methods of UNCITRAL与贸易法委员会工作方法有关的文件
6250
Date and place of future meetings今后会议的日期和地点
6350
Forty-sixth session of the Commission委员会第四十六届会议
6351
Sessions of working groups各工作组的届会
6351
Annexes附件
Recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议
6553
List of documents before the Commission at its forty-fifth session委员会第四十五届会议文件一览表
8368
I. Introduction一. 导言
1. The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the forty-fifth session of the Commission, held in New York from 25 June to 6 July 2012.1. 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2012年6月25日至7月6日在纽约举行的第四十五届会议的情况。
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.2. 现根据大会1966年12月17日第2205 (XXI)号决议向大会提交本报告,同时一并提交联合国贸易和发展会议征求意见。
II. Organization of the session二. 会议的组织
A. Opening of the sessionA. 会议开幕
3. The forty-fifth session of the Commission was opened by the Under-Secretary-General for Legal Affairs and Legal Counsel of the United Nations, Patricia O’Brien, on 25 June 2012.3. 2012年6月25日,联合国主管法律事务的副秘书长兼法律顾问Patricia O’Brien宣布委员会第四十五届会议开幕。
B. Membership and attendanceB. 成员和出席情况
4. The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.4. 大会在第2205 (XXI)号决议中设立了由大会选出的29个成员国组成的贸易法委员会。
By its resolution 3108 (XXVIII) of 12 December 1973, the Assembly increased the membership of the Commission from 29 to 36 States.大会在1973年12月12日第3108 (XXVIII)号决议中将委员会成员国数量从29个增加到36个。
By its resolution 57/20 of 19 November 2002, the 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量从36个增加到60个。
The current members of the Commission, elected on 22 May 2007, on 3 November 2009 and on 15 April 2010, are the following States, whose term of office expires on the last day prior to the beginning of the annual session of the Commission in the year indicated:下列国家是分别于2007年5月22日、2009年11月3日和2010年4月15日选出的委员会现任成员,任期于所示年份的委员会年度届会开始前的最后一天届满:
Algeria (2016), Argentina (2016), Armenia (2013), Australia (2016), Austria (2016), Bahrain (2013), Benin (2013), Bolivia (Plurinational State of) (2013), Botswana (2016), Brazil (2016), Bulgaria (2013), Cameroon (2013), Canada (2013), Chile (2013), China (2013), Colombia (2016), Croatia (2016), Czech Republic (2013), Egypt (2013), El Salvador (2013), Fiji (2016), France (2013), Gabon (2016), Georgia (2015), Germany (2013), Greece (2013), Honduras (2013), India (2016), Iran (Islamic Republic of) (2016), Israel (2016), Italy (2016), Japan (2013), Jordan (2016), Kenya (2016), Latvia (2013), Malaysia (2013), Malta (2013), Mauritius (2016), Mexico (2013), Morocco (2013), Namibia (2013), Nigeria (2016), Norway (2013), Pakistan (2016), Paraguay (2016), Philippines (2016), Republic of Korea (2013), Russian Federation (2013), Senegal (2013), Singapore (2013), South Africa (2013), Spain (2016), Sri Lanka (2013), Thailand (2016), Turkey (2016), Uganda (2016), Ukraine (2014), United Kingdom of Great Britain and Northern Ireland (2013), United States of America (2016) and Venezuela (Bolivarian Republic of) (2016).阿尔及利亚(2016年)、阿根廷(2016年)、亚美尼亚(2013年)、澳大利亚(2016年)、奥地利(2016年)、巴林(2013年)、贝宁(2013年)、多民族玻利维亚国(2013年)、博茨瓦纳(2016年)、巴西(2016年)、保加利亚(2013年)、喀麦隆(2013年)、加拿大(2013年)、智利(2013年)、中国(2013年)、哥伦比亚(2016年)、克罗地亚(2016年)、捷克共和国(2013年)、埃及(2013年)、萨尔瓦多(2013年)、斐济(2016年)、法国(2013年)、加蓬(2016年)、格鲁吉亚(2015年)、德国(2013年)、希腊(2013年)、洪都拉斯(2013年)、印度(2016年)、伊朗伊斯兰共和国(2016年)、以色列(2016年)、意大利(2016年)、日本(2013年)、约旦(2016年)、肯尼亚(2016年)、拉脱维亚(2013年)、马来西亚(2013年)、马耳他(2013年)、毛里求斯(2016年)、墨西哥(2013年)、摩洛哥(2013年)、纳米比亚(2013年)、尼日利亚(2016年)、挪威(2013年)、巴基斯坦(2016年)、巴拉圭(2016年)、菲律宾(2016年)、大韩民国(2013年)、俄罗斯联邦(2013年)、塞内加尔(2013年)、新加坡(2013年)、南非(2013年)、西班牙(2016年)、斯里兰卡(2013年)、泰国(2016年)、土耳其(2016年)、乌干达(2016年)、乌克兰(2014年)、大不列颠及北爱尔兰联合王国(2013年)、美利坚合众国(2016年)、委内瑞拉玻利瓦尔共和国(2016年)。
5. With the exception of Australia, Bahrain, Bolivia (Plurinational State of), Botswana, Bulgaria, Egypt, Gabon, Greece, Jordan, Latvia, Malaysia, Malta, Mauritius, Namibia, Paraguay, South Africa, Sri Lanka, Ukraine and the United Kingdom, all the members of the Commission were represented at the session.5. 除澳大利亚、巴林、多民族玻利维亚国、博茨瓦纳、保加利亚、埃及、加蓬、希腊、约旦、拉托维亚、马来西亚、马耳他、毛里求斯、纳米比亚、巴拉圭、南非、斯里兰卡、乌克兰和联合王国之外,委员会所有成员都派代表出席了本届会议。
6. The session was attended by observers from the following States:6. 下列国家派观察员出席了本届会议:
Belarus, Comoros, Cuba, Cyprus, Ecuador, Finland, Guatemala, Indonesia, Kuwait, Netherlands, Panama, Poland, Qatar, Romania, Sweden and Switzerland.白俄罗斯、科摩罗、古巴、塞浦路斯、厄瓜多尔、芬兰、危地马拉、印度尼西亚、科威特、荷兰、巴拿马、波兰、卡塔尔、罗马尼亚、瑞典和瑞士。
7. The session was also attended by observers from the Holy See and the European Union.7. 教廷和欧洲联盟也派观察员出席了本届会议。
8. The session was also attended by observers from the following international organizations:8. 下列国际组织也派观察员出席了本届会议:
(a) United Nations system:(a) 联合国系统:
United Nations Development Program (UNDP) and the World Bank;联合国开发计划署(开发计划署)、世界银行;
(b) Intergovernmental organizations:(b) 政府间组织:
Central American Court of Justice, International Development Law Organization (IDLO), International Institute for the Unification of Private Law (Unidroit) and the World Customs Organization;中美洲法院、国际发展法组织、国际统一私法协会(统法协会)、世界海关组织(海关组织);
(c) Invited non-governmental organizations:(c) 受到邀请的非政府组织:
American Bar Association (ABA), Association droit et méditerranée (Jurimed), Centre for International Legal Studies, Commercial Finance Association, Corporate Counsel International Arbitration Group, European Law Students’ Association, Forum for International Conciliation and Arbitration, International Bar Association, International Chamber of Commerce (ICC), International Insolvency Institute, International Law Institute (ILI), Milan Club of Arbitrators, Moot Alumni Association, New York City Bar Association, New York State Bar Association and Vale Columbia Centre on Sustainable International Investment.美国律师协会、法律和地中海协会、国际法律研究中心、商业金融协会、公司律师国际仲裁集团、欧洲法律学生协会、国际调解和仲裁论坛、国际律师协会、国际商会、国际破产协会、国际法研究所、米兰仲裁员俱乐部、仲裁模拟辩论赛校友会、纽约市律师协会、纽约州律师协会、维尔—哥伦比亚大学可持续国际投资中心。
9. The Commission welcomed the participation of international non-governmental organizations with expertise in the topics comprising the major items on the agenda.9. 委员会欢迎在包含主要议程项目的专题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订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. Election of officersC. 选举主席团成员
10. The Commission elected the following officers:10. 委员会选出了下列主席团成员:
Chair:主席:
Hrvoje Sikirić (Croatia)Hrvoje Sikirić(克罗地亚)
Vice-Chairs:副主席:
Rosario Elena A. Laborte-Cuevas (Philippines)Rosario Elena A. Laborte-Cuevas(菲律宾)
Jorge Roberto Maradiaga M. (Honduras)Jorge Roberto Maradiaga M.(洪都拉斯)
Tore Wiwen-Nilsson (Sweden) (elected in his personal capacity)Tore Wiwen-Nilsson(瑞典)(以个人身份当选)
Rapporteur:报告员:
Agasha Mugasha (Uganda)Agasha Mugasha(乌干达)
D. AgendaD. 议程
11. The agenda of the session, as adopted by the Commission at its 943rd meeting, on 25 June 2012, was as follows:11. 委员会在2012年6月25日第943次会议上通过的会议议程如下:
1. Opening of the session.1. 会议开幕。
2. Election of officers.2. 选举主席团成员。
3. Adoption of the agenda.3. 通过议程。
4. Finalization and adoption of a Guide to Enactment of the UNCITRAL Model Law on Public Procurement.4. 最后审定并通过《贸易法委员会公共采购示范法颁布指南》。
5. Finalization and adoption of the recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules, as revised in 2010.5. 最后审定并通过关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议。
6. Arbitration and conciliation:6. 仲裁和调解:
progress report of Working Group II.第二工作组的进度报告。
7. Online dispute resolution:7. 网上争议解决:
progress report of Working Group III.第三工作组的进度报告。
8. Electronic commerce:8. 电子商务:
progress report of Working Group IV.第四工作组的进度报告。
9. Insolvency law:9. 破产法:
progress report of Working Group V.第五工作组的进度报告。
10. Security interests:10. 担保权益:
progress report of Working Group VI.第六工作组的进度报告。
11. Possible future work in the area of public procurement and related areas.11. 今后可能在公共采购和相关领域开展的工作。
12. Possible future work in the area of microfinance.12. 今后可能在小额金融领域开展的工作。
13. Possible future work by UNCITRAL in the area of international contract law.13. 贸易法委员会今后可能在国际合同法领域开展的工作。
14. Preparation of a guide on the New York Convention.14. 编拟《纽约公约》指南。
15. Endorsement of texts of other organizations.15. 赞同其他组织的法规。
16. Technical assistance to law reform.16. 法律改革技术援助。
17. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts.17. 推广确保统一解释和适用贸易法委员会法规的方式和方法。
18. Status and promotion of UNCITRAL legal texts.18. 贸易法委员会法规的现况和推广。
19. Coordination and cooperation:19 协调与合作:
(a) General;(a) 概述;
(b) Coordination in the field of security interests;(b) 在担保权益领域的协调;
(c) Reports of other international organizations;(c) 其他国际组织的报告;
(d) International governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups.(d) 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。
20. UNCITRAL regional presence.20. 贸易法委员会的区域存在。
21. Role of UNCITRAL in promoting the rule of law at the national and international levels.21. 贸易法委员会在促进国内和国际法治方面的作用。
22. Strategic planning.22. 战略规划。
23. International commercial arbitration moot competitions.23. 国际商事仲裁模拟辩论赛。
24. Relevant General Assembly resolutions.24. 大会有关决议。
25. Other business.25. 其他事项。
26. Date and place of future meetings.26. 今后会议的会期和地点。
27. Adoption of the report of the Commission.27. 通过委员会的报告。
E. Adoption of the reportE. 通过报告
12. At its 948th and 949th meetings, on 27 and 28 June 2012, and at its 956th and 957th meetings, on 6 July 2012, the Commission adopted the present report by consensus.12. 在2012年6月27日和28日第948次和第949次会议以及2012年7月6日第956和957次会议上,委员会以协商一致的方式通过了本报告。
III. Finalization and adoption of a Guide to Enactment of the UNCITRAL Model Law on Public Procurement三. 最后审定并通过《贸易法委员会公共采购示范法颁布指南》
13. The Commission had before it at the current session:13. 委员会在本届会议上收到了下列文件:
(a) the report of Working Group I (Procurement) on the work of its twenty-first session (A/CN.9/745); (b) a note by the Secretariat introducing a proposal for a chapter in a draft Guide to Enactment of the UNCITRAL Model Law on Public Procurement (A/CN.9/754 and Add.1-3); and (c) a note by the Secretariat introducing a proposal for a Revised Guide to Enactment to accompany the UNCITRAL Model Law on Public Procurement (A/CN.9/WG.I/WP.79 and Add.1-19).(a)第一工作组(采购)第二十一届会议工作报告(A/CN.9/745);(b)提出对《贸易法委员会公共采购示范法》颁布指南草案中一章的建议的秘书处说明(A/CN.9/754和Add.1-3);(c)提出对《贸易法委员会公共采购示范法》所附的《颁布指南》修订本的建议的秘书处说明(A/CN.9/WG.I/WP.79和Add.1-19)。
A. Consideration of proposals for a Guide to Enactment of the UNCITRAL Model Law on Public ProcurementA. 审议关于《贸易法委员会公共采购示范法颁布指南》的各项建议
14. The Commission first took up those parts of the draft Guide to Enactment of the UNCITRAL Model Law on Public Procurement which Working Group I (Procurement) had not considered in detail at its twenty-first session, held in New York from 16 to 20 April 2012:14. 委员会首先对贸易法委员会公共采购示范法颁布指南草案中未在第一工作组(采购)2012年4月16日至20日于纽约举行的第二十一届会议上进行详细审议的那些部分进行了审议:
chapter II of document A/CN.9/WG.I/WP.79; documents A/CN.9/WG.I/WP.79/Add.1 and 2; sections A-C of document A/CN.9/WG.I/WP.79/Add.7; paragraphs 1 to 5 of document A/CN.9/WG.I/WP.79/Add.8; section A of documents A/CN.9/WG.I/WP.79/Add.9, 10, 13 and 15; and documents A/CN.9/754 and Add.1-3 and A/CN.9/WG.I/WP.79/Add.18.A/CN.9/WG.I/WP.7号文件第二章、A/CN.9/WG.I/ WP.79/Add.1和2号文件、A/CN.9/WG.I/WP.79/Add.7号文件A至C节、A/CN.9/WG.I/WP.79/Add.8号文件第1至5段、A/CN.9/WG.I/WP.79/Add.9、10、13和15号文件A节,以及A/CN.9/754和Add.1-3号文件和A/CN.9/WG.I/ WP.79/Add.18号文件。
15. The Commission requested the Secretariat to ensure consistent references to “suppliers or contractors” throughout the Guide.15. 委员会请秘书处确保《指南》通篇中“供应商或承包商”的提法保持一致。
16. The Commission approved that part of the text of the draft Guide contained in document A/CN.9/WG.I/WP.79 as amended by the Working Group at its twenty-first session (A/CN.9/745, para. 14).16. 委员会核准了经工作组第二十一届会议修正(A/CN.9/745,第14段)载于A/CN.9/WG.I/WP.79号文件的这部分指南草案案文。
17. The Commission agreed to add a discussion of collusion in document A/CN.9/WG.I/WP.79/Add.2, either in or after paragraph 19 or in subsection 5, on promoting the integrity of, and fairness and public confidence in, the procurement process (i.e. objective (e) in the preamble to the 2011 UNCITRAL Model Law on Public Procurement).17. 委员会商定,在A/CN.9/WG.I/WP.79/Add.2号文件第19段中或其后或者在该文件关于促进采购程序的廉正、公平和公信度的第5分节(即《贸易法委员会公共采购示范法》序言中的目标(e))添加关于串通问题的论述。
The understanding was that, regardless of where the discussion of collusion appeared in the final text, cross-references would be included throughout the Guide to make it clear that the problem of collusion was relevant to not only competition in, but also the integrity of, the procurement process.此处的理解是,不论关于串通问题的论述置于最后案文何处,《指南》通篇均需加入比照提及内容,以明确指出,串通问题不仅涉及采购过程中的竞争,也涉及采购过程的廉正。
It was agreed that the discussion of collusion should include the following elements:会议商定,关于串通问题的论述应当包括以下各点:
(a) collusion occurs where two or more suppliers or contractors, or one or more supplier(s) or contractor(s) and the procuring entity, work in tandem to manipulate the market in a way detrimental to obtaining an optimal outcome in the given procurement; (b) the manipulation might affect the price, keeping it artificially high, or other elements of a submission (such as the quality offered); alternatively, it could involve an agreement to share the market by artificially inflating prices or artificially distorting other elements of a submission, or an agreement not to present submissions or otherwise to distort fair competition; (c) collusion would probably violate the law of the State; (d) collusion involved the intention of the parties concerned to collude; and (e) the complicity of representatives of the procuring entity in collusion was not uncommon.(a)串通是在两个或多个供应商或承包商、或者在一个或多个供应商或承包商与采购实体联手操纵市场以致妨碍取得特定采购最佳结果的情况下发生的;(b)操纵可能影响到价格,人为地将价格保持在高位,也可能影响到提交书的其他方面(如所提议的质量);另外,串通可能涉及相互约定瓜分市场,人为哄抬价格或者人为地造成提交书其他方面发生扭曲,串通还可能涉及相互约定不递交提交书,或以其他方式使公平竞争发生扭曲;(c)串通行为可能违反有关国家的法律;(d)串通涉及有关各方串谋的意图;(e)采购实体的代表卷入串通的事情屡见不鲜。
In the text, it would also be noted that, although the absence of real competition was a consequence of collusion, the absence of competition could also result from other reasons, e.g. the absence of expertise on the suppliers’ side or the ignorance of suppliers about procurement opportunities, and that an apparently competitive procedure might have involved limited collusion between some participants.还将在案文中指出,虽然缺乏实际竞争是串通的一种后果,但缺乏竞争也可能是其他原因造成的,例如,供应商方面缺乏专门知识,或者供应商不了解采购机会;即使表面看来有竞争的程序也可能涉及某些参与方之间一定程度的串通。
Thus, it was concluded, there was no automatic link between the extent of competition and collusion.由此得出的结论是,竞争程度与串通之间并没有必然联系。
18. It was recalled that the Working Group had decided not to include a glossary as part of the Guide (A/CN.9/745, para. 36).18. 会上回顾,工作组已决定不将术语表作为《指南》的一部分(A/CN.9/ 745,第36段)。
It was therefore understood that references to the glossary as an annex to the Guide would be deleted.因此,会上的理解是,将删除把术语表作为《指南》附件的提法。
19. The Commission approved that part of the text of the draft Guide contained in document A/CN.9/WG.I/WP.79/Add.2 as amended by the Commission at the present session (see paras. ‎17 and ‎18 above) and by the Working Group at its twenty-first session (A/CN.9/745, para. 16).19. 委员会核准了经委员会本届会议修正(见上文第17和18段)并经工作组第二十一届会议修正(A/CN.9/745,第16段)载于A/CN.9/WG.I/WP.79/Add.2号文件的这部分指南草案案文。
20. The Commission considered the amendment proposed by the Working Group to paragraph 11 of document A/CN.9/WG.I/WP.79/Add.10 (A/CN.9/745, para. 24 (a)).20. 委员会审议了工作组对A/CN.9/WG.I/WP.79/Add.10号文件第11段提出的修正意见(A/CN.9/745,第24(a)段)。
Objection was raised to adding text to the draft Guide that referred to reluctance to participate in request for proposals with dialogue proceedings because of elevated risks of corruption.有与会者反对在指南草案中添加案文,提及因腐败风险更高而不愿意参与通过对话征求建议书程序。
In response to suggestions to refer in that paragraph instead to difficulties with the use of that method in situations in which the procuring entity lacked experience and expertise to handle competitive negotiations, it was argued that experience and expertise could not be gained unless that method was used (and that new procurement methods had indeed been implemented with positive results).有与会者则提出应在该段中提及由于采购实体缺乏进行竞争性谈判的经验和专门知识而难以使用此种方法,针对此种建议指出,不使用这种方法,就不可能取得经验和专门知识(而且,此种新的采购方法的使用确实取得了积极结果)。
The Commission agreed to leave paragraph 11 unchanged and to replace in paragraph 12 the phrase “capacity to negotiate” with the phrase “capability or skills to negotiate.委员会商定,第11段保持不变,把第12段中的“有能力进行谈判”改为“具备…进行谈判的能力和技巧。
” The Commission also agreed that the term “capacity” should be reviewed where it was used in a similar context elsewhere in the draft Guide.”委员会还商定,对指南草案他处在类似情况下使用的“能力”一词也应进行审查。
21. With reference to paragraph 18 of document A/CN.9/WG.I/WP.79/Add.10 as amended by the Working Group at its twenty-first session (A/CN.9/745, para. 24 (c)), the Commission agreed that the term “probity officers” should not appear in the text of the Guide.21. 关于经工作组第二十一届会议修正(A/CN.9/745,第24(c)段)的A/CN.9/ WG.I/WP.79/Add. 10号文件第18段,委员会商定,《指南》案文中不应出现“操守官”一词。
22. The Commission approved that part of the text of the draft Guide contained in document A/CN.9/WG.I/WP.79/Add.10 as amended by the Commission at the present session (see paras. ‎20 and ‎21 above) and by the Working Group at its twenty-first session (A/CN.9/745, para. 24 (b) and (c)).22. 委员会核准了经委员会本届会议修正(见上文第20和21段)并经工作组第二十一届会议修正(A/CN.9/745,第24(b)和(c)段)载于A/CN.9/WG.I/WP.79/ Add.10号文件的这部分指南草案案文。
23. With reference to paragraph 18 of document A/CN.9/WG.I/WP.79/Add.13, the Commission agreed that a better balance of the benefits and disadvantages of involving third-party agencies in setting up and administering electronic reverse auctions was required.23. 关于A/CN.9/WG.I/WP.79/Add.13号文件第18段,委员会商定,需要更平衡地论述第三方机构安排和管理电子逆向拍卖的利弊之处。
Accordingly, a consideration of the potential benefits of using third parties in electronic reverse auctions would be included, analogous to the discussion in subparagraph (4) (a) of document A/CN.9/WG.I/WP.79/Add.15 of the potential advantages of administrative efficiency and the discussion in subparagraphs (4) (g) and (i) of that document of using centralized purchasing agencies to operate framework agreements.因此,将参照A/CN.9/WG.I/ WP.79/Add.15号文件4(a)中关于行政效率潜在益处的论述以及该文件(4)(g)项和(i)项中关于使用集中采购机构操作框架协议的论述,列入关于电子逆向拍卖中使用第三方的潜在益处的考虑。
The Commission approved that part of the text of the draft Guide contained in document A/CN.9/WG.I/WP.79/Add.13 as amended by the Commission at the present session and by the Working Group at its twenty-first session (A/CN.9/745, para. 27).委员会核准了经委员会本届会议修正并经工作组第二十一届会议修正(A/CN.9/745,第27段)载于A/CN.9/ WG.I/WP.79/Add.13号文件的这部分指南草案案文。
24. With reference to paragraph 6 of document A/CN.9/WG.I/WP.79/Add.15, the Commission agreed to include a discussion of possible additional barriers to access to the public procurement market by small and medium enterprises, particularly where framework agreements were used in combination with electronic tools.24. 关于A/CN.9/WG.I/WP.79/Add.15号文件第6段,委员会商定,加入关于中小企业进入公共采购市场可能遇到的其他障碍的论述,特别是在结合电子工具使用框架协议的情况下。
The Secretariat was requested to avoid repetition with paragraph 18 of document A/CN.9/WG.I/WP.79/Add.15 in that regard and to ensure that the elements of the discussion were appropriately located in the commentary on enactment policy issues and in the commentary on issues of implementation and use.委员会请秘书处避免在A/CN.9/WG.I/WP.79/Add.15号文件第18段中重复提到这一问题,并确保将这段论述的要点放在关于颁布政策问题的评注和关于执行和使用问题的评注中的适当位置。
The Commission approved that part of the text of the draft Guide contained in document A/CN.9/WG.I/WP.79/Add.15 as amended by the Commission at the present session and by the Working Group at its twenty-first session (A/CN.9/745, para. 29).委员会核准了经委员会本届会议修正并经工作组第二十一届会议修正(A/CN.9/745,第29段)载于A/CN.9/WG.I/WP.79/Add.15号文件的这部分指南草案案文。
25. The Commission agreed to replace the word “thereafter” in paragraph 23 of document A/CN.9/WG.I/WP.79/Add.18 with the phrase “after contract formation”, and to replace the phrase “where there is a possibility that corrective action might mean undoing steps taken and wasting costs” in paragraph 30 of the same document with a reference to risking wasting time and probably costs, along the lines set out in paragraph 32 of that document.25. 委员会商定,A/CN.9/WG.I/WP.79/Add.18号文件第23段中的“在此之后”一词应改为“在订立合同之后”,并参照该文件第32段中的写法,将“即在纠正行动可能意味着撤销已经采取的步骤和造成成本浪费的情况下”(同一文件第30段)改为可能浪费时间也许还有成本。
The Commission approved that part of the text of the draft Guide contained in document A/CN.9/WG.I/WP.79/Add.18 as amended by the Commission at the present session and by the Working Group at its twenty-first session (A/CN.9/745, para. 32).委员会核准了经委员会本届会议修正并经工作组第二十一届会议修正(A/CN.9/745,第32段)载于A/CN.9/WG.I/ WP.79/Add.18号文件的这部分指南草案案文。
26. With reference to document A/CN.9/754, the Commission requested the Secretariat:26. 关于A/CN.9/754号文件,委员会请秘书处:
to reflect in paragraph 16 the discussion in the Working Group at its twenty-first session of the use of the terms “available” and “accessible” (A/CN.9/745, para. 17 (b)); to make clear in the third sentence of paragraph 35 that the relevant part of the record would not be available to suppliers or contractors that had been disqualified as a result of pre-qualification proceedings; to align paragraph 57 with paragraph 24 of document A/CN.9/754/Add.1; and to rephrase footnote 2 and that part of the draft Guide contained in document A/CN.9/754 and Add.1-3 to use the past tense to refer to the 1994 UNCITRAL Model Law on Procurement of Goods, Construction and Services and the present tense to refer to the 2011 Model Law and reflect the content of footnote 2 in the text of the Guide.在第16段中反映工作组第二十一届会议就使用“公诸于众”和“供公众查取”进行的讨论((A/CN.9/745,第17(b)段);在第35段第3句中明确指出,记录的有关部分将不提供给未通过资格预审程序的供应商或承包商;第50段应与A/CN.9/754/Add.1号文件第24段保持一致;改写脚注2和A/CN.9/754号文件所载指南草案该部分,提到1994年《贸易法委员会货物、工程和服务采购示范》时使用过去时,提到2011年《示范法》时使用现在时,并在《指南》案文中反映脚注2的内容。
27. With reference to paragraph 5 of document A/CN.9/754/Add.2, the Commission agreed to reflect, in the commentary to articles 34 and 46 of the 2011 Model Law, that there might be a risk of inadequate or distorted competition if the procuring entity did not select the suppliers or contractors from which to request quotations appropriately, for example if it requested quotations from suppliers or contractors belonging to a corporate group or that were otherwise under some form of common financial or managerial control.27. 关于A/CN.9/754/Add.2号文件第5段,委员会商定,在2011年《示范法》第34条和第46条的评注中指出,如果采购实体不以适当方式挑选被询价的供应商或承包商,例如,采购实体要求属于某一公司集团的供应商或承包商报价,或者要求在其他方面处于某种形式的共同财务或管理控制之下的供应商或承包商报价,就有可能出现竞争不充分或竞争扭曲的风险。
28. The Commission instructed the Secretariat to ensure consistency in the discussion of similar issues and to ensure that their relative emphasis also remained consistent throughout part III of the Guide.28. 委员会指示秘书处确保对类似问题的论述保持一致,并确保类似问题的相对重点贯穿《指南》第三部分。
The Commission approved that part of the text of the draft Guide contained in document A/CN.9/754 and Add.1-3, as amended by the Commission at the present session (see paras. ‎26-‎28 above).委员会核准了经委员会本届会议修正(见上文第26至28段)载于A/CN.9/754号文件及增编1-3的这部分指南草案案文。
29. The Commission then considered the parts of the draft Guide that the Working Group had discussed at its twenty-first session:29. 委员会接下来审议了已在工作组第二十一届会议上进行了审议的指南草案各部分:
documents A/CN.9/WG.I/WP.79/Add.3-6; section D of document A/CN.9/WG.I/WP.79/Add.7; paragraphs 6-46 of document A/CN.9/WG.I/WP.79/Add.8; section B of documents A/CN.9/WG.I/WP.79/Add.9 and 10, A/CN.9/WG.I/WP.79/Add.13 and A/CN.9/WG.I/WP.79/Add.15; and documents A/CN.9/WG.I/WP.79/Add.11 and 12, A/CN.9/WG.I/WP.79/Add.14,A/CN.9/WG.I/WP.79/Add.3-6号文件;A/CN.9/WG.I/WP.79/Add.7号文件D节;A/CN.9/WG.I/WP.79/Add.8号文件第6-46段;A/CN.9/WG.I/WP.79/ Add.9、10、13、15号文件B节;A/CN.9/WG.I/WP.79/Add.11、12、14、16、17、19号文件。
A/CN.9/WG.I/WP.79/Add.16 and 17 and A/CN.9/WG.I/WP.79/Add.19.30. 关于A/CN.9/WG.I/WP.79/Add.3号文件,委员会商定如下:
30. With reference to document A/CN.9/WG.I/WP.79/Add.3, the Commission agreed: (a) To move the reference to Security Council measures and regimes from paragraph 9 to the commentary to article 3 and ensure that the obligations under such measures and regimes were also noted in the commentary to article 8;(a) 将提及安全理事会措施和制度的内容从第9段挪至第3条的评注,并确保在第8条的评注中也指出根据此种措施和制度承担的义务;
(b) To add a reference to international agreements in the last sentence of paragraph 15;(b) 在第15段最后一句中添加提及国际协定的内容;
(c) To delete the second sentence in paragraph 24;(c) 删除第24段第二句;
(d) To avoid the use of the word “author” when amending paragraph 29 in accordance with the instructions of the Working Group (A/CN.9/745, para. 17 (b));(d) 在根据工作组的指示(A/CN.9/745,第17(b)段)修订第29段时避免使用“作者”一词;
(e) To delete the reference to “lobbying” in paragraph 39;(e) 在第39段中删除“游说”的提法;
(f) To delete the words “such as tender securities” from the last sentence of paragraph 42.(f) 删除第42段最后一句中的词语“例如投标担保”。
31. The Commission approved that part of the text of the draft Guide contained in document A/CN.9/WG.I/WP.79/Add.3 as amended by the Commission at the present session (see para. ‎30 above) and by the Working Group at its twenty-first session (A/CN.9/745, para. 17).31. 委员会核准了经委员会本届会议修正(见上文第30段)并经工作组第二十一届会议修正(A/CN.9/745,第17段)载于A/CN.9/WG.I/WP.79/Add.3号文件的这部分指南草案案文。
The Commission also confirmed the importance of the Guide’s discussion on adapting the 2011 Model Law to suit local circumstances.委员会还确认了《指南》就调整2011年《示范法》使之适合当地情况作出论述的重要性。
32. With reference to document A/CN.9/WG.I/WP.79/Add.4, the Commission agreed:32. 关于A/CN.9/WG.I/WP.79/Add.4号文件,委员会商定如下:
(a) To rephrase paragraph 9 along the following lines:(a) 按下述写法重拟第9段:
“The purpose of article 8 is to provide for the full, unrestricted and international participation in public procurement.“第8条的目的是就公共采购的充分、不受限制的国际参与作出规定。
The article also sets out the limited situations in which the procuring entity may restrict the participation of certain categories of suppliers or contractors in procurement proceedings, including [cross-refer to the relevant commentary addressing sanctions or anti-terrorism measures under article 3, and implementation of socioeconomic policies].该条还阐明了采购实体可以对某些种类供应商或承包承包商参与采购程序加以限制的有限情形,其中包括[比照提及第3条的述及制裁和反恐怖主义措施的相关评注以及述及执行社会经济政策的相关评注]。
Any such restriction of participation of suppliers or contractors in procurement proceedings risks violating free-trade commitments by States under relevant international instruments, such as the World Trade Organization’s Agreement on Government Procurement.对供应商或承包商参加采购程序的任何此种限制都可能违犯各国根据相关国际协定(如世界贸易组织《政府采购协定》)对自由贸易的承诺。
Paragraphs (3) to (5) of the article provide procedural safeguards when any such restriction is imposed.”;该条第(3)款至第(5)款针对实行任何此种限制的情形提供了程序保障。
(b) To explain at the end of paragraph 17 that unnecessary requirements should not be imposed with a view to distorting or restricting international participation, and to include examples, such as (i) local requirements for foreign entities to establish a local presence as a precondition for participation in procurement proceedings, or (ii) unnecessary tax requirements;”; (b) 在第17段结尾处作出以下解释: 不应为扭曲或限制国际参与而规定不必要的要求,同时应列入实例,例如,(一)本国要求外国实体在当地建立存在,以此作为参加采购程序的先决条件,或者,(二)不必要的税收要求;
(c) To ensure consistency in the discussion of the concepts of “misrepresentation” and “materiality” throughout the Guide.(c) 确保《指南》通篇对“虚报”和“实质性”概念的论述保持一致。
33. The Commission approved that part of the text of the draft Guide contained in document A/CN.9/WG.I/WP.79/Add.4 as amended by the Commission at the present session (see para. ‎32 above) and by the Working Group at its twenty-first session (A/CN.9/745, para. 18).33. 委员会核准了经委员会本届会议修正(见上文第32段)并经工作组第二十一届会议修正(A/CN.9/745,第18段)载于A/CN.9/WG.I/WP.79/Add.4号文件中的这部分指南草案案文。
34. With reference to paragraph 30 of document A/CN.9/WG.I/WP.79/Add.5 and paragraph 19 (j) of the report of the Working Group on the work of its twenty-first session (A/CN.9/745), the Commission agreed to, when implementing the recommendations of the Working Group, provide a balanced commentary on the use of tender securities and not to refer to small and medium-sized enterprises specifically.34. 关于A/CN.9/WG.I/WP.79/Add.5号文件第30段以及工作组第二十一届会议工作报告(A/CN.9/745)第19(j)段,工作组商定,在根据工作组的建议提供关于使用投标担保问题的平衡兼顾的评注时,不应特别提及中小型企业。
Instead, the Guide would state clearly that requiring a tender security should not be considered the norm and that the procuring entity should consider all the implications of requiring tender securities (positive and negative) “on a case-by-case basis” prior to deciding whether to impose such a requirement.相反,《指南》应当明确指出,不应将提供投标担保的要求视为一种规范,而且采购实体在决定是否提出此种要求之前应当在个案基础上考虑此种要求的方方面面(正反两面)。
It was emphasized that the Guide should make it clear that the reference to on a case-by-case basis indicated differences in situations, rather than in practices among jurisdictions.会上强调,《指南》应当明确指出,所谓在个案基础上,只是表明情况不同,而非各个法域的做法不同。
It was further emphasized that one of the purposes of a tender security — to relieve concerns of the procuring entity as regards the qualifications and capacities of suppliers or contractors in the procurement proceedings — should not be overlooked in the commentary to article 17 of the 2011 Model Law.还强调,2011年《示范法》第17条的评注不应忽略投标担保的目的之一,那就是减轻采购实体对参加采购程序的供应商或承包商的资格和能力的担心。
35. The Commission approved that part of the text of the draft Guide contained in document A/CN.9/WG.I/WP.79/Add.5 as amended by the Commission at the present session (see para. ‎34 above) and by the Working Group at its twenty-first session (A/CN.9/745, para. 19).35. 委员会核准了经委员会本届会议修正(见上文第34段)并经工作组第二十一届会议修正(A/CN.9/745,第19段)载于A/CN.9/WG.I/WP.79/Add.5号文件中的这部分指南草案案文。
36. With reference to the commentary to article 20 in document A/CN.9/WG.I/WP.79/Add.6, concerns were expressed as regards the use of the phrases “justify the price submitted” and “justification procedure”.36. 关于A/CN.9/WG.I/WP.79/Add.6号文件第20条的评注,对使用“可证明价格合理”和“证明价格合理的程序”这样的措词表示了关切。
The suggestion was made to replace paragraph 6 of that document with the following text:会上提出,该文件第6段应改写如下:
“First, a written request for clarification must be made to the supplier or contractor concerned.“首先,必须向有关供应商或承包商发出书面澄清请求。
The request should ask the supplier or contractor to clarify the basis upon which the price was determined and confirm such additional elements in this respect, to allow the procuring entity to conclude whether the supplier or contractor will be able to perform the procurement contract for the price submitted.该请求应要求供应商或承包商澄清定价根据并确认这方面的补充要点,以便于采购实体就供应商或承包商是否有能力按提交的价格履行采购合同得出结论。
” Concerns were expressed that the suggested wording might indicate that the information sought could include information on costs, contrary to the thrust of the subsequent paragraphs of the draft Guide as amended by the Working Group at its twenty-first session (A/CN.9/745, para. 20).”关切地指出,所提议的措词有可能表明被要求提供的信息可以包括成本方面的信息,而这与经工作组第二十一届会议修正(A/CN.9/745,第20段)的指南草案其后各段的侧重点是有矛盾的。
The Commission instructed the Secretariat to revise the commentary to article 20 to include the principles of the suggested addition, but without implying that information on costs could be sought.委员会指示秘书处修订第20条的评注,其中可以列入拟议添加内容的原则,但不能暗示可以要求提供成本方面的信息。
37. The Commission agreed to replace the words “provide an exhaustive list of grounds” with the words “provide the grounds under the Model Law” in paragraph 14 of document A/CN.9/WG.I/WP.79/Add.6 and to delete the cross-reference to the World Bank debarment system in paragraph 48 of the same document.37. 委员会商定,将A/CN.9/WG.I/WP.79/Add.6号文件第14段中“详尽列出…的理由”一语改为“列出《示范法》下列明的理由”,并删除同一文件第48段中对世界银行的暂停资格制度的参引。
38. The Commission agreed to revise paragraph 18 of document A/CN.9/WG.I/WP.79/Add.6 to state expressly that there was no requirement under the 2011 Model Law to have definitions of conflicts of interest or unfair competitive advantage; if, however, the State considered defining those concepts, it might wish to take into consideration the issues raised in paragraph 20 (h) of document A/CN.9/745.38. 委员会商定,修订A/CN.9/WG.I/WP.79/Add.6号文件第18段,明确指出2011年《示范法》并未要求给利益冲突或不公平竞争优势下定义;不过,如果国家考虑界定这些概念,则似宜考虑到A/CN.9/745号文件第20(h)段提出的几个问题。
It was also pointed out that the Guide should state that what constituted unfair competitive advantage might need to be determined by competent authorities of the State on a case-by-case basis.还指出,《指南》应当说明,何谓不公平竞争优势可能需要由国家主管当局逐案确定。
39. The Commission approved that part of the text of the draft Guide contained in document A/CN.9/WG.I/WP.79/Add.6 as amended by the Commission at the present session (see paras. ‎36-38 above) and by the Working Group at its twenty-first session (A/CN.9/745, para. 20).39. 委员会核准了经委员会本届会议修正(见上文第36-38段)并经工作组第二十一届会议修正(见A/CN.9/745,第20段)载于A/CN.9/WG.I/WP.79/Add.6号文件的这部分指南草案案文。
40. With reference to document A/CN.9/WG.I/WP.79/Add.8, the Commission agreed:40. 关于A/CN.9/WG.I/WP.79/Add.8号文件,工作组商定如下:
(a) To amend the heading before paragraph 6 to reflect the content of the paragraph more clearly, to highlight to the reader the scope of the commentary it contained, and to reorder the sentences in the paragraph;(a) 修改第6段之前的标题,以便更明确地反映该段的内容,让读者对其中所载评注的范围一目了然,并将该段中的各句重新排序;
(b) To replace at the end of paragraph 11 the phrase “will not be able to obtain” with the words “will not be entitled under article 38 to obtain”;(b) 第11段结尾处“将无法获取”一语改为“将无权根据第38条获取”;
(c) To clarify in the penultimate sentence of paragraph 24 that the sentence was intended to address a situation in which there was a system failure prior to the receipt of a tender by the procuring entity.(c) 在第24段倒数第二句中澄清,该句意在处理采购实体收到招标书之前发生系统故障的情形。
41. The Commission approved that part of the text of the draft Guide contained in document A/CN.9/WG.I/WP.79/Add.8 as amended by the Commission at the present session (see para. ‎40 above) and by the Working Group at its twenty-first session (A/CN.9/745, para. 22).41. 委员会核准了经委员会本届会议修正(见上文第40段)并经工作组第二十一届会议修正(见A/CN.9/745,第22段)载于A/CN.9/WG.I/WP.79/Add.8号文件的这部分指南草案案文。
42. With reference to document A/CN.9/WG.I/WP.79/Add.13, a query was raised as regards the reference to “services and construction” in paragraph 21.42. 关于A/CN.9/WG.I/WP.79/Add.13号文件,有与会者问及第21段中“服务和工程”的提法。
In response, it was clarified that, although the term “the subject matter of the procurement” was used consistently throughout the 2011 Model Law instead of specific references to “goods, construction and services”, those latter terms were still used in the draft Guide, where appropriate and necessary.对此澄清说,尽管2011年《示范法》通篇一致使用“采购标的”术语而非具体提及“货物、工程和服务”,但指南草案在适当和必要时仍然用到后几个术语。
It was also noted that paragraph 4 of the commentary to article 2 in document A/CN.9/WG.I/WP.79/Add.3, in discussing the definition of the subject matter of procurement, contained descriptions of those three terms which drew on their respective definitions of the 1994 Model Law.还指出,A/CN.9/WG.I/WP.79/Add.3号文件中第2条的评注第4段在论及采购标的定义时对这三个术语作了描述,其中借鉴了1994年《示范法》中的相应定义。
43. With reference to document A/CN.9/WG.I/WP.79/Add.14, the concern was raised that the Chinese version used the terms “electronic reverse auctions” and “auctions” interchangeably, which would lead to confusion in China, where those two terms had distinct meanings.43. 关于A/CN.9/WG.I/WP.79/Add.14号文件,有与会者关切中文本中将“电子逆向拍卖”和“拍卖”两个术语混用,这会在中国引起混淆,在中国这两个术语有不同的含义。
It was noted that the text of the Guide in Chinese and other languages should be verified against the English version.指出应当对照英文本核对中文本和其他语文本《指南》案文。
44. As regards document A/CN.9/WG.I/WP.79/Add.16, the Commission confirmed the agreement reached in the Working Group, as reflected in document A/CN.9/745, paragraph 30 (d).44. 关于A/CN.9/WG.I/WP.79/Add.16号文件,委员会确认了工作组达成的、反映在A/CN.9/745号文件第30(d)段中的一致意见。
45. The Commission approved the remaining parts of the draft Guide, as amended by the Working Group at its twenty-first session (A/CN.9/745).45. 委员会核准了经工作组第二十一届会议修正(A/CN.9/745)的指南草案其余部分。
It was agreed that references in the Guide to the provisions of the 2011 Model Law should be made more user-friendly, by referring to specific articles, and not only to chapters, throughout the Guide.一致认为《指南》中对2011年《示范法》条文的提及应当更加便利使用者,为此应在《指南》通篇提及具体条款,而不是仅提及章节。
B. Adoption of the Guide to Enactment of the UNCITRAL Model Law on Public ProcurementB. 通过《贸易法委员会公共采购示范法颁布指南》
46. The Commission, after consideration of the text of the draft Guide, adopted the following decision at its 949th meeting, on 28 June 2012:46. 委员会审议指南草案案文之后,于2012年6月28日在第949次会议上通过了下述决定:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Recalling 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, and 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是促进国际贸易法的逐渐协调和统一,并在这方面念及各国人民,尤其是发展中国家人民在国际贸易广泛发展中的利益,
“Noting that procurement constitutes a significant portion of public expenditure in most States,“注意到采购构成了大多数国家公共开支的一个重要部分,
“Recalling the adoption of its Model Law on Public Procurement at its forty-fourth session, in 2011,“回顾其2011年第四十四届会议通过了《公共采购示范法》,
“Expressing appreciation to the Working Group I (Procurement) for having prepared the draft Guide to Enactment of the UNCITRAL Model Law on Public Procurement,“表示赞赏第一工作组(采购)拟订了贸易法委员会公共采购示范法颁布指南草案,
“Noting that the draft Guide was the subject of due deliberation and extensive consultations with Governments and interested international organizations, and thus it can be expected that the Guide would greatly facilitate the understanding, enactment, interpretation and application of the Model Law and thus contribute significantly to the establishment of a harmonized and modern legal framework for public procurement,“注意到各国政府和有关国际组织已对指南草案进行了应有的审议和广泛协商,因此,《指南》可望大大有助于《示范法》的理解、颁布、解释和适用,从而显著促进建立协调统一的现代公共采购法律框架,
“Expressing appreciation to Tore Wiwen-Nilsson, the Chair of Working Group I (Procurement), for his able leadership in the work of UNICTRAL on the Model Law and the Guide,“表示感谢第一工作组(采购)主席Wiewen-Nilsson在拟订《贸易法委员会示范法》和《指南》的工作中发挥了得力的领导作用,
“1. Adopts the Guide to Enactment of the UNCITRAL Model Law on Public Procurement, as contained in document A/CN.9/WG.I/WP.79 and Add.1-19, as amended by Working Group I (Procurement) at its twenty-first session and further amended by the Commission during its forty-fifth session, and in document A/CN.9/754 and Add.1-3, as amended by the Commission during its forty-fifth session, and authorizes the Secretariat to edit and finalize the text of the Guide in the light of the report of Working Group I (Procurement) on the work of its twenty-first session and the deliberations of the Commission at its forty-fifth session as recorded in the report of the Commission on that session;“1. 通过载于A/CN.9/WG.I/WP.79和Add.1-19号文件经第一工作组(采购)第二十一届会议修正并经委员会第四十五届会议进一步修正以及载于A/CN.9/754和Add.1-3号文件经委员会第四十五届会议修正的《贸易法委员会公共采购示范法颁布指南》,并授权秘书处根据第一工作组(采购)第二十一届会议工作报告以及委员会第四十五届会议报告所记录的委员会该届会议的审议情况编辑审定《指南》案文;
“2. Requests the Secretary-General to publish the UNCITRAL Model Law on Public Procurement with its Guide to Enactment, including electronically, and disseminate it broadly to Governments and other interested bodies;“2. 请秘书长发表《贸易法委员会公共采购示范法》及其《颁布指南》,包括以电子形式予以发表,并向各国政府和其他有关机构广泛传发;
“3. Reiterates its recommendation that all States use the UNCITRAL Model Law on Public Procurement in assessing their public procurement legal regime and give favourable consideration to the Model Law when they enact or revise their laws;“3. 重申委员会建议所有国家应使用《贸易法委员会公共采购示范法》评价本国公共采购法律制度并应在颁布或修订本国法律时对《示范法》给予优先考虑;
“4. Recommends that the Guide to Enactment be given due consideration by States when they assess their needs in public procurement law reform or enact or revise their public procurement laws, and by other stakeholders involved in public procurement proceedings;“4. 建议各国应在评价本国公共采购法律改革需要或者颁布或修订本国公共采购法时对《颁布指南》给予适当考虑,公共采购程序其他利害相关方也应对《颁布指南》给予适当考虑;
“5. Endorses efforts by the Commission secretariat to monitor practices and disseminate information with regard to the use of the Model Law and the Guide, including by bringing to the attention of the Commission issues arising as a result that could indicate that further work of UNCITRAL in the area of public procurement may be appropriate;“5. 赞同委员会秘书处作出努力,监测《示范法》和《指南》使用方面的做法并传播与此有关的信息,包括提请委员会注意由此产生的可能表明贸易法委员会或许有必要在公共采购领域开展进一步工作的各类问题;
“6. Reiterates, in this context, the importance of coordination among the various procurement reform agencies and of other mechanisms to promote effective implementation and uniform interpretation of the Model Law and endorses the efforts and initiatives of the Commission secretariat aimed at achieving closer coordination and cooperation among the Commission and other international organs and organizations, including regional organizations, active in the field of procurement law reform, in order to avoid undesirable duplication of efforts and inconsistent, incoherent or conflicting results in the modernization and harmonization of public procurement law;“6. 在这方面重申各种采购改革机构相互协调的重要性以及其他机制对促进《示范法》有效执行和统一解释的重要性,并赞同委员会秘书处作出努力和开展举措,在委员会和活跃于采购法改革领域的包括区域组织在内的其他国际机构和组织之间实现更密切的协调与合作,以避免在公共采购法更新和协调统一过程中出现不应有的重复努力和不一致、不连贯或相互矛盾的结果;
“7. Also reiterates its request to all States to support the promotion and implementation of the UNCITRAL Model Law on Public Procurement.”“7. 还重申委员会请所有国家对推广和执行《贸易法委员会公共采购示范法》给予支持。
IV. Finalization and adoption of the recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010” 四. 最后审定并通过关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议
47. The Commission recalled that, at its fifteenth session, in 1982, it had adopted “Recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules”.47. 委员会回顾,委员会1982年第十五届会议通过了“关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》进行仲裁的建议”。
The preparation of the 1982 recommendations had been undertaken by the Commission to facilitate the use of the UNCITRAL Arbitration Rules (1976) in administered arbitration and to deal with instances when the Rules were adopted as institutional rules of an arbitral body or when the arbitral body was acting as appointing authority or provided administrative services in ad hoc arbitration under the Rules.委员会承担了编写1982年《建议》的工作,以便利进行仲裁时使用《贸易法委员会仲裁规则》(1976年),并处理下述情形: 采纳《规则》作为仲裁机构的机构规则、仲裁机构担任指定机构或在根据《规则》进行特定案件仲裁时提供管理服务。
The Commission further recalled that, at its forty-third session, in 2010, it had entrusted the Secretariat with the preparation of similar recommendations with respect to the UNCITRAL Arbitration Rules, as revised in 2010 in view of the extended role granted to appointing authorities, for consideration by the Commission at a future session.委员会还回顾,鉴于对指定机构赋予的责任范围扩大,委员会2010年第四十三届会议责成秘书处就《贸易法委员会仲裁规则》2010年修订本编拟类似的建议供委员会今后届会审议。
At that session, it had been said that the recommendations would promote the use of the Rules and that arbitral institutions in all parts of the world would be more inclined to accept acting as appointing authorities if they had the benefit of such guidelines.在该届会议上指出,这些建议将促进《规则》的使用,世界各地的仲裁机构若能受益于这些准则将会更愿意担任指定机构。
The Commission also recalled its agreement that the recommendations on the 2010 Rules should follow the same pattern as the 1982 recommendations.委员会还回顾,委员会已商定依循编写1982年《建议》的同样方式编写关于2010年《规则》的建议。
48. At its forty-fourth session, in 2011, the Commission was informed that the recommendations were under preparation in accordance with the decision of the Commission at its forty-third session, in 2010 (see para. ‎47 above).48. 在第四十四届会议上,委员会获悉根据委员会2010年第四十三届会议的决定(见上文第47段)正在编写这些建议。
At its forty-fourth session, the Commission requested the Secretariat to prepare draft recommendations for consideration by the Commission at a future session, preferably as early as 2012.在第四十四届会议上,委员会请秘书处编写建议草案以供委员会今后届会审议,最好尽早在2012年审议。
49. At its current session, the Commission had before it:49. 委员会本届会议收到了下列文件:
(a) draft recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010 (A/CN.9/746 and Add.1); and (b) a compilation of comments by Governments on the draft recommendations (A/CN.9/747 and Add.1).(a)关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议草案(A/CN.9/746和Add.1);(b)各国政府关于建议草案的意见汇编(A/CN.9/747和Add.1)。
50. The Commission heard an oral presentation on the draft recommendations.50. 委员会听取了关于建议草案的口头介绍。
The Commission was informed that the draft recommendations had been prepared by the Secretariat after consultation with arbitral institutions, including the circulation to arbitral institutions in various parts of the world of a questionnaire, prepared in cooperation with the International Federation of Commercial Arbitration Institutions, on the use of the UNCITRAL Arbitration Rules.委员会获悉,秘书处编写建议草案之前与各仲裁机构进行了协商,其中包括向世界各地的仲裁机构分发一份与商事仲裁机构国际联合会合作编制的《贸易法委员会仲裁规则》使用情况调查表。
The Commission was also informed that footnote 4 of document A/CN.9/746 contained a list of the institutions that had been involved in the overall consultation process.委员会还获悉,A/CN.9/746号文件脚注4中载有参与整个协商过程的各机构名单。
The Commission was further informed that the Qatar International Center for Conciliation and Arbitration should be added to that list.委员会进一步获悉,该名单应当增列卡塔尔国际调解和仲裁中心。
The Secretariat informed the Commission that an additional footnote should be inserted in paragraph 17 of document A/CN.9/746 after the words “the provisions of article 40 (f) would not apply”.秘书处告知委员会,A/CN.9/746号文件第17段应当在“第40条(f)项的规则将不适用”这段词语之后添加一个脚注。
The footnote would read as follows:脚注内容如下:
“An arbitral institution may, however, retain article 40 (f) for cases in which the arbitral institution would not act as appointing authority.“但是,对于仲裁机构不担任指定机构的案件,仲裁机构可保留第40条(f)项。
For example, the Qatar International Center for Conciliation and Arbitration states in article 43, paragraph (2) (h), of its Rules of Arbitration 2012 (effective from 1 May 2012), which are based on the UNCITRAL Arbitration Rules as revised in 2010:例如,卡塔尔国际调解和仲裁中心在其以《贸易法委员会仲裁规则》2010年修订本为基础的该中心2012年《仲裁规则》(2012年5月1日生效)第43条第(2)款(h)项中规定:
‘Any fees and expenses of the appointing authority in case the Center is not designated as the appointing authority.’”‘本中心未被指定为指定机构的,该指定机构的任何收费和费用。 ’”
51. The Commission requested the Secretariat to continue to monitor the application of the 2010 UNCITRAL Arbitration Rules by arbitral institutions and other bodies.51. 委员会请秘书处继续监测各仲裁机构和其他机构适用2010年《贸易法委员会仲裁规则》的情况。
A. Consideration of the draft recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010A. 审议关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议草案
52. The Commission expressed its appreciation for the draft Recommendations and emphasized their usefulness for arbitral institutions and other interested bodies in arbitral proceedings.52. 委员会对建议草案表示赞赏,并强调了这些建议对仲裁机构和其他有关机构进行仲裁程序的用处。
Appeal to leave the substance of the UNCITRAL Arbitration Rules unchanged吁请对《贸易法委员会仲裁规则》的实质内容不作改动
53. A comment was made with regard to the appeal in paragraphs 7 and 8 of document A/CN.9/746 to leave the substance of the UNCITRAL Arbitration Rules unchanged.53. 关于A/CN.9/746第7和8段提出的对《贸易法委员会仲裁规则》实质内容不作改动的吁请,会上发表了评议。
It was said that it could not be excluded that some arbitral institutions might use the UNCITRAL Arbitration Rules as a basis for their own rules in substance, but without faithfully following the text.据指出,一些仲裁机构可能使用《贸易法委员会仲裁规则》作为本机构规则实质内容的基础,但并非忠实地遵循其中的文字,这种情况不能排除。
In response, it was said that the draft recommendations followed, pursuant to the mandate given to the Secretariat (see para. ‎47 above), the same pattern as the 1982 recommendations, which contained the same appeal.就此,据答复称,依照赋予秘书处的权限(见上文第47段),建议草案沿用了1982年《建议》的同样做法,其中含有同样的吁请。
It was also pointed out that the draft recommendations, like the UNCITRAL Arbitration Rules themselves, were flexible and that the appeal to follow closely the substance of the UNCITRAL Arbitration Rules did not mean to exclude the possibility that particular needs resulting from local circumstances could be taken into account where necessary.另据指出,建议草案如同《贸易法委员会仲裁规则》本身那样具有灵活性,吁请严格遵循《贸易法委员会仲裁规则》实质内容,并不意味着排除在必要时可以考虑到当地情形产生的特殊需要这种可能性。
Presentation of modifications列明所作变更
54. A comment was made that arbitration rules were subject to national law and that therefore an arbitral institution might need to tailor the rules according to the arbitration law of the applicable jurisdiction.54. 所发表的一项意见是,仲裁规则服从国内法,因此,仲裁机构可能需要按有关法域的仲裁法调整规则。
It was proposed to evaluate whether the list of modifications contained in paragraphs 9-17 of document A/CN.9/746 should also contain a reference in that regard.提议评估A/CN.9/746号文件第9-17段所载的一系列变更是否也应当含有这方面的说明。
In response, it was said that the draft Recommendations were subject to the applicable law and not meant to interfere with it.对此答复说,建议草案服从于适用法,而不是要干预适用法。
Effective date生效日期
55. Paragraph 11 of document A/CN.9/746 stated that article 1, paragraph (2), of the 2010 UNCITRAL Arbitration Rules defined an effective date for the Rules.55. A/CN.9/746号文件第11段指出,2010年《贸易法委员会仲裁规则》第1条第2款界定了《规则》的生效日期。
The view was expressed that that statement might cause confusion, as article 1, paragraph (2), of the 2010 Rules contained a presumption as to the Rules in effect on the date of commencement of the arbitration.有与会者发表了一种看法,认为这样的规定可能会造成混乱,因为2010年《规则》第1条第2款载有的一项推定涉及仲裁启动之日业已生效的《规则》。
In that light, one delegation proposed to modify the wording of paragraph 11 in order to avoid confusion, but that proposal was not adopted.为此,一个代表团提议修改第11段的措词以避免混乱,但该项提议未获得通过。
Appointment of a sole arbitrator指定一名独任仲裁员
56. Paragraph 40 of document A/CN.9/746/Add.1 explained the power of the appointing authority under article 7, paragraph (2), of the 2010 UNCITRAL Arbitration Rules to appoint a sole arbitrator when no other parties had responded to a party’s proposal to appoint a sole arbitrator and the party or parties concerned had failed to appoint a second arbitrator.56. A/CN.9/746/Add.1号文件第40段解释,一方当事人提出指定独任仲裁员的提议而其他各方当事人未对此作出答复,并且有关的一方或多方当事人未指定第二名仲裁员的,指定机构根据《贸易法委员会仲裁规则》第7条第2款有权力指定一名独任仲裁员。
It was agreed to replace the words “is requested to” in the fifth sentence of paragraph 40 by the words “will, in any event, have to”.会上商定将第40段第五句中“已请求指定机构”改为“指定机构无论如何都必须”。
Appointment of a three-member arbitral tribunal指定三人仲裁庭
57. Paragraph 44 of document A/CN.9/746/Add.1 referred to factors that an appointing authority might take into consideration when appointing the presiding arbitrator pursuant to article 9, paragraph (3), of the 2010 Rules.57. A/CN.9/746/Add.1号文件第44段提及指定机构在根据2010年《规则》第9条第(3)款指定首席仲裁员时似宜考虑的各种因素。
In order to follow more closely the wording used in article 6, paragraph (7), of the 2010 Rules, which made reference to the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties, it was agreed to replace the words “to take into consideration” by the words “that might be taken into consideration”.为了与2010年《规则》第6条第7款所用措词更加一致——该款提及了指定与各方当事人国籍不同的仲裁员的可取性,会上商定将“应当考虑”一语改为“似宜考虑”。
It was also agreed to align the wording “which is recommended to be different from that of the parties”, as well as similar wording used in paragraph 38 (“recommends the appointment of an arbitrator of a nationality other than the nationalities of the parties”), with the wording in article 6, paragraph (7), of the 2010 Rules, along the lines of “take into account the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties”.还商定,参照“考虑到指定与各方当事人国籍不同的仲裁员的可取性”这样的写法,调整“建议其国籍与各方当事人的国籍不同”这段用语以及第38段中使用的类似措辞(“建议指定一名与各方当事人国籍不同的仲裁员”),使其与2010年《规则》第6条第7款的措词保持一致。
Replacement of an arbitrator替换仲裁员
58. It was pointed out that the last sentence of paragraph 53 of document A/CN.9/746/Add.1 was intended to provide examples of exceptional circumstances where a party would be deprived of its right to appoint an arbitrator.58. 指出A/CN.9/746/Add.1号文件第53段最后一句意在举例说明一方当事人被剥夺指定仲裁员的权利的特殊情形。
In view of the fact that the 2010 Rules refrained from providing criteria for determining such circumstances, it was agreed to delete the last sentence of paragraph 53.鉴于2010年《规则》避免提供确定此类情形的标准,商定删除第53段最后一句。
59. In paragraph 54 of document A/CN.9/746/Add.1, in order to clarify that an appointing authority would authorize a truncated tribunal to proceed with the arbitration only after the closure of the hearings, it was agreed to replace the word “If” at the beginning of the second sentence by the words “Bearing in mind that”.59. 在A/CN.9/746/Add.1号文件第54段中,为了澄清指定机构仅在审理终结之后授权缺员仲裁庭继续进行仲裁,商定将第二句开头的“如果“一词改为”考虑到”。
60. Paragraph 54 mentioned the applicable law as another factor to be taken into consideration by the appointing authority in determining whether to permit a truncated tribunal to proceed with arbitration under article 14, paragraph (2) (b), of the 2010 Rules.60. 第54段提到适用法是指定机构确定是否允许缺员仲裁庭根据2010年《规则》第14条第2款(b)项继续进行仲裁时应当考虑的另一个因素。
In response to a question, it was clarified that the words “applicable law” were intended to refer to the law applicable to the arbitration proceedings or to the law of the seat of arbitration, and also to the law where enforcement was sought.在回答一项提问时,澄清说“适用法”一词意指适用于仲裁程序的法律或仲裁地的法律,也包括强制执行请求地的法律。
It was decided to replace the words “relevant applicable law” by the words “relevant laws”.会上决定将“相关适用法”一语改为“相关法律”。
Review mechanism审查机制
61. In order to follow more closely the wording of article 41, paragraph (4) (b), of the 2010 Rules, it was agreed to include at the beginning of the penultimate sentence of paragraph 58 of document A/CN.9/746/Add.1 the words “If no appointing authority has been agreed upon or designated, or”.61. 为了更加贴近2010年《规则》第41条第4款(b)项的措词,会上商定,在A/CN.9/746/Add.1号文件第58段倒数第二句开头添加以下词语: “未约定或未指派指定机构的,或者”。
62. The Commission agreed to replace the words “in its review” with the words “if adjustment of fees and expenses is necessary” in the second sentence of paragraph 60 of document A/CN.9/746/Add.1.62. 委员会商定,在A/CN.9/746/Add.1号文件第60段第二句中,将“在审查时”改为“在有必要调整收费和费用时”。
63. In view of the importance of the recommendations, the Commission emphasized the need to have them available in both printed and electronic form.63. 考虑到《建议》的重要性,委员会强调需要以印本和电子本形式提供《建议》。
B. Adoption of the recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010B. 通过关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议
64. The Commission, after considering the text of the draft recommendations, adopted the following decision at its 952nd meeting, on 2 July 2012:64. 委员会审议建议草案案文之后,于2012年7月2日在第952次会议上通过了下述决定:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, in which the Assembly established the United Nations Commission on International Trade Law (UNCITRAL) with the object 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联合国国际贸易法委员会(贸易法委员会),其目的是为各国人民的利益,特别是为发展中国家人民的利益,促进国际贸易法的逐渐协调和统一,
“Recalling also General Assembly resolutions 31/98 of 15 December 1976 and 65/22 of 6 December 2010 recommending the use of the UNCITRAL Arbitration Rules in the settlement of disputes arising in the context of international commercial relations,“还回顾大会1976年12月15日第31/98号决议和2010年12月6日第65/22号决议建议使用《贸易法委员会仲裁规则》解决国际商业关系中产生的争议,
“Recognizing the value of arbitration as a method of settling such disputes,“认识到仲裁作为一种争议解决方法处理此种争议的价值,
“Noting that the UNCITRAL Arbitration Rules are recognized as very successful texts and are used in a wide variety of circumstances covering a broad range of disputes, including disputes between private commercial parties, investor-State disputes, State-to-State disputes and commercial disputes administered by arbitral institutions, in all parts of the world,“注意到《贸易法委员会仲裁规则》在世界各地被视为十分成功的法律文本,用于各种不同情形,涵盖各类争议,包括私人商事当事人之间的争议、投资人与国家之间的争议、国与国之间的争议以及仲裁机构处理的商事争议,
“Recognizing the value of the 1982 recommendations,“认识到1982《建议》的价值,
“Recognizing also the need for issuing recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010,“还认识到需要印发关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议,
“Believing that recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010 will significantly enhance the efficiency of arbitration under the Rules,“相信关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议将大大提高根据《规则》进行仲裁的效率,
“Noting that the preparation of the draft recommendations was the subject of due deliberation and consultations with Governments, arbitral institutions and interested bodies,“注意到建议草案是与各国政府、仲裁机构和有关机构适当讨论和协商拟定的,
“Expressing its appreciation to the Secretariat for formulating the draft recommendations,“表示赞赏秘书处拟订了建议草案,
“Convinced that the draft recommendations as amended by the Commission at its forty-fifth session are acceptable to arbitral institutions and other interested bodies in countries with different legal, social and economic systems and can significantly contribute to the establishment of a harmonized legal framework for a fair and efficient settlement of international commercial disputes and to the development of harmonious international economic relations,“深信经委员会第四十五届会议修正的建议草案可为法律、社会和经济制度不同的国家的仲裁机构和其他有关机构接受,能够大大促进建立一个公平高效地解决国际商事争议的统一法律框架,并能够大大促进和谐国际经济关系的发展,
“1. Adopts the recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010;“1. 通过关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的《建议》;
“2. Recommends the use of the recommendations in the settlement of disputes arising in the context of international commercial relations;“2. 建议在解决国际商业关系中产生的争议时采用《建议》;
“3. Requests the Secretary-General to transmit the recommendations broadly to Governments with the request that they be made available to arbitral institutions and other interested bodies so that the recommendations become widely known and available;“3. 请秘书长向各国政府广泛传发《建议》,并请求将《建议》分发给各仲裁机构和其他有关机构,使《建议》广为人知,可普遍查取,
“4. Also requests the Secretary-General to publish the recommendations, including electronically, and to make every effort to ensure that they become generally known and available.”“4. 还请秘书长发表《建议》,包括以电子形式予以发表,并尽全力确保《建议》广为人知,可普遍查取。
V. Arbitration and conciliation” 五. 仲裁和调解
A. Progress report of Working Group IIA. 第二工作组进度报告
65. In accordance with a decision of the Commission at its forty-third session, in 2010, Working Group II (Arbitration and Conciliation) commenced its work on the preparation of a legal standard on transparency in treaty-based investor-State arbitration at its fifty-third session, held in Vienna from 4 to 8 October 2010, and continued it at its fifty-fourth session, held in New York from 7 to 11 February 2011; its fifty-fifth session, held in Vienna from 3 to 7 October 2011; and its fifty-sixth session, held in New York from 6 to 10 February 2012.65. 根据委员会2010年第四十三届会议的一项决定,第二工作组(仲裁和调解)在2010年10月4日至8日于维也纳举行的第五十三届会议上着手拟订投资人与国家间基于条约的仲裁的透明度法律标准,并在2011年2月7日至11日于纽约举行的第五十四届会议、2011年10月3日至7日于维也纳举行的第五十五届会议以及2012年2月6日至10日于举行的第五十六届会议上继续开展这项工作。
66. At its current session, the Commission had before it the reports of the Working Group on its fifty-fifth and fifty-sixth sessions (A/CN.9/736 and A/CN.9/741, respectively).66. 在本届会议上,委员会收到了工作组第五十五届和五十六届会议的报告(分别是(A/CN.9/736和A/CN.9/741)。
The Commission noted that the Working Group, at its fifty-fifth session, had completed its first reading of the draft legal standard on transparency in treaty-based investor-State arbitration, on the basis of notes prepared by the Secretariat (A/CN.9/WG.II/WP.166 and Add.1 and A/CN.9/WG.II/WP.167).委员会注意到,工作组第五十五届会议以秘书处编写的说明(A/CN.9/WG.II/WP.166和Add.1,A/CN.9/WG.II/WP.167)为基础,完成了对投资人与国家间基于条约的仲裁的透明度法律标准草案的一读。
The Commission also noted, that, at its fifty-sixth session, the Working Group had commenced its second reading of the draft legal standard, on the basis of notes prepared by the Secretariat (A/CN.9/WG.II/WP.169 and Add.1 and A/CN.9/WG.II/WP.170 and Add.1).委员会还注意到,工作组第五十六届会议以秘书处编写的说明(A/CN.9/ WG.II/WP.169和Add.1,A/CN.9/WG.II/WP.170和Add.1)为基础,开始了对法律标准草案的二读。
67. The Commission commended the Secretariat for the quality of the documentation prepared for the Working Group.67. 委员会称赞秘书处为工作组编写的文件的质量。
Concerns were voiced about the progress of the Working Group because discussions at its fifty-sixth session on article 1 of the draft rules had focused mainly on the scope of application of the rules on transparency, which some delegations described as merely a matter of form (see A/CN.9/741, paras. 13-102).会上对工作组的进度表示关切,因为工作组第五十六届会议关于规则草案第1条的讨论主要侧重于透明度规则的适用范围,一些代表团称适用范围不过是形式问题(A/CN.9/741,第13-102段)。
Some delegations asked that the Working Group should be requested to finish its work for consideration by the Commission at its forty-sixth session.有些代表团要求应当请工作组完成其工作供委员会第四十六届会议审议。
In response, it was said that the decision on the scope of application was a very complex and delicate issue and not merely a matter of form, as it would have an impact on the content of the rules.对此,指出有关适用范围的决定是一个极其复杂和棘手的问题,而不仅仅是形式问题,因为这个问题将对规则的内容产生影响。
The complexity of the matter could be ascertained by reading paragraph 59 of the report of the Working Group on its fifty-sixth session.阅读一下工作组第五十六届会议报告第59段,就可以确定该问题的复杂性。
It was said that bridging the gap between the different opinions in the Working Group on the scope of applicability would require creative solutions and that the Working Group should not be rushed unnecessarily.会上指出,弥合工作组内在适用范围上的分歧,需要创造性的解决办法,而不应不必要地催促工作组。
68. It was pointed out that the matter of applicability of the rules on transparency under existing and future investment treaties were complex and delicate issues and should be carefully considered.68. 会上指出,透明度规则对现有和今后条约的适用性问题是复杂和棘手的问题,应当认真加以审议。
Those were matters of treaty interpretation, and it was re-emphasized that, when creating delegations to the Working Group sessions devoted to that project, member States and observers should seek to achieve the highest level of expertise in treaty law and treaty-based investor-State arbitration.这些问题属于条约解释问题,会上再次强调,在组成参加专门讨论这个项目的工作组届会的代表团时,成员国和观察员应力求代表团成员在条约法以及投资人与国家间基于条约的仲裁方面达到最高专业水准。
69. The Commission reaffirmed the importance of ensuring transparency in treaty-based investor-State arbitration, as highlighted at its forty-first session, in 2008, and at its forty-fourth session, in 2011, and urged the Working Group to pursue its efforts and to complete its work on the rules on transparency for consideration by the Commission, preferably at its forty-sixth session.69. 委员会重申其2008年第四十一届会议和2011年第四十四届会议强调的确保投资人与国家间基于条约的仲裁的透明度的重要性,并敦促工作组继续努力,以便完成透明度规则工作供委员会审议,最好是在委员会第四十六届会议上审议。
B. Future work in the field of settlement of commercial disputesB. 今后在解决商事争议领域的工作
70. The Commission recalled its agreement at its forty-fourth session, in 2011, that the 1996 UNCITRAL Notes on Organizing Arbitral Proceedings needed to be updated pursuant to the adoption of the 2010 UNCITRAL Arbitration Rules.70. 委员会回顾其2011年第四十四届会议达成的一致意见,即由于2010年《贸易法委员会仲裁规则》已获通过,需要修订1996年《贸易法委员会关于安排仲裁程序的说明》。
At its current session, it was suggested that the Working Group should receive a mandate to that end.在本届会议上,建议工作组应得到这方面的任务授权。
After discussion, the Commission confirmed that the Secretariat should undertake the revision of the Notes as its next task in the field of dispute settlement, as previously decided by the Commission.经过讨论,委员会确认如其以前所决定,秘书处应着手修订该《说明》,作为在争议解决领域的下一项任务。
The Commission agreed to decide at a future session whether the draft revised Notes should be first examined by the Working Group before being considered by the Commission.委员会商定,将在今后一届会议上就《说明》修订本草案是否在委员会审议之前先由工作组审查作出决定。
VI. Online dispute resolution:六. 网上争议解决:
progress report of Working Group III第三工作组进度报告
71. The Commission recalled its previous discussions of online dispute resolution and expressed its appreciation for the progress made by its Working Group III (Online Dispute Resolution), as reflected in the reports of the Working Group on its twenty-fourth and twenty-fifth sessions (A/CN.9/739 and A/CN.9/744, respectively).71. 委员会回顾了之前就网上争议解决进行的讨论,并赞赏第三工作组(网上争议解决)取得的进展,工作组第二十四届和第二十五届会议报告(分别为A/CN.9/739和A/CN.9/744)反映了进展情况。
The Commission commended the Secretariat for the working papers and reports prepared for those sessions.委员会赞扬秘书处为这些届会编写的工作文件和报告。
72. The Commission recalled that, at its forty-fourth session, in 2011, it had reaffirmed the mandate of the Working Group relating to cross-border business-to-business and business-to-consumer electronic transactions.72. 委员会回顾,委员会2011年第四十四届会议再次确认了工作组与企业对企业和企业对消费者跨境电子交易有关的任务授权。
At that session, the Commission had decided that in general terms, in the implementation of its mandate, the Working Group should also consider specifically the impact of its deliberations on consumer protection and that it should report to the Commission at its forty-fifth session.在该届会议上,委员会决定,一般来说,工作组在履行其任务时,还应特别考虑到所进行的审议对消费者保护的影响,并向委员会第四十五届会议提出报告。
73. At its current session, the Commission noted the progress that had been made in respect of the Working Group’s continued deliberations on the draft procedural rules on dispute resolution for cross-border electronic transactions.73. 在本届会议上,委员会注意到工作组继续在审议跨境电子交易争议解决程序规则草案方面取得进展。
The Commission took note of the Working Group’s decision to restructure the commencement provisions of article 4 of the draft rules and to reconsider those provisions at a future meeting.委员会注意到,工作组决定调整规则草案第4条有关启动的条文的结构,并在今后一次会议上重新审议这些条文。
The Commission further noted that the Working Group intended, upon completing its initial review of the draft rules, to consider the principles that ought to apply to online dispute resolution providers and neutrals.委员会还注意到,工作组打算在完成对规则草案的初步审查之后审议应当适用于网上争议解决机构和中立人的原则。
74. In response to the Commission’s request that the Working Group report on the impact of its deliberations on consumer protection, the Commission took note of the Working Group’s mindfulness of consumer protection issues throughout its deliberations, as well as the perceived benefits of online dispute resolution in promoting interaction and economic growth within and between regions, including in post-conflict situations and in developing countries.74. 针对委员会请工作组报告其审议工作对消费者保护的影响,委员会还注意到工作组在审议过程中始终注意消费者保护问题,以及网上争议解决在促进区域内和区域间互动和经济增长方面的预期益处,包括对冲突后局势和发展中国家的益处。
Views were expressed that the Working Group had not yet fully reported to the Commission on the effects on consumer protection, especially when the consumer was the respondent in a dispute.有与会者认为,工作组尚未向委员会充分报告对消费者保护产生的影响,特别是如果消费者是争议中的被申请人的话。
Views were also expressed that the report of the Working Group to the Commission was sufficient in that regard.还有与会者认为,工作组对委员会的报告在这方面是充分的。
75. It was pointed out that it was important to build confidence for consumers and vendors in developing and developed countries and in post-conflict situations and that small businesses would not be able to seek redress in their own States against foreign consumers.75. 会上指出,重要的是在发展中国家和发达国家以及冲突后局势中建立消费者和商家的信心,并且小企业不能在本国对外国消费者提出补救要求。
76. Views were expressed that a global system for online dispute resolution must provide for final and binding decisions by way of arbitration and that such a system would be of great benefit to developing countries and countries in post-conflict situations for the following reasons:76. 会上认为全球网上争议解决系统必须允许以仲裁方式作出有约束力的终局裁决,这样的系统将给发展中国家和冲突后局势下国家带来很大益处,原因有以下几点:
(a) It would improve access to justice by providing an efficient, low-cost and reliable method of dispute resolution where, in many cases, trusted and functioning judicial mechanisms did not exist to deal with disputes arising from cross-border electronic commerce transactions;(a) 这将通过提供高效、低费和可靠的争议解决办法,增进获得公平处理的机会,因为在许多情况下都不存在可被信任和运作良好的司法机制来处理跨境电子商务交易产生的争议;
(b) That in turn would contribute to economic growth and the expansion of cross-border commerce, instilling confidence in parties to such transactions that their disputes could be handled in a fair and timely manner;(b) 反过来这将有助于经济增长和跨境商务发展,使此类交易的当事人对其争议得到公平、及时的处理抱有信心;
(c) It would enable greater access to foreign markets for small and medium-sized enterprises in developing countries and, in the event of a dispute, mitigate their disadvantage when dealing with more commercially sophisticated parties in other countries that had access to greater legal and judicial resources.(c) 这将使发展中国家的中小型企业有更多机会进入外国市场,并在产生争议时,减少它们在与其他国家可得到更多法律和司法资源并且商业上更老练的当事人打交道时的劣势。
77. The following views were also expressed:77. 会上还提出下列看法:
(a) As regards business-to-consumer disputes, a system involving binding decisions, to the extent it removed a party’s access to national courts, would detract from the rights of consumers;(a) 关于企业对消费者的争议,当涉及有约束力裁决的系统可以取消当事人诉诸国内法院的权利时,就有可能偏离消费者权利;
(b) If the online dispute resolution rules provided for arbitration for business-to-consumer disputes, problems would arise at the stage of recognition and enforcement of online dispute resolution decisions in that the process did not provide for the requisites for enforcement by way of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York on 10 June 1958;(b) 如果网上争议解决规则就企业对消费者争议的仲裁作出规定,在网上争议解决裁决的承认和执行阶段可能产生问题,因为该程序并未就按照1958年6月10日在纽约订立的《承认及执行外国仲裁裁决公约》予以强制执行的必要条件作出规定;
(c) A suitable approach could be to make decisions binding upon only companies or sellers and not upon consumers.(c) 一种合适的做法是使裁决仅对公司或卖方有约束力,而不对消费者有约束力。
78. Other suggestions were that consideration should be given to fixing a range of maximum values for disputed transactions dealt with by online dispute resolution, based on the type or category of transaction at issue (airfares were given as an example of a higher-cost purchase) and that the Rules should offer parties a choice of forum.78. 其他建议有,应当基于所涉交易的类别或种类,考虑确定网上争议解决所处理的有争议交易的最大价值范围(机票被作为成本较高交易的例子),另外,《规则》应向各方当事人提供诉讼方式选择。
79. After discussion, the Commission decided that:79. 经过讨论,委员会决定如下:
(a) The Working Group should consider and report back at a future session of the Commission on how the draft rules would respond to the needs of developing countries and those facing post-conflict situations, in particular with regard to the need for an arbitration phase to be part of the process;(a) 工作组应当审议规则草案如何响应发展中国家和面临冲突后局势国家的需要,尤其是对于将仲裁阶段作为程序的一部分的需要,并就此向委员会今后届会提出报告;
(b) The Working Group should continue to include in its deliberations the effects of online dispute resolution on consumer protection in developing and developed countries and countries in post-conflict situations, including in cases where the consumer was the respondent party in an online dispute resolution process;(b) 工作组应当继续将网上争议解决在发展中国家和发达国家以及冲突后局势下国家对消费者保护的影响问题列入其审议工作,包括消费者在网上争议解决程序中是被申请人的情形;
(c) The Working Group should continue to explore a range of means of ensuring that online dispute resolution outcomes were effectively implemented, including arbitration and possible alternatives to arbitration;(c) 工作组应当继续探讨确保网上争议解决的结果得到有效执行的一系列方式,包括仲裁以及可能的仲裁替代办法;
(d) The mandate of the Working Group on online dispute resolution in respect of low-value, high-volume cross-border electronic transactions was reaffirmed, and the Working Group was encouraged to continue to conduct its work in the most efficient manner possible.(d) 重申第三工作组对于涉及价值低、数量大的跨境电子交易的网上争议解决的任务授权,并鼓励工作组继续尽可能高效地开展工作。
VII. Electronic commerce:七. 电子商务:
progress report of Working Group IV第四工作组进度报告
80. The Commission recalled that at its forty-fourth session, in 2011, it had mandated Working Group IV (Electronic Commerce) to undertake work in the field of electronic transferable records.80. 委员会回顾其2011年第四十四届会议授权第四工作组(电子商务)在电子可转让记录领域开展工作。
It was further recalled that the Commission had noted that such work might include certain aspects of other topics, such as identity management, the use of mobile devices in electronic commerce and electronic single window facilities.还回顾委员会注意到这项工作可能包括其他议题的某些方面,如身份管理、电子商务中使用移动设备以及电子单一窗口设施。
81. At its current session, the Commission noted that the Working Group had commenced its work in the field of electronic transferable records at its forty-fifth session, held in Vienna from 10 to 14 October 2011.81. 在本届会议上,委员会注意到工作组在2011年10月10日至14日于维也纳举行的第四十五届会议上已着手进行电子可转让记录领域的工作。
It was also noted that the forty-sixth session of the Working Group, which had been scheduled to take place either in New York from 13 to 17 February 2012 or in Vienna from 9 to 13 January 2012, had had to be cancelled to allow the Secretariat to gather the information needed for the preparation of the necessary working documents, as well as owing to the uncertainty that had existed until the end of 2011 regarding the retention of the alternating pattern of UNCITRAL meetings.还注意到原定于2012年2月13日至17日在纽约或2012年1月9日至13日在维也纳举行的工作组第四十六届会议不得不取消,以便于秘书处收集编写必要的工作文件所需要的资料,另一个原因是直至2011年底在保留贸易法委员会两地交替举行会议方式方面仍然存在不确定性。
82. The Commission expressed its appreciation to the Working Group for the progress made, as reflected in the report on its forty-fifth session (A/CN.9/737) and commended the Secretariat for its work.82. 委员会对第四工作组取得的进展表示赞赏,工作组第四十五届会议报告(A/CN.9/737)反映了进展情况,并赞扬秘书处所做的工作。
83. While it was noted that consultations had evidenced no business demand for electronic transferable records in one State, owing partly to the perceived risks of abuse, it was also noted that consultations were ongoing in other States.83. 尽管注意到磋商表明某个国家对于电子可转让记录没有商业需求,部分原因是预期的滥用风险,但是也注意到其他国家正在进行协商。
There was general support for the Working Group continuing its work on electronic transferable records.普遍支持工作组继续就电子可转让记录开展工作。
In that context, the desirability of identifying and focusing on specific types of or specific issues related to electronic transferable records was urged.在这方面,敦促应当专心处理与电子可转让记录有关的具体几类或具体几个问题。
The need for an international regime to facilitate the cross-border use of electronic transferable records was emphasized.强调需要有一种促进跨境使用电子可转让记录的国际制度。
84. The Commission was informed that, for the forty-sixth session of the Working Group, the Governments of Colombia, Spain and the United States had transmitted a paper setting out the current practices on electronic transferable records and related business needs.84. 委员会获悉,哥伦比亚、西班牙和美国三国政府转交了一份文件,供工作组第四十六届会议审议,其中介绍了电子可转让记录方面的当前做法和有关商业需要。
85. The Commission took note of other developments in the field of electronic commerce.85. 委员会还注意到电子商务领域的其他进展。
It welcomed Economic and Social Commission for Asia and the Pacific (ESCAP) resolution 68/3, on enabling paperless trade and the cross-border recognition of electronic data and documents for inclusive and sustainable intraregional trade facilitation, adopted by ESCAP at its sixty-eighth session, held in Bangkok from 17 to 23 May 2012.委员会欢迎亚洲及太平洋经济社会委员会(亚太经社会)2012年5月17日至23日在曼谷举行的第六十八届会议通过的关于推进无纸贸易和跨境确认电子数据和单据以实现包容性的和可持续的区域内贸易便利化的第68/3号决议。
The Commission noted that, in that resolution, ESCAP encouraged all members and associate members of ESCAP to take into account, and whenever possible adopt, available international standards prepared by relevant United Nations bodies, such as UNCITRAL and other international organizations, to facilitate the interoperability of such systems.委员会注意到该决议鼓励亚太经社会所有成员和准成员考虑并尽可能采用相关联合国机构如贸易法委员会和其他国际组织制定的现有国际标准,以促进此种系统的互操作性。
UNCITRAL requested the Secretariat to work closely with ESCAP, including through the UNCITRAL Regional Centre for Asia and the Pacific.贸易法委员会请秘书处与亚太经社会密切合作,包括通过贸易法委员会亚洲及太平洋区域中心进行合作。
86. With respect to legal issues relating to electronic single window facilities, the Commission welcomed the ongoing cooperation between its secretariat and other organizations.86. 关于与电子单一窗口设施有关的法律问题,委员会欢迎委员会秘书处与其他组织正在进行的合作。
In particular, the Commission welcomed “Electronic single window legal issues: a capacity-building guide”, prepared jointly by the United Nations Network of Experts for Paperless Trade in Asia and the Pacific (UNNExT), ESCAP and the Economic Commission for Europe (ECE), with substantive contribution from the UNCITRAL secretariat.委员会尤其欢迎联合国亚洲及太平洋无纸贸易专家网络(联合国无纸贸易专家网)、亚太经社会和欧洲经济委员会(欧洲经委会)共同编写的“电子单一窗口法律问题: 能力建设指南”,贸易法委员会秘书处为此作出了实质性贡献。
87. The Commission took note of a statement by the secretariat of the World Customs Organization in which it noted the growing importance of single window facilities for trade facilitation, including at the cross-border level and with respect to business-to-business exchanges and welcomed the contribution of the Commission in establishing related legal standards.87. 委员会还注意到海关组织秘书处的发言。 海关组织秘书处在发言中指出,单一窗口设施对于贸易便利化越来越重要,包括在跨境级别以及在企业对企业交换方面,并欢迎委员会在制定相关法律标准方面作出的贡献。
In its statement, the secretariat also noted the progress of the work of the Working Group on electronic transferable records and stressed the importance of the availability of those records in order to increase the quality of the data submitted to single window facilities, and therefore of a uniform predictable legal framework to facilitate that submission.海关组织秘书处在发言中还注意到第四工作组在电子可转让记录方面的工作进展,强调提供这些记录非常重要,有利于提高向单一窗口设施提供的数据的质量,因此便利此种提交的可预测的统一法律框架也非常重要。
Finally, the secretariat welcomed the role of the Commission in coordinating the various bodies active in the field of legal standards for electronic commerce, thus preparing a harmonized legal framework able to complement similar efforts taking place at the technical level.最后,海关组织秘书处欢迎委员会发挥作用,协调活跃在电子商务法律标准领域的各种机构,从而拟订出能够与技术层面所作类似努力互补的统一的法律标准。
88. The Commission was informed about recent developments regarding cooperation between UNCITRAL and the United Nations Centre for Trade Facilitation and Electronic Business (CEFACT), with particular regard to CEFACT draft recommendation No. 37 on Signed Digital Document Interoperability.88. 会上向委员会通报了贸易法委员会与联合国贸易便利和电子商务中心(联合国电子商务中心)合作的最新进展情况,其中特别涉及联合国电子商务中心关于签名数字文件互操作性的第37号建议草案。
In that regard, the Commission took note of the decision by CEFACT at its eighteenth session, held in Geneva from 15 to 17 February 2012, to initiate work to establish a framework for the ongoing governance of digital signature interoperability in coordination with UNCITRAL, the International Organization for Standardization (ISO) and other relevant organizations.在这方面,委员会注意到联合国电子商务中心2012年2月15日至17日在日内瓦举行的第十八届会议关于与贸易法委员会、国际标准化组织(标准化组织)以及其他有关组织协调着手为当前的数字签名互操作性管理工作制定一个框架的决定。
The Commission requested the Secretariat to take appropriate steps to cooperate with CEFACT, possibly involving the Working Group.委员会请秘书处采取适当措施与联合国电子商务中心开展合作,可能情况下让工作组参与进来。
89. With respect to legal issues relating to identity management, the Commission was informed that ABA had submitted a paper for possible discussion at the forty-sixth session of the Working Group in which it provided an overview of identity management, its role in electronic commerce and relevant legal issues, as well as barriers.89. 关于与身份管理有关的法律问题,委员会获悉美国律师协会提交一份文件,供工作组第四十六届会议视可能进行讨论,该协会在文件中介绍了身份管理概况、身份管理在电子商务中的作用、相关法律问题以及障碍。
90. After discussion, the Commission reaffirmed the mandate of the Working Group relating to electronic transferable records and requested the Secretariat to continue reporting on relevant developments relating to electronic commerce.90. 经过讨论,委员会再次确认了第四工作组与电子可转让记录有关的任务授权,并请秘书处继续报告电子商务方面的相关发展情况。
VIII. Insolvency law:八. 破产法:
progress report of Working Group V第五工作组进度报告
91. The Commission recalled that, at its forty-third session, in 2010, it had endorsed the recommendation by its Working Group V (Insolvency Law) contained in document A/CN.9/691, paragraph 104, that activity be initiated on two topics, both of which were of current importance and where a greater degree of harmonization of national approaches would be beneficial in delivering certainty and predictability.91. 委员会回顾,委员会2010年第四十三届会议核可了载于A/CN.9/691号文件第104段的第五工作组(破产法)的建议,即应当开始就两个议题开展活动,这两个议题都具有现实意义,提高各国办法的统一程度将有助于提供确定性和可预见性。
Those topics were:这两个议题是:
(a) guidance on the interpretation and application of selected concepts of the UNCITRAL Model Law on Cross-Border Insolvency relating to centre of main interests and possible development of a model law or provisions on insolvency law addressing selected international issues, such as jurisdictions, access and recognition, in a manner that would not preclude the development of a convention; and (b) responsibility of directors of an enterprise in the period approaching insolvency.(a)就《贸易法委员会跨国界破产示范法》中与主要利益中心有关的某些概念的解释和适用提供指导,在可能的情况下拟订关于管辖权、介入和承认等某些特定国际问题的示范法或破产法规定,其形式将不排除制定一项公约;(b)企业濒临破产期间董事的责任。
92. The Working Group commenced its work on both topics at its thirty-ninth session, held in Vienna from 6 to 10 December 2010, and continued its deliberations at its fortieth session, held in Vienna from 31 October to 4 November 2011, and forty-first session, held in New York from 30 April to 4 May 2012.92. 工作组在2010年12月6日至10日于维也纳举行的第三十九届会议上着手进行这两项议题的工作,在2011年10月31日至11月4日于维也纳举行的第四十届会议和2012年4月30日至5月4日于纽约举行的第四十一届会议上继续进行审议。
The Commission had before it the reports of the Working Group on the work of its fortieth and forty-first sessions (A/CN.9/738 and A/CN.9/742, respectively).委员会收到了工作组第四十届和第四十一届会议的报告(分别为A/CN.9/738和A/CN.9/742)。
93. At its current session, the Commission noted the progress that had been made with respect to both topics mentioned in paragraph ‎91 above and that the work on topic (a) was well advanced and might be completed in time for consideration and adoption by the Commission at its forty-sixth session, in 2013.93. 在本届会议上,委员会注意到上文第91段提到的两项议题所取得的进展,关于议题(a)的工作已相当深入,有可能及时完成,提交委员会2013年第四十六届会议审议和通过。
The Commission also noted that, while that work would take the form of revisions to the Guide to Enactment of the UNCITRAL Model Law on Cross-Border Insolvency, it would not change the text of the Model Law itself, but rather provide guidance on its use and interpretation.委员会还注意到,虽然该项工作将采取对《贸易法委员会跨国界破产示范法颁布指南》进行修订的形式,但修订工作不会改变《示范法》条文本身,而是就其使用和解释提供指导。
94. The Commission further noted that, while the Working Group had considered the possibility of adding material on enterprise groups to the Guide to Enactment of the UNCITRAL Model Law on Cross-Border Insolvency, notwithstanding that the Model Law did not apply to enterprise groups as such, it had been agreed that references could be included to part three of the UNCITRAL Legislative Guide on Insolvency Law, which specifically addressed the treatment of enterprise groups.94. 委员会进一步注意到,虽然《贸易法委员会跨国界破产示范法》不适用于企业集团,但工作组审议了《贸易法委员会跨国界破产示范法颁布指南》增加关于企业集团的材料的可能性,工作组商定,相关的参考材料可以列入《贸易法委员会破产法立法指南》的第三部分,该部分专门论述对企业集团的处理。
95. The Commission expressed its appreciation for the progress made by the Working Group, as reflected in the reports on its fortieth and forty-first sessions, and commended the Secretariat for the excellent working papers and reports prepared for those sessions.95. 委员会对工作组取得的进展表示赞赏,工作组第四十届和第四十一届会议报告反映了进展情况,并赞扬秘书处为这两届会议编写的优质工作文件和报告。
96. The Commission further considered an issue relating to the draft text on topic (a) in paragraph 91 above that had been discussed by the Working Group at its forty-first session (A/CN.9/742, paras. 12-72).96. 委员会进一步审议了工作组第四十一届会议已讨论过的(A/CN.9/742,第12-72段)关于上文第91段所述议题(a)的案文草案的一个相关问题。
That text drew upon material contained in the UNCITRAL Model Law on Cross-Border Insolvency:该案文借鉴了委员会2011年第四十四届会议通过的《贸易法委员会跨国界破产示范法:
the Judicial Perspective, adopted by the Commission at its forty-fourth session, in 2011.司法角度的审视》所载材料。
To the extent that the text currently being developed by the Working Group built upon and revised material included in the Judicial Perspective, in particular with respect to the interpretation and application of “centre of main interests”, the Commission agreed that the Judicial Perspective should be revised in parallel with the current work of the Working Group to ensure consistency and, if possible, should be submitted to the Commission for adoption at the same time as the new text on topic (a) in paragraph 91 above.关于工作组目前拟订的案文,委员会商定,凡是其中对《司法角度的审视》所载材料有所借鉴和修订的,特别是关于“主要利益中心”的解释和适用的内容,都应在进行工作组目前工作的同时,一并对《司法角度的审视》加以修订,以确保一致性,如有可能,应当在提交关于上文第91段所述议题(a)的新案文的同时,将《司法角度的审视》提交委员会通过。
IX. Security interests:九. 担保权益:
progress report of Working Group VI第六工作组进度报告
97. The Commission recalled its previous discussions on the preparation of a text on the registration of security rights in movable assets.97. 委员会回顾了之前就拟订一份关于动产担保权登记的文书进行的讨论。
At its current session, the Commission had before it the reports of Working Group VI (Security Interests) on the work of its twentieth session, held in Vienna from 12 to 16 December 2011, and its twenty-first session, held in New York from 14 to 18 May 2012 (A/CN.9/740 and A/CN.9/743, respectively).在本届会议上,委员会收到了第六工作组(担保权益)关于该工作组2011年12月12日至16日在维也纳举行的第二十届会议和2012年5月14日至18日在纽约举行第二十一届会议的工作报告(分别为A/CN.9/740和A/CN.9/743)。
98. The Commission noted that, at its twentieth session, the Working Group had agreed that the text being prepared should take the form of a guide (the draft Registry Guide), with commentary and recommendations along the lines of the UNCITRAL Legislative Guide on Secured Transactions and, where the draft Registry Guide offered options, provide examples of model regulations in an annex (A/CN.9/740, para. 18).98. 委员会注意到,工作组第二十届会议已商定所拟订的文书应采取指南形式(登记处指南草案),并附有评注和建议,与《贸易法委员会担保交易立法指南》大体一致,如果登记处指南草案提供了备选办法,则在附件中列出示范条例的示例(A/CN.9/740,第18段)。
It was also noted that the Working Group had agreed that the draft Registry Guide should be presented as a separate, stand-alone, comprehensive text that would be consistent with the Secured Transactions Guide.还注意到,工作组已商定登记处指南草案应作为单独、自成一体、全面的案文呈现,将与《担保交易指南》相一致。
99. The Commission further noted that the Working Group, at its twenty-first session, had approved the substance of the recommendations of the draft Registry Guide, as well as examples of registration forms.99. 委员会进一步注意到,工作组第二十一届会议已核准了登记处指南草案各项建议的实质内容,以及登记表格的示例。
It was noted that the Working Group had agreed that the draft Registry Guide should be finalized and submitted to the Commission for adoption at its forty-sixth session, in 2013 (A/CN.9/743, para. 73).注意到工作组商定应当最后审定登记处指南草案并提交委员会2013年第四十六届会议通过(A/CN.9/743,第73段)。
100. The Commission expressed its appreciation to the Working Group for the considerable progress achieved in its work and to the Secretariat for its efficient support.100. 委员会对工作组在工作中取得的可观进展和秘书处提供的有力支持表示赞赏。
The Commission requested the Working Group to proceed with its work expeditiously and to complete its work so that the draft Registry Guide would be submitted to the Commission for final approval and adoption at its forty-sixth session, in 2013.委员会请工作组从速进行并完成其工作,以便将登记处指南草案提交委员会2013年第四十六届会议最后核准和通过。
101. As to future work, the Commission noted that the Working Group, at its twenty-first session, had agreed to propose to the Commission that the Working Group should develop a model law on secured transactions based on the general recommendations of the Secured Transactions Guide and consistent with all the texts prepared by UNCITRAL on secured transactions.101. 关于今后的工作,委员会注意到,工作组第二十一届会议商定向委员会提议,授权工作组以《担保交易指南》各项一般建议为基础制定一部担保交易示范法,其内容与贸易法委员会拟订的关于担保交易的所有文书相一致。
It was also noted that the Working Group had agreed to propose to the Commission that the topic of security rights in non-intermediated securities should be retained on its work agenda and be considered at a future session (A/CN.9/743, para. 76).还注意到,工作组商定向委员会提议,非代持证券担保权问题应当保留在工作组工作议程上并在其今后届会上加以审议(A/CN.9/743,第76段)。
102. The Commission recalled that, at its forty-third session, in 2010, it had agreed that the topics mentioned above should be retained in the programme of the Working Group for further consideration by the Commission at a future session.102. 委员会回顾,委员会2010年第四十三届会议商定,上述议题应当保留在工作组的方案中,供委员会今后届会审议。
In that context, the Commission considered the proposals by the Working Group.委员会就此审议了工作组的提议。
103. It was widely felt that a simple, short and concise model law on secured transactions could usefully complement the Secured Transactions Guide and would be extremely useful in addressing the needs of States and in promoting implementation of the Secured Transactions Guide.103. 普遍认为,一部简明扼要的担保交易示范法可有助于补充《担保交易指南》,并将非常有助于解决各国的需要和推广使用《担保交易指南》。
While a concern was expressed that a model law might limit the flexibility of States to address the local needs of their legal traditions, it was generally viewed that a model law could be drafted in a sufficiently flexible manner to adapt to various legal traditions.虽然有人担心示范法可能限制各国灵活处理本国法律传统的具体需要,但普遍认为能够充分灵活地拟订示范法,使之可以根据不同的法律传统加以调整。
Moreover, there was support for the idea that a model law could greatly assist States in addressing urgent issues relating to access to credit and financial inclusion, in particular for small and medium-sized enterprises.另外,还支持这样的想法,即示范法可极大地有助于各国处理与特别是中小型企业取得信贷和金融普惠相关的紧迫问题。
104. As to the topic of security rights in non-intermediated securities, it was widely felt that the topic merited further consideration.104. 关于非代持证券的担保权问题,普遍认为这个议题值得进一步审议。
The Commission noted that non-intermediated securities, in the sense of securities other than those credited to a securities account, were used as security for credit in commercial financing transactions yet were excluded from the scope of the Secured Transactions Guide (see recommendation 4, subparas. (c)-(e) of the Guide), the 2009 Unidroit Convention on Substantive Rules for Intermediated Securities and the 2006 Convention on the Law Applicable to Certain Rights in Respect of Securities Held with an Intermediary.委员会注意到,非代持证券意指那些并未贷记在证券账户上的证券,这些证券在商业融资交易中被用作信贷担保,但却被排除在《担保交易指南》(见《指南》建议4,(c)-(e)项)、2009年《统法协会代持证券实体规则公约》和2006年《中介人代持证券所涉某些权利准据法公约》的范围之外。
105. After discussion, the Commission agreed that, upon its completion of the draft Registry Guide, the Working Group should undertake work to prepare a simple, short and concise model law on secured transactions based on the general recommendations of the Secured Transactions Guide and consistent with all texts prepared by UNCITRAL on secured transactions.105. 经讨论后,委员会一致认为,工作组完成登记处指南草案之后应当立即开始下一步工作,以《担保交易指南》各项一般建议为基础,拟订一部简明扼要的担保交易示范法,其内容与贸易法委员会拟订的关于担保交易的所有文书相一致。
It was also agreed that, consistent with the Commission’s decision at its forty-third session, in 2010 (see para. 102 above), the topic of security rights in non-intermediated securities, in the sense of securities other than those credited in a securities account, should continue to be retained on the future work programme for further consideration, on the basis of a note to be prepared by the Secretariat, which would set out all relevant issues so as to avoid any overlap or inconsistency with texts prepared by other organizations.还商定,按照委员会2010年第四十三届会议的决定(见上文第102段),非代持证券意指那些并未贷记在证券账户上的证券,这些证券的担保权问题应当继续保留在今后的工作方案上供进一步审议,审议将以秘书处拟编写的说明为基础,其中将列出所有相关问题,以避免与其他组织所拟订的文本发生任何重叠或不一致。
X. Possible future work in the area of public procurement and related areas十. 今后可能在公共采购和相关领域开展的工作
106. The Commission had before it a note by the Secretariat on possible future work in the areas of procurement and infrastructure development (A/CN.9/755).106. 委员会收到了秘书处关于今后在采购和基础设施发展领域中可能开展的工作的说明(A/CN.9/755)。
The Commission also heard a statement of the observer for the Vale Columbia Centre on Sustainable International Investment about the work of the Centre, in particular its empirical research into infrastructure development and public-private partnerships, which could be made available to the Commission.委员会还听取了维尔—哥伦比亚大学可持续国际投资中心观察员关于该中心工作的发言,其中特别涉及该中心对基础设施发展和公私伙伴关系的实证研究,此项研究可以提供给委员会。
107. The understanding was that the final decision on the agenda item should be taken after the Commission had considered a note by the Secretariat on a strategic direction for UNCITRAL (A/CN.9/752; see paras. 228-232 below) and agenda items on possible future work in other areas of work (microfinance and international contract law) (see paras. ‎124-‎132 below).107. 会上的理解是,应当在委员会审议秘书处关于贸易法委员会战略方向的说明(A/CN.9/752;见下文第228-232段)以及关于今后可能在其他工作领域(小额金额和国际合同法)开展的工作的议程项目(见下文第124-132段)之后再就本议程项目作出最后决定。
The general view was that UNCITRAL should focus on areas in which the preparation of law (treaties or model laws) would be justified.普遍看法是,贸易法委员会应当侧重于有必要拟订法律(条约或示范法)的领域。
108. As regards the topics relating to possible future work in public procurement listed in document A/CN.9/755, the general view was that some of the topics identified did not lend themselves to treatment in a model law or other legal text; other topics might be appropriate for legislative development, but it would not be practical to reopen procurement-related issues at this time, given that the work on the 2011 Model Law and its Guide to Enactment had just been completed (see para. ‎46 above).108. 关于A/CN.9/755号文件中列出的与今后可能在公共采购方面开展的工作有关的议题,普遍看法是,其中确定的有些议题本身并不适合以示范法或其他法规的形式加以处理;其他议题虽然可能适合立法,但鉴于此时刚刚完成2011年《示范法》及其《颁布指南》的工作(见上文第46段),重开采购相关问题的讨论不切实际。
The view was expressed that the 2011 Model Law was in many respects ahead of existing procurement practices and legislation in a number of countries; it was therefore important for procurement practices and legislation to develop first to allow for the assessment of the 2011 Model Law and the need to amend it.会上认为,2011年《示范法》在许多方面都比一些国家的采购实务和法规超前;因此,重要的是先让采购实务和法规发展起来,然后才便于评价2011年《示范法》和对其加以修正的需要。
109. Specifically, the Commission was of the view that:109. 具体而言,委员会认为:
(a) Contract administration was an important area, but one in which providing information on best practices and capacity-building was more appropriate than the development of legal texts.(a) 合同管理是一个重要领域,但介绍这一领域的最佳做法或提供能力建设比制订法律文本更合适。
The question was raised whether the work of UNCITRAL in that area would be of added value, given the text that had already been issued by UNCITRAL on industrial contracts and the texts of other organizations, such as the International Federation of Consulting Engineers;还对贸易法委员会在这一领域中的工作能否增加任何价值提出疑问,因为贸易法委员会已经发布了关于工业合同的法规,而且诸如国际咨询工程师联合会等其他组织也发布了有关法规;
(b) Many issues with regard to procurement planning raised questions of public law (e.g. the budget law and regulations of a given State) that were outside the purview of UNCITRAL.(b) 采购规划提出的许多问题都涉及公法(如某一国家的预算法和条例),超出了贸易法委员会的权限。
The interest of some countries in an international model addressing procurement planning and the importance of proper procurement planning for the proper handling and outcome of the entire procurement process were, however, noted;不过,会上注意到有些国家对制订一部涉及采购规划的国际示范法所表示的兴趣以及适当的采购规划对于整个采购过程的适当处理和结果的重要性;
(c) Although issues of suspension and debarment were important legal matters that UNCITRAL could address, they were examples of issues that would not be appropriate to address through legislative work at this stage;(c) 虽然暂停资格和取消资格问题都是贸易法委员会可以着手处理的重要法律问题,但这样的问题都不适合在现阶段通过立法形式加以处理;
(d) Corporate compliance was not considered to be an issue that lent itself to work by UNCITRAL; it was considered to be an issue of good behaviour and best practice;(d) 公司守规问题被认为不是一个本身适合由贸易法委员会开展工作的问题;公司守规被认为是良好行为和最佳做法问题;
(e) Sufficiently flexible mechanisms were built into the 2011 Model Law to accommodate sustainability and environmental protection through public procurement, with the Guide providing guidance on how those mechanisms could be used.(e) 2011年《示范法》为在公共采购中顾及可持续性和环境保护规定了充分灵活的机制,而《指南》就如何使用这些机制提供了指导。
Generally, the preparation of further legal texts on those issues would not be justifiable; more detailed guidance on how the available mechanisms were to be used in practice might be necessary.就这些问题拟订进一步法规一般是没有必要的;就实践中如何使用现有机制提供更详细的指导可能是有必要的。
The importance of building the required capacity to use such mechanisms was noted.但指出重要的是建立使用此种机制的必要能力。
110. To accommodate the interest of States in some of the above topics, the Commission agreed to explore the possibility of issuing guidance papers (as opposed to any further legislative texts) on such topics as:110. 考虑到一些国家对上述某些问题的兴趣,委员会同意研究就下面一些问题发布指导文件(而不是任何进一步法规)的可能性:
(a) procurement planning; (b) measures that could be used by the public and private sectors to promote maximum competition in public procurement (e.g. mitigating risks of collusion and addressing issues of centralized procurement and difficulties with the access of small and medium-sized enterprises to public procurement, including those arising from the introduction of e-procurement); (c) specific recommendations to ensure harmonization between the 2011 Model Law and other branches of law (e.g. on corporations and environmental protection); (d) cost-benefit analyses and other considerations, such as infrastructure and capacity needed, in the use of procurement methods and techniques under the Model Law (poor results in the use of framework agreements in particular were reported); and (e) sustainability and environmental issues in public procurement.(a)采购规划;(b)公共部门和私营部门为促进公共采购最大竞争可使用的措施(例如,减少串通风险,处理集中采购以及中小型企业难以进入公共采购方面的问题,包括由于实行电子采购产生的问题);(c)就确保2011年《示范法》与其他法律分支的统一协调提出具体建议(例如,关于公司和环境保护);(d)使用《示范法》规定的采购方法和办法的成本效益分析及其他考虑,如所需要的基础设施和能力(有报告特别指出框架协议的使用效果不佳);(e) 公共采购的可持续性和环境问题。
111. The dissemination of and increasing the understanding of the 2011 Model Law and its Guide to Enactment were considered to be of utmost importance in order to achieve proper implementation, interpretation and use of the 2011 Model Law.111. 宣传和增进认识2011年《示范法》及其《颁布指南》被认为是对适当执行、解释和使用2011年《示范法》至关重要的。
The examples suggested of possible ways to do that included the publication of documents on the UNCITRAL website and the use of blogs and interactive online forums.就可能的方式提出的例子包括在贸易法委员会网站上公布文件、使用微博以及互动在线论坛。
The use of a network of national correspondents, as existed for the system for collecting and disseminating information on court decisions and arbitral awards relating to UNCITRAL texts (the CLOUT system), was mentioned as a further relevant tool.会上提到的另一种相关工具是利用收集和传播与委员会法规相关的法院判决和仲裁裁决信息的系统(贸易法委员会法规判例法系统)中现已存在的国家通讯员网络。
Further, establishing partnerships with organizations and experts familiar with the 2011 Model Law and capable of assisting the UNCITRAL secretariat with online and in-person training, teaching and technical assistance activities, as well as collection and dissemination of information about the use of the text, was considered essential in the light of the limited resources available in the UNCITRAL secretariat.另外,鉴于贸易法委员会秘书处可动用的资源有限,认为至关重要的是与熟悉2011年《示范法》并能协助秘书处进行网上培训和面授培训、教学及技术援助活动的组织和专家建立合作伙伴关系,并收集和传播关于《示范法》使用情况的信息。
Such activities would also allow the evaluation of the procurement systems of various jurisdictions; results of such evaluation would be used in the assessment of the need to make improvements to, for example, the Guide, and any suggestions for improvements would be brought to the attention of the Commission.此种活动还将有利于评估各个法域的采购系统,此种评估结果将用于评价是否需要对诸如《指南》作出改进,而且任何改进建议都将提请委员会注意。
In the light of experiences showing the difficulties that officials had encountered in seeking to implement the 1994 Model Law and to ensure that its provisions were appropriately followed in practice, the Commission was urged to support the effective implementation and use of the 2011 Model Law through such measures.鉴于经验表明政府官员在试图执行1994年《示范法》并确保其规定在实践中得到适当遵守时遇到种种困难,敦促委员会支持通过此种措施有效执行和使用2011年《示范法》。
112. Establishing a mechanism for sharing experiences and best practices was considered to be a part of work on monitoring the use of the 2011 Model Law.112. 建立经验和最佳做法分享机制被视为2011年《示范法》使用情况监测工作的组成部分。
An example of sharing best practices regarding harnessing the potential benefits of e-procurement described in document A/CN.9/WG.I/WP.79/Add.1, paragraphs 28-30, was provided to the Commission:A/CN.9/WG.I/WP.79/Add.1号文件第28-30段就分享利用电子采购潜在益处方面的最佳做法示例作了说明,该示例已提供给委员会:
in partnership with the United Nations Office on Drugs and Crime (the custodian of the United Nations Convention against Corruption), the Government of Nigeria had engaged in the development of an e-procurement system to reduce the possibility of corruption and abuse by removing human contact and enhancing transparency.尼日利亚政府与联合国毒品和犯罪问题办公室(《联合国反腐败公约》监护人)合作,正在开发一个电子采购系统,通过排除人员接触和提高透明度来降低发生腐败和舞弊的可能性。
113. After discussion, the Commission decided that it would not be possible to assess the need for guidance papers or decide the best manner of encouraging enactment of the 2011 Model Law and ensuring its optimum implementation, interpretation and use without a more in-depth understanding of the relevant activities and publications of other international and regional organizations, and individual States, in public procurement.113. 委员会经讨论后决定,不更加深入地了解其他国际组织和区域组织以及各个国家在公共采购方面的相关活动和出版物,就不可能对是否需要指导文件进行评估,也不可能就鼓励颁布2011年《示范法》并确保其得到最佳实施、解释和使用作出决定。
114. The Commission therefore instructed the Secretariat to undertake a study of (a) existing resources and publications of other bodies that might be made available to support the implementation, interpretation and use of the 2011 Model Law; (b) how to arrange ongoing collaboration with such other bodies; (c) topics that were not yet adequately covered and that might warrant guidance papers as suggested in paragraph ‎110 above; and (d) options for publishing and publicizing the various resources and papers themselves.114. 因此,委员会指示秘书处就下列方面开展研究: (a)其他机构可用来支持2011年《示范法》的实施、解释和使用的现有资源和出版物;(b)如何安排目前与这些其他机构的协作;(c)尚未得到充分处理、可能需要如上文第110段建议编拟指导文件的议题;(d)发表和公布各种资源和文件本身的可选办法。
The understanding was that such a study would be made available to the Commission at its forty-sixth session, in 2013, and that the study would also consider the extent to which such activities would be feasible and the extent to which additional resources would be necessary, given the need to review information received on the implementation, interpretation and use of the 2011 Model Law, translate necessary information and ensure consistency among any external resources referred to and the 2011 Model Law and its Guide.这里的理解是,这样一份研究报告将提供给委员会2013年第四十六届会议,研究报告还将考虑这些活动在多大程度上是可行的,以及在多大程度上需要补充资源,在此过程中顾及需要审查所收到的关于2011年《示范法》实施、解释和使用的资料,需要翻译必要资料,以及需要确保所参引的任何外部资源与2011年《示范法》的一致性。
The Commission was of the view that, after considering such a study, it would be in a position to assess the need for further work on any discrete topic.委员会认为,在审议该研究报告之后,将能够评估是否需要就任何个别议题开展进一步工作。
115. As regards possible future work in the area of public-private partnerships, it was suggested that developing a model law on public-private partnerships at the international level might be desirable in the light of the importance of the subject to developing countries; that the work in that area might in particular be justified in the light of the conclusions reached by States at the United Nations Conference on Sustainable Development, held in Rio de Janeiro, Brazil, from 20 to 22 June 2012, that encouraged the use of public-private partnerships as a tool for economic development; and that UNCITRAL could benefit from the work in the same area being undertaken at the regional level, such as a proposal from the European Commission for a directive of the European Parliament and of the Council on the award of concession contracts.115. 关于今后可能在公私伙伴关系领域开展的工作,有与会者指出,考虑到公私伙伴关系对于发展中国家的重要性,在国际一级拟订一部公私伙伴关系示范法也许是可取的;尤其是考虑到各国在2012年6月20日至22日于巴西里约热内卢举行的联合国可持续发展问题会议上达成的鼓励将公私伙伴关系用作促进经济发展的手段的结论,在该领域开展工作是理所当然的;贸易法委员会可以受益于区域一级在相同领域开展的工作,例如,欧盟委员会就欧洲议会和欧洲理事会的一项关于授予特许权合同的指示提出的建议。
116. The Commission agreed that the development of any future texts in the area of public-private partnerships should be undertaken through a working group and the Commission so as to ensure inclusivity and transparency and hence the universal applicability of any such texts.116. 委员会商定,编拟公私伙伴关系领域任何未来的文书均应当通过一个工作组和委员会进行,以确保包容性和透明度,从而确保任何此类文书具有普遍适用性。
117. The Commission agreed that further consideration of the following topics related to public-private partnerships listed in document A/CN.9/755 might be warranted:117. 委员会商定,可能有必要进一步审议A/CN.9/755号文件所列与公私伙伴关系相关的下列议题:
(a) oversight mechanisms (in both the selection phase and the contract management phase) and the promotion of domestic dispute prevention and resolution mechanisms in the context of public-private partnerships; and (b) the possible expansion of the scope of the UNCITRAL instruments on privately financed infrastructure projects to include forms of private financing and related transactions not currently covered in those instruments.(a)监督机制(包括挑选阶段和合同管理阶段)和促进公私伙伴关系方面的国内争议预防和解决机制;(b)可能扩展贸易法委员会私人融资基础设施项目文书的范围,以涵盖各种私人融资形式以及这些文书中目前尚未涉及的相关交易。
118. As regards oversight and domestic dispute settlement, it was emphasized that those topics should be considered together, consistent with the approach to them taken at the 2007 UNCITRAL congress entitled “Modern Law for Global Commerce”, that developing local capacity to handle disputes arising from public-private partnerships should be considered, that the development of a model law on those subjects could contribute significantly to the development of such capacity and that the topics should include dispute preventive mechanisms and, in that regard, should be aimed at developing regulations that were responsive to the needs of the private sector by providing an opportunity to investors to comment on the development of rules and regulations that were applicable to them.118. 关于监督和国内争议解决,强调这些议题应当一并审议,与2007年标题为“全球商业现代法律”贸易法委员会大会采取的做法相一致,应当考虑建设处理公私伙伴关系所产生争议的地方能力,就这些主题编拟一部示范法可大大促进此类能力建设,该主题应当包括争议预防机制,在这方面应当着眼于制订符合私营部门需要的条例,为此提供机会让投资者就制订适用于自身的规则和条例提出意见。
119. The Commission noted that other issues not currently addressed in the UNCITRAL instruments on privately financed infrastructure projects might also be appropriately included in any future work on public-private partnerships, together with other issues, such as preventing a contractor from selling the subject of a concession to another entity without the consent of the Government.119. 委员会还指出,贸易法委员会私人融资基础设施文书目前未处理的其他问题也可以适当纳入今后就公私伙伴关系开展的任何工作,同时一并处理其他一些问题,如防止承包商未经政府同意将特许权标的出售给另一实体。
120. Noting that further consideration of whether future work in public-private partnerships would be warranted would require additional research and a detailed study by the Secretariat, the Commission agreed that holding a colloquium to identify the scope of possible work and primary issues to be addressed would be helpful.120. 委员会注意到,为了进一步审议今后是否需要就公私伙伴关系开展工作,要求秘书处开展更多的研究和编写详细的研究报告,委员会一致认为,举行一次专题讨论会以查明工作范围和需要处理的主要问题将有所裨益。
It emphasized the importance of defining the scope of the colloquium in advance, using the provisions of the UNCITRAL instruments on privately financed infrastructure projects to identify needs for possible additional work.委员会强调必须提前界定专题讨论会的范围,利用贸易法委员会私人融资基础设施项目文书的条文查明可能需要进一步开展的工作。
In preparation for a colloquium, the Secretariat would therefore need to define the possible topics for discussion at the colloquium itself, drawing on the resources of other bodies, including those that had offered to assist in that regard, and based on the deliberations at the current session.因此,在筹备专题讨论会时,秘书处需要利用其他机构的资源,包括主动提议在这方面给予协助的机构的资源,并根据本届会议的审议情况,界定专题讨论会本身可能讨论的议题。
The results of the colloquium would thereafter be presented to the Commission for its consideration.在此之后将把专题讨论会的结果提交委员会审议。
In that regard, it was also agreed that it would be essential for there to be a clear mandate for any future work in that area.为此还商定,今后在这一领域开展任何工作都必须有明确的任务授权。
121. It was agreed that, although UNCITRAL might not therefore commence any work on public-private partnerships in the near future, the Commission should signal to the international community its interest in involvement in further work in that area.121. 与会者一致认为,虽然因上所述贸易法委员会近期可能不会就公私伙伴关系开展任何工作,但委员会应当向国际社会发出信号,表明有兴趣在该领域开展进一步的工作。
The importance of coordination and cooperation between relevant bodies on ongoing work in that area was emphasized, including as regards the proper scheduling of any work by UNCITRAL.此外,强调了相关机构就该领域正在开展的工作进行协调与合作的重要性,包括就适当安排贸易法委员会任何工作的时间进行协调与合作。
122. As regards the suggestions in document A/CN.9/755 that the UNCITRAL instruments on privately financed infrastructure projects should be consolidated and that the procurement-related provisions in those instruments should be conformed with the provisions regulating relevant procurement methods in the 2011 Model Law, it was agreed that those tasks should be undertaken, but not as separate projects by a UNCITRAL working group, given their limited scope and the mechanical nature of some parts of the work concerned.122. 关于A/CN.9/755号文件中的下述建议,即应当合并贸易法委员会私人融资基础设施项目各项文书,以及应当使贸易法委员会私人融资基础设施项目文书中与采购有关的条文与2011年《示范法》中关于相关采购办法的规定相一致,会上商定,应当开展这些工作,但不是作为贸易法委员会一个工作组的单独项目,因为其范围有限,相关工作的某些部分不过是机械性的重复。
A decision on whether to undertake them would therefore be taken following the colloquium (see para. ‎120 above), which would define the scope of the other aspects of work on public-private partnerships.因此,将在专题讨论会之后(见上文第120段)就是否开展这些工作作出决定,该决定将界定公私伙伴关系工作其他方面的范围。
123. It was agreed that the implication of the above approach was that there would be no need for Working Group I to meet before the forty-sixth session of the Commission, in 2013, and that a colloquium should not be held before the second quarter of 2013.123. 会上商定,上述做法意味着第一工作组无需在委员会2013年第四十六届会议之前开会,并且专题讨论会不应在2013年第二季度之前举行。
XI. Possible future work in the area of microfinance十一. 今后可能在小额金融领域开展的工作
124. The Commission recalled its previous discussions on possible work in the area of microfinance, in particular the decision taken at its forty-fourth session, in 2011, to include microfinance as an item for the future work of UNCITRAL and to further consider the matter at its forty-fifth session, in 2012.124. 委员会回顾了此前关于小额金融领域可能开展的工作的讨论,特别是委员会2011年第四十四届会议上作出的关于将小额金融列为贸易法委员会未来工作的一个项目并在2012年的第四十五届会议上进一步审议此事的决定。
At its forty-fourth session, the Commission, in order to define the areas where work was needed, requested the Secretariat to circulate to all States a short questionnaire regarding their experiences with the establishment of a legislative and regulatory framework for microfinance, including any obstacles they might have encountered in that regard.在第四十四届会议上,为了界定需要开展工作的领域,委员会请秘书处向所有会员国分发一份简短的问题调查表,以便了解各国在建立小额金融法规框架方面的经验,包括各国在这方面可能遇到过的任何障碍。
Further, the Commission agreed that the Secretariat should, resources permitting, undertake research on the following items:另外,委员会商定,在资源许可的条件下,秘书处应当就以下各项开展研究:
(a) overcollateralization and the use of collateral with no economic value; (b) electronic money, including its status as savings, whether its “issuers” were engaged in banking (and hence what type of regulation they were subject to) and the coverage of such funds by deposit insurance schemes; (c) provision for fair, rapid, transparent and inexpensive processes for the resolution of disputes arising from microfinance transactions; and (d) facilitating the use of, and ensuring transparency in, secured lending to microenterprises and small and medium-sized enterprises.(a)过度抵押和使用无经济价值的抵押品;(b)电子资金,包括其作为储蓄的地位,电子资金“发行人”是否在从事银行业务(因此应受哪一类监管),存款保险计划对这类资金的覆盖;(c)为解决小额金融交易产生的争议提供公平、迅捷、透明和低费程序;(d)促进对微型企业和中小型企业使用担保借贷并确保其透明度。
125. At its current session, the Commission had before it a note by the Secretariat (A/CN.9/756) containing a short summary of the state of the matter in each of the four topics identified by the Commission at its forty-fourth session (see para. 124 above) and suggestions for possible future work of UNCITRAL on each of those topics.125. 在本届会议上,委员会收到了秘书处的一份说明(A/CN.9/756),其中简要罗列了委员会第四十四届会议上确定的四项专题中每项专题的事务状况(见上文第124段),以及关于贸易法委员会今后可能就其中每个专题开展活动的建议。
The Commission noted that a report analysing the responses received from States to the questionnaire that had been circulated by the Secretariat to States pursuant to the request of the Commission at its forty-fourth session would be submitted to the Commission at its forty-sixth session, in 2013.委员会注意到,将向委员会2013年第四十六届会议提交一份报告,该报告将分析各国对秘书处依照委员会第四十四届会议的请求向各国分发的调查问卷所作的答复。
126. The Commission voiced strong support for a suggestion to further explore, including by means of a colloquium, particular issues relevant to, inter alia, facilitating access to credit for micro-businesses and small businesses, particularly in developing economies.126. 有一项建议是,进一步探讨除其他外与便利微型和小型企业获得信贷的机会有关的具体问题,尤其是在发展中经济体内的这类问题,包括以专题讨论会的方式加以探讨。 委员会对这项建议表示强有力的支持。
After discussion, it was unanimously agreed that one or more colloquiums on microfinance and related matters would be held, possibly in different regions, with a focus on:经过讨论,委员会一致同意,可以在不同区域举办一次或多次关于小额金融及相关问题的专题讨论会,侧重于:
facilitating simplified business incorporation and registration; access to credit for micro-businesses and small and medium-sized enterprises; dispute resolution applicable to microfinance transactions; and other topics related to creating an enabling legal environment for micro-businesses and small and medium-sized enterprises.为简化企业组建和注册提供便利;微型企业和中小型企业获得信贷的机会;适用于小额金融交易的争议解决办法,以及与为微型企业和中小型企业建立扶持性法律环境有关的其他专题。
The Commission agreed that the holding of such a colloquium should rank as a first priority for UNCITRAL in the coming year.委员会商定,举办这类专题讨论会应当被列为贸易法委员会来年的首要优先事项。
XII. Possible future work by UNCITRAL in the area of international contract law十二. 贸易法委员会今后在国际合同法领域可能开展的工作
127. The Commission considered the desirability of work in the area of international contract law on the basis of a proposal by Switzerland on possible future work in the area of international contract law (A/CN.9/758).127. 委员会以瑞士有关今后在国际合同法领域可能开展的工作的一份提议(A/CN.9/758)为基础,审议了是否应当在国际合同法领域开展工作的问题。
128. That proposal recognized the Commission’s contributions to harmonization in that field.128. 该提议承认委员会对该领域的协调统一作出的贡献。
In particular, it stressed that the United Nations Convention on Contracts for the International Sale of Goods (1980), with 78 States parties, had a global impact in unifying the law on contracts for the sale of goods.其中特别强调,《联合国国际货物销售合同公约》(1980年)已有78个缔约国,对统一货物销售合同法产生了全球影响。
The proposal noted, however, that many areas relating to contracts for sale of goods, as well as to general contract law, were still left to domestic law and that that created an obstacle to international trade by multiplying the number of potentially applicable legal regimes and associated transaction costs.然而,该提议注意到,与货物销售合同和一般合同法有关的许多方面仍留待国内法处理,这就给国际贸易设置了障碍,因为可能适用的法律制度的数目及相关的交易成本大大增加。
Moreover, it was explained, the need to access legal materials on foreign laws in different languages or to get expert advice from a foreign jurisdiction created additional challenges and expenses.而且,据解释,由于需要查阅不同语文文本的有关外国法律的法律材料或需要征求外国法域的专家意见,造成更多困难和费用。
Those expenses, it was added, were particularly onerous on small and medium-sized enterprises.有与会者补充说,这些费用支出给中小型企业造成的负担尤为沉重。
129. For those reasons, it was suggested that, with a view to allowing the Commission to make an informed decision on possible future work for further harmonization of contract law, the Secretariat could organize colloquiums and other meetings, as appropriate and within available resources, and report on the desirability and feasibility of such possible future work at a future session of the Commission.129. 出于这些原因,有与会者提议,为了让委员会就进一步协调统一合同法而在今后可能开展的工作上作出知情的决定,秘书处可酌情在现有资源范围内组办专题讨论会及其他会议,并在委员会今后的届会上报告今后可能开展的这类工作是否可取和可行的情况。
It was emphasized that such exploratory activities should not only take into account but also build on existing instruments, such as the United Nations Sales Convention and the Unidroit Principles of International Commercial Contracts.会上强调,这类探索性活动不仅应当顾及而且应当立足于现有文书,如《联合国销售公约》和《统法协会国际商事合同通则》。
It was further indicated that such work could usefully complement ongoing efforts with respect to contract law modernization at the regional and national levels.还有与会者指出,这类工作可以对区域和国家各级在合同法现代化方面正在进行的工作构成有益的补充。
130. In reply, it was said that it was not evident that existing instruments were inadequate in actual practice, that the proposal seemed unclear and overly ambitious and that it could potentially overlap with existing texts, such as the Unidroit Principles of International Commercial Contracts.130. 对此,有与会者指出,看不出现有文书在实际业务中不够完备,该提议似乎并不明确,而且过于大胆,可能与现有文书相互重叠,如《统法协会国际商事合同通则》。
It was added that lacunae in existing texts, such as the United Nations Sales Convention, were a result of the impossibility of finding an agreed compromise solution and that there were significant doubts that that could be overcome in the near future.补充说,《联合国销售公约》之类现有文本之所以存在空白,是因为无法找到能够取得共识的折中办法,而且近期内改变此种状况颇有疑问。
Concerns were also expressed about the implications of such a vast project on the human and financial resources available to the Commission and to States.另外,对于如此大的项目对委员会和各国可用人力和财政资源的影响,也表示了关切。
For those reasons, it was urged that the proposed work should not be undertaken, at least not at the present time.出于这些考虑,敦促至少目前不应开展所提议的此项工作。
It was added that the Commission might reconsider the matter at a future date in the light of possible developments.会上补充说,委员会不妨根据可能发生的变化而在今后重新审议该事项。
131. In response to a concern that had been expressed regarding possible duplication of effort with respect to the work of Unidroit, it was indicated by the Secretariat and the observer for Unidroit that such a project, should the Commission decide to consider it further, could be dealt with in a collaborative manner, involving the two organizations, as well as additional relevant external contributors.131. 针对这些努力可能与统法协会的工作发生重叠这一担心,秘书处和统法协会观察员均表示,如果委员会决定作进一步考虑,该项目可以采取合作方式,由这两个组织合作进行并吸纳其他相关方参与。
132. After discussion, it was determined that there was a prevailing view in support of requesting the Secretariat to organize symposiums and other meetings, including at the regional level and within available resources, maintaining close cooperation with Unidroit, with a view to compiling further information to assist the Commission in the assessment of the desirability and feasibility of future work in the field of general contract law at a future session.132. 经讨论后确认,普遍看法支持请秘书处组办专题讨论会及其它会议,包括在区域一级利用现有资源组办讨论会及其他会议,同时与统法协会密切合作,以汇集更多信息,协助委员会在今后届会上评估今后在一般合同法领域开展工作的可取性和可行性。
Many delegates, however, urged that priority should be given to other work of the Commission, in particular in the area of microfinance.但是,许多代表敦促优先考虑委员会的其他工作,特别是小额金融领域的工作。
A number of delegates expressed clear opposition and strong reservations with regard to further work in the field of general contract law.一些代表对推进在一般合同法领域中的工作表示明确反对并提出严重保留。
In addition, several delegates, noting the significant opposition to the proposal by Switzerland, objected to the characterization of the debate on that topic as reflecting a prevailing majority view in favour of additional work.另外,还有几位代表在指出对瑞士提议所表示的重大反对意见时,反对将关于这一专题的辩论描述成占多数的普遍意见赞同开展进一步工作。
XIII. Preparation of a guide on the 1958 Convention on the Recognition and Enforcement of Foreign Arbitral Awards十三. 编拟1958年《承认及执行外国仲裁裁决公约》指南
133. The Commission recalled its previous discussions on monitoring implementation of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York on 10 June 1958.133. 委员会回顾了之前关于监测1958年6月10日在纽约订立的《承认及执行外国仲裁裁决公约》执行情况的讨论。
The Commission further recalled that it had been informed, at its forty-fourth session, in 2011, that the Secretariat was carrying out two complementary projects in that regard.委员会还回顾,委员会在2011年第四十四届会议上获知,目前秘书处正在就此实施两个补充项目。
134. One project related to the publication on the UNCITRAL website of information contributed by States on their legislative implementation of the 1958 New York Convention.134. 一个项目涉及在贸易法委员会网站上公布各国提供的本国在立法方面执行1958年《纽约公约》的情况。
The Commission reiterated its appreciation to States that had already contributed information and urged all States to continue providing the Secretariat with accurate information to ensure that the data published on the UNCITRAL website remained up to date.委员会再次感谢已经提供了信息的国家,并促请所有国家继续向秘书处提供准确的信息,以确保在贸易法委员会网站上公布的数据始终是最新数据。
135. The other project related to the preparation of a guide on the 1958 New York Convention.135. 另一个项目涉及编拟关于1958年《纽约公约》的指南。
That project was currently being carried out by the Secretariat, in close cooperation with G. Bermann (Columbia University School of Law) and E. Gaillard (Paris XII), who had established research teams to work on the project.目前秘书处正在与G. Bermann教授(哥伦比亚大学法学院)和E. Gaillard教授(巴黎第十二大学)紧密合作,开展该指南的编拟工作。
The Commission was informed that Mr. Gaillard, with his research team, in conjunction with Mr. Bermann and his research team, and with the support of the Secretariat, had established a website (www.newyorkconvention1958.org) in order to make the information gathered in preparation of the guide on the New York Convention publicly available.这两位教授成立了研究小组,就该项目开展工作。 委员会获悉,Gaillard先生及其研究小组与Bermann先生及其研究小组在秘书处的协助下,联合建立了一个网站(),用于公布在编写1958年《纽约公约》指南的过程中收集的资料。
The Commission was informed that the website was aimed at promoting the uniform and effective application of the Convention by making available details on its judicial interpretation by States parties.委员会获悉,该网站的目的是,通过提供缔约国对《公约》的司法解释的详细资料,促进统一而有效地适用《公约》。
The Commission was also informed that the UNCITRAL secretariat planned to maintain close connection between the cases collected in the CLOUT system and the cases available on the website dedicated to the preparation of the guide on the New York Convention.委员会还获悉,贸易法委员会秘书处计划在贸易法委员会法规判例法系统收集的案例同该网站提供的专门用于编写1958年《纽约公约》指南的案例之间保持紧密的关系。
136. The Commission expressed its appreciation for the establishment of the website and the work done by the Secretariat, as well as by the professors and their research teams, and requested the Secretariat to pursue efforts regarding the preparation of the guide on the 1958 New York Convention.136. 委员会对该网站的建立以及秘书处和两位教授及其研究小组所做的工作表示赞赏,并请秘书处继续在编拟1958年《纽约公约》指南方面作出努力。
XIV. Endorsement of texts of other organizations十四. 赞同其他组织的法规
A. Unidroit Principles of International Commercial Contracts 2010A. 2010年《统法协会国际商事合同通则》
137. Unidroit requested the Commission to consider possible endorsement of the Unidroit Principles of International Commercial Contracts 2010.137. 统法协会请委员会考虑视可能赞同2010年《统法协会国际商事合同通则》。
138. The Commission noted that the 2010 edition of the Unidroit Principles was its third edition; the Unidroit Principles were initially published in 1994 and then again in 2004.138. 委员会注意到,《统法协会通则》2010年版本是第三版;《通则》于1994年首次出版,2004年再版。
It was recalled that the Commission had endorsed the Unidroit Principles 2004 at its fortieth session, in 2007.据回顾,委员会2007年第四十届会议赞同了2004年《统法协会通则》。
139. It was further noted that the main objective of the Unidroit Principles 2010 was to address additional topics of interest to the international business and legal communities and that, as such, they included 26 new articles dealing with restitution in case of failed contracts, illegality, conditions, and plurality of obligors and obligees.139. 会上还注意到,2010年《统法协会通则》的主要目标是处理国际商务界和法律界感兴趣的其他议题,因此新增了26个条款,述及的问题有: 未能履行合同情况下的赔偿、非法性、条件,以及多个债权人和债务人。
Overall, general support was expressed for recognizing that the Unidroit Principles 2010 set forth a comprehensive set of rules for international commercial contracts, complementing a number of international trade law instruments, including the United Nations Sales Convention.总体上,与会者普遍表示支持承认2010年《统法协会通则》规定了一套全面的国际商事合同规则,对包括《联合国销售公约》在内的若干国际贸易法文书起到了补充作用。
140. Taking note of the amendments made in the Unidroit Principles 2010 and their usefulness in facilitating international trade, the Commission, at its 955th meeting, on 3 July 2012, adopted the following decision:140. 委员会注意到2010年《统法协会通则》中的修订及其对便利国际贸易的益处,在2012年7月3日第955次会议上通过决定如下:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Expressing its appreciation to the International Institute for the Unification of Private Law (Unidroit) for transmitting to it the text of the 2010 edition of the Unidroit Principles of International Commercial Contracts,“对国际统一私法协会(统法协会)将2010年版《统法协会国际商事合同通则》案文转发委员会表示感谢,
“Taking note that the Unidroit Principles 2010 complement a number of international trade law instruments, including the United Nations Convention on Contracts for the International Sale of Goods,“注意到2010年《统法协会通则》对包括《联合国国际货物销售合同公约》在内的若干国际贸易法文书起到了补充作用,
“Noting that the preamble of the Unidroit Principles 2010 states that:“注意到2010年《统法协会通则》序言称:
‘These Principles set forth general rules for international commercial contracts,‘本通则旨在为国际商事合同规定一般规则,
‘They shall be applied when the parties have agreed that their contract be governed by them,‘在当事人约定其合同受本通则管辖时,应适用本通则,
‘They may be applied when parties have agreed that their contract be governed by general principles of law, the lex mercatoria or the like,‘在当事人约定其合同受一般法律原则、商法或类似规则管辖时,可适用本通则,
‘They may be applied when the parties have not chosen any law to govern their contract,‘在当事人未选择任何法律管辖其合同时,可适用本通则,
‘They may be used to interpret or supplement international uniform law instruments,‘本通则可用于解释或补充国际统一法文书,
‘They may be used to interpret or supplement domestic law,‘本通则可用于解释或补充国内法,
‘They may serve as a model for national and international legislators,’‘本通则也可作为国内和国际立法的范本,’
“Congratulating Unidroit on having made a further contribution to the facilitation of international trade by preparing general rules for international commercial contracts,“祝贺统法协会为国际商事合同制定了一般规则,对便利国际贸易作出又一贡献,
“Commends the use of the 2010 edition of the Unidroit Principles of International Commercial Contracts, as appropriate, for their intended purposes.”“建议按照2010年版《统法协会国际商事合同通则》的预期目的,酌情加以使用。 ”
B. Incoterms 2010B. 2010年《国际贸易术语解释通则》
141. ICC requested the Commission to consider possible endorsement of Incoterms 2010, which had entered into force on 1 January 2011.141. 国际商会请委员会考虑视可能赞同2011年1月1日生效的2010年《国际贸易术语解释通则》。
142. It was noted that the Incoterms rules, the ICC rules on the use of domestic and international trade terms, generally facilitated the conduct of global trade by providing trade terms that clearly defined the respective obligations of parties and reduced the risk of legal complications.142. 会上注意到,《国际贸易术语解释通则》中的规则是国际商会关于国内和国际贸易术语使用的规则,所提供的贸易术语明确界定了当事人各自的责任并减少了发生法律纠纷的风险,总体上对开展全球贸易起到了促进作用。
Created by ICC in 1936, Incoterms had been regularly updated to keep pace with the development of international trade, with Incoterms 2010 being the most recent update.《国际贸易术语解释通则》是国际商会于1936年编制的,并定期更新以跟上国际贸易发展的步伐,2010年《国际贸易术语解释通则》是最新版本。
It was recalled that the Commission had endorsed Incoterms 1990 at its twenty-fifth session, in 1992, and Incoterms 2000 at its thirty-third session, in 2000.据回顾,委员会1992年第二十五届会议赞同了1990年《国际贸易术语解释通则》,2000年第三十三届会议赞同了2000年《国际贸易术语解释通则》。
143. The Commission was informed that Incoterms 2010 updated and consolidated the “delivered” rules, reducing the total number of rules from 13 to 11.143. 委员会获悉,2010年《国际贸易术语解释通则》更新并合并了“既有”规则,将规则总数从13条减为11条。
It was further suggested that Incoterms 2010 offered a simpler and clearer presentation of all the rules, taking account of the continued spread of customs-free zones, the increased use of electronic communications in business transactions, heightened concerns about security in the movement of goods and changes in transport practices.另据指出,2010年《国际贸易术语解释通则》对所有规则的阐述更加简洁明确,同时考虑到了海关免税区的不断扩展、电子通信在商业交易中的使用增多,以及人们对货物运输中的安全问题和运输做法的改变更加关切。
144. Taking note of the usefulness of Incoterms 2010 in facilitating international trade, the Commission, at its 955th meeting, on 3 July 2012, adopted the following decision:144. 委员会注意到2010年《国际贸易术语解释通则》对便利国际贸易的益处,在2012年7月3日第955次会议上通过决定如下:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Expressing its appreciation to the International Chamber of Commerce for transmitting to it the revised text of Incoterms 2010, which entered into force on 1 January 2011,“对国际商会将2011年1月1日生效的《国际贸易术语解释通则》2010年修订版案文转发委员会表示感谢,
“Congratulating the International Chamber of Commerce on having made a further contribution to the facilitation of international trade by making Incoterms 2010 simpler and clearer, reflecting recent developments in international trade,“祝贺国际商会使2010年《国际贸易术语解释通则》更为简洁明确,反映了国际贸易的最新发展,对便利国际贸易作出又一贡献,
“Noting that Incoterms 2010 constitute a valuable contribution to facilitating the conduct of global trade,“注意到2010年《国际贸易术语解释通则》是对便利开展全球贸易的一项宝贵贡献,
“Commends the use of the Incoterms 2010, as appropriate, in international sales transactions.”“建议在国际销售交易中酌情使用2010年《国际贸易术语解释通则》。 ”
XV. Technical assistance:十五. 技术援助:
law reform法律改革
145. The Commission had before it a note by the Secretariat (A/CN.9/753) describing the technical cooperation and assistance activities undertaken subsequent to the date of the note on that topic submitted to the Commission at its forty-fourth session, in 2011 (A/CN.9/724).145. 委员会收到了秘书处的一份说明(A/CN.9/753),其中介绍了在向委员会2011年第四十四届会议提交有关这一主题的说明(A/CN.9/724)之后开展的技术合作和援助活动。
The Commission stressed the importance of such technical cooperation and assistance and expressed its appreciation for the activities undertaken by the Secretariat referred to in document A/CN.9/753.委员会强调了此种技术合作和援助的重要性,并对A/CN.9/753号文件中提到的秘书处开展的活动表示赞赏。
146. The Commission noted that the continuing ability to respond to requests from States and regional organizations for technical cooperation and assistance activities was dependent upon the availability of funds to meet associated costs.146. 委员会注意到,能否继续响应各国和各区域组织对技术合作和援助活动的请求,取决于是否有资金支付相关费用。
The Commission further noted that, despite efforts by the Secretariat to solicit new donations, funds available in the UNCITRAL Trust Fund for Symposia were quite limited.委员会还注意到,虽然秘书处为寻求新的捐款作出了种种努力,但贸易法委员会专题讨论会信托基金所能支配的资金仍然相当有限。
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,仍然对各种技术合作和援助活动的请求进行认真审议,此种活动的数量仍然有限,而且近来大多以费用分摊或无费用的方式进行。
The Commission requested the Secretariat to continue exploring alternative sources of extrabudgetary funding, in particular by more extensively engaging permanent missions, as well as other possible partners in the public and private sectors.委员会请秘书处继续探索其他预算外资金来源,特别是更广泛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。
147. The Commission reiterated its appeal to all States, international organizations and other interested entities to consider making contributions to the UNCITRAL Trust Fund for Symposia, if possible in the form of multi-year contributions or as specific-purpose contributions, in order to facilitate planning and enable the Secretariat to meet the increasing number of requests from developing countries and countries with economies in transition for technical cooperation and assistance activities.147. 委员会再次呼吁所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金提供捐款,可能的话可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发展中国家和经济转型期国家提出的越来越多的技术合作和援助活动请求。
The Commission expressed its appreciation to Indonesia for contributing to the Trust Fund since the forty-fourth session of the Commission and to organizations that had contributed to the programme by providing funds or by hosting seminars.委员会对自委员会第四十四届会议以来向信托基金提供捐款的印度尼西亚表示感谢,并对通过提供经费或主办研讨会的方式为该方案作出贡献的各组织表示感谢。
148. The Commission appealed to the relevant bodies in the United Nations system, organizations, institutions and individuals to make voluntary contributions to the trust fund established to provide travel assistance to developing countries that were members of the Commission.148. 委员会吁请联合国系统各有关机构、各组织、机构和个人对为向委员会成员国中的发展中国家提供旅行资助而设立的信托基金提供自愿捐款。
The Commission expressed its appreciation to Austria for contributing to that trust fund since the forty-fourth session of the Commission, thereby enabling travel assistance to be granted to developing countries that were members of UNCITRAL.委员会感谢奥地利自委员会第四十四届会议以来向该信托基金提供了捐款,从而能够向贸易法委员会成员国中的发展中国家提供旅行资助。
XVI. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts十六. 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
149. The Commission considered document A/CN.9/748 on the promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts, which provided information on the current status of the CLOUT system and on the work undertaken by the Secretariat to finalize the digests of case law relating to the United Nations Sales Convention and the UNCITRAL Model Law on International Commercial Arbitration.149. 委员会审议了关于促进可确保贸易法委员会法规统一解释和适用的方式方法的A/CN.9/748号文件,其中介绍了法规判例法系统的现状,以及秘书处为最后完成《联合国销售公约》和《贸易法委员会国际商事仲裁示范法》相关判例法摘要汇编而开展工作的情况。
150. The Commission noted with appreciation the continuing work of the Secretariat under the CLOUT system.150. 委员会赞赏地注意到秘书处继续在法规判例法系统下开展工作。
As at 20 April 2012, 116 issues of compiled case-law abstracts had been prepared, dealing with 1,134 cases.截至2012年4月20日,已编写116期判例法摘要汇编,涉及1,134个判例。
The cases related mostly to the United Nations Sales Convention and the UNCITRAL Model Arbitration Law.这些判例主要与《联合国销售公约》和《贸易法委员会国际商事仲裁示范法》有关。
Cases relating to the UNCITRAL Model Law on Electronic Commerce, the 1958 New York Convention, the Cross-Border Insolvency Model Law, the Convention on the Limitation Period in the International Sale of Goods, the United Nations Convention on Independent Guarantees and Stand-by Letters of Credit and the United Nations Convention on the Carriage of Goods by Sea, 1978 were also published.还出版了关于《《贸易法委员会电子商务示范法》、1958年《纽约公约》、《跨国界破产示范法》、《国际货物销售时效期限公约》、《联合国独立担保和备用信用证公约》和1978年《联合国海上货物运输公约》的判例。
With reference to the five regional groups of States represented within the Commission, the Commission took note of the fact that, while the majority of the abstracts published referred to Western European and other States, a small decrease in the number of abstracts attributable to that regional group and a parallel modest increase in the number of abstracts from Asian States and Eastern European States had been recorded, compared with the figures indicated in the note (A/CN.9/726) submitted to the Commission at its forty-fourth session.至于委员会所代表的五个区域国家组,委员会注意到,虽然所出版的摘要多数涉及西欧和其他国家,但与提交委员会第四十四届会议的说明(A/CN.9/726)所载数字相比,归于该区域组的摘要数目有了小幅下降,而来自亚洲国家和东欧国家的摘要数目有了相应的适度增加。
151. The Commission recalled that the network of national correspondents, composed of 95 appointees, had terminated its mandate in 2012 pursuant to a decision of the Commission at its forty-second session, in 2009.151. 委员会回顾,国家通讯员网络由95名被任命的国家通讯员组成,按照委员会2009年第四十二届会议的一项决定,该网络的任期已于2012年结束。
At that session, the Commission, acknowledging the need for a collection system that would be sustainable over time and could respond to changing circumstances, agreed that States that had appointed national correspondents should be requested to reconfirm that appointment every five years.委员会该届会议确认需要建立一个可长久持续且能够应对不断变化情况的收集系统,一致认为应当请已任命国家通讯员的国家每五年重新确认一次任命。
In order to facilitate implementation of that provision, the Commission further agreed that the term of the previous national correspondents would expire in 2012 and that States would be asked to reconfirm the appointment of their national correspondents at that time and every five years thereafter.为便利执行这一规定,委员会还商定,现任国家通讯员的任期将于2012年届满,请各国届时重新确认本国国家通讯员的任命,并在此后每五年重新确认一次。
152. At its current session, in order to streamline the procedures for appointment of the new correspondents, the Commission expressed its support for the Secretariat’s procedure of having the new appointments be effective as at the first day of its forty-fifth session (i.e. 25 June 2012).152. 为了简化任命新通讯员的程序,委员会在本届会议上表示支持秘书处提出的下述程序,即新的任命自委员会第四十五届会议第一天(即2012年6月25日)生效。
The Commission also expressed its support for the Secretariat’s proposal that any appointment made afterwards would be effective as from the first day of the forty-fifth session of the Commission and would expire five years from that date.委员会还表示支持秘书处的以下建议,即此后作出的任何任命自委员会第四十五届会议第一天生效,并自该日期起五年后届满。
In the light of the increasing volume of case law available on several UNCITRAL texts, the Commission endorsed the Secretariat’s appeal to member States to appoint more than one national correspondent and entrust each of them with responsibility for a specific UNCITRAL text.考虑到可得到的关于几部贸易法委员会法规的判例日渐增多,委员会赞同秘书处呼吁成员国任命不止一名国家通讯员,并委托其分管贸易法委员会的一部法规。
Finally, the Commission expressed its appreciation to the national correspondents who had completed their mandate and welcomed those newly appointed, or reappointed, wishing them a fruitful collaboration with the Secretariat.最后,委员会感谢已完成任期的国家通讯员,并欢迎新任命或重新任命的国家通讯员,祝愿他们与秘书处的合作富有成果。
153. The Commission noted with appreciation that the third revision of the UNCITRAL Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods:153. 委员会赞赏地注意到,贸易法委员会关于《联合国国际货物销售合同公约》的判例法摘要第三次修订本:
2012 Edition had been issued and was available in English on the UNCITRAL website and that the Secretariat would proceed with its translation into the other five official languages of the United Nations.2012年版本已经发布,现以英文刊载于贸易法委员会网站上,秘书处将着手进行联合国其他五种正式语文的翻译工作。
The Commission was informed that the Secretariat would focus on effectively promoting the Digest and bringing it to the attention of a large segment of the legal and judicial community.委员会还获悉,秘书处将集中精力切实推广《摘要》,以引起广大法律和司法界的重视。
154. The Commission was also informed that the UNCITRAL 2012 Digest of Case Law on the Model Law on International Commercial Arbitration had been published in June 2012 in English and made available on the UNCITRAL website.154. 委员会还获悉,贸易法委员会关于《国际商事仲裁示范法》的判例法摘要2012年版本已于2011年6月用英语出版,刊载于贸易法委员会网站上。
Pursuant to the mandate given by the Commission, the Digest identified trends in the interpretation of the UNCITRAL Model Arbitration Law and was designed to enable judges, arbitrators, lawyers, parties to commercial transactions, academics and students to better understand, interpret and apply the UNCITRAL Model Arbitration Law.按照赋予委员会的任务授权,《摘要》指出了在《贸易法委员会国际商事仲裁示范法》解释方面的趋势,目的是使法官、仲裁员、律师、商业交易当事人、学者和学生更好地理解、解释和适用《贸易法委员会国际商事仲裁示范法》。
It was noted that the current version of the Digest was based on 725 cases from 37 States.会上指出,《摘要》目前的版本是以37个国家的725个案例为基础汇编而成的。
155. The Commission was further informed that a one-day launch event for the UNCITRAL 2012 Digest of Case Law on the Model Law on International Commercial Arbitration, organized by the Ministry of Law of Singapore in cooperation with the UNCITRAL secretariat, had been held in Singapore on 9 June 2012.155. 委员会还获悉,新加坡律政部与贸易法委员会秘书处合作,筹办了于2012年6月9日在新加坡举行的为期一天的贸易法委员会《国际商事仲裁示范法》判例法摘要2012年版本的发布活动。
The main contributors to the Digest from different geographical regions discussed the Digest and the UNCITRAL Model Arbitration Law, in particular the scope of application, the international interpretation pursuant to article 2 A, review of jurisdiction and articles 34-36 of the UNCITRAL Model Arbitration Law.来自不同地理区域的《摘要》主要撰稿人讨论了《摘要》和《贸易法委员会国际商事仲裁示范法》,特别是适用范围、按照第2A条所作的国际解释、管辖权审查和《贸易法委员会国际商事仲裁示范法》第34-36条。
During their interventions, participants underlined the importance of disseminating information on the interpretation and application of the UNCITRAL Model Arbitration Law and the particular usefulness of the Digest in that regard.与会者在发言中强调了传播关于《贸易法委员会国际商事仲裁示范法》的解释和适用的信息的重要性,以及《摘要》在这方面的特别作用。
The Commission expressed its appreciation to the contributors to the Digest and to the Secretariat for their work.委员会对《摘要》撰稿人以及秘书处的工作表示赞赏。
156. The Commission considered the desirability of commencing the preparation of a digest of case law on the Model Law on Cross-Border Insolvency, an issue that had been raised at the forty-first session of Working Group V (Insolvency Law) (A/CN.9/742, para. 38).156. 委员会还审议了着手编拟一部《跨国界破产示范法》判例法摘要的可取性,这个问题是在第五工作组(破产法)第四十一届会议上提出的(A/CN.9/ 742,第38段)。
It was noted that such a digest would provide wider and more ready access to the case law referred to in UNCITRAL texts relating to insolvency and draw attention to emerging trends in the interpretation of the Model Law on Cross-Border Insolvency.会上指出,编拟这样一部摘要将有利于更广泛、更便利地找到贸易法委员会法规中提到的与破产有关的判例法,并引起对《跨国界破产示范法》解释方面的新趋势的注意。
The Commission agreed that such a digest should be prepared, subject to the availability of resources in the Secretariat and encouraged the Secretariat to explore the possibility of collaborating with national correspondents and other experts to facilitate the preparation of the necessary analysis and case information.委员会商定,在秘书处有资源的前提下,应当编写这样一部摘要,并鼓励秘书处探讨与国家通讯员和其他专家合作以促进编拟必要的分析和判例信息的可能性。
157. The Commission expressed its continuing belief that the CLOUT system and the digests were an important aspect of the work undertaken by UNCITRAL for promoting awareness, harmonization and uniform interpretation of the law relating to UNCITRAL texts.157. 委员会依然认为,法规判例法系统和摘要是贸易法委员会为促进对与贸易法委员会法规有关的法律的认识、协调和统一解释而开展的工作的一个重要方面。
The Commission recognized the resource-intensive nature of the CLOUT system and the need for further resources to sustain it.委员会认识到法规判例法系统需要大量资源,而维持这一系统需要进一步资源。
The Commission recalled that at its forty-second session, in 2009, it had appealed to all States to assist the Secretariat in the search for available funding at the national level to ensure coordination and expansion of the CLOUT system.委员会回顾,委员会2009年第四十二届会议曾呼吁所有国家协助秘书处在国家一级寻找可用资金,以便确保法规判例法系统的协调和扩展。
Since that appeal, there had been no increase in the resources available for the maintenance and improvement of the system.自该呼吁以来,为系统维护和完善提供的资源未见增长。
The Commission thus noted with interest that the Secretariat had refined a project proposal aimed at finding resources for the system and that such a proposal had already been discussed with one UNCITRAL member State.因此,委员会感兴趣地注意到,秘书处改进了一个旨在为该系统寻找资源的项目提议,并且已经与贸易法委员会的一个成员国讨论过该提议。
The Commission also noted that the Secretariat was seeking assistance from other States and donors, either in-kind (e.g. non-reimbursable loans of personnel) or through budget contributions, which could also include the pooling of resources from various sources.委员会还注意到,秘书处正在寻求其他国家和捐助者以非资金形式(如无偿借调人员)或者以预算捐款形式提供援助,后者也可以包括汇集各种来源的资源。
The Commission thanked the Secretariat for its work and fully endorsed a call for increased resources to maintain and enlarge the work of the Secretariat in that area.委员会感谢秘书处开展的工作,并完全赞同一项增加资源以保持和扩展秘书处在这一领域的工作的请求。
158. The Commission encouraged the Secretariat to explore the possibility of cooperation with the Global Legal Information Network (see www.glin.gov), with a view to enhancing awareness, and uniform interpretation and application, of UNCITRAL texts.158. 委员会鼓励秘书处探索与全球法律信息网(见www.glin.gov)合作的可能性,以便增进对贸易法委员会法规的认识、统一解释和适用。
XVII. Status and promotion of UNCITRAL texts十七. 贸易法委员会法规的现状和促进
159. The Commission considered the status of the conventions and model laws emanating from its work and the status of the 1958 New York Convention, on the basis of a note by the Secretariat (A/CN.9/751) and information obtained by the Secretariat subsequent to the submission of that note.159. 委员会根据秘书处的一份说明(A/CN.9/751)以及秘书处在提交该说明之后获得的信息审议了由委员会的工作所产生的各项公约和示范法的现状以及1958年《纽约公约》的现状。
The Commission noted with appreciation the information on the following treaty actions and legislative enactments received since its forty-fourth session, in 2011, regarding the following instruments:委员会赞赏地注意到自其2011年第四十四届会议以来收到的关于就下列文书采取条约行动和颁布立法的资料:
(a) Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York on 10 June 1958:(a) 1958年6月10日在纽约订立的《承认及执行外国仲裁裁决公约》:
accession by Liechtenstein (146 States parties);列支敦士登加入(146个缔约国);
(b) Convention on the Limitation Period in the International Sale of Goods:(b) 《国际货物销售时效期限公约》:
accession by Benin (29 States parties);贝宁加入(29个缔约国);
(c) United Nations Convention on Contracts for the International Sale of Goods:(c) 《联合国国际货物销售合同公约》:
accessions by Benin and San Marino and withdrawal of declarations by Denmark, Finland and Sweden (78 States parties);贝宁和圣马力诺加入,丹麦、芬兰和瑞典撤回声明(78个缔约国);
(d) United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea:(d) 《联合国全程或部分海上国际货物运输合同公约》:
signature by Sweden (one State party);瑞典签署(一个缔约国);
(e) UNCITRAL Model Law on International Commercial Arbitration (1985), as amended in 2006:(e) 《贸易法委员会国际商事仲裁示范法》(1985年),2006年通过修正意见:
legislation based on the Model Law as amended in 2006 had been adopted in Australia, in New South Wales (2010), the Northern Territory (2011), South Australia (2011), Tasmania (2011) and Victoria (2011);基于《示范法》2006年修订本的法规已获通过的有澳大利亚,包括新南威尔士州(2010年)、北部地区(2011年)、南澳大利亚州(2011年)、塔斯马尼亚州(2011年)和维多利亚州(2011年);
(f) UNCITRAL Model Law on Electronic Commerce (1996):(f) 《贸易法委员会电子商务示范法》(1996年):
legislation based on the Model Law had been adopted in Australia (2011), in the Australian Capital Territory (2012), New South Wales (2010), Northern Territory (2011), South Australia (2011), Tasmania (2010), Victoria (2011) and Western Australia (2011); Belize (2003); Canada, in the Northwest Territories (2011); Barbados (2001); Saint Lucia (2011); and Saint Vincent and the Grenadines (2007); legislation influenced by the principles on which the Model Law was based had been adopted in China, in Macao, China (2005);基于《示范法》的法规已获通过的有澳大利亚(2011年),包括澳大利亚首都地区(2012年)、新南威尔士州(2010年)、北部地区(2011年)、南澳大利亚州(2011年)、塔斯马尼亚州(2010年)、维多利亚州(2011年)和西澳大利亚州(2011年);伯利兹(2003年);加拿大西北地区(2011年);巴巴多斯(2001年);圣卢西亚(2011年);圣文森特和格林纳丁斯(2007年);受到基于《示范法》的原则影响的法规已获通过的有中国澳门(2005年);
(g) UNCITRAL Model Law on Electronic Signatures (2001):(g) 《贸易法委员会电子签名示范法》(2001年):
legislation based on the Model Law had been adopted in Barbados (2001), Saint Lucia (2011), Saint Vincent and the Grenadines (2007), Saudi Arabia (2007) and Trinidad and Tobago (2011);基于《示范法》的法规已获通过的有巴巴多斯(2001年);圣卢西亚(2011年);圣文森特和格林纳丁斯(2007年);沙特阿拉伯(2007年);特立尼达和多巴哥(2011年);
(h) UNCITRAL Model Law on International Commercial Conciliation (2002):(h) 《贸易法委员会国际商事调解示范法》(2002年):
legislation based on the Model Law had been adopted in the former Yugoslav Republic of Macedonia (2009).基于《示范法》的法规已获通过的有前南斯拉夫马其顿共和国(2009年)。
160. The Commission noted, in line with the letter from the Secretary-General to Heads of States and Government dated 9 May 2012, the importance of universal participation and implementation of treaties.160. 按照秘书长2012年5月9日致各国国家元首和政府首脑的信函,委员会注意到普遍参与和实施各项条约的重要性。
The Commission joined the Secretary-General’s appeal by calling on States to deposit instruments of ratification or accession to trade law treaties, in particular to those treaties nearing universal participation, namely the 1958 New York Convention (146 States parties), and those nearing entry into force, namely the United Nations Convention on the Use of Electronic Communications in International Contracts (which required one additional action for entry into force) and the United Nations Convention on the Assignment of Receivables in International Trade (which required four additional actions for entry into force).委员会同秘书长一起呼吁,吁请各国交存有关贸易法各项条约的批准书或加入书,特别是那些接近普遍参与的条约,即1958年《纽约公约》(146个缔约国);以及那些接近生效的条约,即《联合国国际合同使用电子通信公约》(该公约生效要求再有一项条约行动)和《联合国国际贸易应收款转让公约》(该公约生效要求再有四项条约行动)。
161. The Commission took note of the bibliography of recent writings related to the work of UNCITRAL (A/CN.9/750) and noted with appreciation the influence of UNCITRAL legislative guides, practice guides and contractual texts.161. 委员会注意到与贸易法委员会工作有关的最新著作目录(A/CN.9/750),并赞赏地注意到贸易法委员会各种立法指南、实务指南和合约性文本所产生的影响。
XVIII. Coordination and cooperation十八. 协调与合作
162. The Commission had before it a note by the Secretariat (A/CN.9/749) providing information on the activities of international organizations active in the field of international trade law in which the UNCITRAL secretariat had participated since the last note to the Commission (A/CN.9/725).162. 委员会收到了秘书处的一份说明(A/CN.9/749),其中介绍了贸易法委员会秘书处自上一次向委员会提交说明(A/CN.9/725)以来活跃与国际贸易法领域其他国际组织活动的情况。
The note had been prepared in response to General Assembly resolution 34/142 and in accordance with the mandate of UNCITRAL.该说明是针对大会第34/142号决议、按照贸易法委员会的任务授权编写的。
In that resolution, the Assembly requested the Secretary-General to place before the Commission, at each of its sessions, a report on the legal activities of international organizations in the field of international trade law, together with recommendations as to the steps to be taken by the Commission to fulfil its mandate of coordinating the activities of other organizations in that field.在该决议中,大会请秘书长向委员会每届会议提交关于各国际组织在国际贸易法领域内开展的法律活动的报告,以及关于委员会为履行其协调其他组织在该领域的活动这一任务所应采取的步骤的建议。
163. The Commission noted with appreciation the engagement of its secretariat in activities with a number of organizations both within and outside the United Nations system, including ESCAP, the European Union, the Hague Conference on Private International Law, the Organization for Economic Cooperation and Development, ECE, Unidroit, the United Nations Conference on Trade and Development, the United Nations Inter-Agency Cluster on Trade and Productive Capacity of the United Nations System Chief Executives Board for Coordination, and the World Bank.163. 委员会赞赏地注意到,秘书处与联合国系统内外的若干组织开展了活动,这些组织包括: 亚太经社会、欧洲联盟、海牙国际私法会议、经济合作与发展组织、欧洲经委会、统法协会、联合国贸易和发展会议、联合国机构间贸易和生产能力小组以及世界银行。
164. The Commission noted that the coordination activity of its secretariat concerned all of the current working groups of UNCITRAL and that the secretariat participated in expert groups, working groups and plenary meetings of other bodies with the purpose of sharing information and expertise, as well as avoiding duplication of work in the relevant fields.164. 委员会注意到,委员会秘书处的协调活动涉及贸易法委员会现有的所有工作组,秘书处还参加了其他机构的多个专家组、工作组和全体会议,目的是交流信息和专门知识,并避免在各相关领域的工作互相重叠。
The Commission noted that such activity often involved travel to meetings of those organizations and the expenditure of funds allocated for official travel.委员会注意到,这类活动通常涉及出差去参加这些组织的会议以及为公务旅行拨出的经费开支。
The Commission reiterated the importance of the coordination work being undertaken by UNCITRAL as the core legal body in the United Nations system in the field of international trade law and expressed support for the use of travel funds for that purpose.委员会重申贸易法委员会作为联合国系统在国际贸易法领域中的核心法律机构开展协调工作的重要性,并支持为此目的使用差旅经费。
A. Coordination and cooperation in the field of security interestsA. 在担保权益领域的协调与合作
165. The Commission recalled that, at its forty-fourth session, in 2011, it had approved a paper jointly prepared by the Permanent Bureau of the Hague Conference and the secretariats of UNCITRAL and Unidroit entitled “Comparison and analysis of major features of international instruments relating to secured transactions” (A/CN.9/720) and requested that it be given the widest possible dissemination.165. 委员会回顾,委员会2011年第四十四届会议核准了由海牙会议常设局、贸易法委员会秘书处和统法协会秘书处联合编拟的题为“担保交易国际文书主要特征的对比和分析”的文件(A/CN.9/720),并要求尽可能广泛传播该文件。
166. The Commission noted that the paper had been published as a United Nations publication entitled “UNCITRAL, Hague Conference and Unidroit texts on security interests”, with proper recognition of the contribution of the Permanent Bureau of the Hague Conference and the secretariat of Unidroit.166. 委员会注意到,该文件已经以“贸易法委员会、海牙会议和统法协会的担保权益法规”为题,作为联合国出版物出版,同时适当鸣谢了海牙会议常设局和统法协会秘书处的贡献。
The Commission welcomed that publication and expressed its appreciation to the Secretariat, as well as to the Permanent Bureau of the Hague Conference and the secretariat of Unidroit.委员会对该出版物表示欢迎,并向秘书处以及海牙会议常设局和统法协会秘书处表示感谢。
It was widely felt that the excellent coordination and cooperation among the three organizations in the field of security interests and the resulting publication was a good example of the kind of coordination and cooperation that the Commission had been supporting for years.会上普遍认为,这三个组织在担保权益领域进行的出色协调与合作以及所产生的出版物是委员会多年来支持的协调与合作类型的良好范例。
It was generally believed that that publication could pave the way for possible future collaboration among the three organizations, with a view to explaining the interrelationship of their texts and thus facilitating the adoption of those texts by States.普遍认为,这三个组织今后可能会合作解释其法规之间的相互关系从而促进各国通过这些法规,该出版物可为这一合作铺平道路。
167. In addition, the Commission recalled that, at its forty-fourth session, in 2011, it had requested the Secretariat to proceed with the preparation of a joint set of principles on effective secured transactions regimes in cooperation with the World Bank and outside experts.167. 此外,委员会还回顾,委员会2011年第四十四届会议请秘书处着手与世界银行和外部专家合作编拟有关担保交易高效制度的一套共同原则。
The Commission noted with appreciation that the Secretariat had prepared a first draft summarizing the basic principles and recommendations of the Secured Transactions Guide and was in the process of discussing it with the World Bank.委员会赞赏地注意到,秘书处已经编写了初稿,其中概述了《担保交易指南》的基本原则和建议,正在与世界银行就该初稿进行讨论。
168. Moreover, the Commission recalled that, at its forty-fourth session, in 2011, it had also requested the Secretariat to cooperate closely with the European Commission with a view to ensuring a coordinated approach to the law applicable to the third-party effects of assignments of receivables, taking into account the approach followed in the United Nations Convention on the Assignment of Receivables in International Trade and the Secured Transactions Guide.168. 此外,委员会还回顾,委员会2011年第四十四届会议还请秘书处与欧盟委员会密切合作,以确保就应收款转让第三方效力的适用法律采取协同做法,同时考虑到《联合国国际贸易应收款转让公约》和《担保交易指南》所遵循的办法。
The Commission noted that its request had been communicated by the Secretariat to the European Commission and was advised that:委员会注意到,秘书处已将委员会的这一请求传达给欧盟委员会,并获悉:
(a) the British Institute of International and Comparative Law had completed a study commissioned by the European Commission on that topic; (b) the European Commission was currently analysing that study and had not yet taken a position on the matter; (c) the European Commission report on proprietary aspects of the assignments of claims would be completed in 2013; and (d) the European Commission welcomed the possibility of establishing a coordinated approach with UNCITRAL.(a)英国国际法与比较法研究院已经完成了欧盟委员会委托进行的关于这一议题的研究;(b)欧盟委员会目前正在对该研究报告进行分析,尚未就此问题采取立场;(c)欧盟委员会关于债权转让的所有权方面问题的报告将于2013年完成;(d)欧盟委员会对于有可能与贸易法委员会制定一种协同做法表示欢迎。
The Commission expressed its appreciation to the Secretariat for its efforts and to the European Commission for its positive response.委员会对秘书处的工作以及欧盟委员会的积极回应表示感谢。
It was widely felt that a coordinated approach would be in the interest of all involved so as to avoid the application of different laws to the third-party effectiveness and priority of the rights of assignees of receivables, depending on the forum in which the issue arose.与会者广泛认为,采取协同做法将符合所有相关各方的利益,从而避免因争议发生地法院的缘故而对应收款受让人权利的第三方效力和优先权适用另一种法律。
After discussion, the Commission requested the Secretariat to continue its coordination effort.经讨论后,委员会请秘书处继续进行协调工作。
B. Reports of other international organizationsB. 其他国际组织的报告
169. The Commission took note of statements made on behalf of the following international organizations.169. 委员会注意到以下国际组织代表所作的发言。
International Institute for the Unification of Private Law (Unidroit)国际统一私法协会(统法协会)
170. The Commission heard a statement made on behalf of Unidroit.170. 委员会听取了代表统法协会所作的发言。
Unidroit welcomed the current coordination and cooperation with UNCITRAL and reaffirmed its commitment to cooperating closely with the Commission with a view to ensuring consistency, avoiding overlap and duplication in the work of the two organizations and making the best use of the resources made available by the respective member States.统法协会欢迎目前与贸易法委员会的协调与合作,并重申其致力于与委员会密切合作以确保一致性,避免两个组织工作的重叠和重复,并最好地利用各自成员国所提供的资源。
171. Unidroit reported that:171. 统法协会报告如下:
(a) Following the adoption of the Unidroit Principles 2010, the Unidroit Governing Council, at its ninety-first session, held in Rome from 7 to 9 May 2012, had given its secretariat a mandate to develop model clauses to assist parties in incorporating the Unidroit Principles 2010 (see para. 137 above) into the terms of their contract, or in choosing them as the rules of law governing their contract;(a) 2010年《统法协会通则》通过后,2012年5月7日至9日在罗马举行的统法协会理事会第九十一届会议授权其秘书处制定示范条款,以协助当事人将2010年《统法协会通则》(见上文第137段)纳入其合同条款,或选择《通则》作为管辖其合同的法律规则;
(b) The Protocol to the Convention on International Interests in Mobile Equipment on Matters Specific to Space Assets had been adopted at the diplomatic Conference for the adoption of the draft Protocol to the Convention on International Interests in Mobile Equipment on Matters specific to Space Assets, held in Berlin from 27 February to 9 March 2012.(b) 2012年2月27日至3月9日在柏林举行的通过《移动设备国际权益公约关于空间资产特定事项的议定书》草案外交会议(通过了《移动设备国际权益公约关于空间资产特定事项的议定书》。
Among other important resolutions, the diplomatic Conference had invited the governing bodies of the International Telecommunications Union (ITU) to consider the matter of ITU becoming the supervisory authority of the international registry to be set up under the Protocol;这次外交会议除其他重要决议外,还邀请国际电信联盟(国际电联)的理事机关考虑由国际电联担任按照该《议定书》设立的国际登记处的监督机关问题;
(c) It was noted that the negotiations on the establishment of the registry under the Protocol to the Convention on International Interests in Mobile Equipment on Matters specific to Railway Rolling Stock were well advanced and should be concluded shortly.(c) 注意到关于按照《移动设备国际权益公约关于铁路机动车辆特定事项的议定书》设立登记处的谈判进展顺利,应在不久后结束。
The Unidroit Governing Council had given its secretariat a mandate to examine the potential economic benefit of developing a fourth protocol to the Convention on International Interests in Mobile Equipment on matters specific to agricultural, mining and construction equipment;统法协会理事会授权其秘书处对制定《移动设备国际权益公约》关于农业、采矿和建筑设备特定事项的第四项议定书可能带来的经济益处进行研究;
(d) The Unidroit Governing Council had authorized the convening of a committee of governmental experts to consider and finalize the draft principles on the enforceability of close-out netting provisions that had been developed by a Unidroit study group in 2010 and 2011.(d) 统法协会理事会授权召集一个政府专家委员会,审议并审定统法协会的一个研究小组于2010-2011年编写的“终止式净额结算条款可执行性原则草案”。
The Committee was to hold its first session in Rome from 1 to 5 October 2012;该委员会将于2012年10月1日至5日在罗马举行第一届会议;
(e) Following the publication of the Official Commentary to the 2009 Unidroit Convention on Substantive Rules for Intermediated Securities, the Committee on Emerging Markets Issues, Follow-Up and Implementation had met in Rio de Janeiro, Brazil, in March 2012.(e) 2009年《统法协会代持证券实体规则公约》正式评注出版后,新兴市场问题、后续工作和实施情况委员会于2012年3月在巴西里约热内卢举行了会议。
The Unidroit Governing Council welcomed the Committee’s proposal to develop a legislative guide to advise States wishing to ratify the Convention, stressing that the guide should set out the options available for regulating those areas of the law which, although related to the Convention, were not directly or wholly addressed by that instrument;该委员会建议编写一项立法指南,为希望批准该公约的国家提供建议,统法协会理事会对此表示欢迎,并强调该指南应当为规范与该公约有关但在该文书中没有直接或全面述及的法律领域提供备选办法;
(f) The committee to follow up the application of the 1995 Convention on Stolen or Illegally Exported Cultural Objects had met in Paris on 19 June 2012.(f) 1995年《关于被盗或非法出口文物公约》适用情况跟踪委员会于2012年6月19日在巴黎举行了会议。
The United Nations Educational, Scientific and Cultural Organization-Unidroit Model Provisions on State Ownership of Undiscovered Cultural Objects, completed in 2011, would soon be published;2011年完成的“联合国教育、科学及文化组织/统法协会关于未发现文物的国有问题的示范立法条款”即将出版;
(g) In the light of the discussion at a colloquium on the private law aspects of promoting investment in agricultural production, organized by Unidroit in Rome from 8 to 10 November 2011, and consultations between Unidroit and the Rome-based United Nations agencies specializing in agriculture, food aid and rural development, the Unidroit Governing Council had authorized its secretariat to establish a study group for the preparation of an international guidance document for contract farming arrangements and to invite the Food and Agriculture Organization of the United Nations, the International Fund for Agricultural Development and other interested international organizations to participate in its work.(g) 根据统法协会2011年11月8日至10日在罗马组办的关于促进农业生产投资所涉及的私法方面问题”的专题讨论会上的讨论,以及统法协会与设在罗马的农业、粮食援助和农村发展方面联合国各专门机构之间的协商,统法组织理事会授权其秘书处成立一个研究小组,编写对契约农业安排的国际指导文件,并邀请联合国粮食及农业组织、国际农业发展基金和其他感兴趣的国际组织参与其工作。
The Unidroit Governing Council had also authorized its secretariat to pursue its consultations with a view to the possible preparation of an international guidance document on land investment contracts.统法协会理事会还授权其秘书处继续进行协商,以便视可能编写关于土地投资合同的国际指导文件。
World Bank世界银行
172. The Commission heard a statement made on behalf of the World Bank, in which appreciation was expressed to UNCITRAL and its secretariat for the continuing cooperation with the World Bank.172. 委员会听取了代表世界银行所作的发言,其中对贸易法委员会及其秘书处继续与世界银行进行合作表示赞赏。
It was noted that over the previous years the work of the World Bank in supporting the modernization of the legal enabling environment for economic growth and trade had been significantly enhanced by the work of UNCITRAL and its working groups.会上指出,过去几年当中,世界银行支持法律赋能环境现代化以促进经济增长和贸易的工作得到贸易法委员会及其各工作组工作的大力支持。
In particular, the work being done by the two organizations in establishing uniform legal frameworks in the field of public procurement, arbitration and conciliation, insolvency and secured transactions was highlighted.特别强调指出,两个组织正在开展工作,在公共采购、仲裁和调解、破产和担保交易领域建立统一的法律框架。
173. The World Bank invited UNCITRAL to participate in the Global Forum on Law, Justice and Development (www.globalforumljd.org), a project of the World Bank which aimed at providing an innovative and dynamic forum for knowledge-sharing so as to promote a better understanding of the role of law and justice.173. 世界银行请贸易法委员会参加全球法律、司法和发展论坛(www.globalforumljd.org),该论坛是世界银行的一个项目,旨在提供创新型的动态论坛共享知识,以促进更好地理解法律和司法的作用。
In response, the Commission had given the Secretariat a mandate to participate in the Global Forum project.对此,委员会授权秘书处参加该全球论坛项目。
C. International governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groupsC. 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
174. At its current session, the Commission recalled that, at its forty-third session, in 2010, it had adopted the summary of conclusions on UNCITRAL rules of procedure and methods of work.174. 在本届会议上,委员会回顾其2010年第四十三届会议通过了关于贸易法委员会议事规则和工作方法的结论概要。
In paragraph 9 of the summary, the Commission had decided to draw up and update as necessary a list of international organizations and of non-governmental organizations with which UNCITRAL had a long-standing cooperation and which had been invited to sessions of the Commission.在概要第9段中,委员会决定编拟并在必要情况下更新与贸易法委员会长期合作以及曾获邀参加委员会届会的国际组织和非政府组织的名单。
175. The Commission also recalled that, at its forty-fourth session, in 2011, it had requested the Secretariat to make adjustments to the online presentation of information concerning intergovernmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups and to the modality of communicating such information to States.175. 委员会还回顾其2011年第四十四届会议请求秘书处对网上提供的关于获邀参加贸易法委员会及其工作组届会的政府间组织和非政府组织的信息以及向各国发送此类信息的方式作出调整。
176. The Commission heard an oral report by the Secretariat on the implementation of that request by the Commission.176. 委员会听取了秘书处关于落实委员会上述请求的情况的口头报告。
It was noted that the Secretariat maintained an online list of intergovernmental and non-governmental organizations that was organized so that States could identify organizations that were being invited to each active working group of UNCITRAL and organizations that had been invited to past working groups of UNCITRAL.据指出,秘书处维持着一个政府间组织和非政府组织网上名单,其编排方式可使各国查明哪些组织当下获邀参加贸易法委员会每一正在开展工作的工作组,哪些组织曾获邀参加贸易法委员会以往的工作组。
It was noted that all organizations on that list were invited to annual sessions of the Commission.会上指出,该名单上的所有组织都曾获邀参加委员会年会。
177. The Commission also noted that the Secretariat constantly updated the list to provide up-to-date information.177. 委员会还注意到,秘书处经常对该名单进行更新,以提供最新信息。
In that context, the Commission noted that since its forty-fourth session, in 2011, the following organizations had been added to the list of non-governmental organizations invited to sessions of UNCITRAL and its working groups:在这方面,委员会注意到,自 其2011年第四十四届会议以来,获邀参加贸易法委员会及其工作组届会的非政府组织名单上增添了下列组织:
Business Recovery and Insolvency Practitioners Association of Nigeria; European Intermodal Association; European Multi-channel and Online Trade Association; Miami International Arbitration Society; Pakistan Business Council; and International Union of Judicial Officers.尼日利亚企业复苏与破产从业者协会、欧洲多式联运协会、欧洲多渠道与网上贸易协会、迈阿密国际仲裁学会、巴基斯坦工商理事会、司法人员国际联盟。
178. As regards the modality of communicating the relevant information to States, the Commission noted that the links to the web pages where the most updated list could be found continued to be included in invitations to sessions of the Commission and its working groups.178. 关于向各国发送相关信息的方式,委员会注意到,委员会及其工作组届会的邀请函中仍将列出最新名单的网页链接。
The Commission expressed its appreciation to the Secretariat for implementing its request in an efficient manner.委员会对秘书处以高效方式落实其要求表示赞赏。
D. Enhancing cooperation with academiaD. 加强与学术界的合作
179. The Commission recalled that at its forty-fourth session, in 2011, the Commission decided that the Secretariat should investigate the possibility of inviting a small number of prominent specialized law reviews to attend sessions of the Commission or its working groups as observers, on the understanding that those reviews would then disseminate information about new projects and existing standards, with a view to increasing awareness of the standard-setting and technical assistance work of the Commission.179. 委员会回顾,委员会2011年第四十四届会议决定,秘书处应当研究邀请若干著名法律专业评论刊物以观察员身份参加委员会或其工作组届会的可能性,但有一项谅解,即这些评论刊物随后将宣传新项目和现行标准,以期增进对委员会在标准制定和技术援助方面的工作的了解。
180. The Secretariat brought to the attention of the Commission the fact that since its forty-fourth session, in 2011, the Secretariat had received requests from various institutions to participate as observers at sessions of UNCITRAL.180. 秘书处提请委员会注意,自其第四十四届会议以来,秘书处从各种机构收到了若干关于作为观察员参加贸易法委员会届会的请求。
The Secretariat had had to turn down a number of requests when the eligibility criteria had not been met, in particular when the institution was not international in focus and in membership, when there were doubts regarding the ability of the institution to bring an original and meaningful contribution to the deliberations at the session or when legal or commercial experience to be reported upon by the institution was already sufficiently represented in the session.秘书处拒绝其中一些请求,因为有的机构不符合资格标准,特别是在工作重点和成员组成上不具国际性;有的机构对届会审议工作作出原创性和有意义贡献的能力有疑问;或者有的机构所要报告的法律或商业经验已经在届会上具有充分代表性。
The Commission encouraged the Secretariat to strictly apply the eligibility criteria to academic institutions.委员会鼓励秘书处对学术机构严格适用资格标准。
181. The Commission recalled that, in the founding resolution of UNCITRAL, the General Assembly had authorized the Commission to consult with or request the services of any international or national organization, scientific institution and individual expert, on any subject entrusted to it, if it considered such consultation or services might assist it in the performance of its functions.181. 委员会回顾,在成立贸易法委员会的决议中,大会授权委员会在其认为进行咨询或请求服务有助于履行委员会职能的情况下,应就委托给委员会的任何主题向任何国际或国内组织、科学机构和个人专家进行咨询或请求提供服务。
The Commission therefore considered it appropriate for the Secretariat to invite representatives of academia in their personal capacity to address the Commission or its working group from time to time when such an arrangement would assist in the performance of its functions.因此,委员会认为秘书处宜当邀请学术界代表以个人身份经常在委员会或其工作组发言,条件是这种安排有助于委员会履行职能。
The Commission reaffirmed its belief about the importance of furthering cooperation with academia and stimulating research related to the work of UNCITRAL.委员会重申,委员会相信促进与学术界的合作并鼓励进行与贸易法委员会工作有关的研究具有重要意义。
XIX. UNCITRAL regional presence十九. 贸易法委员会的区域存在
A. Establishment of the UNCITRAL Regional Centre for Asia and the Pacific:A. 贸易法委员会亚洲及太平洋区域中心的建立:
progress report进度报告
182. The Commission recalled that at its forty-fourth session, in 2011, broad support had been expressed for the establishment of UNCITRAL regional centres, which was considered a novel yet important step for UNCITRAL in reaching out and providing technical assistance to developing countries.182. 委员会回顾,委员会2011年第四十四届会议广泛支持建立贸易法委员会区域中心,认为这是贸易法委员会向发展中国家伸出援手提供技术援助的新颖而重要的一步。
In particular, at that session, the Commission had approved the establishment of the UNCITRAL Regional Centre for Asia and the Pacific in Incheon, Republic of Korea.特别是委员会在该届会议上核准了在大韩民国仁川市建立贸易法委员会亚洲及太平洋区域中心。
The General Assembly, in its resolution 66/94, had welcomed that decision and expressed its appreciation to the Government of the Republic of Korea for its generous contribution to that pilot project.大会在第66/94号决议中对该决定表示欢迎,并赞赏大韩民国政府对这一试点项目的慷慨捐助。
183. The Regional Centre was officially opened on 10 January 2012 by the Under-Secretary-General for Legal Affairs and Legal Counsel of the United Nations, who emphasized the importance of the principle of the rule of law and the role of the Regional Centre in promoting international trade and development in the Asia-Pacific region.183. 区域中心于2012年1月10日正式成立,主管法律事务副秘书长兼联合国法律顾问主持开幕式,副秘书长强调了法治原则的重要意义以及区域中心在推动亚太地区国际贸易和发展上所起的作用。
The launch event of the Regional Centre was followed by a regional workshop in which panellists discussed the role of the Regional Centre and the significance of UNCITRAL texts for the region.区域中心开幕式活动之后举办了一次区域讲习班,就区域中心的作用以及贸易法委员会法规对该区域的重要意义展开了小组讨论。
184. The Commission heard an oral report by the head of the Regional Centre on the progress made since the establishment of the Regional Centre.184. 委员会听取了区域中心主任就区域中心建立以来的进展情况所作的口头报告。
It was informed that the Regional Centre was currently fully staffed with a head and a team assistant, funded by the project budget contributed by the Government of the Republic of Korea, and a legal expert provided by the Government of the Republic of Korea on a non-reimbursable basis.委员会获知,区域中心目前人员配备齐全,设有由大韩民国政府捐助的项目预算供资的一名主任和一名团队助理,以及由大韩民国政府提供的一名不领取薪酬的法律专家。
It was noted that the activities of the Regional Centre had focused on assessing needs and mapping existing projects relating to trade law reform, with a view to increasing coordination among them.会上注意到,区域中心的活动侧重于需求评估以及为加强协调而对贸易法改革方面的现有项目的筹划安排。
It was emphasized that particular importance was given to coordination with other regional entities, especially ESCAP.有与会者强调应当特别重视与其它区域实体组织之间的协调,尤其是亚太经社会。
The establishment of effective contacts with States that already had the resources and the capacity for trade law reform was also a priority.同已经拥有贸易法改革方面的资源和能力的国家建立有效联系也是优先重点。
185. States were invited to consider contributing to the activities of the Regional Centre by providing financial or human resources, in-kind contributions or as otherwise appropriate.185. 会上请各国考虑对区域中心的活动作出贡献,为此提供财政或人力资源、实物捐助或以其他适当方式作出贡献。
It was added that not only States already involved in trade law reform in the region as donors or partners, but also States that considered increased commercial interaction with the region strategic, and therefore valued increased legal predictability for those commercial exchanges, could potentially be interested in closer cooperation with the Regional Centre.有与会者补充说,可能有兴趣同区域中心展开更加密切合作的不仅有已经作为捐助方或伙伴方参与该区域贸易改革的国家,而且还包括那些认为同该区域加强商业互动具有战略意义并从而重视提高这些商事交流法律可预见性的国家。
186. It was also added that, from an operational standpoint, the Regional Centre had identified East Asia and the Pacific as areas of priority for its work, in the light of requests as well as existing initiatives, and that currently its main areas of work included alternative dispute resolution, sale of goods and electronic commerce.186. 还补充说,从业务角度看,该区域中心根据请求和既有举措,把东亚和太平洋地区视作其工作的优先领域,目前其主要工作领域包括非诉讼争议解决、货物销售和电子商务。
B. Regional presence in other parts of the worldB. 在世界其他地区的区域存在
187. The Commission took note of statements by member States expressing an interest in establishing UNCITRAL regional centres.187. 委员会注意到会员国对建立贸易法委员会区域中心表现出兴趣的国家所作的发言。
188. In particular, the representative of Singapore stated that, further to its previous expression of interest in hosting an UNCITRAL centre, the Government of Singapore had been communicating with the Secretariat on that issue and that objectives and a basic structure for the establishment of such a centre had been tentatively identified.188. 特别是新加坡代表发言说,新加坡政府此前对担任贸易法委员会中心东道国表示了兴趣,为了进一步跟进,新加坡政府一直与秘书处就该问题进行沟通,有关建立此种中心的目的和基本结构已经暂时确定。
Hence, the Government proposed that an UNCITRAL centre should be established in Singapore, operating under the supervision of the Secretary of UNCITRAL and collaborating, as appropriate, with the UNCITRAL Regional Centre for Asia and the Pacific.因此,新加坡政府提议在新加坡建立一个贸易法委员会中心,该中心在贸易法委员会秘书的监督下开展工作,并酌情与贸易法委员会亚洲及太平洋区域中心开展协作。
189. It was also stated that the activities proposed for the UNCITRAL centre in Singapore could include:189. 还指出,为新加坡贸易法委员会中心提议的活动可以包括:
training on UNCITRAL and other relevant international trade law texts, thus contributing to increasing the understanding of international trade law; promotion of the adoption of UNCITRAL texts, especially in the context of regional cooperation; and the organization of substantive meetings in support of the work of UNCITRAL on the preparation of legislative standards.就贸易法委员会及其它相关国际贸易法法规展开培训,从而促进提高对国际贸易法的认识;推动采纳贸易法委员会法规,尤其结合区域合作;并组办支持贸易法委员会立法标准编拟工作的实务会议。
It was indicated that the centre would report on its activities at the annual session of the Commission.会上表示,该中心将在委员会年会上报告其活动情况。
190. It was also indicated that the Government of Singapore offered support, including an initial level of funding, to the proposed centre, and that the Government would make every effort to further mobilize existing resources to support the activities of that centre.190. 会上还表示,新加坡国政府对拟议中的中心给予支持,包括提供初始资金,并将尽一切努力进一步筹集现有资源支持该中心的活动。
191. The representative of Singapore expressed confidence that the proposed centre, together with other regional, subregional or country centres of UNCITRAL that had already been or were going to be established, would provide an important contribution to the efforts of UNCITRAL and to global peace and development.191. 新加坡代表表示相信拟议中的中心以及业已建立或即将建立的贸易法委员会其它区域、分区域或国别中心将对贸易法委员会的工作乃至全球和平与发展作出重要贡献。
192. The representative of Kenya confirmed the interest of the Government of Kenya in hosting an UNCITRAL regional centre in Nairobi, and stressed that the proposed location was very suitable because of the existing international presence and excellent facilities.192. 肯尼亚代表确认了肯尼亚政府对担任内罗毕贸易法委员会区域中心东道国的兴趣,强调由于内罗毕现已设有国际机构并可提供一流设施,提议将该中心设在那里是非常合适的。
Several other delegates emphasized the importance of establishing an UNCITRAL presence in Africa.还有几位代表强调了在非洲建立贸易法委员会存在的重要性。
193. The Commission welcomed the offers from the Governments of Kenya and Singapore, requested the Secretariat to further pursue administrative arrangements for the establishment of those centres and noted the importance of maintaining close coordination and cooperation between regional centres.193. 委员会欢迎肯尼亚政府和新加坡政府的提议,请秘书处进一步落实建立这些中心的行政安排,并指出各区域中心密切合作与协调具有重要意义。
194. The Secretariat was requested to keep the Commission informed of developments regarding the operation of the Regional Centre for Asia and the Pacific and the establishment of other UNCITRAL regional centres, in particular their funding and budget situations.194. 委员会请秘书处随时向委员会通报有关亚洲及太平洋区域中心运作情况以及建立贸易法委员会其他区域中心的最新动态,尤其是这些中心的供资和预算情况。
XX. Role of UNCITRAL in promoting the rule of law at the national and international levels二十. 贸易法委员会在促进国内和国际法治方面的作用
195. The Commission recalled that an item on the role of UNCITRAL in promoting the rule of law at the national and international levels had been on its agenda since 2008, in response to the invitation of the General Assembly to the Commission to comment, in its report to the Assembly, on its current role in promoting the rule of law.195. 委员会回顾,鉴于大会请委员会在提交大会的报告中就委员会目前在促进法治方面的作用发表评论,自2008年以来一直将贸易法委员会在促进国内和国际法治方面的作用这一项目列入委员会议程。
The Commission recalled that it had transmitted its comments, as requested, in its annual reports to the Assembly, expressing in particular its conviction that the promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels, including through the Rule of Law Coordination and Resource Group supported by the Rule of Law Unit in the Executive Office of the Secretary-General.委员会回顾,在提交大会的年度报告中按要求转交了委员会的评论,特别表示委员会相信促进商业关系中的法治应成为联合国促进国内和国际法治这项更广泛议程的组成部分,包括在秘书长执行办公室法治股的支助下通过法治协调和资源小组开展工作。
The Commission noted with satisfaction that that view had repeatedly been endorsed by the Assembly.委员会满意地注意到这一意见一再得到大会的赞同。
196. The Commission took note of General Assembly resolution 66/102 on the rule of law at the national and international levels.196. 委员会注意到大会关于国内和国际法治的第66/102号决议。
The Commission in particular noted that, in paragraph 12 of that resolution, the Assembly had invited the Commission (and the International Court of Justice and the International Law Commission) to continue to comment, in its reports to the Assembly, on its current role in promoting the rule of law.委员会尤其注意到,大会在该决议第12段请委员会(和国际法院及国际法委员会)继续在提交大会的报告中对其目前促进法治的作用发表评论。
The Commission also took note of paragraphs 15-18 of that resolution, concerning the high-level meeting of the General Assembly on the topic of the rule of law to be held on 24 September 2012, and paragraph 20, by which the Assembly had invited Member States and the Secretary-General to suggest possible subtopics for future Sixth Committee debates.委员会还注意到该决议中关于2012年9月24日将要举行的法治专题大会高级别会议的第15-18段,以及大会在第20段中请会员国和秘书长为第六委员会今后的辩论提议可能的分专题。
197. The Commission recalled that at its forty-third session, in 2010, it had indicated that it 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.197. 委员会回顾,委员会在2010年第四十三届会议上表示,委员会认为通过法治股与法治协调和资源小组进行经常性对话至关重要,而且必须随时了解贸易法委员会工作融入联合国共同法治活动所取得的进展。
To that end, it had requested the Secretariat to organize briefings by the Rule of Law Unit every two years, when sessions of the Commission were held in New York.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。
198. Pursuant to that request, the rule of law briefing was held during the session, which was put in the context of the high-level meeting.198. 根据该请求,本届会议期间结合高级别会议举行了法治通报会。
During the first part of the briefing, UNCITRAL was informed about preparations for the high-level meeting.在通报会第一部分期间,向委员会通报了高级别会议的筹备情况。
During the second part of the briefing, representatives of States and organizations suggested points for reflection by UNCITRAL in its comments to the General Assembly this year.在通报会第二部分期间,各国和各组织的代表提出了一些观点,供贸易法委员会反映在今年提交大会的评论中。
A. Summary of the briefingA. 通报会摘要
199. The opening remarks were delivered on behalf of the Under-Secretary-General for Legal Affairs and Legal Counsel of the United Nations by the Officer-in-Charge of the Office of Legal Affairs and Director of the General Legal Division of the Office of Legal Affairs.199. 法律事务厅代理厅长和法律事务厅一般法律事务司司长代表负责法律事务的副秘书长兼联合国法律顾问作了开幕发言。
She emphasized that, while there was no doubt in the United Nations system about the important role played by UNCITRAL in the promotion of the rule of law, slow progress had been made in the integration of UNCITRAL instruments and tools into the United Nations joint rule of law activities.她强调,虽然联合国系统内对于贸易法委员会在促进法治方面发挥的重要作用没有任何疑问,但将贸易法委员会文书和工具纳入联合国共同法治活动的工作仍然进展缓慢。
That was particularly regrettable since the need for UNCITRAL expertise, instruments and tools was manifest in reports from United Nations field operations, which referred to unfilled capacity gaps regarding measures aimed at economic revitalization, employment generation and private sector development.这一点特别令人遗憾,因为从联合国外地行动提交的报告中可以明显看到需要贸易法委员会的专门知识,需要其文书和工具,这些报告提到旨在振兴经济、创造就业机会和促进私营部门发展的措施方面的能力差距未得到填补。
Among practical steps towards bringing the results of the work of UNCITRAL and its vast experience to intended beneficiaries, she identified the need for the sustained involvement of interested countries themselves, expanded outreach activities of UNCITRAL and the active involvement of United Nations and other rule of law assistance providers on the ground.为了使贸易法委员会的工作成果和贸易法委员会的丰富经验惠及预期受益人,在各项切实可行的措施中,她确定需要有关国家本身的持续参与、扩大贸易法委员会的宣传活动以及联合国和当地的其他法治援助提供者的积极参与。
200. The Commission was subsequently updated by a representative of the Rule of Law Unit about the developments in the United Nations rule of law agenda since the briefing by the Unit to UNCITRAL in 2010.200. 法治股一位代表随后向委员会通报了自法治股2010年向贸易法委员会通报情况以来联合国法治议程的最新发展情况。
The speaker highlighted growing recognition in various United Nations bodies, including in the Security Council, of the importance of rule of law activities promoting economic development, and noted that ways should be found to reflect that growing recognition in the work of the United Nations.该发言者强调,联合国各机构包括安全理事会日益认识到法治活动对促进经济发展的重要性,并指出仍然需要探讨如何在联合国的工作中反映这种日益提高的认识。
The attention of the Commission was drawn to:提请委员会注意:
(a) the report of the Secretary-General entitled “Delivering justice: programme of action to strengthen the rule of law at the national and international levels” (A/66/749), submitted for the consideration of Member States in preparation of the high-level meeting on rule of law to be held pursuant to General Assembly resolution 66/102; (b) growing concern that current United Nations institutional arrangements in the rule of law area did not succeed in promoting a coordinated and coherent approach in the United Nations rule of law efforts; and (c) the efforts of the Deputy Secretary-General to address that concern.(a)为筹备根据大会第66/102号决议举行的法治问题高级别会议而提交会员国审议的标题为“伸张正义: 加强国内和国际法治行动纲领”的秘书长报告(A/66/749);(b)人们越来越关切目前联合国在法治领域的机构安排没有成功地促进联合国法治工作采取协调一致的办法;(c)副秘书长为处理此种关切所作的努力。
The Commission took note of the point made that gathering data on the impact of UNCITRAL technical assistance would be timely and in line with the calls by the General Assembly and the Security Council for assessment of the effectiveness of United Nations rule of law assistance activities.委员会注意到提出的以下观点,即收集关于贸易法委员会技术援助的影响的数据将是及时的,并与大会和安全理事会关于评估联合国法治援助活动的有效性的要求相一致。
201. The Commission was then briefed by the representative of Mexico, a co-facilitator of informal consultations of Member States on an outcome document of the high-level meeting, on the progress made in the consultations.201. 随后,高级别会议成果文件会员国非正式协商共同协调员向委员会通报了协商的进展情况。
The Commission learned that some provisions under consideration for inclusion in an outcome document would recognize the contribution made by UNCITRAL to the promotion of the rule of law in international trade.委员会获悉拟列入成果文件的一些条文将承认贸易法委员会对促进国际贸易法治作出的贡献。
202. The second part of the briefing was opened by the representative of Austria. who highlighted the economic component of the rule of law, in particular the contribution of UNCITRAL to the promotion of the rule of law in both national and cross-border contexts in particular.202. 奥地利代表宣布通报会第二部分开幕,他强调了法治的经济部分,特别是贸易法委员会对促进国内法治特别是跨境法治的贡献。
Specific reference was made to the UNCITRAL Model Law on Public Procurement as an important tool in the fight against corruption, to UNCITRAL instruments in the area of commercial dispute resolution as relevant to the promotion of access to justice and the culture of the rule of law in society as a whole, and to UNCITRAL insolvency law texts that provided rule-based resolution of financial difficulties, exit mechanisms and the distribution of assets.具体提到《贸易法委员会公共采购示范法》是一个重要的反腐败工具,提到贸易法委员会在商事争议解决领域的文书有助于促进获得公平审理的机会并在全社会提倡法治文化,还提到贸易法委员会的破产法律文书,其中就基于规则解决财务困难、退出机制和资产分配作出了规定。
In conclusion, he noted that efforts to promote the rule of law at the national and international levels did not serve an abstract goal, but were aimed at the protection of the rights and interests of individuals and that UNCITRAL might have a less visible but no less important impact in addressing the roots of economic tensions and problems, such as poverty, inequality or disputes over access to shared resources.最后,他指出,促进国内和国际法治的努力并非服务于抽象目标,而是旨在保护个人的权益;在从根本上处理紧张的经济关系和经济问题(如贫穷、不平等或者共享资源利用权争议)方面,贸易法委员会的影响也许不太为人所知,但并非不重要。
203. Representatives of UNDP, IDLO, ILI and Alfa-Redi (a non-governmental organization invited to participate in the panel in view of its work in promoting the rule of law as a component of the information society) described lessons learned in assisting States with strengthening the rule of law at the national level.203. 开发计划署、国际发展法组织、国际法学会和阿尔法信息网络(一个非政府组织,因其在促进法治成为信息社会的一个组成部分方面的工作而获邀参加小组讨论)的代表介绍了在协助各国加强国内法治方面吸取的经验教训。
A representative of IDLO highlighted the importance of national ownership, the involvement of civil society actors and local commitment to reforms at all levels — from political decision makers and high-level civil servants to implementing staff — for rule of law reforms in any sector to succeed.国际发展法组织的代表强调了国家自主权、民间社会行动方参与以及当地各级——从政治决策者和高级公务员到具体执行人员——支持改革对于任何部门的法治改革取得成功的重要性。
It was therefore considered essential to work with the national staff and not to impose solutions.因此,认为至关重要的是与国内工作人员合作,而不是将解决办法强加给他们。
204. That message was echoed in a statement by one speaker, who said that the objective of the United Nations rule of law work was not about imposing foreign legal systems or overly elaborate ones but about applying basic rule of law principles to local conditions and local needs and helping to integrate various specific disciplines under commonly acceptable rule of law standards.204. 一位发言者在发言中表达了同样看法,指出联合国法治工作的目标不是强加外国法律制度或过于复杂的制度,而是将基本法治原则适用于当地状况和当地需要,并协助根据普遍接受的法治标准纳入各种具体规章制度。
Other speakers pointed out that UNCITRAL was doing exactly that by harmonizing legal approaches and business practices embodied in national laws from various legal systems and providing models for reform.其他发言者指出,贸易法委员会正是在这样做,手段是协调统一各种法律制度之下国内法所体现的法律做法和商业惯例并提供改革范本。
Without them, legislatures found it difficult to proceed; with such texts in hand, local officials could dedicate their time more efficiently to local specifics.没有这些文书,立法机构会发现难以开展工作;而有了这些文书,当地官员就能够更高效地将其时间用于考虑当地的特殊情况。
It was noted that the methods of work of UNCITRAL themselves contributed to harmonization by allowing delegations from various legal systems to interact and exchange ideas; knowledge of other systems helped to promote better understanding of how to interact in international trade.会上指出,由于来自不同法律制度的代表团可以进行互动和交流意见,贸易法委员会的工作方法本身促进了协调统一;而了解其他制度有助于促进更好地理解如何在国际贸易中进行互动。
205. Examples were provided of the use of UNCITRAL texts as models for local reforms in various areas of commercial law.205. 就利用贸易法委员会文书作为当地商法领域改革的范本提供了示例。
A link between UNCITRAL texts and the rule of law in the broader context was demonstrated by an example provided by the representative of ILI on the use of UNCITRAL texts in the area of security interests, in particular as they regulated non-possessory liens in property.国际法学会的代表以贸易法委员会担保权益领域的文书为例,证明了贸易法委员会文书与更广泛的法治之间的联系,尤其是因为这些文书规范财产的非占有式留置权。
It was argued that, as studies by academics and practitioners had shown, in the absence of such laws individuals desperate to start businesses had resorted to illegal means (e.g. forgery, false documents), resulting in more criminal convictions in some countries than for murder, armed robbery and other major felonies combined.据称,如学术界和从业人员研究所表明的那样,没有这样的法律,急于创办企业的个人就会采用非法手段(例如造假、伪造证件),结果导致一些国家这方面的刑事定罪比谋杀、武装抢劫和其他重罪的总和还多。
The link between the work of UNCITRAL and good governance was demonstrated by reference to UNCITRAL texts in the area of public procurement and privately financed infrastructure projects that fostered integrity, confidence, fairness, transparency and accountability in public expenditures.以贸易法委员会在公共采购和私人融资基础设施项目领域的文书为例,证明了贸易法委员会的工作与良好治理之间的联系,因为这些文书促进公共开支方面的廉正、信任、公平、透明和问责。
A representative of UNDP provided examples in which its work on the legal empowerment of the poor could benefit from UNCITRAL work, in particular regarding regulation of microfinance, micro-businesses, access to justice and enforcement of contracts.开发计划署的代表举例说明开发计划署的穷人法律赋权工作可以受益于贸易法委员会的工作,特别是在规范小额金融、微型企业、获得公平审理机会以及强制执行合同方面的工作。
206. Several speakers referred to the importance of UNCITRAL texts in ensuring a nexus between the State; high-level commitments, embodied in international treaties, declarations or other instruments; and their implementation in the daily life of people.206. 几名发言者提到贸易法委员会文书对于确保将国家、国际条约、声明或其他文书所体现的高级别承诺与通过人民的日常生活贯彻这些承诺这三者联系起来的重要性。
The UNCITRAL Model Law on Public Procurement, for example, was widely considered an indispensable tool in the implementation of the United Nations Convention against Corruption; the UNCITRAL instruments on privately financed infrastructure projects were considered relevant to the implementation of the outcome document of the United Nations Conference on Sustainable Development, entitled “The future we want” (see para. 115 above); and UNCITRAL model laws and rules in the area of commercial arbitration and conciliation were considered important for the effective implementation of the 1958 New York Convention.例如,《贸易法委员会公共采购示范法》被广泛视为执行《联合国反腐败公约》的一项不可或缺的工具;贸易法委员会关于私人融资基础设施项目的各项文书被认为对于执行联合国可持续发展问题会议标题为“我们期望的未来”的成果文件(见上文第115段)很有意义;贸易法委员会在商事仲裁和调解领域的示范法和规则被认为对于有效执行1958年《纽约公约》非常重要。
207. Other speakers referred to the need to achieve better coordination of rule of law efforts at both the national and international levels and to make them more responsive to the realities of the information society.207. 其他发言者提到需要更好地协调国内和国际各级法治工作,并使这些工作更能够反映信息社会的现实情况。
An example of conflicting rules and efforts at the regional and international levels that negatively affected the interoperability of the e-commerce and e-governance systems of Governments was given by a representative of Alfa-Redi, with the conclusion that no rule of law could exist where there was chaos regarding applicable rules.阿尔法信息网络的代表举例说明了区域和国际一级相互矛盾的规则和努力对各国政府的电子商务和电子政务系统互操作性产生的不利影响,得出的结论是,如果适用规则方面存在混乱,法治就无从实现。
The role of UNCITRAL as the core legal body in the field of international trade law, with its mandate to coordinate activities of various bodies active in that field and encourage cooperation among them, was highlighted.强调了贸易法委员会作为国际贸易法领域的核心法律机构的作用,其任务是协调活跃在该领域各机构的活动并鼓励它们相互合作。
208. The Commission heard various suggestions regarding a programme of action that it could recommend to States with a view to strengthening the rule of law in commercial relations, among them:208. 委员会听取了就其可以建议各国为加强商业关系中的法治采取的行动纲领而提出的各种建议,其中包括:
(a) the creation of international tribunals (akin to the International Tribunal for the Law of the Sea) with competence to give advisory opinions on international conventions regulating commercial law issues (for example, the 1958 New York Convention or the United Nations Sales Convention), recognizing that the International Court of Justice did not have jurisdiction over disputes involving private parties; (b) improving the capacity of local judiciary to handle commercial law disputes, including through the establishment of specialized commercial law courts and the provision of targeted training to judges of those courts (which did not need to involve creating a separate commercial court system, but could consist merely of having specialized judges within the regular civil court system); (c) increased research by academic institutions on issues of commercial law and the impact of commercial law reforms on economic development and the rule of law; and (d) creating, strengthening or confirming the existence of commercial law reform units and relevant expertise in ministries of justice, legislatures or legislative reform commissions, as appropriate.(a)设立国际法庭(类似于国际海洋法法庭),负责就规范商法问题的国际公约(例如,1958年《纽约公约》或《联合国销售公约》)提出咨询意见,因为认识到国际法院对于涉及私人当事方的争议没有管辖权;(b)提高地方司法机关处理商事法律争议的能力,包括建立专门的商法法院并向这些法院的法官提供有针对性的培训(不需要为此建立单独的商事法院系统,仅需要在常规民事法院系统内设立专业法官);(c)学术机构增加对商法问题以及商法改革对经济发展和法治的影响的研究;(d)酌情在司法部、立法机关或立法改革委员会建立、加强商法改革机构和相关专家队伍,或确认存在此类机构和专家队伍。
209. The Commission also heard the view that in rule of law assistance programmes there was often an excessive focus on institutional reforms and no sufficient consideration of the impact of legislative reforms on institutions and the judiciary.209. 委员会还听取了以下意见,即在法治援助方案中往往过于重视机构改革,而没有充分考虑立法改革对机构和司法机关的影响。
The Commission also heard the view that, while the link between the rule of law and economic development had long been established, the mutually reinforcing impact of the two was still to be considered.委员会还听取了下述意见,即虽然长期以来确认法治与经济发展之间有联系,但仍然没有考虑到两者是相得益彰的。
It was also considered important to underscore that the rule of law in the economic development context was not only or primarily about attracting foreign investment but also about internal development.还认为必须强调,在发展经济的同时促进法治,不仅仅是也并非主要是为了吸引外国投资,而且还是为了内在的发展。
210. During the briefing, speakers expressed the view that the Commission, during its forty-five years of existence, had already contributed and continued contributing significantly to strengthening the rule of law in commercial relations, international trade and in the broader context of the rule of law at both the national and international levels, at the crucial juncture between the two and in public and private law contexts.210.通报会上,发言者表示了以下看法: 委员会成立四十五年来,已经并继续从公法和私法方面,结合国内法治和国际法治这一更广泛背景,在两者的关键结合点对加强商业关系和国际贸易中的法治作出了重大贡献。
That contribution should be duly recognized by States and the United Nations system in the context of the high-level meeting and in its outcome document.各国和联合国系统应当在高级别会议上及其成果文件中对这一贡献给与认可。
B. Action by the CommissionB. 委员会采取的行动
Possible outcomes of the high-level meeting高级别会议可能产生的成果
211. The Commission noted that, in paragraph 16 of resolution 66/102, the General Assembly had decided that the high-level meeting would result in a concise outcome document.211. 委员会注意到,大会在第66/102号决议第16段中决定,高级别会议将产生一份简要成果文件。
The Commission was unanimous that an outcome document should refer to UNCITRAL work and recognize the contribution made by UNCITRAL to the promotion of the rule of law in the economic field, which was vital to the promotion of the rule of law in the broader context.委员会一致认为成果文件应提到贸易法委员会的工作,并承认贸易法委员会在促进经济领域的法治方面所作的贡献,经济领域的法治对于促进更广泛的法治至关重要。
212. The Commission noted the availability of the Secretariat to assist Member States in formulating actions in support of the objectives of UNCITRAL if States voluntarily decided to undertake such action on the occasion of the high-level meeting or any other occasion.212. 委员会注意到,如果各国自愿决定在高级别会议上或任何其他场合采取行动支持贸易法委员会的目标,秘书处愿意协助会员国拟订此类行动。
Support was expressed for making known to States, for their consideration, possible actions recommended by the UNCITRAL secretariat in the light of experience accumulated through UNCITRAL technical assistance and cooperation activities.会上表示支持让各国了解贸易法委员会秘书处建议可能采取的行动,供各国考虑,贸易法委员会秘书处是根据贸易法委员会技术援助和合作活动中积累起来的经验建议采取此种行动的。
The view was also expressed that recommended actions could in addition be considered by the Commission itself at a future session (see paras. 218-223 below).还有意见认为建议采取的行动还可由委员会本身在今后一届会议上进行审议(见下文第218-223段)。
Address by the Chair of the forty-fifth session of UNCITRAL to the high-level meeting贸易法委员会第四十五届会议主席在高级别会议上发言
213. Concern was expressed that in paragraph 15 (b) of General Assembly resolution 66/102, the Chair of UNCITRAL was not listed among the speakers at the high-level meeting.213. 会上表示关切大会第66/102号决议第15(b)段未将贸易法委员会主席列入高级别会议发言者名单。
The Commission was unanimous in emphasizing the importance of the UNCITRAL Chair addressing the high-level meeting.委员会一致强调贸易法委员会主席在高级别会议上发言的重要性。
That was considered to be in line with paragraph 12 of resolution 66/102, by which the Assembly had requested the Commission (together with the International Court of Justice and the International Law Commission) to continue to comment on its current role in promoting the rule of law (see para. ‎196 above).认为这一要求与第66/102号决议第12段是一致的,大会在其中请委员会(以及国际法院和国际法委员会)继续对各自目前促进法治的作用发表评论(见上文第196段)。
It was also considered to be in line with the message of the Commission, endorsed by the Assembly, that the promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels (see para. ‎195 above).还认为,这与经大会赞同的委员会的声明是一致的,即促进商业关系中的法治应成为联合国促进国内和国际法治这一更广泛议程的组成部分(见上文第195段)。
Otherwise, it was noted, the only expert body in the United Nations system in the field of international commercial law would be excluded from what was intended to be inclusive and comprehensive rule of law discussion in the Assembly.会上指出,否则的话,联合国系统在国际商法领域的唯一专业机构将被排除在关于本应具有包容性和综合性的法治的大会讨论之外。
214. The high-level meeting was viewed as a unique opportunity for the international community to look at rule of law issues from a commercial law point of view and to increase the knowledge of all concerned about the impact of commercial law reforms and UNCITRAL on the promotion of the rule of law.214. 认为高级别会议是一次独特机会,有利于国际社会从商法角度审视法治问题,并增强所有相关方对于商法改革和贸易法委员会对促进法治的影响的认识。
215. The Commission requested the Chair of its forty-fifth session to transmit its views as expressed in the present report to the Office of the President of the General Assembly.215. 委员会请其第四十五届会议主席向大会主席办公室转达本报告中所反映的委员会的意见。
216. The Commission was informed that the Office of Legal Affairs had requested the Office of the President of the General Assembly to invite the UNCITRAL Chair to address the high-level meeting.216. 大会获悉,法律事务厅已请求大会主席办公室邀请贸易法委员会主席在高级别会议上发言。
The Office of Legal Affairs stated that no procedural obstacles existed to the UNCITRAL Chair addressing the high-level meeting; it was thus a matter of the political will of States to agree on that point in consultation with the President of the General Assembly.法律事务厅指出,贸易法委员会主席在高级别会议上发言并不存在程序障碍;因此,这是各国有无政治意愿与大会主席协商就此事项达成一致的问题。
217. It was considered essential that Member States themselves, in their statements at the high-level meeting, should not overlook the areas of work of UNCITRAL and its role in the promotion of the rule of law.217. 会上认为,关键是会员国不要在高级别会议的发言中忽略贸易法委员会的工作领域和贸易法委员会在促进法治方面的作用。
UNCITRAL messages to the high-level meeting贸易法委员会对高级别会议的说明
218. The Commission agreed that its message to the high-level meeting should consist of a message addressed to States and a message addressed to the United Nations system.218. 委员会一致认为,对高级别会议的说明应包括对各国的说明和对联合国系统的说明这两个部分。
219. As regards the message to States, the Commission in particular noted that local capacity in commercial law reforms should continually be built, recognizing that commercial law constantly evolved in response to business practices.219. 关于对各国的说明,委员会特别指出,认识到商法在根据商业惯例而不断变化,因此应当不断增强当地的商法改革能力。
Nevertheless, the experience from UNCITRAL technical assistance and cooperation activities, including those of the recently established UNCITRAL Regional Centre for Asia and the Pacific (see paras. ‎182-186 above), demonstrated that, amid pressure to address other priorities, local needs in commercial law reforms were systematically overlooked, with the result that resources were allocated to other areas and the local capacity of countries to engage in commercial law reforms was weakened.不过,贸易法委员会技术援助和合作活动的经验,包括最近设立的贸易法委员会亚洲及太平洋区域中心的经验表明(见上文第182-186段),在处理其他优先事项的压力下,地方对商法改革的需要总是被忽视,结果是资源被分配用于其他领域,各国进行商法改革的当地能力被削弱。
In many States, policymaking and legislative work related to international legal standards had not kept pace with international developments in finance and commerce.在许多国家,与国际法律标准有关的决策和立法工作跟不上国际金融和商业发展的步伐。
In some States, good laws regulating commerce might exist, but their economic impact was limited when there was no local capacity to properly interpret or apply them.在一些国家,即使对商业进行规范的法律是不错的,但若不具备正确解释或适用这些法律的当地能力,其经济影响就非常有限。
There were often not enough people in Governments with expertise in commercial law reforms with whom the UNCITRAL secretariat would be able to establish sustainable dialogue.政府部门往往没有足够的具备商法改革专门知识、贸易法委员会可与之建立持续对话的人员。
To overcome those deficiencies, the sustainable involvement of States in commercial law reforms was needed.为克服此种不足,需要各国持续地参与商法改革。
220. Such involvement should translate into concrete steps that individual States could take, such as:220. 这类参与应当转化为各国可以采取的具体行动,例如:
(a) Establishing a national centre of international commercial law expertise with the capacity to identify local needs for commercial law reforms, utilize UNCITRAL standards and technical assistance tools to address such needs, and promote a coordinated approach by that State to the treatment of the same issues in various forums, including in the negotiation of a country-specific development assistance framework;(a) 建立国际商法专家国家中心,该中心要能够查明当地对商法改革的需要,利用贸易法委员会的标准和技术援助工具处理这类需要,并促进本国在各种论坛上以协调一致的办法对待相同问题,包括在国别发展援助框架的谈判中;
(b) Putting in place a mechanism for collecting, analysing and monitoring national case law related to UNCITRAL texts relevant to that State and integrating such a mechanism into the existing UNCITRAL systems aimed at addressing the need of the judiciary to better understand the internationally prevailing application and interpretation of UNCITRAL standards and achieve effective cross-border court cooperation.(b) 建立涉及贸易法委员会法规的与本国相关的国内判例法收集、分析和监测机制,并针对司法机关的需要——更好地理解贸易法委员会各项标准在国际上的普遍适用和解释并实现有效的跨境法院合作,将此种机制纳入贸易法委员会的现有系统。
Such measures were aimed at building the local capacity of States necessary to ensure interpretation of UNCITRAL standards in the light of their international character and the need to promote uniformity in their application and the observance of good faith in international trade and thus fulfil the obligations of States under relevant international conventions to which they might be parties.此种措施意在建立各国必需的地方能力,以确保在贸易法委员会各项标准的解释中考虑到其国际性,以及促进其统一适用并在国际贸易中遵守诚信的必要性,从而履行各国在其可能加入的相关国际公约下的义务。
221. As regards the message to the United Nations system, the Commission in particular reiterated its view that an excessive or exclusive focus on some areas of legal reform while disregarding other areas that were less visible ought to be avoided, that advancing the rule of law should be an inclusive and comprehensive process, that the rule of law and economic development were mutually reinforcing and that institutional reforms should not be undertaken at the expense of legislative reforms.221. 关于对联合国系统的说明,委员会特别重申其意见,即应当避免过度或排他性地重视某些法律改革领域,同时忽视较不明显的其他领域;推进法治应当是一个具有包容性和综合性的过程;法治与经济发展相得益彰;机构改革不应以牺牲立法改革为代价。
222. In addition, the Commission reiterated that the promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels.222. 此外,委员会重申,促进商业关系中的法治应当成为联合国促进国内和国际法治这项更广泛议程的组成部分。
Noting slow progress in such integration, the Commission considered the need for:委员会注意到此种整合过程进展缓慢,认为需要:
(a) designating the UNCITRAL secretariat as a lead agency on commercial law matters in current or future rule of law coordination mechanisms; (b) conducting outreach to country teams with the goal of increasing their awareness about the work of UNCITRAL and its relevance to their work on the rule of law; and (c) reflecting by default needs for commercial law reforms in templates used for the formulation of country-specific development assistance programmes.(a)指定贸易法委员会秘书处担任 目前或未来的法治协调机制中的商法事项主导机构;(b)对国家工作队展开宣传,目的是增进国家工作队对贸易法委员会的工作及其与国家工作队在法治方面的工作的相关性的认识;(c)在用来拟订国别发展援助方案的模板中自动反映商法改革方面的需要。
223. It was noted that the above messages to States and the United Nations would be mutually reinforcing:223. 会上指出,上述对各国的说明与对联合国的说明相互加强:
local needs in commercial law reforms ought to be made known by local authorities to the international community, while the international community engaged in the formulation and implementation of a country-specific development programme ought to understand the importance of addressing those needs and be aware of the relevant capacity of UNCITRAL.各国政府应当让国际社会了解本国对商法改革的需要,而参与拟订和执行国别发展方案的国际社会应当理解处理这些需要的重要性,并注意到贸易法委员会的相关能力。
In the long run, it was noted, the recommended steps should contribute to building the local capacity of States to continually engage in commercial law reforms at the country level and in a coordinated fashion in the rule-formulating activities of regional and international bodies.会上指出,从长远看,所建议的步骤应当有助于发展各国在国家一级持续进行商法改革并以协调一致的方式参与区域和国际机构的规则制定活动的本国能力。
Possible subtopics for future Sixth Committee debates供第六委员会今后辩论的可能的分专题
224. The attention of the Commission was drawn to paragraph 20 of General Assembly resolution 66/102, which contained an invitation by the Assembly to Member States and the Secretary-General to suggest possible subtopics for future Sixth Committee debates.224. 会上提请委员会注意大会第66/102号决议第20段,大会在其中请会员国和秘书长为第六委员会今后的辩论提议可能的分专题。
The Commission noted that its secretariat had been requested to contribute to the preparation of a report of the Secretary-General, as part of the implementation of paragraph 20 of resolution 66/102.委员会注意到已请其秘书处作为执行大会第66/102号决议第20段的一部分而为编写秘书长的报告作出贡献。
The Commission invited its members and observers to suggest UNCITRAL-related subtopics, based on the experience of UNCITRAL in international trade law, for consideration by the Sixth Committee, and took note of subtopics considered by its secretariat for contribution to that report.委员会请成员国和观察员根据贸易法委员会在国际贸易法方面的经验提出与贸易法委员会相关的分专题供第六委员会审议,并注意到经过委员会秘书处审议的、作为对秘书长此份报告的贡献提出的的分专题。
225. Based on difficulties encountered by the Commission with the implementation of its mandate to coordinate legal activities in the field of international trade law and its previous decisions in that regard, a subtopic suggested for consideration by the Sixth Committee was “Means of achieving effective coordination of rule-making activities at the regional and international levels”.225. 根据委员会在执行其协调国际贸易法领域法律活动这项任务授权时遇到的困难以及以前在这方面的决定,所提议的供第六委员会审议的分专题是: “区域和国际各级规则制定活动实现有效协调的方式”。
226. Another suggested subtopic was “Access to justice through alternative means of dispute resolution”.226. 所提议的另一个分专题是: “通过非诉讼争议解决手段获得公平审理的机会”。
The Commission noted in that regard the cost and time-consuming nature of judicial reforms, which might make it advisable to seek alternative ways of delivering justice.在这方面,委员会注意到司法改革成本高,耗费时间,因而寻求以非诉讼方式提供公平审理的机会或许是可取的。
It was also noted that that subtopic would inevitably touch upon issues of traditional and informal justice mechanisms, much debated in the United Nations system, but should also touch upon issues of arbitration and conciliation.还指出,该分专题势必涉及在联合国系统中曾进行过大量辩论的传统司法机制和非正规司法机制问题,但也应涉及仲裁和调解问题。
227. The third subtopic suggested was “Mutually reinforcing impact of economic development and the rule of law”.227. 所提议的第三个分专题是: “经济发展与法治相得益彰”。
The Commission noted that in the United Nations system the emphasis had so far been on the role of the rule of law in economic development but not the role of economic development in strengthening and sustaining the rule of law in the long run.委员会注意到,在联合国系统内,迄今为止强调的都是法治在经济发展中所起的作用,而不是从长远看经济发展对于加强和维持法治的作用。
XXI. A strategic direction for UNCITRAL二十一. 贸易法委员会的战略方向
228. The Commission had before it a note by the Secretariat (A/CN.9/752 and Add.1) responding to a request at the forty-fourth session of the Commission, in 2011, for a note on strategic planning.228. 委员会收到了秘书处根据委员会第四十四届会议提出的编写一份战略规划说明的请求而编写的说明(A/CN.9/752和Add.1)。
The note by the Secretariat set out a number of issues for consideration by the Commission in setting the parameters for a strategic plan for UNCITRAL, addressing first the state of play within UNCITRAL and its secretariat and, second, the harmonization mandate given to UNCITRAL by the General Assembly as it might be expressed in terms of a strategic goal and strategic priorities.秘书处的说明载列了委员会在确定贸易法委员会战略计划的范围时似宜考虑到的一系列问题,首先述及的是贸易法委员会及其秘书处内的运作状况,其次是可以用战略目标和战略优先重点表述的大会赋予贸易法委员会的协调统一法律的任务授权。
The note considered the work programme of the Commission, the role of the various bodies of UNCITRAL (the Commission, its working groups and secretariat) in realizing that programme, the methods of work employed, allocation of resources and strategic issues for consideration.该说明中考虑了委员会的工作方案、贸易法委员会各机构(委员会、各工作组和秘书处)在落实该方案方面的作用、所采用的工作方法、资源的分配和需要考虑的战略问题。
229. The Commission took note of the following matters (see A/CN.9/752/Add.1, para. 26), as strategic considerations:229. 委员会注意到下列事项(见A/CN.9/752/Add.1,第26段)应作为战略考虑因素:
(a) The subject areas that should be accorded the highest priority, by reference to the role and relevance of UNCITRAL;(a) 以贸易法委员会的作用和相关性而言,应当给予最高度优先的主题领域;
(b) Achieving the optimal balance of activities given current resources;(b) 在当前资源的情况下实现各项活动之间的最优化平衡;
(c) The sustainability of the existing modus operandi, i.e. current emphasis on formal rather than informal negotiations when developing texts, given current resources;(c) 现有工作方式的可持续性,即考虑到当前的资源,在拟订案文时,目前侧重于正式谈判而不是非正式商讨;
(d) The mobilization of additional resources and the extent to which UNCITRAL should seek external resources for its activities, such as through joint activities and cooperation with other bodies.(d) 调集更多的资源和贸易法委员会为其活动应当寻求外部资源的程度,例如,通过联合开展活动和与其他机构开展合作。
230. Some preliminary proposals were advanced with regard to the strategic directions discussed in the note by the Secretariat.230. 会上就秘书处说明中讨论的战略方向提出了一些初步建议。
One view was that certain options set out therein might serve as the basis for a work programme for UNCITRAL on promoting the rule of law at the national and international levels.一种看法是,该说明中提出的某些选项或可作为贸易法委员会促进国内法治和国际法治的工作方案的基础。
It was suggested that such a programme might encompass the following elements:会上提议,此种方案不妨包括下列要素:
(a) Promoting an integrated approach, beginning with the development of a project and carrying through to technical assistance and monitoring thereof;(a) 促进综合办法,从制定项目开始,贯穿技术援助和项目监测;
(b) Developing practice guidelines for judges working in cross-border areas of the law, as was done by Working Group V (Insolvency Law) with regard to cross-border insolvency;(b) 为从事跨境法律领域工作的法官编写实务指南,这方面参照第五工作组(破产法)在跨境破产上的做法;
(c) Formalizing networking by creating a list of participants (“listserv”) that would allow experts to “meet” and exchange information, as well as help States that needed assistance to identify experts in the field.(c) 形成网络,为此创建参加者名单(“listserv”),以便于专家“碰面”交流信息,并帮助需要援助的国家物色有关领域的专家。
The example was given of a similar mechanism that had been launched by the Hague Conference;所举出的例子是海牙会议发起的类似机制;
(d) Setting aside time at UNCITRAL meetings for the sharing of information by States on initiatives they were undertaking to promote UNCITRAL instruments; that would, inter alia, make States that might be seeking assistance aware of initiatives that they could access for their benefit;(d) 在贸易法委员会会议期间为各国交流关于各自正在采取的促进贸易法委员会文书的举措的信息留出时间;除其他外,这将使可能寻求援助的国家了解可使其受益的举措;
(e) Further developing the cooperation of UNCITRAL with the World Bank on elaborating the links between economic development and trade law, and the role of the latter in helping States attract foreign trade and investment.(e) 进一步在贸易法委员会和世界银行之间开展合作,阐明经济发展与贸易法之间的联系以及后者对于协助各国吸引外贸和投资的作用。
231. The Commission agreed to consider, and provide guidance on, inter alia, those matters at its forty-sixth session.231. 委员会同意在其第四十六届会议上审议这些事项,并就这些事项及其他方面提供指导。
The Secretariat was requested to reserve sufficient time in the draft agenda for that session to allow for a detailed discussion of that important topic.委员会请秘书处在委员会该届会议的议程草案中预留充足时间,以便于就这一重要议题进行详细讨论。
232. In addition, reference was made to the important work done by UNCITRAL in the field of commercial fraud, in particular a note by the Secretariat entitled “Indicators of commercial fraud” (A/CN.9/624 and Add.1 and 2) that had been approved by the Commission at its forty-first session, in 2008.232. 会上还提到贸易法委员会在商业欺诈领域进行的重要工作,特别是已为委员会2008年第四十一届会议核可的标题为“商业欺诈的指标”的秘书处说明(A/CN.9/624及Add.1和2)。
It was said that commercial fraud remained a major obstacle to international trade and noted that, given the vital role of the private sector in combating commercial fraud, UNCITRAL was in a unique position to coordinate ongoing efforts in that field and thereby help draw the attention of legislators and policymakers to that important issue.会上指出,商业欺诈仍然是国际贸易的一大障碍,并指出,鉴于私营部门在打击商业欺诈方面起着至关重要的作用,在协调这一领域正在进行的各种努力方面,贸易法委员会占有得天独厚的优势,因此可以帮助提请立法者和决策者注意这一重要的问题。
It was proposed that the Secretariat could organize a colloquium on the topic, resources permitting.会上提议,在资源允许的情况下组办一次这一专题的讨论会。
XXII. International commercial arbitration moot competitions二十二. 国际商事仲裁模拟辩论赛
A. Willem C. Vis International Commercial Arbitration Moot 2012A. 2012年维斯国际商事仲裁模拟辩论赛
233. It was noted that the Association for the Organization and Promotion of the Willem C. Vis International Commercial Arbitration Moot had organized the Nineteenth Moot.233. 会上注意到,组织和促进维斯国际商事仲裁模拟辩论赛协会组办了第十九届模拟辩论赛。
The oral arguments phase had taken place in Vienna from 30 March to 5 April 2012.口头辩论阶段于2012年3月30日至4月5日在维也纳举行。
As in previous years, the Moot had been co-sponsored by the Commission.与往年一样,此次辩论赛由委员会协办。
It was noted that the legal issues dealt with by the teams of students participating in the Nineteenth Moot had been based on article 79, paragraph (2), of the United Nations Sales Convention and involved a supply chain.还注意到,参加第十九届辩论赛的各学生队所辩论的法律议题是以《销售公约》第79条第(2)款为基础的,其中还涉及一个供应链问题。
A total of 280 teams from law schools in 69 countries had participated in the Nineteenth Moot.共有来自69个国家的280支队伍参加了第十九届模拟辩论赛。
The best team in oral arguments was that of the NALSAR University of Law (India).口头辩论优胜队是NALSAR法学院(印度)。
The oral arguments of the Twentieth Willem C. Vis International Commercial Arbitration Moot would be held in Vienna from 22 to 28 March 2013.第二十届维斯国际商事仲裁模拟辩论赛口头辩论将于2013年3月22日至28日在维也纳举行。
234. It was also noted that the Ninth Willem C. Vis (East) International Commercial Arbitration Moot had been organized by the Vis East Moot Foundation with the Chartered Institute of Arbitrators, East Asia Branch, and also co-sponsored by the Commission.234. 会上还注意到,维斯东方模拟辩论赛基金会与仲裁员特许学会东亚处筹办了第九届维斯(东方)国际商事仲裁模拟辩论赛,此次辩论赛也是由委员会协办的。
The final phase had been organized in Hong Kong, China, from 19 to 25 March 2012.决赛阶段于2012年3月19日至25日在中国香港举行。
A total of 91 teams from 26 countries had taken part in the Ninth (East) Moot.共有26个国家的91支队伍参加了第九届(东方)模拟辩论赛。
The winning team in the oral arguments was from City University of Hong Kong.口头辩论优胜队是香港城市大学。
The Tenth (East) Moot would be held in Hong Kong, China, from 11 to 17 March 2013.第十届(东方)模拟辩论赛将于2013年3月11日至17日在中国香港举行。
B. Madrid Commercial Arbitration Moot 2012B. 2012年马德里商事仲裁模拟辩论赛
235. It was noted that Carlos III University of Madrid had organized the Fourth International Commercial Arbitration Competition in Madrid from 28 May to 1 June 2012.235. 会上注意到,马德里卡洛斯三世大学于2012年5月28日至6月1日在马德里举办了第四届国际商事仲裁模拟辩论赛。
The Madrid Moot had also been co-sponsored by the Commission.马德里模拟辩论赛也由委员会协办。
The legal issues involved in the competition related to an international construction contract in which the United Nations Sales Convention and the UNIDROIT Principles of International Commercial Contracts were involved and international commercial arbitration under the UNCITRAL Model Arbitration Law, the 1958 New York Convention and the 2012 ICC Rules of Arbitration.此次辩论赛所涉及的法律议题有: 涉及《联合国销售公约》和《统法协会国际商事合同通则》的国际工程合同,以及依照《贸易法委员会国际商事仲裁示范法》、1958年《纽约公约》和2012年《国际商会仲裁规则》进行的国际商事仲裁。
A total of 17 teams from law schools or masters programmes in seven countries had participated in the Madrid Moot in Spanish.共有七个国家的法学院或硕士班的17支队伍参加了西班牙语马德里模拟辩论赛。
The best team in oral arguments was from Carlos III University of Madrid.口头辩论优胜队是马德里卡洛斯三世大学。
The Fifth Madrid Moot would be held from 6 to 10 May 2013.第五届马德里模拟辩论赛将于2013年5月6日至10日举行。
XXIII. Relevant General Assembly resolutions二十三. 大会的有关决议
236. The Commission took note of the following three General Assembly resolutions adopted on the recommendation of the Sixth Committee:236. 委员会注意到大会就第六委员会的建议通过的以下三项决议:
resolution 66/94 on the report of the United Nations Commission on International Trade Law on the work of its forty-fourth session; resolution 66/95 on the United Nations Commission on International Trade Law Model Law on Public Procurement; and resolution 66/96 on the United Nations Commission on International Trade Law Model Law on Cross-Border Insolvency:关于联合国国际贸易法委员会第四十四届会议工作报告的第66/94号决议、关于联合国国际贸易法委员会《公共采购示范法》的第66/95号决议和关于联合国国际贸易法委员会《跨国界破产示范法:
The Judicial Perspective.司法角度的审视》的第66/96号决议。
237. The Commission was reminded of the difficulties faced in 2011 in conveying to the Fifth and Sixth Committees of the General Assembly the decision of the Commission taken at its forty-fourth session, in 2011, on the pattern of alternating meetings in Vienna and New York.237. 会上提醒委员会注意2011年向大会第五委员会和第六委员会转达贸易法委员会2011年第四十四届会议作出的关于在维也纳和纽约交替举行会议这一模式的决定时遇到的困难。
Regret was expressed that the Assembly, in its resolution 66/94, adopted on the recommendation of the Sixth Committee, had only noted the agreement on that matter in the Commission without formulating strong support for continuing a pattern of meetings that was considered essential, in particular for developing countries.就此表示的遗憾是,大会在就第六委员会的建议通过的第66/94号决议中仅仅注意到委员会就此事达成的一致意见,而没有对继续维持这种会议模式提出有力支持,而这种会议模式被认为至关重要,尤其是对于发展中国家。
238. The Commission noted the need to convey on future occasions an appropriately strong message to the General Assembly on issues relating to resources available to the Commission.238. 委员会指出,需要在今后的场合就涉及委员会可用资源的问题向大会转达力度适当的信息。
The need for closer and more continuous coordination of the positions of States in the Fifth and Sixth Committees was emphasized.另外还强调,有必要在第五委员会和第六委员会内更为密切、更为持续地协调各国的立场。
XXIV. Other business二十四. 其他事项
A. Guiding Principles on Business and Human Rights:A. 《工商企业与人权:
Implementing the United Nations “Protect, Respect and Remedy” Framework实施联合国“保护、尊重和补救”框架的指导原则》
239. The Commission took note of the Guiding Principles on Business and Human Rights:239. 委员会注意到人权理事会在第17/4号决议中核可的《工商企业与人权:
Implementing the United Nations “Protect, Respect and Remedy” Framework, which had been endorsed by the Human Rights Council in its resolution 17/4.实施联合国“保护、尊重和补救”框架的指导原则》。
In that resolution, the Council had requested the Secretary-General to prepare a report on how the United Nations system as a whole could contribute to the advancement of the business and human rights agenda and the dissemination and implementation of the Guiding Principles, addressing in particular how capacity-building of all relevant actors to that end could best be addressed within the United Nations system.在该决议中,人权理事会请秘书长编写一份报告,说明整个联合国系统如何可对推进工商企业与人权议程以及传播和执行《指导原则》作出贡献,其中尤其阐明为此目的所有相关行动方的能力建设在联合国系统内如何可以得到最佳方式的处理。
240. One delegation proposed the inclusion of the topic of business and human rights in the future work programme of the Commission.240. 一个代表团提议将工商企业与人权专题列入委员会及后工作方案。
It was suggested that the Guiding Principles should be discussed at a future session of the Commission.会上建议在委员会今后一届会议上讨论《指导原则》。
Due to time constraints, the proposal and the suggestion were not discussed by the Commission at its forty-fifth session.由于时间有限,委员会第四十五届会议未讨论这些提议和建议。
B. Entitlement to summary recordsB. 获得简要记录的权利
241. The Commission recalled that, at its forty-fourth session, in 2011, it had considered proposals to substitute the production of summary records of UNCITRAL meetings with either unedited transcripts of proceedings or digital recordings of proceedings.241. 委员会回顾,委员会2011年第四十四届会议曾审议关于以不作编辑的会议纪要记录稿或者会议纪要数码录音取代贸易法委员会会议简要记录的建议。
At that session, the Commission expressed its willingness to discuss the subject again at its forty-fifth session on the basis of a report to be prepared by the Secretariat setting out the issues and options involved.在该届会议上,委员会表示愿意在其四十五届会议上以秘书处拟编写的一份阐明相关问题和选择办法的报告为基础,再次讨论该事项。
242. The Commission heard a report by the Secretariat on the digital recording system available in the United Nations and saw a demonstration of the website where digital recordings of one of the United Nations bodies had been made available.242. 委员会听取了秘书处关于联合国现有数码录音系统的一项报告,并观看了在网站上提供的联合国一个机构的数码录音演示。
It was also informed that the UNCITRAL secretariat had requested digital recordings for the forty-fifth session of the Commission, in addition to the provision of summary records, to examine their utility as compared to summary records.还获悉,贸易法委员会秘书处请求除提供简要记录之外还应提供委员会第四十五届会议的数码录音,以对比简要记录审查数码录音的效用。
243. The Commission recalled differences between summary records and other documents of UNCITRAL.243. 委员会回顾了简要记录与贸易法委员会其他文件的区别。
The Commission recalled that UNCITRAL made use of summary records only in the context of its deliberations for the preparation of a normative instrument, including in committees of the whole but excluding meetings of the working groups.委员会回顾,贸易法委员会只是在为编拟规范性文书而进行审议的场合下才使用简要记录,包括在全体委员会中,但不包括各工作组的会议。
It was also recalled that suggestions to relinquish or curtail the use of summary records were not new and had been previously discussed in the Commission, for example at its thirty-seventh session, in 2004.还回顾,放弃或减少使用简要记录的建议并不新鲜,从前已在委员会中作过讨论,例如在2004年的第三十七届会议上。
The Commission recalled that at that time it had unanimously stressed the importance of summary records as essential elements of the travaux préparatoires that should be available for subsequent reference when interpreting the standards drawn up by the Commission.委员会回顾,当时委员会普遍一致强调了简要记录的重要性,认为简要记录是今后解释委员会拟定的各项标准时应予参考的准备工作文件的重要组成部分。
244. The Commission reiterated the importance of preserving complete and accurate travaux préparatoires of its legal texts in a form and by means that would ensure the record of the content of the information and the usability, availability and accessibility of such information for subsequent reference.244. 委员会重申了为其法律文本保持完整而准确的准备工作文件的重要性,其保存形式和手段应可确保对信息内容的记录以及此种信息日后作为参考可加以使用、可以提供并可查取。
The Commission considered the benefits and drawbacks of each currently available means of preserving its records in accordance with those criteria.委员会按照这些标准审议了目前可用于保存其记录的每一种手段的优缺点。
245. In particular, it was noted that the preparation of summary records involved high costs for the Organization, while summary records did not always satisfactorily meet the intended goal of preserving all elements of deliberations since they were prepared by précis-writers in English who might lack the necessary legal expertise to act as reliable filters of UNCITRAL deliberations.245. 会上特别指出,编写简要记录涉及对本组织的高昂费用,而简要记录并非总能满意地达到完整保持审议过程细节的目的,因为简要记录由简记员以英文编写,而他们可能缺乏必要的法律专业知识,难以担当对贸易法委员会审议情况进行可靠过滤的角色。
Further issues could arise at the time of translation of summary records into other official languages of the United Nations.在简要记录翻译成联合国其他正式语文时还可能发生进一步问题。
Long delays in the issuance of summary records in all languages was a recurrent problem, which, as the Commission had been informed at its thirty-seventh session, in 2004, was unlikely to be resolved soon under the prevailing circumstances.所有语文简要记录的印发滞后时间漫长是一个经常发生的问题,委员会在其2004年第三十七届会议上就被告知,就当下情况看,不可能很快解决这个问题。
Improving the delivery of high-quality summary records while preserving their accuracy and reliability required additional work and resources on the part of the Secretariat.在改进高质量简要记录印发工作的同时又保持其准确性和可靠性,要求秘书处增加工作和资源。
246. The Commission reaffirmed the position taken at its thirty-seventh session, in 2004, as regards unedited verbatim transcripts, in particular that they would be of little use in view of the lack of a translation into the other official languages.246. 委员会重申了在其2004年第三十七届会议上就不作编辑的录音逐字记录稿采取的立场,特别是鉴于缺少其他正式语文的翻译,这些逐字记录稿用处不大。
Difficulties with their use in the past, in particular with respect to the comprehensiveness of the text, were also noted.还注意到过去使用逐字记录稿遇到的困难,特别是这些文稿的全面性。
247. As regards digital recordings, while noting the many benefits they would bring (they would be promptly available and authentic, obviate the need for précis-writers and translators and thus be inexpensive), the Commission noted that they would be less useful than good-quality summary records in view of the lack of proper indexing, which would make the performance of the search function on such recordings a time-consuming process.247 至于数码录音,虽然注意到数码录音可带来诸多益处(可迅速加以提供、真实可靠、省去了对简记员和笔译员的需要,从而费用不高),但委员会同时也注意到,由于缺乏适当的索引编排,这些数码录音与高质量简要记录相比用处不大,因为没有索引,此种录音的搜索功能使用起来相当耗费时间。
The need for the long-term retention and usability of non-paper-based records of information in the light of evolving technologies was also noted.还注意到,鉴于技术的不断发展非纸质信息记录在长期保存和可用性方面的需要。
248. Support was expressed for digital recordings that provided full authentic records of discussions, which currently no other documents might provide, including reports and summary records.248. 有与会者表示支持使用数码录音,数码录音提供了完全真实的讨论情况记录,其他任何文件无论是报告还是简要记录目前都做不到。
It was noted, however, that, for the system of digital recordings to be useful, the Secretariat should establish a mechanism for proper archiving and searching.但是,会上指出,数码录音系统若要发挥效用,秘书处就应建立适当的归档和搜索机制。
It was also noted that a chronological way of presenting digital recordings would be insufficient, since the most relevant information would not be so easy to find in a potentially long series of relevant statements.还指出,按时间顺序编排数码录音还不够,因为在一长串相关发言中找出最相关的信息可能并不那么容易。
249. After discussion, the Commission confirmed that good-quality summary records remained the best available option for preserving complete and accurate travaux préparatoires in the most user-friendly and reliable way.249. 经讨论后,委员会确认,为了以最方便使用和最可靠的方式保存完整、准确的准备工作文件,高质量的简要记录依然是目前可使用的最佳选择。
At the same time, it noted the need to consider modern solutions that might address existing problems with the issuance of summary records and add useful features in the use of UNCITRAL records.同时,委员会注意到,需要考虑一些现代办法,用以解决简要记录印发中目前存在的问题并给贸易法委员会记录的使用增添一些有用的功能。
The Commission therefore decided, while not relinquishing its entitlement to summary records under General Assembly resolution 49/221, to request that digital recordings continue to be provided at its forty-sixth and forty-seventh sessions, in 2013 and 2014, on a trial basis, in addition to summary records, as was done for the forty-fifth session.因此,委员会决定,在不放弃委员会根据大会第49/221号决议对获得简要记录的权利的同时,请继续按第四十五届会议的做法,在委员会2013年和2014年第四十六届和第四十七届会议上,除提供简要记录之外,还在试行基础上提供数码录音。
The Commission agreed that at its forty-seventh session, in 2014, it would assess the experience of using digital recordings and, on the basis of that assessment, take a decision regarding the possible replacement of summary records by digital recording.委员会商定,将在其2014年第四十七届会议上评估数码录音的使用经验,并在这一评估的基础上就数码录音是否可以取代简要记录作出决定。
The Commission requested the Secretariat to report to the Commission on a regular basis on measures taken in the United Nations system to address possible problems with the use of digital recordings.委员会请秘书处定期向委员会报告联合国系统内为解决数码录音使用上的问题而采取的措施。
It also requested the Secretariat to assess the possibility of providing digital recordings at sessions of UNCITRAL working groups, at their request, and to report to the Commission at its forty-seventh session, in 2014.委员会还请秘书处评估根据贸易法委员会各工作组的请求为工作组届会提供数码录音的可能性,并向委员会2014年第四十七届会议提出报告。
C. Strategic framework for the biennium 2014-2015C. 2014-2015两年期战略框架
250. The Commission had before it the proposed strategic framework for the period 2014-2015 (A/67/6 (Prog. 6)) and was invited to review the proposed biennial programme plan for subprogramme 5 (Progressive harmonization, modernization and unification of the law of international trade) of programme 6 (Legal affairs).250. 委员会收到了2014-2015年时期的拟议战略框架(A/67/6 (Prog. 6)),并根据请求审查了方案6(法律事务)的次级方案5(国际贸易法的逐步协调、现代化和统一)的拟议两年期方案计划。
The Commission noted that the proposed framework had been reviewed by the Committee for Programme and Coordination at its fifty-second session, held from 4 to 29 June 2012, and would be transmitted to the General Assembly at its sixty-seventh session.委员会注意到,拟议框架已由方案和协调委员会在2012年6月4日至29日举行的第五十二届会议上进行了审查并将转交大会第六十七届会议。
251. Concerns were expressed that the resources allotted to the Secretariat under subprogramme 5 were insufficient for it to meet the increased and pressing demands from developing countries and countries with economies in transition for technical assistance with law reform in the field of commercial law.251. 会上对次级方案5之下分配给秘书处的资源不足以满足发展中国家和经济转型国家在商法领域法律改革方面日益增多和紧迫的技术援助需求表示关切。
The Commission urged the Secretary-General to take steps to ensure that the comparatively small amount of additional resources necessary to meet a demand so crucial to development were made promptly available.委员会促请秘书长采取步骤确保能够迅速提供数量相对较少的必要额外资源以满足对发展如此至关重要的需求。
252. The Secretariat was encouraged to continue exploring various means of responding to the growing need for uniform interpretation of UNCITRAL texts.252. 委员会鼓励秘书处继续探索各种方式以回应日益增多的对贸易法委员会文本进行统一解释的需要。
Such uniform interpretation was considered indispensable for the effective implementation of UNCITRAL texts.这种统一解释被视为对有效实施贸易法委员会法规不可或缺。
It was noted that some instruments that had emanated from the work of UNCITRAL explicitly prescribed that, in their interpretation, regard should be had to their international character and to the need to promote uniformity in their application and the observance of good faith in international trade (see para. ‎220 (b) above).委员会注意到一些产生于贸易法委员会工作的文书明确规定,在其解释上应当考虑到其国际性,以及促进其统一适用并在国际贸易中遵守诚信的必要性(见上文第220(b)段)。
Continuing work of the Secretariat on the CLOUT system as a means of complying with such a requirement was considered vital.作为满足这一要求的手段,秘书处继续开展有关法规判例法系统的工作被认为至关重要。
Concern over the lack of sufficient resources in the Secretariat to sustain and expand such work was noted.会上对秘书处缺乏足够资源维持和扩大这一工作表示关切。
Building partnerships with interested institutions and exploring various other means, besides seeking additional resources from the regular budget of the United Nations, were mentioned as possible ways to address that concern.除了寻求从联合国经常预算拨付追加资源外,提到解决这一问题的可能办法包括与有关机构建立伙伴关系和探索其他途径。
The Commission also took note of the desirability of establishing within its secretariat a third pillar, concentrating on the promotion of ways and means of encouraging uniform interpretation of UNCITRAL texts (see also paras. ‎149-158 above).委员会还注意到在秘书处内建立第三支柱的可取性,以重点促进以各种方式方法鼓励对贸易法委员会法规作出统一解释(另见上文第149-158段)。
D. Internship programmeD. 实习方案
253. The Commission recalled its deliberation on the considerations taken by the secretariat in selecting candidates for internship.253. 委员会回顾了委员会关于秘书处挑选实习人选时的考虑的审议情况。
The Commission was informed that, since the secretariat’s oral report to the Commission at its forty-fourth session, in July 2011, 11 new interns had undertaken an internship with the Secretariat.委员会获悉,自秘书处向委员会2011年7月第四十四届会议作口头报告以来,11名新的实习生参加了在秘书处的实习。
The Commission was further informed that during that period the Secretariat had faced problems with last-minute cancellation of internships by candidates from developing countries and difficulties in finding on the roster eligible and qualified candidates from African States and Latin American and Caribbean States, as well as candidates with Arabic language skills.委员会还获悉,这段时期,秘书处遇到来自发展中国家的人选最后一刻取消实习的问题,并且难以在名册上找到来自非洲国家和拉丁美洲及加勒比国家符合条件的合格人选和具有阿拉伯语技能的人选。
E. Evaluation of the role of the Secretariat in facilitating the work of the CommissionE. 对秘书处在促进委员会工作方面所起作用的评价
254. 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 Secretariat “facilitating the work of UNCITRAL”.254. 委员会回顾,在委员会2007年第四十届会议上通报了2008-2009两年期方案预算,其中列出的一项是,在“促进贸易法委员会工作”方面秘书处的预期成绩。
The performance measure for that expected accomplishment was the level of satisfaction of UNCITRAL with the services provided, as evidenced by a rating on a scale ranging from 1 to 5 (5 being the highest rating).该项预期成绩的绩效衡量标准是贸易法委员会对所提供服务的满意度,按1到5分的范围评分(5分为最高评分)。
The Commission had agreed to provide feedback to the Secretariat and, at the close of the forty-fourth session, a questionnaire on the level of satisfaction with services provided by the Secretariat had been circulated.委员会同意向秘书处提供反馈意见,在第四十四届会议结束时分发了秘书处服务满意度调查表。
The Commission was informed that the questionnaire had elicited replies from six delegations, with an average rating of 4.83.委员会获悉,调查表征集到6个代表团的答复,平均评分4.83。
F. Election of UNCITRAL member StatesF. 选举贸易法委员会成员国
255. The Commission was informed that the term of 30 member States of the Commission (see para. 4 above) would expire on the day prior to the opening of the forty-sixth session of the Commission, in 2013.255. 委员会获悉,委员会30个成员国的任期(见上文第4段)将于委员会2013年第四十六届会议开幕的前一天届满。
The Commission noted that the election to fill the vacancies in the Commission was scheduled to take place during the sixty-seventh session of the General Assembly.委员会注意到,为填补委员会空缺而进行的选举定于大会第六十七届会议期间举行。
It was further noted that retiring member States would be eligible for re-election and that elected member States would serve a six-year term.还注意到,卸任成员国有资格连选连任,当选成员国任期六年。
G. Documents related to the working methods of UNCITRALG. 与贸易法委员会工作方法有关的文件
256. The Commission was informed that, pursuant to the request by the Commission at its forty-fourth session, in 2011, the Secretariat had updated the UNCITRAL website to ensure that all documents related to the working methods of UNCITRAL were made available on the web page entitled “Methods of Work” in the section entitled “About UNCITRAL”.256. 委员会获悉,根据委员会2011年第四十四届会议的请求,秘书处更新了贸易法委员会网站,以确保与贸易法委员会工作方法有关的所有文件都放在标题为“贸易法委员会简介”栏下“工作方法”网页上。
XXV. Date and place of future meetings二十五. 今后会议的日期和地点
257. The Commission recalled that, at its thirty-sixth session, in 2003, it had agreed that:257. 委员会回顾其2003年第三十六届会议曾商定:
(a) its working groups should normally meet for a one-week session twice a year; (b) extra time, if required, could be allocated to a working group from the unused entitlement of another working group provided that such arrangement would not result in an increase in the total number of 12 weeks of conference services per year currently allotted to sessions of all six working groups of the Commission; and (c) if any request by a working group for extra time would result in an increase in the 12-week allotment, the request 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.(a)正常情况下各工作组应当每年举行两次会期一周的届会;(b)如果某一工作组需要额外时间,可以从其他工作组有权使用但尚未使用的时间中为其调拨,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的总共12周会议服务时间的增加;(c)如果某一工作组对额外时间的请求导致12周分配时间的增加,则应由委员会审查这种请求,该工作组应就变更会议时间分配模式的原因作出适当解释。
258. The Commission took note of paragraph 48 of General Assembly resolution 66/246 on questions relating to the proposed programme budget for the biennium 2012-2013, by which the Assembly had decided to increase non-post resources in order to provide sufficient funding for servicing the work of the Commission for 14 weeks and to retain the rotation scheme between Vienna and New York.258. 委员会注意到大会第66/246号决议有关2012-2013两年期拟议方案预算相关问题的第48段,其中大会决定,增加非员额资源,以便为委员会14周的会务工作提供充足的资金,并且保留在维也纳和纽约之间交替开会的计划。
In the light of that decision, the Commission noted that the total number of 12 weeks of conference services per year could continue being allotted to six working groups of the Commission meeting twice a year for one week if annual sessions of the Commission were no longer than two weeks.鉴于该决定,委员会决定,如果委员会年度会议不超过两周,每年总共有12周的会议服务时间仍可继续分配给委员会每年开会两次、每次会期一周的六个工作组。
Otherwise, adjustments would need to be made within the current 14-week allotment for all sessions of the Commission and its working groups.否则,就需要在分配给委员会及其各工作组所有届会的现行12周时间内作出调整。
A. Forty-sixth session of the CommissionA. 委员会第四十六届会议
259. In the light of the considerations set out above, the Commission approved the holding of its forty-sixth session in Vienna from 8 to 26 July 2013.259. 鉴于上述考虑,委员会核准2013年7月8日至26日在维也纳举行其第四十六届会议。
The Secretariat was requested to consider shortening the duration of the session by one week if the expected workload of the session would justify doing so.在该届会议预期工作量允许的情况下,请秘书处考虑将会期缩短一周。
B. Sessions of working groupsB. 各工作组的届会
Sessions of working groups between the forty-fifth and the forty-sixth sessions of the Commission在委员会第四十五届和四十六届会议之间各工作组的届会
260. In the light of the considerations set out above, the Commission approved the following schedule of meetings for its working groups:260. 鉴于上述考虑,委员会核准了各工作组的以下会议时间安排:
(a) Working Group II (Arbitration and Conciliation) would hold its fifty-seventh session in Vienna from 1 to 5 October 2012 and its fifty-eighth session in New York from 4 to 8 February 2013;(a) 第二工作组(仲裁和调解)将于2012年10月1日至5日在维也纳举行第五十七届会议,于2013年2月4日至8日在纽约举行第五十八届会议;
(b) Working Group III (Online Dispute Resolution) would hold its twenty-sixth session in Vienna from 5 to 9 November 2012 and its twenty-seventh session in New York from 20 to 24 May 2013;(b) 第三工作组(网上争议解决)将于2012年11月5日至9日在维也纳举行第二十六届会议,于2013年5月20至24日在纽约举行第二十七届会议;
(c) Working Group IV (Electronic Commerce) would hold its forty-sixth session in Vienna from 29 October to 2 November 2012 and its forty-seventh session in New York from 13 to 17 May 2013;(c) 第四工作组(电子商务)将于2012年10月29日至11月2日在维也纳举行第四十六届会议,于2013年5月13日至17日在纽约举行第四十七届会议;
(d) Working Group V (Insolvency Law) would hold its forty-second session in Vienna from 26 to 30 November 2012 and its forty-third session in New York from 15 to 19 April 2013;(d) 第五工作组(破产法)将于2012年11月26日至30日在维也纳举行第四十二届会议,于2013年4月15日至19日在纽约举行第四十三届会议;
(e) Working Group VI (Security Interests) would hold its twenty-second session in Vienna from 10 to 14 December 2012 and its twenty-third session in New York from 8 to 12 April 2013.(e) 第六工作组(担保权益)将于2012年12月10日至14日在维也纳举行第二十二届会议,于2013年4月8日至12日在纽约举行第二十三届会议。
261. The Commission authorized the Secretariat to adjust the schedule of working group meetings according to the needs of the working groups.261. 委员会授权秘书处根据各工作组的需要对工作组会议安排作出调整。
The Secretariat was requested to post on the UNCITRAL website the final schedule of the working group meetings once the dates had been confirmed.会期一经确认,即请秘书处在贸易法委员会网站上登出工作组会议的最后时间安排。
Additional time其他时间安排
262. Tentative arrangements were made for sessions to be held in Vienna from 3 to 7 December 2012 and in New York from 11 to 15 February 2013.262. 为拟于2012年12月3日至7日在维也纳举行的届会和拟于2013年2月11日至15日在纽约举行的届会作出暂定安排。
That time could be used to accommodate the need for holding colloquiums, subject to consultation with States.这段时间可用来满足举办专题讨论会的需要,但须与各国协商确定。
Sessions of working groups in 2013 after the forty-sixth session of the Commission2013年在委员会第四十六届会议之后各工作组的届会
263. The Commission noted that tentative arrangements had been made for working group meetings in 2013 after its forty-sixth session, subject to the approval of the Commission at that session:263. 委员会注意到,已经就委员会第四十六届会议之后各工作组2013年的会议作出暂定安排,但需委员会该届会议予以核准:
(a) Working Group I (Procurement) would hold its twenty-second session in Vienna from 23 to 27 September 2013;(a) 第一工作组(采购)将于2013年9月23日至27日在维也纳举行第二十二届会议;
(b) Working Group II (Arbitration and Conciliation) would hold its fifty-ninth session in Vienna from 16 to 20 September 2013;(b) 第二工作组(仲裁和调解)将于2013年9月16日至20日在维也纳举行第五十九届会议;
(c) Working Group III (Online Dispute Resolution) would hold its twenty-eighth session in Vienna from 7 to 11 October 2013;(c) 第三工作组(网上争议解决)将于2013年10月7日至11日在维也纳举行第二十八届会议;
(d) Working Group IV (Electronic Commerce) would hold its forty-eighth session in Vienna from 30 September to 4 October 2013;(d) 第四工作组(电子商务)将于2013年9月30日至10月4日在维也纳举行第四十八届会议;
(e) Working Group V (Insolvency Law) would hold its forty-fourth session in Vienna from 16 to 20 December 2013;(e) 第五工作组(破产法)将于2013年12月16日至20日在维也纳举行第四十四届会议;
(f) Working Group VI (Security Interests) would hold its twenty-fourth session in Vienna from 25 to 29 November 2013.(f) 第六工作组(担保权益)将于2013年11月25日至29日在维也纳举行第二十四届会议。
Annex I附件一
Recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》 2010年修订本进行仲裁的建议
A. IntroductionA. 导言
1. The UNCITRAL Arbitration Rules as revised in 20101. 《贸易法委员会仲裁规则》2010年修订本
1. The UNCITRAL Arbitration Rules were originally adopted in 1976 and have been used for the settlement of a broad range of disputes, including disputes between private commercial parties where no arbitral institution is involved, commercial disputes administered by arbitral institutions, investor-State disputes and State-to-State disputes.1. 《贸易法委员会仲裁规则》最初于1976年通过,被用来解决多种争议,其中包括无仲裁机构参与的私人商事当事人之间的争议、由仲裁机构管理的商事争议、投资人与国家之间的争议以及国与国之间的争议。
The Rules are recognized as one of the most successful international instruments of a contractual nature in the field of arbitration.《规则》被视为仲裁领域最成功的合约性国际文书之一。
They have also strongly contributed to the development of the arbitration activities of many arbitral institutions in all parts of the world.《规则》还强有力地促进了世界各地众多仲裁机构仲裁活动的发展。
2. The 1976 UNCITRAL Arbitration Rules were revised in 2010 to better conform to current practices in international trade and to account for changes in arbitral practice over the past 30 years.2. 2010年对1976年《贸易法委员会仲裁规则》进行了修订,使之更符合国际贸易现行惯例,并考虑到了过去三十年仲裁实践发生的变化。
The revision was aimed at enhancing the efficiency of arbitration under the 1976 UNCITRAL Arbitration Rules and did not alter the original structure of the text, its spirit or its drafting style.这次修订意在提高根据1976年《贸易法委员会仲裁规则》进行仲裁的效率,并没有改变该文书原来的结构、精神或文体。
The UNCITRAL Arbitration Rules as revised in 2010 have been in effect since 15 August 2010.《贸易法委员会仲裁规则》2010年修订本已于2010年8月15日生效。
2. General Assembly resolution 65/222. 大会第65/22号决议
3. In 2010, the General Assembly, by its resolution 65/22, recommended the use of the UNCITRAL Arbitration Rules as revised in 2010 in the settlement of disputes arising in the context of international commercial relations.3. 2010年,大会在第65/22号决议中建议使用《贸易法委员会仲裁规则》2010年修订本解决国际商业关系中产生的争议。
That recommendation was based on the conviction that “the revision of the Arbitration Rules in a manner that is acceptable to countries with different legal, social and economic systems can significantly contribute to the development of harmonious international economic relations and to the continuous strengthening of the rule of law”.该建议基于以下认识,即深信“以具有不同法律、社会和经济制度的国家可接受的方式修订《仲裁规则》可极大地促进发展和谐的国际经济关系,并极大地促进持续加强法治。
4. In that resolution, the General Assembly noted that “the revised text can be expected to contribute significantly to the establishment of a harmonized legal framework for the fair and efficient settlement of international commercial disputes”.” 4. 大会在该决议中指出,“修订本可望大大促进建立一个公平高效地解决国际商事争议的统一法律框架。 ”
3. Purpose of the recommendations3. 本建议的目的
5. The present recommendations are made with regard to the use of the UNCITRAL Arbitration Rules.5. 本建议是关于使用《贸易法委员会仲裁规则》的建议。
(For recommendations on the use of the 1976 UNCITRAL Arbitration Rules, see the “Recommendations to assist arbitral institutions and other interested bodies with regard to arbitrations under the UNCITRAL Arbitration Rules”, adopted at the fifteenth session of UNCITRAL, in 1982.(关于使用1976年《贸易法委员会仲裁规则》的建议,见贸易法委员会1982年第十五届会议通过的“关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》进行仲裁的建议”)。
) Their purpose is to inform and assist arbitral institutions and other interested bodies that envisage using the UNCITRAL Arbitration Rules as described in paragraph 6 below.本建议的目的是向设想以下文第6段所述方式使用《贸易法委员会仲裁规则》的仲裁机构和其他有关机构提供信息和帮助。
4. Different usages by arbitral institutions and other interested bodies4. 仲裁机构和其他有关机构的不同使用方式
6. The UNCITRAL Arbitration Rules have been used in the following different ways by arbitral institutions and other interested bodies, including chambers of commerce and trade associations:6. 仲裁机构和其他有关机构包括商会和行业协会以下述不同方式使用《贸易法委员会仲裁规则》:
(a) They have served as a model for institutions drafting their own arbitration rules.(a) 《贸易法委员会仲裁规则》作为各机构起草本机构仲裁规则的范本。
The degree to which the UNCITRAL Arbitration Rules have been used as a drafting model ranges from inspiration to full adoption of the Rules (see section B below);《规则》用作起草范本的程度从得到启发到采用整部《规则》不等(见下文B节)。
(b) Institutions have offered to administer disputes under the UNCITRAL Arbitration Rules or to render administrative services in ad hoc arbitrations under the Rules (see section C below);(b) 各机构提议根据《贸易法委员会仲裁规则》管理争议,或者根据《规则》在特定仲裁中提供行政服务(见下文C节)。
(c) An institution (or a person) may be requested to act as appointing authority, as provided for under the UNCITRAL Arbitration Rules (see section D below).(c) 如《贸易法委员会仲裁规则》所规定的,可以请机构(或个人)担任指定机构(见下文D节)。
B. Adoption of the UNCITRAL Arbitration Rules as the institutional rules of arbitral institutions or other interested bodiesB. 以《贸易法委员会仲裁规则》作为仲裁机构或其他有关机构的机构规则
1. Appeal to leave the substance of the UNCITRAL Arbitration Rules unchanged1. 吁请不改动《贸易法委员会仲裁规则》的实质内容
7. Institutions, when preparing or revising their institutional rules, may wish to consider adopting the UNCITRAL Arbitration Rules as a model.7. 机构在编制或修订本机构的规则时,不妨考虑以《贸易法委员会仲裁规则》作为范本。
An institution that intends to do so should take into account the expectations of the parties that the rules of the institution will then faithfully follow the text of the UNCITRAL Arbitration Rules.打算这样做的机构应当考虑到各方当事人的指望,即该机构的规则此后将忠实于《贸易法委员会仲裁规则》的案文。
8. This appeal to follow closely the substance of the UNCITRAL Arbitration Rules does not mean that the particular organizational structure and needs of a given institution should be neglected.8. 吁请严格忠实于《贸易法委员会仲裁规则》的实质内容,并不意味着应当忽视特定机构特有的组织结构和需要。
Institutions adopting the UNCITRAL Arbitration Rules as their institutional rules will certainly need to add provisions, for instance on administrative services or fee schedules.以《贸易法委员会仲裁规则》作为机构规则的机构肯定需要增加一些条文,例如关于行政服务或收费表的条文。
In addition, formal modifications, affecting very few provisions of the UNCITRAL Arbitration Rules, as indicated below in paragraphs 9-17, should be taken into account.此外,应当考虑到下文第9-17段所述的形式上的修改,这些修改只影响到《贸易法委员会仲裁规则》的少数条文。
2. Presentation of modifications2. 说明所作的修改
(a) A short explanation(a) 简短解释
9. If an institution uses the UNCITRAL Arbitration Rules as a model for drafting its own institutional rules, it may be useful for the institution to consider indicating where those rules diverge from the UNCITRAL Arbitration Rules.9. 如果使用《贸易法委员会仲裁规则》作为起草本机构规则的范本,机构似宜考虑对本机构规则偏离《贸易法委员会仲裁规则》之处作出说明。
Such indication may be helpful to the readers and potential users who would otherwise have to embark on a comparative analysis to identify any disparity.这类说明可能对读者和潜在使用者有帮助,否则他们就不得不作对比分析,查明任何不同之处。
10. The institution may wish to include a text, for example a foreword, which refers to the specific modifications included in the institutional rules as compared with the UNCITRAL Arbitration Rules.10. 该机构似宜列入一段文字,例如前言,提及本机构规则与《贸易法委员会仲裁规则》相比所作的具体修改。
The indication of the modifications could also come at the end of the text of the institutional rules.也可将有关修改的说明放在本机构规则案文结尾处。
Further, it might be advisable to accompany the institutional rules with a short explanation of the reasons for the modifications.此外,机构规则随附一个简短解释,说明所作修改的理由,这种做法可能是可取的。
(b) Effective date(b) 生效日期
11. Article 1, paragraph 2, of the UNCITRAL Arbitration Rules defines an effective date for those Rules.11. 《贸易法委员会仲裁规则》第1条第2款界定了《规则》的生效日期。
Obviously, the institutional rules based on the UNCITRAL Arbitration Rules will have their own specific date of application.显然,以《贸易法委员会仲裁规则》为基础的机构规则将有自身的具体适用日期。
In the interest of legal certainty, it is recommended to refer in the arbitration rules to the effective date of application of the rules so that the parties know which version is applicable.为法律确定性起见,建议在仲裁规则中提及开始适用该规则的生效日期,以便当事人知道哪一个版本适用。
(c) Communication channel(c) 通信渠道
12. Usually, when an institution administers a case, communications between the parties before the constitution of the arbitral tribunal would be carried out through the institution.12. 在机构管理案件时,组成仲裁庭之前各方当事人之间的通信通常将通过该机构进行。
Therefore, it is recommended to adapt articles 3 and 4 of the UNCITRAL Arbitration Rules relating to communication before the constitution of the arbitral tribunal.因此,建议调整《贸易法委员会仲裁规则》与组成仲裁庭之前的通信有关的第3条和第4条。
For example, in relation to article 3, paragraph 1:例如,关于第3条第1款:
(a) If the communications take place through the institution, article 3, paragraph 1, could be amended as follows:(a) 如果通过该机构进行通信,第3条第1款可以修正如下:
1. The party or parties initiating recourse to arbitration (hereinafter called the “claimant”) shall communicate to [name of the institution] a notice of arbitration.1. 提起仲裁的一方或多方当事人(以下称“申请人”)应向[机构名称]发送一份仲裁通知。
[Name of the institution] shall communicate the notice of arbitration to the other party or parties (hereinafter called the “respondent”) [without undue delay] [immediately].[机构名称]应[没有不当拖延地][立即]将该仲裁通知发送给另一方或多方当事人(以下称“被申请人”)。
Or as follows:或者修正如下:
1. The party or parties initiating recourse to arbitration (hereinafter called the “claimant”) shall file with [name of the institution] a notice of arbitration and [name of the institution] shall communicate it to the other party or parties (hereinafter called the “respondent”).1. 提起仲裁的一方或多方当事人(以下称“申请人”)应向[机构名称]提交一份仲裁通知,[机构名称]应将该通知发送给另一方或多方当事人(以下称“被申请人”)。
(b) If the institution receives copies of the communications, article 3, paragraph 1, would remain unchanged, and the following provision could be added:(b) 如果机构收到通信副本,则第3条第1款将保持不变,并可以添加下述条文:
All documents transmitted pursuant to articles 3 and 4 of the UNCITRAL Arbitration Rules shall be served on [name of the institution] at the time of such transmission to the other party or parties or immediately thereafter.根据《贸易法委员会仲裁规则》第3条和第4条传送的所有文件均应在传送给另一方或多方当事人时或者随即送达[机构名称]。
13. To address the matter of communications after the constitution of the arbitral tribunal, the institution may either:13. 为处理组成仲裁庭之后的通信问题,机构可以采取以下两种做法之一:
(a) Modify each article in the UNCITRAL Arbitration Rules referring to communications, namely:(a) 修改《贸易法委员会仲裁规则》中提及通信的每个条款,即:
article 5; article 11; article 13, paragraph 2; article 17, paragraph 4; article 20, paragraph 1; article 21, paragraph 1; article 29, paragraphs 1, 3 and 4; article 34, paragraph 6; article 36, paragraph 3; article 37, paragraph 1; article 38, paragraphs 1 and 2; article 39, paragraph 1; article 41, paragraphs 3 and 4; or第5条、第11条、第13条第2款、第17条第4款、第20条第1款、第21条第1款、第29条第1款、第3款和第(4)款、第34条第6款、第36条第3款、第37条第1款、第38条第1款和第2款、第39条第1款、第41条第3款和第4款;或者
(b) Include in article 17 of the UNCITRAL Arbitration Rules a provision along the lines of:(b) 在《贸易法委员会仲裁规则》第17条中列入一个大意如下的条文:
(i) If the institution decides to receive all communications for the purpose of notification:㈠ 如果机构决定接收用于通知的所有通信:
“Except as otherwise permitted by the arbitral tribunal, all communications addressed to the arbitral tribunal by a party shall be filed with the [name of the institution] for notification to the arbitral tribunal and the other party or parties.“除仲裁庭另外允许的情形外,一方当事人发给仲裁庭的所有通信均应提交[机构名称],用于通知仲裁庭和另一方或多方当事人。
All communications addressed from the arbitral tribunal to a party shall be filed with the [name of the institution] for notification to the other party or parties.”; or仲裁庭发给一方当事人的所有通信均应提交[机构名称],用于通知另一方或多方当事人。
(ii) If the institution decides to receive copies of all communications for the purpose of information:”;或者 ㈡ 如果机构决定接收所有通信的副本用为参考:
“Except as otherwise permitted by the arbitral tribunal, all communications between the arbitral tribunal and any party shall also be sent to [name of the institution].”“除仲裁庭另外允许的情形外,仲裁庭与任何一方当事人之间的所有通信也应发送给[机构名称]。
14. In the interest of procedural efficiency, it might be appropriate for an institution to consider whether to require receiving copies of communications only after the constitution of the arbitral tribunal.” 14. 为程序效率起见,机构似宜考虑是否要求仅接收组成仲裁庭之后的通信的副本。
If such requirement is adopted by the institution, it would be advisable to refer to the receipt of the copies in a manner that is technology-neutral, in order not to exclude new and evolving technologies.如果机构采纳该要求,可取的做法是以技术中立的方式提及接收副本,以便不将不断发展的新技术排除在外。
To receive copies of communications through new technologies could also result in a desirable reduction of costs for the institution.借助新技术接收通信副本也可能带来降低机构费用的有利结果。
(d) Substitution of the reference to the “appointing authority” by the name of the institution(d) 使用机构名称取代“指定机构”的提法
15. Where an institution uses the UNCITRAL Arbitration Rules as a model for its institutional rules, the institution typically carries out the functions attributed to the appointing authority under the Rules; it therefore should amend the corresponding provisions of the Rules as follows:15. 机构使用《贸易法委员会仲裁规则》作为本机构规则范本的,该机构往往履行《规则》中赋予指定机构的职能,因此,应当修正《规则》的相应条文,具体如下:
(a) Article 3, paragraph 4 (a); article 4, paragraph 2 (b); article 6, paragraphs 1-4; and the reference to the designating authority in article 6, paragraph 5, should be deleted;(a) 第3条第4款(a)项、第4条第2款(b)项、第6条第1-4款;第6条第5款中提及指定机构的内容应予删除;
(b) The term “appointing authority” could be replaced by the name of the institution in the following provisions:(b) 在下列条文中,可以用机构名称取代“指定机构”一语:
article 6, paragraphs 5-7; article 7, paragraph 2; article 8, paragraphs 1 and 2; article 9, paragraphs 2 and 3; article 10, paragraph 3; article 13, paragraph 4; article 14, paragraph 2; article 16; article 43, paragraph 3; and, if the arbitral institution adopts the review mechanism to the extent compatible with its own institutional rules, article 41, paragraphs 2-4.第6条第5-7款、第7条第2款、第8条第1和2款、第9条第2和3款、第10条第3款、第13条第4款、第14条第2款、第16条;第43条第3款;如果仲裁机构在遵守本机构规则的范围内采用审查机制,还包括第41条第2-4款。
As an alternative, a rule clarifying that reference to the appointing authority shall be understood as a reference to the institution could be added, along the following lines:或者可以添加一条规则,澄清提及指定机构应理解为提及本机构,其大意如下:
“The functions of the appointing authority under the UNCITRAL Arbitration Rules are fulfilled by [name of the institution].”“《贸易法委员会仲裁规则》规定的指定机构的职能由[机构名称]履行。 ”
16. If the functions of an appointing authority are fulfilled by an organ of the institution, it is advisable to explain the composition of that organ and, if appropriate, the nomination process of its members, in an annex, for example.16. 如果指定机构的职能由该机构的一个机关来履行,则似宜对该机关的构成作出解释,适当情况下对诸如成员的提名过程作出解释,例如,可以在附件中作出解释。
In the interest of certainty, it may be advisable for an institution to clarify whether the reference to the organ is meant to be to the function and not to the person as such (i.e. in case the person is not available, the function could be fulfilled by his or her deputy).为确定性起见,机构似宜澄清提及该机关指的是职能,而不是行使此职能的人(即在该人无法到任的情况下,该职能可由他人代为履行)。
(e) Fees and schedule of fees(e) 收费和收费表
17. Where an institution adopts the UNCITRAL Arbitration Rules as its own institutional rules:17. 若机构以《贸易法委员会仲裁规则》作为本机构的规则:
(a) The provisions of article 40, paragraph 2 (f), would not apply;(a) 第40条第2款(f)项的规定将不适用;
(b) The institution may include the fee review mechanism as set out in article 41 of the Rules (as adjusted to the needs of the institution).(b) 该机构可列入《规则》第41条规定的收费审查机制(按该机构的需要作调整)。
C. Arbitral institutions and other interested bodies administering arbitration under the UNCITRAL Arbitration Rules or providing some administrative servicesC. 仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》管理仲裁或者 提供一些行政服务
18. One measure of the success of the UNCITRAL Arbitration Rules in achieving broad applicability and in demonstrating their ability to meet the needs of parties in a wide range of legal cultures and types of disputes has been the significant number of independent institutions that have declared themselves willing to administer (and that do administer) arbitrations under the UNCITRAL Arbitration Rules, in addition to proceedings under their own rules.18.《贸易法委员会仲裁规则》能否成功实现广泛的可适用性,并证明能够满足多种法律文化和争议类别中各方当事人的需要,一个衡量标准是有大量独立机构除根据本机构规则进行程序之外,宣布愿意(并且确实在)根据《贸易法委员会仲裁规则》管理仲裁。
Some arbitral institutions have adopted procedural rules for offering to administer arbitrations under the UNCITRAL Arbitration Rules.一些仲裁机构通过了提议根据《贸易法委员会仲裁规则》管理仲裁的程序规则。
Further, parties have also turned to institutions in order to receive some administrative services, in contrast to having the arbitral proceedings fully administered by the arbitral institution.此外,当事人也求助于一些机构以求得到一些 行政服务,而不是完全由该仲裁机构管理仲裁程序。
19. The following remarks and suggestions are intended to assist any interested institutions in taking the necessary organizational measures and in devising appropriate administrative procedures in conformity with the UNCITRAL Arbitration Rules when they either fully administer a case under the Rules or only provide certain administrative services in relation to arbitration under the Rules.19. 下文的评论和建议意在协助有关机构按照《贸易法委员会仲裁规则》采取必要的组织措施并制订适当的行政程序,不论它们是根据《规则》完全管理一个案件,还是仅根据《规则》就仲裁提供某些行政服务。
It may be noted that institutions, while offering services under the UNCITRAL Arbitration Rules as revised in 2010, are continuing to also offer services under the 1976 UNCITRAL Arbitration Rules.似应注意的是,机构在根据2010年修订的《贸易法委员会仲裁规则》提供服务时也在继续根据1976年《贸易法委员会仲裁规则》提供服务。
1. Administrative procedures in conformity with the UNCITRAL Arbitration Rules1. 与《贸易法委员会仲裁规则》相符的行政程序
20. In devising administrative procedures or rules, the institutions should have due regard to the interests of the parties.20. 在制定行政程序或规则时,机构应充分考虑到各方当事人的利益。
Since the parties in these cases have agreed that the arbitration is to be conducted under the UNCITRAL Arbitration Rules, their expectations should not be frustrated by administrative rules that would conflict with the UNCITRAL Arbitration Rules.由于这些案件中各方当事人约定根据《贸易法委员会仲裁规则》进行仲裁,不应采用与《贸易法委员会仲裁规则》相冲突的行政规则,使他们的预期落空。
The modifications that the UNCITRAL Arbitration Rules would need to undergo to be administered by an institution are minimal and similar to those mentioned above in paragraphs 9-17.为便于由一个机构进行管理而需要对《贸易法委员会仲裁规则》作出修改之处很少,类似于上文第9-17段所述内容。
It is advisable that the institution clarify the administrative services it would render by either:机构似宜通过下述两种方式之一澄清其将要提供的行政服务:
(a) Listing them; or(a) 罗列这类服务;或者
(b) Proposing to the parties a text of the UNCITRAL Arbitration Rules highlighting the modifications made to the Rules for the sole purpose of the administration of the arbitral proceedings; in the latter case, it is recommended to indicate that the UNCITRAL Arbitration Rules are “as administered by [name of the institution]” so that the user is notified that there is a difference from the original UNCITRAL Arbitration Rules.(b) 向各方当事人提出一个《贸易法委员会仲裁规则》文本,突出说明仅为管理仲裁程序之目的而对《规则》作出的修改;在后一种情形下,建议指出“由[机构名称]管理的”《贸易法委员会仲裁规则》,以便使用者知悉与原始的《贸易法委员会仲裁规则》有所区别。
21. It is further recommended that:21. 还建议:
(a) The administrative procedures of the institution distinguish clearly between the functions of an appointing authority as envisaged under the UNCITRAL Arbitration Rules (see section D below) and other full or partial administrative assistance, and the institution should declare whether it is offering both or only one of these types of services;(a) 机构的行政程序明确区分《贸易法委员会仲裁规则》所设想的指定机构的职能(见下文D节)与其他全部或部分行政援助,并且机构应声明其提供上述两种服务还是仅提供两种服务中的一种;
(b) An institution which is prepared either to fully administer a case under the UNCITRAL Arbitration Rules or to provide certain administrative services of a technical and secretarial nature describe in its administrative procedures the services offered; such services may be rendered upon request of the parties or the arbitral tribunal.(b) 机构若准备根据《贸易法委员会仲裁规则》完全管理一个案件或者提供某些技术性质或秘书处性质的行政服务,应在其行政程序中说明所提供的服务;此类服务可以应各方当事人或仲裁庭请求而提供。
22. In describing the administrative services, it is recommended that the institution indicate:22. 在介绍行政服务时,建议该机构说明:
(a) Which services would be covered by its general administrative fee and which would not (i.e. which would be billed separately);(a) 哪些服务将为总体行政费用所涵盖,哪些服务未涵盖(即单独收费);
(b) The services provided within its own facilities and those arranged to be rendered by others;(b) 利用自身设施提供的服务和安排由他人提供的服务;
(c) That parties could also choose to have only a particular service (or services) rendered by the institution without having the arbitral proceedings fully administered by the institution (see para. 18 above and paras. 23-25 below).(c) 当事人也可选择只接受该机构提供的一种(或几种)特定服务,而不是由该机构完全管理仲裁程序(见上文第18段,以及下文第23-25段)。
2. Offer of administrative services2. 提供行政服务
23. The following list of possible administrative services, which is not intended to be exhaustive, may assist institutions in considering and publicizing the services they may offer:23. 下文是可能提供的行政服务清单,但并非意在详尽列出所有行政服务,而是可以协助机构考虑并公布其可以提供的服务:
(a) Maintenance of a file of written communications;(a) 保留书面通信档案;
(b) Facilitating communication;(b) 为通信提供便利;
(c) Providing necessary practical arrangements for meetings and hearings, including:(c) 为会议和审理提供必要的实务安排,其中包括:
(i) Assisting the arbitral tribunal in establishing the date, time and place of hearings;㈠ 协助仲裁庭确定审理日期、时间和地点;
(ii) Meeting rooms for hearings or deliberations of the arbitral tribunal;㈡ 仲裁庭进行审理或审议所使用的会议室;
(iii) Telephone conference and videoconference facilities;㈢ 电话会议和视频会议设施;
(iv) Stenographic transcripts of hearings;㈣ 审理过程速记;
(v) Live streaming of hearings;㈤ 审理过程视频直播;
(vi) Secretarial or clerical assistance;㈥ 秘书或书记事务协助;
(vii) Making available or arranging for interpretation services;㈦ 提供或安排口译服务;
(viii) Facilitating entry visas for the purposes of hearings when required;㈧ 必要时为获得进行审理所需入境签证提供便利;
(ix) Arranging accommodation for parties and arbitrators;㈨ 为各方当事人和仲裁员安排住宿;
(d) Providing fund-holding services;(d) 提供资金保管服务;
(e) Ensuring that procedurally important dates are followed and advising the arbitral tribunal and the parties when not adhered to;(e) 确保程序方面的重要日期得到遵守,并在没有得到遵守时通知仲裁庭和各方当事人;
(f) Providing procedural directions on behalf of the tribunal, if and when required;(f) 必要时代表仲裁庭提供程序方面的指示;
(g) Providing secretarial or clerical assistance in other respects;(g) 在其他方面提供秘书或书记事务协助;
(h) Providing assistance for obtaining certified copies of any award, including notarized copies, where required;(h) 必要时协助获得任何裁决书的核证副本,包括公证副本;
(i) Providing assistance for the translation of arbitral awards;(i) 为仲裁裁决书的翻译提供协助;
(j) Providing services with respect to the storage of arbitral awards and files relating to the arbitral proceedings.(j) 提供仲裁裁决书和与仲裁程序有关的档案的存放服务。
3. Administrative fee schedule3. 行政服务收费表
24. The institution, when indicating the fee it charges for its services, may reproduce its administrative fee schedule or, in the absence thereof, indicate the basis for calculating it.24. 机构在说明其服务收费时,可原样提供其行政服务收费表,或者在没有行政服务收费表的情况下,说明服务收费的计算依据。
25. In view of the possible categories of services an institution may offer, such as functioning as an appointing authority and/or providing administrative services (see para. 21 above), it is recommended that the fee for each category be stated separately (see para. 22 above).25. 鉴于机构可能提供的服务的类别,例如,作为指定机构并且(或者)提供行政服务(见上文第21段),建议分别列出每类服务的收费(见上文第22段)。
Thus, an institution may indicate its fees for:因此,机构可说明它在下列方面的收费:
(a) Acting as an appointing authority only;(a) 只担任指定机构;
(b) Providing administrative services without acting as an appointing authority;(b) 提供行政服务,不担任指定机构;
(c) Acting as an appointing authority and providing administrative services.(c) 担任指定机构并提供行政服务。
4. Draft model clauses4. 示范条款草案
26. In the interest of procedural efficiency, institutions may wish to set forth in their administrative procedures model arbitration clauses covering the above services.26. 为程序效率起见,机构似宜在其行政程序中列出涉及上述服务的示范仲裁条款。
It is recommended that:建议:
(a) Where the institution fully administers arbitration under the UNCITRAL Arbitration Rules, the model clause should read as follows:(a) 机构根据《贸易法委员会仲裁规则》完全管理仲裁的,应拟订示范条款如下:
“Any dispute, controversy or claim arising out of or relating to this contract, or the breach, termination or invalidity thereof, shall be settled by arbitration in accordance with the UNCITRAL Arbitration Rules administered by [name of the institution].“任何争议、争执或请求,凡由于本合同而引起的或与之有关的,或由于本合同的违反、终止或无效而引起的或与之有关的,均应按照《贸易法委员会仲裁规则》,通过[机构名称]所管理的仲裁解决。
[Name of the institution] shall act as appointing authority.”[机构名称]应担任指定机构。 ”
(b) Where the institution provides certain services only, the agreement as to the services that are requested should be indicated:(b) 机构只提供某些服务的,应指明请求提供服务的协议:
“Any dispute, controversy or claim arising out of or relating to this contract, or the breach, termination or invalidity thereof, shall be settled by arbitration in accordance with the UNCITRAL Arbitration Rules.“任何争议、争执或请求,凡由于本合同而引起的或与之有关的,或由于本合同的违反、终止或无效而引起的或与之有关的,均应按照《贸易法委员会仲裁规则》仲裁解决。
[Name of the institution] shall act as appointing authority and provide administrative services in accordance with its administrative procedures for cases under the UNCITRAL Arbitration Rules.”[机构名称]应担任指定机构,并依其行政程序为按照《贸易法委员会仲裁规则》处理的案件提供行政服务”。
(c) In both cases, as suggested in the model arbitration clause in the annex to the UNCITRAL Arbitration Rules, parties should consider adding the following note:(c) 如《贸易法委员会仲裁规则》附件中示范仲裁条款所指出的,这两种情形下,当事人均应考虑添加如下说明:
“(a) The number of arbitrators shall be [one or three];“(a) 仲裁员人数应为(一名或三名);
“(b) The place of arbitration shall be [city and country];“(b) 仲裁地应为[城市和国家];
“(c) The language to be used in the arbitral proceedings shall be [language]”.“(c) 仲裁程序中使用的语言应为[语言]”。
D. Arbitral institution acting as appointing authorityD. 仲裁机构担任指定机构
27. An institution (or a person) may act as appointing authority under the UNCITRAL Arbitration Rules.27. 机构(或个人)可担任《贸易法委员会仲裁规则》规定的指定机构。
It is noteworthy that article 6 of the Rules highlights the importance of the role of the appointing authority.值得注意的是,《规则》第6条突出说明了指定机构所发挥作用的重要性。
Parties are invited to agree on an appointing authority at the time that they conclude the arbitration agreement, if possible.可能的话,请各方当事人在订立仲裁协议时就指定机构达成约定。
Alternatively, the appointing authority could be appointed by the parties at any time during the arbitration proceedings.否则,各方当事人可以在仲裁程序的任何时间指定该指定机构。
28. Arbitral institutions are usually experienced with fulfilling functions similar to those required from an appointing authority under the Rules.28. 仲裁机构经常履行与《规则》要求指定机构履行的职责相类似的职责。
For an individual who takes on that responsibility for the first time, it is important to note that, once designated as appointed authority, he or she must be and must remain independent and be prepared to act promptly for all purposes under the Rules.个人首次履行该职责,务必注意的是,一旦被指派为指定机构,他或她必须具有独立性并始终保持独立,并且能够随时为完成《规则》规定的所有目的而迅速行动。
29. An institution that is willing to act as appointing authority under the UNCITRAL Arbitration Rules may indicate in its administrative procedures the various functions of an appointing authority envisaged by the Rules.29. 机构愿意担任《贸易法委员会仲裁规则》规定的指定机构,可以在其行政程序中指明《规则》所设想的指定机构的各种职能。
It may also describe the manner in which it intends to perform these functions.也可说明其打算履行此类职能的方式。
30. The UNCITRAL Arbitration Rules foresee six main functions for the appointing authority:30. 《贸易法委员会仲裁规则》设想指定机构有六种主要职能:
(a) appointment of arbitrators; (b) decisions on the challenge of arbitrators; (c) replacement of arbitrators; (d) assistance in fixing the fees of arbitrators; (e) participation in the review mechanism on the costs and fees; and (f) advisory comments regarding deposits.(a)指定仲裁员,(b)就要求仲裁员回避的申请作出决定,(c)替换仲裁员,(d)协助确定仲裁员的收费,(e)参与关于费用和收费的审查机制,(f)就交存款提出咨询意见。
The paragraphs that follow are intended to provide some guidance on the role of the appointing authority under the UNCITRAL Arbitration Rules based on the travaux préparatoires.以下各段意在以准备工作文件为基础,就《贸易法委员会仲裁规则》规定的指定机构的作用提供一些指导意见。
1. Designating and appointing authorities (article 6)1. 指派和指定机构(第6条)
31. Article 6 was included as a new provision in the UNCITRAL Arbitration Rules as revised in 2010 to clarify for the users of the Rules the importance of the role of the appointing authority, particularly in the context of non-administered arbitration.31. 第6条作为一个新的条款列入《贸易法委员会仲裁规则》2010年修订本,目的是向《规则》使用者说明指定机构所发挥作用的重要性,特别是在非常设机构仲裁的情况下。
(a) Procedure for choosing or designating an appointing authority (article 6, paragraphs 1-3)(a) 选择或指派指定机构的程序(第6条第1-3款)
32. Article 6, paragraphs 1-3, determines the procedure to be followed by the parties in order to choose an appointing authority, or to have one designated in case of disagreement.32. 第6条第1-3款确定各方当事人选择指定机构或在未达成约定情况下请求指派指定机构应当遵循的程序。
Paragraph 1 expresses the principle that the appointing authority can be appointed by the parties at any time during the arbitration proceedings, not only in some limited circumstances.第1款表明以下原则,即指定机构可由各方当事人在仲裁程序的任何时间指定,而不仅仅是在有限情形下。
(b) Failure to act:(b) 不作为:
substitute appointing authority (article 6, paragraph 4)替代指定机构(第6条第4款)
33. Article 6, paragraph 4, addresses the situation where an appointing authority refuses or fails to act within a time period provided by the Rules or fails to decide on a challenge to an arbitrator within a reasonable time after receiving a party’s request to do so.33. 第6条第4款述及以下情形,即指定机构拒不作为,或者指定机构在《规则》规定的期限内不作为,或者在收到一方当事人要求一名仲裁员回避的申请后的合理时间内未就该申请作出决定。
Then, any party may request the Secretary-General of the Permanent Court of Arbitration to designate a substitute appointing authority.在此情形下,任何一方当事人可请求常设仲裁法院秘书长指派替代指定机构。
The failure to act of the appointing authority in the context of the fee review mechanism under article 41, paragraph 4, of the Rules, does not fall under article 6, paragraph 4 (“except as referred to in article 41, paragraph 4”) but is dealt with directly in article 41, paragraph 4 (see para. 58 below).指定机构在《规则》第41条第4款所规定的收费审查机制的范围内不作为,不属于第6条第4款的范畴(“第41条第4款述及的情形除外”),而是由第41条第4款直接处理(见下文第58段)。
(c) Discretion in the exercise of its functions (article 6, paragraph 5)(c) 履行职责时的裁量权(第6条第5款)
34. Article 6, paragraph 5, provides that, in exercising its functions under the Rules, the appointing authority may require from any party and the arbitrators the information it deems necessary.34. 第6条第5款规定,在履行本《规则》规定的职责时,指定机构可要求任何一方当事人和仲裁员提供其认为必需的信息。
That provision was included in the UNCITRAL Arbitration Rules to explicitly provide the appointing authority with the power to require information not only from the parties, but also from the arbitrators.将该条文列入《贸易法委员会仲裁规则》,目的是明确赋予指定机构不仅要求各方当事人而且要求仲裁员提供信息的权力。
The arbitrators are explicitly mentioned in the provision, as there are instances, such as a challenge procedure, in which the appointing authority, in exercising its functions, may require information from the arbitrators.该条文明确提到仲裁员,因为在有些情形下,例如在回避程序中,指定机构在履行职责时可能要求仲裁员提供信息。
35. In addition, article 6, paragraph 5, provides that the appointing authority shall give the parties and, where appropriate, the arbitrators, an opportunity to present their views in any manner the appointing authority considers appropriate.35. 第6条第5款还规定,指定机构应以其认为适当的方式,给予各方当事人以及在可能情况下给予仲裁员陈述意见的机会。
During the deliberations on the revisions to the Rules, it was agreed that the general principle should be included that the parties should be given an opportunity to be heard by the appointing authority.在审议对《规则》的修订意见时,一致认为应当列入以下一般原则,即指定机构应给予各方当事人陈述意见的机会。
That opportunity should be given “in any manner” the appointing authority “considers appropriate”, in order to better reflect the discretion of the appointing authority in obtaining views from the parties.应当以指定机构“认为适当的”“任何方式”给予这种机会,以更好地反映指定机构在征求各方当事人意见时的裁量权。
36. Article 6, paragraph 5, determines that all such communications to and from the appointing authority shall be provided by the sender to all other parties.36. 第6条第5款规定,与指定机构的所有此种往来通信应由发件人提供给其他各方当事人。
That provision is consistent with article 17, paragraph 4, of the Rules.该条文与《规则》第17条第4款相一致。
(d) General provision on appointment of arbitrators (article 6, paragraphs 6 and 7)(d) 关于指定仲裁员的一般规定(第6条第6款和第7款)
37. Article 6, paragraph 6, provides that, when the appointing authority is requested to appoint an arbitrator pursuant to articles 8, 9, 10 or 14, the party making the request shall send to the appointing authority copies of the notice of arbitration and, if it exists, any response to the notice of arbitration.37. 第6条第6款规定,请求指定机构依照第8条、第9条、第10条或第14条指定一名仲裁员的,提出请求的当事人应向指定机构发送仲裁通知副本,对仲裁通知已作答复的,还应发送该答复副本。
38. Article 6, paragraph 7, provides that the appointing authority shall have regard to such considerations as are likely to secure the appointment of an independent and impartial arbitrator.38. 第6条第7款规定,指定机构应注意到任何有可能保证指定独立、公正仲裁员的考虑。
To that end, paragraph 7 states that the appointing authority shall take into account the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties (see also para. 44 below).为此,第7款还规定,指定当局应考虑到指定一名与各方当事人国籍不同的仲裁员的可取性(另见下文第44段)。
2. Appointment of arbitrators2. 指定仲裁员
(a) Appointment of a sole arbitrator (article 7, paragraph 2, and article 8)(a) 指定独任仲裁员(第7条第2款和第8条)
39. The UNCITRAL Arbitration Rules envisage various possibilities concerning the appointment of an arbitrator by an appointing authority.39. 《贸易法委员会仲裁规则》设想了指定机构指定仲裁员的各种可能性。
Under article 8, paragraph 1, the appointing authority may be requested to appoint a sole arbitrator, in accordance with the procedures and criteria set forth in article 8, paragraph 2.根据第8条第1款,可请求指定机构根据第8条第2款规定的程序和标准指定独任仲裁员。
The appointing authority shall appoint the sole arbitrator as promptly as possible and shall intervene only at the request of a party.指定机构应尽速指定独任仲裁员,并且只能经一方当事人的请求方可介入。
The appointing authority may use the list-procedure as defined in article 8, paragraph 2.指定机构可使用第8条第2款界定的名单法。
It should be noted that the appointing authority has discretion pursuant to article 8, paragraph 2, to determine that the use of the list-procedure is not appropriate for the case.应当指出,指定机构依第8条第2款享有决定案件不宜使用名单法的裁量权。
40. Article 7, dealing with the number of arbitrators, provides as a default rule that, in case parties do not agree on the number of arbitrators, three arbitrators should be appointed.40. 第7条述及仲裁员人数,其中规定,作为一项缺省规则,各方当事人未约定仲裁员人数的,应指定三名仲裁员。
However, article 7, paragraph 2, includes a corrective mechanism so that, if no other parties have responded to a party’s proposal to appoint a sole arbitrator and the party (or parties) concerned have failed to appoint a second arbitrator, the appointing authority may, at the request of a party, appoint a sole arbitrator if it determines that, in view of the circumstances of the case, this is more appropriate.不过,第7条第2款载有一个纠正机制,即一方当事人提出指定独任仲裁员的提议,而其他各方当事人未对此提议作出答复,并且有关的一方(或多方)当事人未指定第二名仲裁员的,则指定机构经一方当事人请求,可指定独任仲裁员,但指定机构须根据案情确定这样做更适当。
That provision has been included in the Rules to avoid situations where, despite the claimant’s proposal in its notice of arbitration to appoint a sole arbitrator, a three-member arbitral tribunal has to be constituted owing to the respondent’s failure to react to that proposal.《规则》列入该规定是为了避免以下情形,即虽然申请人在仲裁通知中提议指定独任仲裁员,但由于被申请人未对该提议作出答复,仍不得不组成由三名成员组成的仲裁庭。
It provides a useful corrective mechanism in case the respondent does not participate in the process and the arbitration case does not warrant the appointment of a three-member arbitral tribunal.在被申请人未参加程序,而仲裁案件又不值得指定由三名成员组成的仲裁庭的情况下,该规定提供了有益的纠正机制。
That mechanism is not supposed to create delays, as the appointing authority will in any event have to intervene in the appointment process.该机制不应造成拖延,因为指定机构无论如何都将介入指定程序。
The appointing authority should have all relevant information or require information under article 6, paragraph 5, to make its decision on the number of arbitrators.为就仲裁员人数作出决定,指定机构应掌握所有相关信息,或者根据第6条第5款要求提供信息。
Such information would include, in accordance with article 6, paragraph 6, copies of the notice of arbitration and any response thereto.根据第6条第6款,此类信息将包括仲裁通知副本以及对仲裁通知的答复的副本。
41. When an appointing authority is requested under article 7, paragraph 2, to determine whether a sole arbitrator is more appropriate for the case, circumstances to be taken into consideration include the amount in dispute and the complexity of the case (including the number of parties involved), as well as the nature of the transaction and of the dispute.41. 根据第7条第2款请求指定机构确定是否更宜由独任仲裁员处理案件时,应当考虑的情形包括争议所涉金额和案件的复杂性,(包括所涉当事人人数),以及交易和争议的性质。
42. In some cases, the respondent might not take part in the constitution of the arbitral tribunal, so that the appointing authority has before it the information received from the claimant only.42. 有些情况下,被申请人也许未参与仲裁庭的组成,因此,仲裁庭仅掌握从申请人那里得到的信息。
Then, the appointing authority can make its assessment only on the basis of that information, being aware that it might not reflect all aspects of the proceedings to come.这样的话,指定机构可以只依据该信息作出评估,同时注意该信息可能并不反映即将进行的程序的所有方面。
(b) Appointment of a three-member arbitral tribunal (article 9)(b) 指定三人仲裁庭(第9条)
43. The appointing authority may be requested by a party, under article 9, paragraph 2, to appoint the second of three arbitrators in case a three-arbitrator panel is to be appointed.43. 根据第9条第2款,在指定由三名仲裁员组成的小组的情况下,一方当事人可请求指定机构指定三名仲裁员中的第二名。
If the two arbitrators cannot agree on the choice of the third (presiding) arbitrator, the appointing authority can be called upon to appoint the third arbitrator under article 9, paragraph 3.根据第9条第3款,两名仲裁员未能就第三名(首席)仲裁员达成约定的,可请求指定机构指定第三名仲裁员。
That appointment would take place in the same manner that a sole arbitrator would be appointed under article 8.该指定将按照第8条规定的指定独任仲裁员的相同方式进行。
In accordance with article 8, paragraph 1, the appointing authority should act only at the request of a party.按照第8条第1款,指定机构只能经一方当事人的请求方可采取行动。
44. When an appointing authority is asked to appoint the presiding arbitrator pursuant to article 9, paragraph 3, factors that might be taken into consideration include the experience of the arbitrator and the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties (see para. 38 above, on article 6, paragraph 7).44. 如果指定机构被请求根据第9条第3款指定首席仲裁员,可以考虑的因素包括仲裁员的经验以及指定一名与各方当事人国籍不同的仲裁员的可取性(见上文关于第6条第7款的第38段)。
(c) Multiple claimants or respondents (article 10)(c) 多方申请人或被申请人(第10条)
45. Article 10, paragraph 1, provides that, in case of multiple claimants or respondents and unless otherwise agreed, the multiple claimants, jointly, and the multiple respondents, jointly, shall appoint an arbitrator.45. 第10条第1款规定,在有多方申请人或被申请人的情况下,除非另有约定,否则多方申请人应共同指定一名仲裁员,多方被申请人也应共同指定一名仲裁员。
In the absence of such a joint nomination and if all parties are unable to otherwise agree on a method for the constitution of the arbitral tribunal, the appointing authority shall, upon the request of any party pursuant to article 10, paragraph 3, constitute the arbitral tribunal and designate one of the arbitrators to act as the presiding arbitrator.在没有作出此种共同指定的情况下,以及在各方当事人不能另行约定仲裁庭组成办法的情况下,根据第10条第3款,指定机构应经任何一方当事人请求组成仲裁庭,并指定其中一名仲裁员担任首席仲裁员。
An illustration of a case in which parties on either side could be unable to make such an appointment is if the number of either claimants or respondents is very large or if they not form a single group with common rights and obligations (for instance, cases involving a large number of shareholders).举例来说,申请人或被申请人人数众多,或者未形成具备共同权利和义务的单一群体(例如,涉及众多股东的情形),即属于其中一方当事人无法作出此种指定的情形。
46. The power of the appointing authority to constitute the arbitral tribunal is broadly formulated in article 10, paragraph 3, in order to cover all possible failures to constitute the arbitral tribunal under the Rules and is not limited to multiparty cases.46. 第10条第3款赋予指定机构组成仲裁庭的广泛权力,以涵盖未能根据《规则》组成仲裁庭的一切可能情形,而不仅限于多个当事人情形。
Also, it is noteworthy that the appointing authority has the discretion to revoke any appointment already made and to appoint or reappoint each of the arbitrators.另外,值得注意的是,指定机构拥有撤销已经作出的指定并指定或重新指定每一名仲裁员的裁量权。
The principle in paragraph 3 that the appointing authority shall appoint the entire arbitral tribunal when parties on the same side in a multiparty arbitration are unable to jointly agree on an arbitrator was included in the Rules as an important principle, in particular in situations like the one that gave rise to the case BKMI and Siemens v. Dutco.第3款的原则作为一项重要原则被列入《规则》,该原则是,在涉及多个当事人的仲裁中,当同一方的当事人无法共同约定仲裁员时,应由指定机构指定整个仲裁庭,特别是在导致BKMI和西门子诉Dutco案件的类似情形下。
The decision in the Dutco case was based on the requirement that parties receive equal treatment, which paragraph 3 addresses by shifting the appointment power to the appointing authority.有关Dutco案件的裁定是基于各方当事人应受到平等对待这一要求,第3款通过将指定权转移给指定机构而满足了这一要求。
The travaux préparatoires of the UNCITRAL Arbitration Rules show that emphasis was given to maintaining a flexible approach, granting discretionary powers to the appointing authority, in article 10, paragraph 3, in order to accommodate the wide variety of situations arising in practice.《贸易法委员会仲裁规则》的准备工作文件表明,第10条第3款的重点是采取灵活做法,同时赋予指定机构裁量权,以顾及实务中出现的多种情况。
(d) Successful challenge and other reasons for replacement of an arbitrator (articles 12 and 13)(d) 回避申请理由成立和替换仲裁员的其他理由(第12条和第13条)
47. The appointing authority may be called upon to appoint a substitute arbitrator under article 12, paragraph 3, or article 13 or 14 of the UNCITRAL Arbitration Rules (failure or impossibility to act, successful challenge and other reasons for replacement; see paras. 49-54 below).47. 可以请求指定机构根据《贸易法委员会仲裁规则》第12条第3款、第13条或第14条(不作为或不可能作为、回避申请理由成立和替换的其他理由,见下文第49-54段)指定替代仲裁员。
(e) Note for institutions acting as an appointing authority(e) 请担任指定机构的机构注意的事项
48. For each of these instances where an institution may be called upon under the UNCITRAL Arbitration Rules to appoint an arbitrator, the institution may provide details as to how it would select the arbitrator.48. 针对可能根据《贸易法委员会仲裁规则》请求机构指定仲裁员的上述每一种情形,机构可详细说明其将如何选择仲裁员。
In particular, it may state whether it maintains a list of arbitrators, from which it would select appropriate candidates, and may provide information on the composition of any such list.特别是,机构可说明其是否保持一个可从中选择合适候选人的仲裁员名单,并可提供关于任何此种名单构成情况的信息。
It may also indicate which person or organ within the institution would make the appointment (for example, the president, a board of directors, the secretary-general or a committee) and, in the case of a board or committee, how that organ is composed and/or its members would be elected.机构也可说明将由机构内的哪个人或哪个机关作出指定(例如,主席、理事会、秘书处或委员会),由理事会或委员会作出指定的,该机关构成情况如何,以及(或者)其成员将如何当选。
3. Decision on challenge of arbitrator3. 就要求仲裁员回避的申请作出决定
(a) Articles 12 and 13(a) 第12条和第13条
49. Under article 12 of the UNCITRAL Arbitration Rules, an arbitrator may be challenged if circumstances exist that give rise to justifiable doubts as to his or her impartiality or independence.49. 根据《贸易法委员会仲裁规则》第12条,如果存在可能对仲裁员的公正性或独立性产生有正当理由怀疑的情况,可要求该仲裁员回避。
When such a challenge is contested (i.e. if the other party does not agree to the challenge or the challenged arbitrator does not withdraw within 15 days of the notice of the challenge), the party making the challenge may seek a decision on the challenge by the appointing authority pursuant to article 13, paragraph 4.此种回避申请受到质疑的(即自回避通知发出之日起15日内,另一方当事人不同意该回避申请,或者被要求回避的仲裁员不辞职),提出回避申请的当事人可请求指定机构根据第13条第4款就回避申请作出决定。
If the appointing authority sustains the challenge, it may also be called upon to appoint the substitute arbitrator.如果指定机构支持该回避申请,还可请求指定机构指定替代仲裁员。
(b) Note for institution acting as an appointing authority(b) 请担任指定机构的机构注意的事项
50. The institution may indicate details as to how it would make the decision on such a challenge in accordance with the UNCITRAL Arbitration Rules.50. 机构可详细说明将如何根据《贸易法委员会仲裁规则》就此类回避申请作出决定。
In that regard, the institution may wish to identify any code of ethics of its institution or other written principles which it would apply in ascertaining the independence and impartiality of arbitrators.为此,机构似宜指明其在确定仲裁员独立性和公正性方面适用的本机构道德行为守则或其他书面原则。
4. Replacement of an arbitrator (article 14)4. 替换仲裁员(第14条)
51. Under article 14, paragraph 1, of the UNCITRAL Arbitration Rules, in the event that an arbitrator has to be replaced in the course of the arbitral proceedings, a substitute arbitrator shall normally be appointed or chosen pursuant to the procedure provided for in articles 8-11 of the Rules that was applicable to the appointment or choice of the arbitrator being replaced.51. 根据《贸易法委员会仲裁规则》第14条第1款,如果仲裁程序进行期间有必要替换仲裁员,通常应按照《规则》第8-11条规定的指定或选定被替换仲裁员的适用程序,指定或选定一名替代仲裁员。
That procedure shall apply even if, during the process of appointing the arbitrator to be replaced, a party failed to exercise its right to appoint or to participate in the appointment.即使在指定拟替换的仲裁员的过程中,一方当事人未行使其指定或参与指定的权利,该程序仍应适用。
52. This procedure is subject to an exception pursuant to article 14, paragraph 2, of the Rules, which provides the appointing authority with the power to determine, at the request of a party, whether it would be justified for a party to be deprived of its right to appoint a substitute arbitrator.52. 根据《规则》第14条第2款,该程序有一种例外情形,该款规定,经一方当事人请求,指定机构有权确定是否有理由取消一方当事人指定替代仲裁员的权利。
If the appointing authority makes such a determination, it may, after giving an opportunity to the parties and the remaining arbitrators to express their views:如果指定机构作出此种判断,在给予各方当事人和其余仲裁员发表意见的机会之后,指定机构可以:
(a) appoint the substitute arbitrator; or (b) after the closure of the hearings, authorize the other arbitrators to proceed with the arbitration and make any decision or award.(a)指定替代仲裁员;或(b)在审理终结后,授权其他仲裁员继续进行仲裁并作出决定或裁决。
53. It is noteworthy that the appointing authority should deprive a party of its right to appoint a substitute arbitrator only in exceptional circumstances.53. 值得注意的是,指定机构仅应在特殊情况下取消一方当事人指定替代仲裁员的权利。
To that end, the wording “the exceptional circumstances of the case” in article 14, paragraph 2, was chosen to allow the appointing authority to take account of all circumstances or incidents that might have occurred during the proceedings.为此,第14条第2款选用“案情特殊”的措辞,以允许指定机构考虑到程序中可能发生的所有情形或事件。
The travaux préparatoires of the UNCITRAL Arbitration Rules show that depriving a party of its right to appoint an arbitrator is a serious decision, one which should be taken based on the faulty behaviour of a party to the arbitration and on the basis of a fact-specific inquiry and which should not be subject to defined criteria.《贸易法委员会仲裁规则》准备工作文件表明,取消一方当事人指定仲裁员的权利是一项严重的决定,应以仲裁一方当事人的过失行为以及对具体事实的调查为基础作出该决定,而不应拘泥于已经确定的标准。
Rather, the appointing authority should determine, in its discretion, whether the party has the right to appoint another arbitrator.指定机构应裁量决定该当事人是否有权指定另一名仲裁员。
54. In determining whether to permit a truncated tribunal to proceed with the arbitration under article 14, paragraph 2 (b), the appointing authority must take into consideration the stage of the proceedings.54. 在确定是否允许缺员仲裁庭根据第14条第2款(b)项继续进行仲裁时,指定机构必须考虑到程序所处的阶段。
Bearing in mind that the hearings are already closed, it might be more appropriate, for the sake of efficiency, to allow a truncated tribunal to make any decision or final award than to proceed with the appointment of a substitute arbitrator.如果考虑到审理已经终结,为效率起见,允许缺员仲裁庭作出任何决定或最终裁决可能比在指定替代仲裁员之后继续进行仲裁更为合适。
Other factors that might be taken into consideration, to the extent feasible, in deciding whether to allow a truncated tribunal to proceed include the relevant laws (i.e. whether the laws would permit or restrict such a procedure) and relevant case law on truncated tribunals.在决定是否允许缺员仲裁庭继续进行仲裁时,可以尽量考虑的其他因素包括相关法律(即法律允许还是限制此种程序)以及关于缺员仲裁庭的相关判例法。
5. Assistance in fixing fees of arbitrators5. 协助确定仲裁员的收费
(a) Articles 40 and 41(a) 第40条和第41条
55. Pursuant to article 40, paragraphs 1 and 2, of the UNCITRAL Arbitration Rules, the arbitral tribunal fixes the costs of arbitration.55. 根据《贸易法委员会仲裁规则》第40条第1款和第2款,仲裁庭确定仲裁费用。
Pursuant to article 41, paragraph 1, the fees and expenses of the arbitrators shall be reasonable in amount, taking into account the amount in dispute, the complexity of the subject matter, the time spent by the arbitrators and any other relevant circumstances of the case.第41条第1款规定,仲裁员的收费和开支数额应合理,需考虑到争议金额、案件复杂程度、仲裁员花费的时间以及案件的其他任何有关情况。
In this task, the arbitral tribunal may be assisted by an appointing authority:仲裁庭在执行这项任务时,可得到指定机构的协助:
if the appointing authority applies or has stated that it will apply a schedule or particular method for determining the fees of arbitrators in international cases, the arbitral tribunal, in fixing its fees, shall take that schedule or method into account to the extent that it considers appropriate in the circumstances of the case (article 41, paragraph 2).该指定机构对确定国际案件仲裁员收费适用或已声明将适用某一收费表或特定方法的,仲裁庭在确定其收费时,应在仲裁庭认为适合案件情况的额度内,考虑到该收费表或方法(第41条第2款)。
(b) Note for institutions acting as an appointing authority(b) 请担任指定机构的机构注意的事项
56. An institution willing to act as appointing authority may indicate, in its administrative procedures, any relevant details in respect of assistance in fixing the fees.56. 愿意担任指定机构的机构可在其行政程序中指出与协助确定收费有关的任何相关细节。
In particular, it may state whether it has issued a schedule or defined a particular method for determining the fees for arbitrators in international cases as envisaged in article 41, paragraph 2 (see para. 17 above).特别是可以说明本机构是否已经就第41条第2款设想的确定国际案件仲裁员收费发布收费表或确定特定方法(见上文第17段)。
6. Review mechanism (article 41)6. 审查机制(第41条)
57. Article 41 of the UNCITRAL Arbitration Rules addresses the fees and expenses of arbitrators and foresees a review mechanism for such fees that involves a neutral body, the appointing authority.57. 《贸易法委员会仲裁规则》第41条涉及仲裁员的收费和开支,并为此种收费设想了一种涉及中立机构也就是指定机构的审查机制。
Notwithstanding that an institution may have its own rules on fees, it is recommended that the institution acting as appointing authority should follow the rules set out in article 41.尽管机构可能有自己的收费规则,但还是建议担任指定机构的机构遵从第41条所阐明的规则。
58. The review mechanism consists of two stages.58. 审查机制由两个阶段组成。
At the first stage, article 41, paragraph 3, requires the arbitral tribunal to inform the parties promptly after its constitution of how it proposes to determine its fees and expenses.在第一阶段,第41条第3款要求仲裁庭组成后应将其如何确定收费和开支的提议迅速通知各方当事人。
Any party then has 15 days to request the appointing authority to review that proposal.此后,任何一方当事人有15天时间请求指定机构对该提议进行审查。
If the appointing authority considers the proposal of the arbitral tribunal to be inconsistent with the requirement of reasonableness in article 41, paragraph 1, it shall within 45 days make any necessary adjustments, which are binding upon the arbitral tribunal.如果指定机构认为仲裁庭的提议与第41条第1款规定的合理性要求不一致,指定机构应在45天内作出任何必要调整,该调整对仲裁庭具有约束力。
At the second stage, article 41, paragraph 4, provides that, after being informed of the determination of the arbitrators’ fees and expenses, any party has the right to request the appointing authority to review that determination.在第二阶段,第41条第4款规定,获悉仲裁员的费用和开支确定方法之后,任何一方当事人有权请求指定机构审查费用和开支的确定方法。
If no appointing authority has been agreed upon or designated, or if the appointing authority fails to act within the time specified in the Rules, the review shall be made by the Secretary-General of the Permanent Court of Arbitration.未约定或未指派任何指定机构的,或者指定机构在《规则》列明的期限内不作为的,应由常设仲裁法院秘书长审查。
Within 45 days of the receipt of such referral, the reviewing authority shall make any adjustments to the arbitral tribunal’s determination that are necessary to meet the criteria in article 41, paragraph 1, if the tribunal’s determination is inconsistent with its proposal (and any adjustment thereto) under paragraph 3 of that article or is otherwise manifestly excessive.在收到审查请求后45天内,如果仲裁庭确定的费用和开支与仲裁庭根据第41条第3款提议的费用和开支(及其任何调整)不一致,或者明显过高,审查机构应对仲裁庭的确定方法作出任何必要调整,使之符合该条第1款的标准。
59. The travaux préparatoires of the UNCITRAL Arbitration Rules show that the process for establishing the arbitrators’ fees was regarded as crucial for the legitimacy and integrity of the arbitral process itself.59. 《贸易法委员会仲裁规则》准备工作文件表明,确定仲裁员费用的程序被认为对仲裁程序本身的合法性和公正性至关重要。
60. The criteria and mechanism set out in article 41, paragraphs 1-4, was chosen to provide sufficient guidance to an appointing authority and to avoid time-consuming scrutiny of fee determinations.60. 选择第41条第1-4款所载明的标准和机制,是为了向指定机构提供充分指导,并避免对费用确定方法进行耗时的审查。
Article 41, paragraph 4 (c), by cross-referring to paragraph 1 of that article, refers to the notion of reasonableness of the amount of arbitrators’ fees, an element to be taken into account by the appointing authority if the adjustment of fees and expenses is necessary.第41条第4款(c)项以比照提及该条第1款的方式提及仲裁员收费数额合理性概念,在有必要调整收费和开支时,这是指定机构要考虑的一个因素。
In order to clarify that the review process should not be too intrusive, the words “manifestly excessive” were included in article 41, paragraph 4 (c).为了说明审查过程不应造成过多干扰,第41条第4款(c)项列入了“明显过高”一语。
7. Advisory comments regarding deposits7. 就交存款提供咨询意见
61. Under article 43, paragraph 3, of the UNCITRAL Arbitration Rules, the arbitral tribunal shall fix the amounts of any initial or supplementary deposits only after consultation with the appointing authority, which may make any comments to the arbitral tribunal it deems appropriate concerning the amount of such deposits and supplementary deposits, if a party so requests and the appointing authority consents to perform this function.61. 根据《贸易法委员会仲裁规则》第43条第3款,在一方当事人请求且指定机构也同意履行职责时,仲裁庭应同指定机构协商后方能确定任何初始交存款或补充交存款的数额,指定机构可就此项交存款或补充交存款的数额向仲裁庭提出其认为适当的任何意见。
The institution may wish to indicate in its administrative procedures its willingness to do so.机构似宜在其行政程序中表明愿意这样做。
Supplementary deposits may be required if, in the course of proceedings, it appears that the costs will be higher than anticipated, for instance if the arbitral tribunal decides pursuant to the Rules to appoint an expert.在程序进行过程中,如果费用似将高于预期,例如,仲裁庭根据《规则》决定指定一名专家,则可能需要补充交存款。
Although not explicitly mentioned in the Rules, appointing authorities have in practice also commented and advised on interim payments.虽然未在《规则》中明确提及,但在实践中指定机构也曾就临时付款提出意见和建议。
62. It should be noted that, under the Rules, this kind of advice is the only task relating to deposits that an appointing authority may be requested to fulfil.62. 还应当指出,根据《规则》,这类建议是可能要求指定机构履行的与交存款有关的唯一任务。
Thus, if an institution offers to perform any other functions (such as holding deposits or rendering an accounting thereof), it should be pointed out that this would constitute additional administrative services not included in the functions of an appointing authority (see para. 30 above).因此,如果机构提议履行其他任何职能(例如,保管交存款,或者提供交存款账单),则应指出这将构成额外的行政服务,未包括在指定机构的职能之内(见上文第30段)。
Note:注:
In addition to the information and suggestions set forth herein, assistance may be obtained from the secretariat of UNCITRAL:除本文件中载列的信息和建议之外,还可请贸易法委员会秘书处提供协助:
International Trade Law DivisionInternational Trade Law Division
Office of Legal AffairsOffice of Legal Affairs
United NationsUnited Nations
Vienna International CentreVienna International Centre
P.O. Box 500P.O. Box 500
1400 Vienna1400 Vienna
AustriaAustria
E-mail:电邮:
uncitral@uncitral.org.uncitral@uncitral.org.
The secretariat could, for example, if so requested, assist in the drafting of institutional rules or administrative provisions, or it could make suggestions in this regard.秘书处可以应请求为拟订机构规则或行政条款等提供协助,或者提供这方面的建议。
Annex II附件二
List of documents before the Commission at its forty-fifth session委员会第四十五届会议文件一览表
Symbol文号
Title or description标题或说明
A/CN.9/735 and Add.1A/CN.9/735 和Add.1
Provisional agenda, annotations thereto and scheduling of meetings of the forty-fifth session第四十五届会议临时议程、临时议程说明和会议时间安排
A/CN.9/736A/CN.9/736
Report of Working Group II (Arbitration and Conciliation) on the work of its fifty-fifth session (Vienna, 3-7 October 2011)第二工作组(仲裁和调解)第五十五届会议(2011年10月3日至7日,维也纳)工作报告
A/CN.9/737A/CN.9/737
Report of Working Group IV (Electronic Commerce) on the work of its forty-fifth session (Vienna, 10-14 October 2011)第四工作组(电子商务)第四十五届会议(2011年10月10日至14日,维也纳)工作报告
A/CN.9/738A/CN.9/738
Report of Working Group V (Insolvency Law) on the work of its fortieth session (Vienna, 31 October-4 November 2011)第五工作组(破产法)第四十届会议工作报告(2011年10月31日至11月4日,维也纳)
A/CN.9/739A/CN.9/739
Report of Working Group III (Online Dispute Resolution) on the work of its twenty-fourth session (Vienna, 14-18 November 2011)第三工作组(网上争议解决)第二十四届会议(2011年11月14日至18日,维也纳)工作报告
A/CN.9/740A/CN.9/740
Report of Working Group VI (Security Interests) on the work of its twentieth session (Vienna, 12-16 December 2011)第六工作组(担保权益)第二十届会议(2011年12月12日至16日,维也纳)工作报告
A/CN.9/741A/CN.9/741
Report of Working Group II (Arbitration and Conciliation) on the work of its fifty-sixth session (New York, 6-10 February 2012)第二工作组(仲裁和调解)第五十六届会议(2012年2月6日至10日,纽约)工作报告
A/CN.9/742A/CN.9/742
Report of Working Group V (Insolvency Law) on the work of its forty-first session (New York, 30 April-4 May 2012)第五工作组(破产法)第十届会议(2012年4月30日至5月4日,纽约)工作报告
A/CN.9/743A/CN.9/743
Report of Working Group VI (Security Interests) on the work of its twenty-first session (New York, 14-18 May 2012)第六工作组(担保权益)第二十一届会议(2012年5月14日至18日,纽约)工作报告
A/CN.9/744A/CN.9/744
Report of Working Group III (Online Dispute Resolution) on the work of its twenty-fifth session (New York, 21-25 May 2012)第三工作组(网上争议解决)第二十五届会议(2012年5月21日至25日,纽约)工作报告
A/CN.9/745A/CN.9/745
Report of Working Group I (Procurement) on the work of its twenty-first session (New York, 16-20 April 2012)第一工作组(采购)第二十一届会议(2012年4月16日至20日,纽约)工作报告
A/CN.9/746 and Add.1A/CN.9/746和Add.1
Note by the Secretariat on settlement of commercial disputes:秘书处关于商事纠纷的解决的说明:
recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules, as revised in 2010关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议。
A/CN.9/747 and Add.1A/CN.9/747和Add.1
Note by the Secretariat on settlement of commercial disputes:秘书处关于商事纠纷的解决的说明:
recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules, as revised in 2010; compilation of comments by Governments关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁的建议;政府意见汇编
A/CN.9/748A/CN.9/748
Note by the Secretariat on promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts秘书处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说明
A/CN.9/749A/CN.9/749
Note by the Secretariat on coordination activities秘书处关于协调活动的说明
A/CN.9/750A/CN.9/750
Note by the Secretariat on bibliography of recent writings related to the work of UNCITRAL秘书处关于贸易法委员会工作相关的近期著述书目的说明
A/CN.9/751A/CN.9/751
Note by the Secretariat on status of conventions and model laws秘书处关于各公约和示范法现状的说明
A/CN.9/752 and Add.1A/CN.9/752和Add.1
Note by the Secretariat on a strategic direction for UNCITRAL秘书处关于贸易法委员会战略方向的说明
A/CN.9/753A/CN.9/753
Note by the Secretariat on technical cooperation and assistance秘书处关于技术合作与援助的说明
A/CN.9/754 and Add.1-3A/CN.9/754和Add.1-3
Note by the Secretariat on a revised Guide to Enactment to accompany the UNCITRAL Model Law on Public Procurement秘书处关于《贸易法委员会公共采购示范法》所附的《颁布指南》修订本的说明
A/CN.9/755A/CN.9/755
Note by the Secretariat on procurement and infrastructure development:秘书处关于采购和基础设施发展:
possible future work今后可能开展的工作的说明
A/CN.9/756A/CN.9/756
Note by the Secretariat on selected legal issues impacting microfinance秘书处关于影响小额金融的某些法律问题的说明
A/CN.9/757A/CN.9/757
Note by the Secretariat on selected legal issues impacting microfinance:秘书处关于影响小额金融的某些法律问题的说明:
observations by the New York State Bar Association (NYSBA) International Section纽约州律师协会国际部的评论意见
A/CN.9/758A/CN.9/758
Note by the Secretariat on possible future work in the area of international contract law:秘书处关于今后在国际合同法领域可能开展的工作的说明:
proposal by Switzerland on possible future work by UNCITRAL in the area of international contract law瑞士就贸易法委员会今后在国际合同法领域可能开展的工作提出的建议
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, 30 were elected by the Assembly on 22 May 2007 (decision 61/417), 28 were elected by the Assembly on 3 November 2009, and two were elected by the Assembly on 15 April 2010.在现任成员中,30个由大会于2007年5月22日选出(第61/417号决定),28个由大会于2009年11月3日选出,2个由大会于2010年4月15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.大会第31/99号决议改变了成员资格的开始和终止日期,决定当选成员应从其当选后紧接着召开的委员会年度常会开始的第一天起就职,任期应于其当选后委员会第七届年度常会开幕前的最后一天届满。
The following six States members elected by the Assembly on 3 November 2009 agreed to alternate their membership among themselves until 2016 as follows:大会于2009年11月3日选出的以下6个成员国同意在2016年之前轮流出任委员会成员:
Belarus (2010-2011, 2013-2016), Czech Republic (2010-2013, 2015-2016), Poland (2010-2012, 2014-2016), Ukraine (2010-2014), Georgia (2011-2015) and Croatia (2012-2016).白俄罗斯(2010-2011年、2013-2016年)、捷克共和国(2010-2013年、2015-2016年)、波兰(2010-2012年、2014-2016年)、乌克兰(2010-2014年)、格鲁吉亚(2011-2015年)、克罗地亚(2012-2016年)。
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), annex I.《大会正式记录,第六十六届会议,补编第17号》(A/66/17),附件一。
Ibid., Forty-ninth Session, Supplement No. 17 and corrigendum (A/49/17 and Corr.1), annex I.同上,《第四十九届会议,补编第17号》和更正(A/49/17和Corr.1),附件一。
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 192.同上,《第六十六届会议,补编第17号》(A/66/17),第192段。
Ibid., Thirty-seventh Session, Supplement No. 17 and corrigenda (A/37/17 and Corr.1 and 2), paras. 74-85 and annex I.同上,《第三十七届会议,补编第17号》和更正(A/37/17及Corr.1和2),第74-85段和附件一。
Ibid., Thirty-first Session, Supplement No. 17 (A/31/17), para. 57.同上,《第三十一届会议,补编第17号》(A/31/17),第57段。
Ibid., Thirty-sixth Session, Supplement No. 17 (A/36/17), paras. 50-59.同上,《第三十六届会议,补编第17号》(A/36/17),第50-59段。
Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), annex I.同上,《第六十五届会议,补编第17号》(A/65/17),附件一。
Ibid., para. 189.同上,第189段。
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 204.同上,《第六十六届会议,补编第17号》(A/66/17),第204段。
Ibid., Sixty-seventh session, Supplement No. 17 (A/67/17), annex I.同上,《第六十七届会议,补编第17号》(A/67/17),附件一。
Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 190-191.《第六十五届会议,补编第17号》(A/65/17),第190-191段。
Ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 314; and ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 290.同上,《第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第314段;同上,《第六十四届会议,补编第17号》(A/64/17),第290段。
Ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 314; and ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 200.同上,《第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第314段;同上,《第六十六 届会议,补编第17号》(A/66/17),第200段。
Ibid., Fifty-first Session, Supplement No. 17 (A/51/17), chap. II.同上,《第六十六届会议,补编第17号》(A/66/17),第207段。
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 207.同上,《第五十一届会议,补编第17号》(A/51/17),第二章。
Ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 338 and 341-343; ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 252-257; and ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 213-218.同上,《第六十四届会议,补编第17号》(A/64/17),第338和341-343段;同上,《第六十五届会议,补编第17号》(A/65/17),第252和257段;同上,《第六十六届会议,补编第17号》(A/66/17),第213-218段。
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 218.同上,《第六十六届会议,补编第17号》(A/66/17),第218段。
United Nations, Treaty Series, vol. 330, No. 4739.联合国,《条约汇编》,第330卷,第4739号。
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 235 and 238.《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第235和238段。
Official Records of the Economic and Social Council, 2012, Supplement No. 19 (E/2012/39).《经济及社会理事会正式纪录,2012年,补编第19号》(E/2012/39)。
Official Records of the General Assembly, Fifty-second Session, Supplement No. 17 (A/52/17), annex I.《大会正式记录,第五十二届会议,补编第17号》(A/52/17),附件一。
Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 259.同上,《第六十五届会议,补编第17号》(A/65/17),第259段。
United Nations publication, Sales No.联合国出版物,出售品编号:
E.99.V.3.E.99.V.3。
Available from www.uncitral.org/uncitral/en/uncitral_texts/insolvency.html.查阅网址:
Available from www.uncitral.org/uncitral/en/uncitral_texts/insolvency.html.查阅网址:
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 198.《大会正式纪录,第六十六届会议,补编第17号》(A/66/17),第198段。
Ibid., paras. 223-226.同上,第223-226段。
United Nations publication, Sales No.E.09.V.12.联合国出版物,出售品编号:
Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 267 and 268. Available from www.unidroit.org/english/conventions/2009intermediatedsecurities/main.htm.E.09.V.12。 《大会正式纪录,第六十五届会议,补编第17号》(A/65/17),第267和268段。
UNCITRAL Legal Guide on Drawing Up International Contracts for the Construction of Industrial Works, United Nations publication (Sales No.查阅网址: 《贸易法委员会关于起草建造工厂国际合同的法律指南》(联合国出版物,出售品编号:
E.87.V.10).E.87.V.10)。
United Nations, Treaty Series, vol. 2349, No. 42146.联合国,《条约汇编》,第2349卷,第42146号。
See the outcome document of the Conference, entitled “The future we want” (General Assembly resolution 66/288, annex), paras. 46, 71, 217 and 280 (d).见首脑会议成果文件,标题为“我们想要的未来”(大会第66/288号决议,附件),第46、71、217和280(d)段。
Available from http://ec.europa.eu/commission_2010-2014/barnier/headlines/news/2011/12/20111220_en.htm. UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects (Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), annex I); and UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (United Nations publication, Sales No.查阅网址: 《贸易法委员会私人融资基础设施项目示范立法条文》(《大会正式记录,第五十八届会议,补编第17号》(A/58/17),附件一);《贸易法委员会私人融资基础设施项目立法指南》(联合国出版物,出售品编号:
E.01.V.4).E.01.V.4)。
Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 432 and 433; ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 275-276 and 280; and ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 241-246.《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第432和433段;同上,《第六十五届会议,补编第17号》(A/65/17),第275-276和280段;同上,《第六十六届会议,补编第17号》(A/66/17),第241-246段。
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 246.同上,《第六十六届会议,补编第17号》(A/66/17),第246段。
Ibid.同上。
United Nations, Treaty Series, vol. 1489, No. 25567.联合国,《条约汇编》,第1489卷,第25567号。
Available from www.unidroit.org.查阅网址:
Official Records of the General Assembly, Fiftieth Session, Supplement No. 17 (A/50/17), paras. 401-404; and ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), paras. 355 and 356.《大会正式记录,第五十届会议,补编第17号》(A/50/17),第401-404段;同上,《第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第355和356段。
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 250-252.同上,《第六十六届会议,补编第17号》(A/66/17),第250-252段。
Available from www.unidroit.org.查阅网址: g。
Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, paras. 209-213.《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第209-213段。
United Nations, Treaty Series, vol. 1489, No. 25567.联合国,《条约汇编》,第1489卷,第25567号。
Official Records of the General Assembly, Forty-seventh Session, Supplement No. 17 (A/47/17), para. 161.《大会正式记录,第四十七届会议,补编第17号》(A/47/17),第161段。
Ibid., Fifty-fifth Session, Supplement No. 17 (A/55/17), para. 434.同上,《第五十五届会议,补编第17号》(A/55/17),第434段。
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 253.同上,《第六十六届会议,补编第17号》(A/66/17),第253段。
Ibid., Fortieth Session, Supplement No. 17 (A/40/17), annex I; and ibid., Sixty-first Session, Supplement No. 17 (A/61/17), annex I.同上,《第四十届会议,补编第17号》(A/40/17),附件一;同上,《第六十一届会议,补编第17号》(A/61/17),附件一。
Ibid., Fifty-first Session, Supplement No. 17 (A/51/17), annex I.同上,《第五十一届会议,补编第17号》(A/51/17),附件一。
Official Records of the United Nations Conference on Prescription (Limitation) in the International Sale of Goods, New York, 20 May-14 June 1974 (United Nations publication, Sales No.《联合国国际销售货物的时效(限制)问题会议正式纪录,1974年5月20日至6月14日,纽约》(联合国出版物,出售品编号:
E.74.V.8), part I.E.74.V.8),第一部分。
United Nations, Treaty Series, vol. 2169, No. 38030.联合国,《条约汇编》,第2169号,第38030号。
Ibid., vol. 1695, No. 29215.同上,第1695号,第29215号。
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 271-272.《大会正式纪录,第六十六届会议,补编第17号》(A/66/17),第271-272段。
Ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 370.同上,《第六十四届会议,补编第17号》(A/64/17),第370段。
Available from www.uncitral.org/uncitral/en/case_law/digests.html.查阅网址:
Available from www.uncitral.org/uncitral/en/case_law/digests.html.查阅网址:
Official Records of the General Assembly, Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 87-91.《大会正式记录,第五十九届会议,补编第17号》(A/59/17),第87-91段。
Ibid., Sixty-fourth session, Supplement No. 17 (A/64/17), para. 372.同上,《第六十四届会议,补编第17号》(A/64/17),第372段。
United Nations, Treaty Series, vol. 330, No. 4739.联合国,《条约汇编》,第330卷,第4739号。
Ibid., vol. 1511, No. 26119.同上,第1511卷,第26119号。
Ibid., vol. 1489, No. 25567.同上,第1489卷,第25567号。
General Assembly resolution 63/122, annex.大会第63/122号决议,附件。
The Convention has not yet entered into force; it requires 20 States parties for entry into force.《公约》尚未生效;《公约》生效需要有20个缔约国。
Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I; and ibid., Sixty-first Session, Supplement No. 17 (A/61/17), annex I.《大会正式记录,第四十届会议,补编第17号》(A/40/17),附件一;同上,《第六十一届会议,补编第17号》(A/61/17),附件一。
Ibid., Fifty-first Session, Supplement No. 17 (A/51/17), annex I.同上,《第五十一届会议,补编第17号》(A/51/17),附件一。
Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), annex II. Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), annex I.同上,《第五十六届会议,补编第17号》和更正(A/56/17和Corr.3),附件二。
Available from http://treaties.un.org/Pages/TreatyEvents.aspx?pathtreaty=Treaty/Focus/Page1_en.xml.同上,《第五十七届会议,补编第17号》(A/57/17),附件一。
General Assembly resolution 60/21, annex.查阅网址: 大会第60/21号决议,附件。
General Assembly resolution 56/81, annex.大会第56/81号决议,附件。
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 277.《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第277段。
Ibid., paras. 280-283.同上,第280-283段。
Available from www.uncitral.org/uncitral/en/uncitral_texts/payments/2011UNCITRAL_HCCH_Unidroit_texts.html.查阅网址:
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 228.《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第228段。
Ibid., paras. 229-231.同上,第229-231段。
The final report is available from http://ec.europa.eu/justice/civil/files/report_assignment_en.pdf.最终报告可查阅网址:
The Convention and its Protocols are available from www.unidroit.org/english/conventions/mobile-equipment/main.htm.该公约及其各项议定书可查阅网址:
Available from www.unidroit.org/english/studies/study78c/main.htm.查阅网址: 查阅网址:
Available from www.unidroit.org/english/conventions/2009intermediatedsecurities/main.htm.联合国,《条约汇编》,第2421卷,第43718号。
United Nations, Treaty Series, vol. 2421, No. 43718.查阅网址:
Available from www.unidroit.org/english/documents/2012/study70a/s-70a-main-e.pdf专题讨论会的有关情况和文件可查阅网址:
Information about, and materials from, the colloquium are available from www.unidroit.org/english/studies/study80/main.htm.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),附件三。
Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), annex III.同上,《第六十六届会议,补编第17号》(A/66/17),第288-298段。
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 288-298. Ibid., para. 298. At that session, the Commission also expressed its support for exploring means to more broadly disseminate UNCITRAL instruments (ibid., para. 319).同上,第298段。 在该届会议上,委员会还表示支持探讨以何种方式更广泛地传播贸易法委员会文书(同上,第319段)。
General Assembly resolution 2205 (XXI), para. 11.大会第2205 (XXI)号决议,第11段。
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 264.《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第264段。
Ibid., paras. 267 and 269.同上,第267和269段。
More information about the Regional Centre and the launch event is available from www.uncitral.org/uncitral/en/tac/rcap.html.有关该区域中心和开幕式活动的更多信息可查阅网址:
General Assembly resolutions 62/70, para. 3; 63/128, para. 7; 64/116, para. 9; 65/32, para. 10; and 66/102, para. 12.大会第62/70号决议,第3段;第63/128号决议,第7段;第64/116号决议,第9段;第65/32号决议,第10段;第66/102号决议,第12段。
Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 386; ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 415-419; ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 313-336; and ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 299-321.《大会正式记录,第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第386段;同上,《第六十四届会议,补编第17号》(A/64/17),第415-419段;同上,《第六十五届会议,补编第17号》(A/65/17),第313-336段;同上,《第六十六届会议,补编第17号》(A/66/17),第299-321段。
Resolutions 63/120, para. 11, 64/111, para. 14, 65/21, paras. 12 to 14, and 66/94, paras. 15-17.第63/120号决议,第11段;第64/111号决议,第14段;第65/21号决议,第12-14段;第66/94号决议,第15-17段。
Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 335.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第335段。
General Assembly resolution 66/288, annex.大会第66/288号决议,附件。
See, for example, art. 7 of the United Nations Convention on Contracts for the International Sale of Goods, art. 7 of the Convention on the Limitation Period in the International Sale of Goods and art. 5 of the United Nations Convention on the Use of Electronic Communications in International Contracts.例如,见《联合国国际货物销售合同公约》第7条、《国际货物销售时效期限公约》第7条、《联合国国际合同使用电子通信公约》第5条。
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 343.《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第343段。
For the consideration of that document by the Commission, see ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part one, paras. 199-200; ibid, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), paras. 339-344; and ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 345-348. Available from www.unidroit.org/english/principles/contracts/main.htm. Available from www.iccwbo.org/products-and-services/arbitration-and-adr/arbitration/icc-rules-of-arbitration.关于委员会对这份文件的审议,见: 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第199-200段;同上,《第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第339-344段;同上,《第六十四届会议,补编第17号》(A/64/17),第345-348。
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 334-340.查阅网址: 查阅网址: 《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第334-340段。
A/HRC/17/31, annex I.A/HRC/17/31,附件一。
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 332-333.《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第332-333段。
Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 129-130.同上,《第五十九届会议,补编第17号》(A/59/17),第129-130段。
Ibid., para. 129.同上,第129段。
Ibid., para. 130.同上,第130段。
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-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。
A/62/6 (Sect. 8) and Corr.1, table 8.19 (d).A/62/6 (Sect. 8)和Corr.1,表8.19(d)。
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 331.《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第331段。
Item 111 (b) of the provisional agenda of the sixty-seventh session of the General Assembly (A/67/150).大会第六十七届会议临时议程项目111(b)(A/67/150)。
Ibid., para. 297.同上,第297段。
Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275.同上,《五十八届会议,补编第17号》(A/58/17),第275段。
Official Records of the General Assembly, Thirty-first Session, Supplement No. 17 (A/31/17), para. 57.《大会正式记录,第三十一届会议,补编第17号》(A/31/17),第57段。
Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 13-187 and annex I.同上,《第六十五届会议,补编第17号》(A/65/17),第13-187段和附件一。
Ibid., Thirty-seventh Session, Supplement No. 17 and corrigenda (A/37/17 and Corr.1 and 2), annex I.同上,《第三十七届会议,补编第17号》和更正(A/37/17和Corr.1和2),附件一。
See, for example, the Arbitration Rules of the Cairo Regional Centre for International Commercial Arbitration in force as from 1 March 2011 (available from www.crcica.org.eg) or the Arbitration Rules (as revised in 2010) of the Kuala Lumpur Regional Centre for Arbitration (available from www.klrca.org.my).例如,见开罗国际商事仲裁区域中心仲裁规则,2011年3月1日生效(查阅网址: www.crcica.org.eg)或者吉隆坡区域仲裁中心仲裁规则(2010年修订)(查阅网址:
For example, in the introduction to the Arbitration Rules of the Cairo Regional Centre for International Commercial Arbitration in force as from 1 March 2011, it is provided that those rules “are based upon the new UNCITRAL Arbitration Rules, as revised in 2010, with minor modifications emanating mainly from the Centre’s role as an arbitral institution and an appointing authority”.例如,2011年3月1日起生效的开罗国际商事仲裁区域中心仲裁规则的导言规定,本规则“以新的《贸易法委员会仲裁规则》2010年修订本为基础,并稍作修改,所作修改主要是考虑到本中心作为仲裁机构和指定机构的作用”。
The Arbitration Rules (as revised in 2010) of the Kuala Lumpur Regional Centre of Arbitration provide that the rules for arbitration of the institution shall be the “UNCITRAL Arbitration Rules as modified in accordance with the rules set out below”.吉隆坡区域仲裁中心仲裁规则(2010年修订)规定,本机构的仲裁规则应当是“根据下文载明的规则作了修改的《贸易法委员会仲裁规则》”。
See, for example, the Permanent Court of Arbitration Optional Rules for Arbitration between International Organizations and Private Parties, effective 1 July 1996 (based on the 1976 version of the UNCITRAL Arbitration Rules); available from www.pca-cpa.org/showfile.asp?fil_id=201.例如,见1996年7月1日生效的《常设仲裁法院关于国际组织与私人当事方之间仲裁任择规则》(以1976年版《贸易法委员会仲裁规则》为基础),查阅网址:
For example, in the text of the Permanent Court of Arbitration Optional Rules for Arbitrating Disputes between Two Parties of Which Only One Is a State, effective 6 July 1993 (available from www.pca-cpa.org/showfile.asp?fil_id=194), the following note is inserted:www.pca-cpa.org/showfile.asp?fil_id=201。 例如,1993年7月6日生效的《常设仲裁法院关于当事双方仅一方是国家的争议的仲裁任择规则》”在案文添加了如下说明:
“These Rules are based on the [1976] UNCITRAL Arbitration Rules, with the following modifications: …“本规则以[1976年]《贸易法委员会仲裁规则》为基础,并作了以下修改:
Modifications to indicate the functions of the Secretary-General and the International Bureau of the Permanent Court of Arbitration:为表明常设仲裁法院秘书长和国际事务局的职能而作的修改:
Article 1, para. 4 (added) … ”.第1条第1款(添加部分)…”。
For example, this is the approach adopted in the Arbitration Rules of the Cairo Regional Centre for International Commercial Arbitration in force as from 1 March 2011.例如,2011年3月1日生效的开罗国际商事仲裁区域中心仲裁规则就采取这种做法。
For example, a similar approach can be found in Rule 2, paragraph 1, of the Arbitration Rules (as revised in 2010) of the Kuala Lumpur Regional Centre for Arbitration.例如,类似做法见诸于吉隆坡区域仲裁中心仲裁规则(2010年修订)第2条第1款。
For example, a similar provision is included in article 17, paragraph 5, of the Arbitration Rules of the Cairo Regional Centre for International Commercial Arbitration in force as from 1 March 2011.例如,2011年3月1日起生效的开罗国际商事仲裁区域中心仲裁规则第17条第5款载有类似规定。
An arbitral institution, may, however, retain article 40, paragraph 2 (f), for cases in which the arbitral institution would not act as appointing authority.然而,对于仲裁机构不担任指定机构的案件,仲裁机构可以保留第40条第2款(f)项。
For example, the Qatar International Center for Conciliation and Arbitration states in article 43, paragraph 2 (h), of its Rules of Arbitration 2012 (effective 1 May 2012), which are based on the UNCITRAL Arbitration Rules as revised in 2010:例如,卡塔尔国际调解和仲裁中心在2012年仲裁规则(2012年5月1日生效)以《贸易法委员会仲裁规则》2010年修订本为基础,其中的第43条第2款(h)项中规定:
“Any fees and expenses of the appointing authority in case the Center is not designated as the appointing authority.”“本中心未被指定为指定机构的,指定机构的任何收费和费用。 ”
Such an approach has been adopted by the Cyprus Arbitration and Mediation Centre, which based its Arbitration Rules on the UNCITRAL Arbitration Rules.例如,塞浦路斯仲裁和调解中心采取这种做法,其仲裁规则以2010年《贸易法委员会仲裁规则》为基础。
For example, the Permanent Court of Arbitration (PCA) indicates on its website (www.pca-cpa.org) that “in addition to the role of designating appointing authorities, the Secretary-General of the PCA will act as the appointing authority under the UNCITRAL Arbitration Rules when the parties so agree.例如,海牙常设仲裁法院(常设仲裁院)在其网站(www.pca-cpa.org)上表明,“常设仲裁院秘书长除发挥指派指定机构的作用外,在各方当事人同意时还担任《贸易法委员会仲裁规则》所规定的指定机构。
The PCA also frequently provides full administrative support in arbitrations under the UNCITRAL Arbitration Rules.常设仲裁院还经常为根据《贸易法委员会仲裁规则》进行的仲裁提供全面的行政支助”。
” The London Court of International Arbitration (LCIA) indicates on its website (www.lcia.org) that “the LCIA regularly acts both as appointing authority and as administrator in arbitrations conducted pursuant to the UNCITRAL arbitration rules.伦敦国际仲裁法院(伦敦仲裁法院)在其网站(www.lcia.org)上表明,“伦敦仲裁法院经常在根据《贸易法委员会仲裁规则》进行的仲裁中担任指定机构和管理人。
Further information:进一步的信息见:
Recommended clauses for adoption by the parties for these purposes; the range of administrative services offered; and details of the LCIA charges for these services are available on request from the Secretariat”.为此类目的供各方当事人采用的建议性条款;所提供行政服务的范围;伦敦仲裁法院有关这些服务的收费详情可向秘书处索取。 ”。
See also the UNCITRAL Arbitration Rules Administered by the German Institution of Arbitration (available from www.dis-arb.de); the Administrative and Procedural Rules for Arbitration under the UNCITRAL Arbitration Rules as amended and effective on 1 July 2009 of the Japan Commercial Arbitration Association (JCAA) (available from www.jcaa.or.jp); and the Hong Kong International Arbitration Centre (HKIAC) Procedures for the Administration of International Arbitration, adopted to take effect from 31 May 2005 (available from www.hkiac.org).另见“德国仲裁机构管理的《贸易法委员会仲裁规则》”(查阅网址: );经修正于2009年7月1日生效的日本商事仲裁协会“根据《贸易法委员会仲裁规则》进行仲裁的行政和程序规则”(查阅网址: );以及2005年5月31日通过后生效的“香港国际仲裁中心(‘香港仲裁中心’)国际仲裁管理程序”(查阅网址:
(The Administrative and Procedural Rules for Arbitration under the UNCITRAL Arbitration Rules of JCAA and the HKIAC Procedures for the Administration of International Arbitration are both, at the date of the present recommendations, based on the 1976 UNCITRAL Arbitration Rules.));(日本商事仲裁协会根据《贸易法委员会仲裁规则》进行仲裁的行政和程序规则和香港仲裁中心国际仲裁管理程序在提出本建议之日均以1976年《贸易法委员会仲裁规则》为基础)。
For example, the HKIAC Procedures for the Administration of International Arbitration state in their introduction: “Nothing in these Procedures shall prevent parties to a dispute under the UNCITRAL Rules from naming the HKIAC as appointing authority, nor from requesting certain administrative services from the HKIAC without subjecting the arbitration to the provisions contained in the Procedures.例如,香港仲裁中心国际仲裁管理程序在其导言中指出,“本程序概不妨碍根据《贸易法委员会仲裁规则》所处理争议的当事人提名香港仲裁中心为指定机构,也不妨碍在仲裁不受本程序所载规定管辖的情况下请求香港仲裁中心提供某些行政服务。
Neither the designation of the HKIAC as appointing authority under the Rules nor a request by the parties or the tribunal for specific and discrete administrative assistance from the HKIAC shall be construed as a designation of the HKIAC as administrator of the arbitration as described in these Procedures.指派香港仲裁中心为《贸易法委员会仲裁规则》所规定的指定机构,或者当事人或仲裁庭请求香港仲裁中心提供具体和不同的行政援助,均不应解释为本程序所述的指派香港仲裁中心为仲裁管理人。
Conversely, unless otherwise stated, a request for administration by the HKIAC will be construed as a designation of the HKIAC as appointing authority and administrator pursuant to these Procedures.”反之,除非另有说明,请求香港仲裁中心提供管理服务,将解释为本程序所规定的指派香港仲裁中心为指定机构和管理人。
For an illustration, see the services offered under both versions of the UNCITRAL Arbitration Rules by the Arbitration Institute of the Stockholm Chamber of Commerce (www.sccinstitute.com).”。 例子见斯德哥尔摩商会仲裁院根据两个版本的《贸易法委员会仲裁规则》提供的服务()。
See, as an illustration of such an approach, the UNCITRAL Arbitration Rules Administered by the German Institution of Arbitration.关于这种做法的例子,见“德国仲裁机构管理的《贸易法委员会仲裁规则》”。
For example, in the Bahrain Chamber for Dispute Resolution (BCDR) Arbitration Rules, it is stated:例如,《巴林争议解决委员会仲裁规则》规定,“下述收费不包括审理室的费用,审理室可以租用。
“The fees described above do not cover the cost of hearing rooms, which are available on a rental basis.请向巴林争议解决委员会查询是否有审理室及其费率。
Check with the BCDR for availability and rates. ” The BCDR Arbitration Rules are from 2009 and based on the 1976 UNCITRAL Arbitration Rules.”《巴林争议解决委员会仲裁规则》自2009年生效,以1976年《贸易法委员会仲裁规则》为基础。
The maintenance of a file of written communications could include a full file of written correspondence and submissions to facilitate any inquiry that arises and to prepare such copies as the parties or the tribunal may require at any time during the arbitral proceedings.保留书面通信的档案可包括书面信函和提交材料的完整档案,以便利查询,并在当事人或仲裁庭在仲裁程序的任何时候需要时提供副本。
In addition, the maintenance of such a file could include, automatically or only upon request by the parties, the forwarding of the written communications of a party or the arbitrators.此外,保留此类档案可包括自动或仅仅应当事人请求转发一方当事人或仲裁员的书面通信。
Facilitating communication could include ensuring that communications among parties, attorneys and the tribunal are kept open and up to date, and may also consist in merely forwarding written communications.为通信提供便利可包括确保当事人、代理人和仲裁庭之间的通信保持开放并随时更新,也可能仅包括转发书面通信。
Fund-holding services usually consist of the receipt and the disbursement of funds received from the parties.资金保管服务通常包括接收并支取各方当事人缴付的资金。
They include the setting up of a dedicated bank account, into which sums are paid by the parties, as directed by the tribunal.它包括开设一个专门的银行账户,各方当事人按照仲裁庭的指示缴付一定金额。
The institution typically disburses funds from that account to cover costs, accounting periodically to the parties and to the tribunal for funds lodged and disbursed.机构一般从该账户中支取资金,缴付各种费用,定期向当事人和仲裁庭汇报存放和支取资金的账目。
The institution usually credits the interests on the funds to the party that has lodged the funds at the prevailing rate of the bank where the account is kept.机构通常按照银行账户所在银行通常的利率,将资金利息贷记给存放资金的当事人。
Fund-holding services could also include more broadly the calculation and collection of a deposit as security for the estimated costs of arbitration.资金保管服务也可更为广泛,包括作为仲裁估计费用保证的交存款的计算和收款。
If the institution is fully administering the arbitral proceedings, then the fund-holding services may extend to more closely monitoring the costs of the arbitration, in particular ensuring that fees-and-costs notes are regularly submitted and the level of further advances calculated, in consultation with the tribunal, and by reference to the established procedural timetable.如果完全由机构管理仲裁程序,则资金保管服务可进一步包括更密切地监测仲裁费用,特别是确保定期提交收费和费用说明,并与仲裁庭协商且参照既定程序时间表计算进一步的预付款金额。
Providing procedural directions on behalf of the tribunal, if and when required, relates most typically to directions for advances on costs.必要时代表仲裁庭提供程序方面的指示往往涉及关于费用预付款的指示。
The provision of secretarial or clerical assistance could include proofreading draft awards to correct typographical and clerical errors.提供秘书或书记事务协助包括校对裁决草稿以改正排印错误和笔误。
Storage of documents relating to the arbitral proceedings might be an obligation under the applicable law.存放与仲裁程序有关的文件可能是适用法律规定的一项义务。
See, for example, article 42, paragraph 4, on definition of costs, of the Arbitration Rules of the Cairo Regional Centre for International Commercial Arbitration, which entered into force on 1 March 2011, according to which the provisions of its section on the costs of arbitration shall apply by default in case the parties to ad hoc arbitrations agree that the Centre will provide its administrative services to such arbitrations.例如,见2011年3月1日生效的开罗国际商事仲裁区域中心仲裁规则关于费用的第42条第4款,根据该款,如果特定仲裁的当事人约定由开罗仲裁中心为仲裁提供行政服务,则关于仲裁费用一节的规定应自动适用。
Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 42, and A/CN.9/619, para. 69.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第42段,A/CN.9/ 619,第69段。
A/CN.9/619, para. 69.A/CN.9/619,第69段。
Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 49.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第49段。
A/CN.9/WG.II/WP.157, para. 22.A/CN.9/WG.II/WP.157,第22段。
A/CN.9/619, para. 76.A/CN.9/619,第76段。
A/CN.9/665, para. 54.A/CN.9/665,第54段。
Ibid., paras. 62-63.同上,第62-63段。
For example, if one party is a State, whether there are (or will potentially be) counterclaims or set-off claims.例如,一方当事人为一个国家,而不论现在是否有(或将来是否可能有)反请求或者抵消请求。
Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 59.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第59段。
A/CN.9/614, paras. 62-63, and A/CN.9/619, para. 86.A/CN.9/614,第62-63段,A/CN.9/619,第86段。
A/CN.9/614, para. 63.A/CN.9/614,第63段。
A/CN.9/619, paras. 88 and 90.A/CN.9/619,第88和90段。
BKMI and Siemens v. Dutco, French Court of Cassation, 7 January 1992 (see Revue de l’Arbitrage, No. 3 (1992), pp. 470-472).BKMI和Siemens诉Dutco,法国最高法院,1992年1月7日(见Revue de l’Arbitrage, No.3 (1992),第470-472页)。
Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 60.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第60段。
A/CN.9/619, para. 90.A/CN.9/619,第90段。
A/CN.9/688, para. 78, and A/CN.9/614, para. 71.A/CN.9/688,第78段;A/CN.9/614,第71段。
A/CN.9/646, para. 20.A/CN.9/646,第20段。
A/CN.9/688, para. 23.A/CN.9/688,第23段。
Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 172.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第172段。
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