A_60_17_EC
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A/60/17 V0586863.doc (english)A/60/17 V0586862.doc (chinese)
United Nations
Report of the United Nations Commission on International Trade Law on the work of its thirty-eighth session联合国国际贸易法委员会 第三十八届会议工作报告
4-15 July 20052005年7月4日至15日
General Assembly大会
Official Records Sixtieth session Supplement No. 17 (A/60/17)正式记录 第六十届会议 补编第17号(A/60/17)
大 会
General Assembly Official Records Sixtieth session Supplement No. 17 (A/60/17)正式记录 第六十届会议 补编第17号(A/60/17)
United Nations New York, 2005
Report of the United Nations Commission on International Trade Law on the work of its thirty‑eighth session联合国国际贸易法委员会 第三十八届会议工作报告
4-15 July 20052005年7月4日至15日
Note联合国 2005年,纽约 说明
Symbols of United Nations documents are composed of capital letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document.联合国文件用英文大写字母附加数字编号。提到这种编号,即指联合国的某一个文件。
ISSN 0251-9127ISSN 0251-9127
[Original: English][原件:英文]
[26 July 2005][26 July 2005]
Contents目录
Chapter章次
Paragraphs段次
Page页次
1. Introduction1. 导言
1-21-2
11
2. Organization of the session2. 会议的组织
3-113-11
11
A. Opening of the sessionA. 会议开幕
33
11
B. Membership and attendanceB. 成员和出席情况
4-84-8
11
C. Election of officersC. 选举主席团成员
99
22
D. AgendaD. 议程
1010
32
E. Adoption of the reportE. 通过报告
1111
33
3. Finalization and approval of a draft convention on the use of electronic communications in international contracts3. 最后审定和核准国际合同使用电子通信公约草案
12-16712-167
43
A. Organization of deliberationsA. 审议工作安排
12-1312-13
43
B. General commentsB. 总体评议
14-1514-15
44
C. Consideration of the draft conventionC. 审议公约草案
16-16416-164
44
D. Explanatory notesD. 解释性说明
165165
3932
E. Report of the drafting groupE. 起草小组的报告
166166
4033
F. Decision of the Commission and recommendation to the General AssemblyF. 委员会的决定和对大会的建议
167167
4033
IV. Procurement: progress report of Working Group I4. 采购:第一工作组进度报告
168-172168-172
4133
V. Arbitration: progress report of Working Group II5. 仲裁:第二工作组进度报告
173-179173-179
4234
VI. Transport law: progress report of Working Group III6. 运输法:第三工作组进度报告
180-184180-184
4436
VII. Security interests: progress report of Working Group VI7. 担保权益:第六工作组进度报告
185-187185-187
4637
VIII. Monitoring implementation of the 1958 New York Convention8. 监测1958年《纽约公约》的执行情况
188-191188-191
4738
IX. Case law on UNCITRAL texts, digests of case law9. 贸易法委员会法规判例法,判例法摘要
192-194192-194
4839
X. Technical assistance to law reform10. 对法律改革的技术援助
195-198195-198
4839
XI.11. 贸易法委员会法规的现状和促进
Status and promotion of UNCITRAL legal texts
199-204199-204
4940
XII. Relevant General Assembly resolutions12. 大会的有关决议
205-206205-206
5141
XIII. Coordination and cooperation13. 协调与合作
207-231207-231
5141
A. GeneralA. 概论
207-208207-208
5141
A. Insolvency lawB. 破产法
209-212209-212
5242
C. Electronic commerceC. 电子商务
213-215213-215
5343
D. Commercial fraudD. 商业欺诈
216-220216-220
5444
E. Report of other international organizationsE. 其他国际组织的报告
221-230221-230
5645
F. Congress 2007F. 2007年大会
231231
5847
XIV.14. 其他事项
Other business
232-236232-236
5947
A. Willem C. Vis International Commercial Arbitration MootA. Willem C. Vis国际商事仲裁模拟仲裁庭辩论赛
232-234232-234
5947
B. UNCITRAL information resourcesB. 贸易法委员会的信息资源
235235
5948
C. BibliographyC. 文献目标
236236
6048
XV. Date and place of future meetings15. 今后会议的日期和地点
237-241237-241
6048
A. General discussion on the duration of sessionsA. 关于届会会期的一般性讨论
237-238237-238
6048
B. Thirty-ninth session of the CommissionB. 委员会第三十九届会议
239239
6049
C. Sessions of working groups up to the thirty-ninth session of the CommissionC. 在委员会第三十九届会议之前各工作组的届会
240240
6049
D. Sessions of working groups in 2006 after the thirty-ninth session of the CommissionD. 2006年各工作组在委员会第三十九届会议之后的届会
241241
6149
Annexes11 附件
I. Draft Convention on the Use of Electronic Communications in International Contracts1. 国际合作使用电子通信公约草案
6553
II. List of documents before the Commission at its thirty-eighth session2. 委员会第三十八届会议收到的文件一览表
7561
I. Introduction一. 导言
1. The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the thirty-eighth session of the Commission, held in Vienna from 4 to 15 July 2005.1. 联合国国际贸易法委员会(贸易法委员会)的本篇报告概述委员会于2005年7月4日至15日在维也纳举行的第三十八届会议的情况。
2. Pursuant to General Assembly resolution 2205 (XXI) of 17 December 1966, the report is submitted to the Assembly and is also submitted for comments to the United Nations Conference on Trade and Development.2. 现根据大会1966年12月17日第2205 (XXI)号决议向大会提交本报告,同时一并提交联合国贸易和发展会议征求意见。
II. Organization of the session二. 会议的组织
A. Opening of the sessionA. 会议开幕
3. The thirty-eighth session of the Commission was opened on 4 July 2005.3. 委员会第三十八届会议于2005年7月4日开幕。
B. Membership and attendanceB. 成员和出席情况
4. The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.4. 大会在其第2205 (XXI)号决议中设立了由大会选出的29个国家组成的贸易法委员会。
By its resolution 3108 (XXVIII) of 12 December 1973, the Assembly increased the membership of the Commission from 29 to 36 States.大会在其1973年12月12日第3108 (XXVIII)号决议中将委员会的成员从29个国家增加到36个国家。
By its resolution 57/20 of 19 November 2002, the General Assembly further increased the membership of the Commission from 36 States to 60 States.大会在其2002年11月19日第57/20号决议中将委员会的成员从36个国家进一步增加到60个国家。
The current members of the Commission, elected on 16 October 2000 and 17 November 2003, are the following States, whose term of office expires on the last day prior to the beginning of the annual session of the Commission in the year indicated: Algeria (2010), Argentina (2007), Australia (2010), Austria (2010), Belarus (2010), Belgium (2007), Benin (2007), Brazil (2007), Cameroon (2007), Canada (2007), Chile (2007), China (2007), Colombia (2010), Croatia (2007), Czech Republic (2010), Ecuador (2010), Fiji (2010), France (2007), Gabon (2010), Germany (2007), Guatemala (2010), India (2010), Iran (Islamic Republic of) (2010), Israel (2010), Italy (2010), Japan (2007), Jordan (2007), Kenya (2010), Lebanon (2010), Lithuania (2007), Madagascar (2010), Mexico (2007), Mongolia (2010), Morocco (2007), Nigeria (2010), Pakistan (2010), Paraguay (2010), Poland (2010), Qatar (2007), Republic of Korea (2007), Russian Federation (2007), Rwanda (2007), Serbia and Montenegro (2010), Sierra Leone (2007), Singapore (2007), South Africa (2007), Spain (2010), Sri Lanka (2007), Sweden (2007), Switzerland (2010), Thailand (2010), the former Yugoslav Republic of Macedonia (2007), Tunisia (2007), Turkey (2007), Uganda (2010), United Kingdom of Great Britain and Northern Ireland (2007), United States of America (2010), Uruguay (2007), Venezuela (Bolivarian Republic of) (2010) and Zimbabwe (2010).下列国家是分别于2000年10月16日和2003年11月17日选出的委员会现任成员,任期于所示年份的委员会年度届会开始前的最后一天届满:阿尔及利亚(2010年)、阿根廷(2007年)、澳大利亚(2010年)、奥地利(2010年)、白俄罗斯(2010年)、比利时(2007年)、贝宁(2007年)、巴西(2007年)、喀麦隆(2007年)、加拿大(2007年)、智利(2007年)、中国(2007年)、哥伦比亚(2010年)、克罗地亚(2007年)、捷克共和国(2010年)、厄瓜多尔(2010年)、斐济(2010年)、法国(2007年)、加蓬(2010年)、德国(2007年)、危地马拉(2010年)、印度(2010年)、伊朗伊斯兰共和国(2010年)、以色列(2010年)、意大利(2010年)、日本(2007年)、约旦(2007年)、肯尼亚(2010年)、黎巴嫩(2010年)、立陶宛(2007年)、马达加斯加(2010年)、墨西哥(2007年)、蒙古(2010年)、摩洛哥(2007年)、尼日利亚(2010年)、巴基斯坦(2010年)、巴拉圭(2010年)、波兰(2010年)、卡塔尔(2007年)、大韩民国(2007年)、俄罗斯联邦(2007年)、卢旺达(2007年)、塞尔维亚和黑山(2010年)、塞拉利昂(2007年)、新加坡(2007年)、南非(2007年)、西班牙(2010年)、斯里兰卡(2007年)、瑞典(2007年)、瑞士(2010年)、泰国(2010年)、前南斯拉夫的马其顿共和国(2007年)、突尼斯(2007年)、土耳其(2007年)、乌干达(2010年)、大不列颠及北爱尔兰联合王国(2007年)、美利坚合众国(2010年)、乌拉圭(2007年)、委内瑞拉玻利瓦尔共和国(2010年)和津巴布韦(2010年)。
5.
With the exception of Benin, Ecuador, Fiji, Gabon, Israel, Lebanon, Madagascar, Mongolia, Pakistan, Rwanda, the former Yugoslav Republic of Macedonia, Uganda and Uruguay, all the members of the Commission were represented at the session.5. 除贝宁、厄瓜多尔、斐济、加蓬、以色列、黎巴嫩、马达加斯加、蒙古、巴基斯坦、卢旺达、前南斯拉夫的马其顿共和国、乌干达和乌拉圭之外,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: Angola, Antigua and Barbuda, Azerbaijan, Bulgaria, Costa Rica, Cuba, Democratic Republic of the Congo, Denmark, El Salvador, Finland, Greece, Hungary, Indonesia, Iraq, Ireland, Kuwait, Latvia, Myanmar, Peru, Philippines, Portugal, Romania, Senegal, Slovakia, Slovenia, Ukraine and Yemen.6. 派观察员出席本届会议的有下列国家:安哥拉、安提瓜和巴布达、阿塞拜疆、保加利亚、哥斯达黎加、古巴、刚果民主共和国、丹麦、萨尔瓦多、芬兰、希腊、匈牙利、印度尼西亚、伊拉克、爱尔兰、科威特、拉脱维亚、缅甸、秘鲁、菲律宾、葡萄牙、罗马尼亚、塞内加尔、斯洛伐克、斯洛文尼亚、乌克兰和也门。
7. The session was also attended by observers from the following international organizations:7. 下列国际组织也派观察员出席了本届会议:
(a) United Nations system: United Nations Conference on Trade and Development, United Nations Environment Programme, World Bank and International Monetary Fund;(a) 联合国系统:联合国贸易和发展会议、联合国环境规划署、世界银行和国际货币基金组织;
(b) Intergovernmental organizations: Association of Law Reform Agencies of Eastern and Southern Africa, Council of Europe, European Commission, Hague Conference on Private International Law and International Institute for the Unification of Private Law;(b) 政府间组织:东部和南部非洲法律改革机构协会、欧洲委员会、欧洲联盟委员会、海牙国际私法会议和国际统一私法协会;
(c) Non-governmental organizations invited by the Commission: American Bar Association, American Bar Foundation, Cairo Regional Centre for International Commercial Arbitration, Center for International Legal Studies, Centro de Estudios de Derecho, Economía y Política, European Law Students’ Association, Forum for International Commercial Arbitration, Groupe de réflexion sur l’insolvabilité et sa prévention, INSOL International (INSOL), International Bar Association, International Council for Commercial Arbitration, International Insolvency Institute, International Law Institute, International Swaps and Derivatives Associations, Kuwait Fund for Arab Economic Development, Law Association of Asia and the Pacific, Moot Alumni Association, Union internationale des avocats and W. C. Vis International Commercial Arbitration Moot.(c) 委员会邀请的非政府组织:美国律师协会、美国律师基金会、开罗国际商事仲裁区域中心、国际法律研究中心、法律经济和政治研究中心、欧洲法律学者协会、国际商事仲裁论坛、破产及其预防问题研究组、破产管理从业人员国际协会、国际律师协会、国际商事仲裁理事会、国际破产问题研究会、国际法研究会、国际掉期和衍生工具协会、科威特阿拉伯经济发展基金、亚洲及太平洋法律协会、模拟法庭校友协会、国际律师联盟和W. C. Vis国际商事仲裁模拟案件辩论会。
8. The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda.8. 委员会欢迎在本届会议主要议程项目方面拥有专门知识的国际非政府组织的参加。
Their participation was crucial for the quality of texts formulated by the Commission and the Commission requested the Secretariat to continue to invite such organizations to its sessions.它们的参加对于提高委员会拟定案文的质量至关重要,委员会请秘书处继续邀请这类组织参加其届会。
C. Election of officersC. 选举主席团成员
9. The Commission elected the following officers:9. 委员会选出了下列主席团成员:
Chairman: Jorge Pinzón Sánchez (Colombia)主席: Jorge Pinzón Sánchez(哥伦比亚)
Vice-Chairpersons: Jeffrey Wah Teck Chan (Singapore)副主席: Jeffrey Wah Teck Chan(新加坡);
Petr Havlík (Czech Republic)Petr Havlík(捷克共和国);
Karen Mosoti (Kenya)Karen Mosoti(肯尼亚)
Rapporteur: Colin Minihan (Australia)报告员:Colin Minihan(澳大利亚)
D. AgendaD. 议程
10. The agenda of the session, as adopted by the Commission at its 794th meeting, on 4 July 2005, was as follows:10. 委员会于2005年7月4日在第794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 draft convention on the use of electronic communications in international contracts.4. 最后审定和通过国际合同使用电子通信公约草案。
5. Procurement: progress report of Working Group I.5. 采购:第一工作组进度报告。
6. Arbitration: progress report of Working Group II.6. 仲裁:第二工作组进度报告。
7. Transport law: progress report of Working Group III.7. 运输法:第三工作组进度报告。
8. Security interests: progress report of Working Group VI.8. 担保权益:第六工作组进度报告。
9. Monitoring implementation of the 1958 New York Convention.9. 监测1958年《纽约公约》的执行情况。
10. Case law on UNCITRAL texts, digests of case law.10. 贸易法委员会法规的判例法和判例法摘要汇编。
11. Technical assistance to law reform.11. 法律改革技术援助。
12. Status and promotion of UNCITRAL legal texts.12. 贸易法委员会各项法规的现状和推广。
13. Relevant General Assembly resolutions.13. 大会的有关决议。
14. Coordination and cooperation:14. 协调与合作:
(a) General;(a) 一般情况;
(b) Insolvency law;(b) 破产法;
(c) Electronic commerce;(c) 电子商务;
(d) Commercial fraud;(d) 商业欺诈;
(e) Reports of other international organizations.(e) 国际组织的报告。
15. Other business.15. 其他事项。
16. Date and place of future meetings.16. 今后会议的日期和地点。
17. Adoption of the report of the Commission.17. 通过委员会的报告。
E. Adoption of the reportE. 通过报告
11. At its 810th and 811th meetings, on 15 July 2005, the Commission adopted the present report by consensus.11. 委员会在其2005年7月15日第810和第811次会议上以协商一致方式通过了本报告。
III. Finalization and approval of a draft convention on the use of electronic communications in international contracts三. 最后审定和核准国际合同使用电子通信公约草案
A. Organization of deliberationsA. 审议工作安排
12.
The Commission considered the revised version of the draft convention, which included the articles adopted by the Working Group at its forty-fourth session (Vienna, 11-22 October 2004), as well as the draft preamble and final provisions, on which the Working Group had only held a general exchange of views at that time, as contained in annex I of document A/CN.9/577.12. 委员会审议了公约草案修订案文,其中包括了工作组第四十四届会议(2004年10月11日至22日,维也纳)通过的条文以及A/CN.9/577号文件附件一所载工作组当时仅仅进行了一般性意见交换的序言草案和最后条款。
The Commission took note of the summary of the deliberations on the draft convention since the thirty-ninth session of Working Group IV (Electronic Commerce) and the background information provided in document A/CN.9/577/Add.1.委员会注意到自第四工作组(电子商务)第三十九届会议以来关于公约草案的审议情况摘要和A/CN.9/577/Add.1号文件所提供的背景资料。
The Commission also took note of the comments on the draft convention that had been submitted by Governments and international organizations, as set out in document A/CN.9/578 and Add.1-17.委员会还注意到A/CN.9/578号文件及其增编1-17所载各国政府和国际组织提交的关于公约草案的意见。
13. The Commission agreed to consider the draft preamble after it had settled the operative provisions of the draft convention.13. 委员会一致同意只在委员会解决了公约草案的执行条款之后方才审议序言草案。
B. General commentsB. 总体评议
14. It was noted that the draft convention aimed at removing legal obstacles to electronic commerce, including those which arose under other instruments, on the basis of well-established principles such as the principle of functional equivalence.14. 据指出,公约草案旨在根据诸如功能等同原则等公认的原则消除电子商务的法律障碍,包括在其他文书下所产生的法律障碍。
However, the view was expressed that the normative content of the draft convention should be strengthened to enhance confidence in the use of electronic communications and contribute to curbing possible abuses and commercial fraud.不过有一种意见是,应当加强公约草案的规范内容,以增强使用电子通信的信心,并有助于限制可能的滥用和商业欺诈。
In response, it was pointed out that the draft convention offered an effective set of legal rules that would facilitate economic development in all regions and countries at different stages of development.对此据指出,公约草案提供了一套有效的法律规则,将促进处于不同发展阶段的各区域和国家的经济发展。
15. The Commission was informed that many States were taking steps to broaden the use of electronic commerce and actively promote the modernization of business methods.15. 委员会获悉,许多国家正在采取各种步骤拓宽电子商务的用途并积极推动商业方法的现代化。
It was observed that the draft convention would serve as a useful basis to allow States to simplify various domestic rules that applied to electronic commerce.据指出,公约草案可用作有助于各国简化电子商务所适用的各种国内规则的有效依据。
The draft convention would further enhance confidence and trust in electronic commerce in cross-border trade.公约草案可进一步增强在跨国界贸易中对电子商务的信心和信任。
C. Consideration of the draft conventionC. 审议公约草案
Article 1. Scope of application第1条. 适用范围
16. The text of the draft article was as follows:16. 本条草案案文如下:
“1. This Convention applies to the use of electronic communications in connection with the formation or performance of a contract [or agreement] between parties whose places of business are in different States.“1. 本公约适用于与营业地位于不同国家的当事人之间订立或履行合同[或约定]有关的电子通信的使用。
“2. The fact that the parties have their places of business in different States is to be disregarded whenever this fact does not appear either from the contract or from any dealings between the parties or from information disclosed by the parties at any time before or at the conclusion of the contract.“2. 当事人营业地位于不同国家,但这一事实只要未从合同或当事人之间的任何交往中或当事人在订立合同前任何时候或订立合同时披露的资料中显示出来,即不予以考虑。
“3. Neither the nationality of the parties nor the civil or commercial character of the parties or of the contract is to be taken into consideration in determining the application of this Convention.”“3. 在确定本公约是否适用时,不考虑当事人的国籍或当事人或合同的民事或商务性质。
17. The Commission agreed that, while considering draft article 1, it should bear in mind the logical relationship between draft articles 1, 18 and 19.17. 委员会一致同意,委员会在审议第1条草案时应当铭记第1、第18和第19条草案之间的逻辑关系。
18. It was noted that, unlike other international instruments, such as the United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980) (the “United Nations Sales Convention”), the draft convention applied to contracts between parties located in two different States, even if not both of them were contracting States.18. 据指出,与诸如《联合国国际货物销售合同公约》(1980年,维也纳)(《联合国销售公约》)等其他国际文书不同,公约草案适用于位于不同国家的当事人之间所订立的合同,即使这两个国家并不都是缔约国。
The view was expressed that, in its current form, draft article 1 gave the draft convention an excessively broad scope of application, which was unusual in international trade-related instruments.有一种意见是,第1条草案目前的写法给予了公约过宽的适用范围,这在国际贸易方面的文书中是不寻常的。
In particular, it was said that the current text of the draft convention would constitute an unfortunate precedent insofar as it allowed for the application of the convention to States that had not ratified or acceded to it, an approach that would ultimately infringe on State sovereignty.尤其是据指出,公约草案的目前案文将构成一个危险的先例,因为其允许将公约适用于尚未批准或加入公约的国家,这一做法最终将侵犯国家主权。
19. In response, it was stated that no adverse effect on State sovereignty was involved.19. 对此据指出,不涉及对国家主权的不利影响。
It was also pointed out that, even if draft article 1 differed from the United Nations Sales Convention, its definition of the scope of application was not entirely new and had been used, for example, in article 1 of the Uniform Law on the International Sale of Goods adopted by the Convention relating to a Uniform Law on the International Sale of Goods (The Hague, 1964).另据指出,即使第1条草案与《联合国销售公约》有所不同,其对于适用范围的界定也不是全新的,过去已使用过,例如在《国际货物销售统一法公约》(1964年,海牙)所采纳的《国际货物销售统一法》第1条中就已使用。
Furthermore, it was noted that, as the draft convention contained rules of private law, it applied only to transactions between private parties and not to States.而且据指出,由于公约草案包含私法规则,因此公约仅仅适用于私人当事人之间的交易,而不适用于国家。
It was pointed out that nothing in the draft convention created any obligation for States that did not ratify or accede to the convention.据指出,公约草案并未对没有批准或加入公约的国家规定任何义务。
It was added that the courts in a State that had not ratified the convention would apply its provisions only when that State’s own rules of private international law indicated as applicable the law of a contracting State, in which case the convention would apply as part of that foreign State’s legal system.据补充,尚未批准公约的国家的法院将只在该国自身国际私法规则表明适用一缔约国的法律时方才适用公约的规定,在这种情况下公约将作为该外国法律制度的一部分而适用。
The application of foreign law was a common result of any system of private international law and had been traditionally accepted by most States.外国法律的适用是任何一个国际私法制度的常见结果,一向被大多数国家所接受。
The draft convention did not introduce any new element to that reality.公约草案并没有给现实做法增添任何新的内容。
20. Nevertheless, it was recognized that the relationship between the rules of private international law and the draft convention’s scope of application was not entirely clear.20. 但是据承认,国际私法规则与公约草案适用范围之间的关系并不十分明确。
One possible interpretation was that, in its present form, the draft convention applied when the law of a contracting State was the law applicable to the dealings between the parties, which should be determined by the rules of private international law of the forum State, if the parties had not chosen the applicable law.一种可能的解释是,在当事人未选择适用法律的情况下,如果一缔约国法律为当事人之间的交易的适用法律(这应当由法院所在地国的国际私法规则确定),将适用目前形式的公约草案。
With that understanding, the process for determining the applicability of the convention in any given case would be essentially as follows:根据这一理解,在任何情况下确定公约草案的可适用性的程序基本如下:
(a) If a party seized the court of a non-contracting State, the court would refer to the private international law rules of the State in which it was located and, if those rules designated the substantive law of any contracting State to the convention, the latter would apply as part of the substantive law of that State, regardless of the fact that the State of the court seized was not a Party to the convention;(a) 如一方当事人选择了一个非缔约国的法院,该法院将参照其所在地国家的国际私法规则,如这些规则指定任何公约缔约国的实体法律,则公约将作为该国实体法的一部分而适用,即使受理法院所在国并不是公约草案的缔约方亦如此。
(b) If a party seized the court of a contracting State, the court would equally refer to the private international law rules of the State in which it was located and, if those rules designated the substantive law of that State or of any other State Party to the convention, the latter would be applied.(b) 如一方当事人选择一缔约国的法院,则该法院将同样参照其所在地国家的国际私法规则,如这些规则指定该国或公约任何其他缔约国的实体法,则将适用公约。
21. However, it was suggested that a different reading would be more appropriate in view of the interplay between draft article 1 and the declarations authorized by draft article 18.21. 不过据指出,鉴于第1条草案和第18条草案所允许的声明之间的相互作用,一种不同的解读也许更为妥当。
Draft article 1 could indeed be understood to the effect that, if the court seized was located in a contracting State, the court would have to apply the convention without regard to the rules of private international law, that is, whether or not the rules of private international law confirmed the application of the laws of the forum or directed to the laws of another State, similar to the “autonomous” application of the United Nations Sales Convention when the requirements of article 1, subparagraph 1 (a), of that Convention were met.第1条草案确实可以被理解为,如果受理法院位于一缔约国中,则该法院必须适用公约,而不论国际私法规则为何,即不管国际私法规则是确认适用法院所在地法律,还是指向另一国的法律,这类似于在《联合国销售公约》第1条第1款(a)项得到满足的情况下将“自动”适用该公约的情形。
If a contracting State wished to avoid having to apply the convention even in cases where the applicable law was that of a non-contracting State, it would have to make a declaration under article 18, subparagraph 1 (b), of the convention that it would apply it only “when the rules of private international law lead to the application of the law of a Contracting State”.如一缔约国希望避免即使在适用法律是一非缔约国的法律的情况下也必须适用公约,则该国将必须根据公约草案第18条第1款(b)项作出声明,即将只“在国际私法规则导致适用一缔约国法律的情况下”方才适用公约草案。
This interpretation, it was said, would seem to be justified by the need to give a meaningful purpose to the exclusion authorized by draft article 18, subparagraph 1 (b).据指出,由于有必要为第18条草案第1款(b)项所允许的除外情形给出一个有意义的目的,这一解释似乎是合理的。
Indeed, a declaration under that provision would be meaningless if the result it intended to achieve (i.e. to subject the application of the convention to the rules of private international law) was already implicit in draft article 1.实际上,如果根据该条款作出的声明所希望达到的效果(即:使公约的适用服从于国际私法规则)已经在第1条草案中有所暗示,则该声明将是无意义的。
22. It was pointed out that both interpretations were possible in view of the current wording of draft article 1.22. 据指出,考虑到第1条草案的目前措词,这两种解释都是可能的。
Each of them had its own advantages and disadvantages.两种解释都有其有利和不利之处。
Making the convention applicable only if the rules of private international law of the forum led to its application was said to be more in line with the understanding of the Working Group concerning the relationship between the draft convention and the otherwise applicable law (see A/CN.9/571, para. 36).据指出,使公约只在法院所在地的国际私法规则导致其适用的情况下方才适用,更符合工作组对于公约草案和其他有可能适用的法律之间的关系的理解(见A/CN.9/571,第36段)。
On the other hand, an autonomous scope of application would enhance legal certainty, as it allowed the parties to know beforehand when the convention applied.另一方面,自动适用的范围将加强法律确定性,因为它使得当事各方能够事先知晓何时适用公约。
The prevailing view that emerged in the Commission’s deliberations was that the convention should only apply when the laws of a contracting State applied to the underlying transaction.委员会的审议中所产生的普遍意见是,公约只有在一缔约国的法律适用于潜在交易的情况下方才适用。
The Commission decided that no changes were therefore required in draft article 1, paragraph 1, but that a clarifying statement in explanatory notes to the text of the convention (see para. 165 below) (the “explanatory notes”) would be useful and that adjustments might be needed in draft article 18 (see para. 127 below).委员会决定,第1条第1款草案因此无须改动,但是宜在公约案文的解释性说明(见下文,第165段)中作出澄清说明,而且第18条草案可能需要加以调整(见下文第127段)。
23. The Commission noted the proposal to insert the words “or agreement” in draft paragraph 1 so as to make it clear that the convention applied also to arbitration agreements as defined in the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958) (the “New York Convention”).23. 委员会注意到一项建议,即应在第1款草案中添加“或协议”这几个字,以便明确,公约也适用于《承认及执行外国仲裁裁决公约》(1958年,纽约)(《纽约公约》)所定义的仲裁协议。
The Commission decided not to adopt the proposed language as it felt that the draft text was sufficiently clear on that point.委员会决定不采纳所提议的措词,因为委员会认为,该案文草案在这一点上已经足够明确。
The Commission asked the Secretariat to clarify the point in the explanatory notes by explicitly stating that the convention applied also to arbitration agreements as defined in the New York Convention.委员会请秘书处在解释性说明中明确这一点,清楚指明公约草案也适用于《纽约公约》所定义的仲裁协议。
24. Subject to that amendment, the Commission approved the substance of draft article 1 and referred the text to the drafting group.24. 经修订后,委员会核准了第1条草案的实质内容,并将案文转交起草小组处理。
Article 2.第2条. 不适用情形
Exclusions
25. The text of the draft article was as follows:25. 本条草案的案文如下:
“1. This Convention does not apply to electronic communications relating to any of the following:“1. 本公约不适用于与下列情形有关的电子通信:
“(a) Contracts concluded for personal, family or household purposes;“(a) 为个人、家人或家庭目的订立的合同;
“(b) (i) Transactions on a regulated exchange;
(ii) foreign exchange transactions; (iii) inter-bank payment systems, inter-bank payment agreements or clearance and settlement systems relating to securities or other financial assets or instruments; (iv) the transfer of security rights in, sale, loan or holding of or agreement to repurchase securities or other financial assets or instruments held with an intermediary.“(b) ㈠受管制交易所的交易;㈡外汇交易;㈢银行间支付系统、银行间支付协议或者与证券或其他金融资产或票据有关的清算和结算系统;㈣对中间人持有的证券或其他金融资产或票据的担保权的转让、出售、出借或持有或回购协议;
“2. This Convention does not apply to bills of exchange, promissory notes, consignment notes, bills of lading, warehouse receipts or any transferable document or instrument that entitles the bearer or beneficiary to claim the delivery of goods or the payment of a sum of money.”“2. 本公约不适用于汇票、本票、运单、提单、仓单或任何可使持单人或受益人有权要求交付货物或支付一笔款额的可转让单证或票据。
26. The Commission recalled that draft article 2 had already been extensively discussed at the Working Group (see A/CN.9/548, paras. 98-111, and A/CN.9/571, paras. 59-69).26. 委员会回顾到,工作组已对第2条草案作了广泛的讨论(见A/CN.9/548,第98-111段和A/CN.9/571第59-69段)。
The Commission noted that subparagraph 1 (a) reflected the decision of the Working Group to exclude consumer contracts, whereas subparagraph 1 (b) excluded particular transactions in the financial service sector for the reason that that sector already contained well-defined rules and inclusion of such transactions within the scope of the draft convention could be disruptive to the operation of those rules.委员会注意到,第1款(a)项反映了工作组就不适用于消费合同所作的决定,而第1款(b)项不适用于金融服务部门的特定交易,理由是该部门已含有明确界定的规则,将这种交易包括在公约草案的范围内会妨碍那些规则的实行。
27. It was further noted that paragraph 2 excluded negotiable instruments and similar documents because the potential consequences of unauthorized duplication of documents of title and negotiable instruments—and generally any transferable instrument that entitled the bearer or beneficiary to claim the delivery of goods or the payment of a sum of money—made it necessary to develop mechanisms to ensure the singularity of those instruments.27. 此外,委员会还注意到,第2款不适用于可转让票据和类似单证,因为所有权凭证和可转让票据——以及一般而言可使持单人或受益人有权要求交付货物或支付一笔款额的任何可转让票据——的未经授权的复制可能带来某种后果,从而有必要建立有关机制,以确保这些票据独一无二。
The Working Group had agreed that finding a solution for that problem required a combination of legal, technological and business solutions, which had not yet been fully developed and tested.工作组一致认为,要找到解决这一问题的办法,就需要将法律、技术和商业解决办法结合起来,而这些办法尚未得到充分制定和检验。
For those reasons, the Working Group had agreed that the issues raised by negotiable instruments and similar documents, in particular the need for ensuring their uniqueness, went beyond simply ensuring the equivalence between paper and electronic form, which was the main aim of the draft convention and justified the exclusion provided in paragraph 2 of the draft article (see A/CN.9/571, para. 136).为此,工作组一致认为,由可转让票据和类似单证引起的问题,特别是有必要确保其唯一性问题,超出了只是确保纸质形式与电子形式等同这一范围,而这是公约草案的主要目标并证明本条草案第2款中所规定的不适用有其理由(见A/CN.9/571,第136段)。
28. It was proposed that the explanatory notes clarify that subparagraph 1 (a), which excluded “personal, family or household purposes”, was not intended to be restricted to consumer matters but also covered matrimonial property contracts as governed by the Convention on the Law Applicable to Matrimonial Property Regimes (The Hague, 1978).28. 有与会者提议,解释性说明应明确说明,不适用于“个人、家人或家庭目的”的第(1)(a)项不是有意局限于消费事项,而是也涵盖了如《关于适用于婚姻财产制度的法律的公约》(1978年,海牙)所管辖的婚姻财产合同。
It was also proposed that an express exclusion be made in respect of contracts involving courts, public authorities or professions exercising public authority, such as notaries.还据提议,应明确指出不适用于涉及法院、公共机构或如公证人等行使公共机构职能的职业的合同。
29. The suggestion was made that the explanatory notes should clarify the meaning of subparagraph 1 (a) of draft article 2.29. 有一项建议是,最后案文的解释性说明或评注应当明确第2条草案第1(a)项的含义。
It was noted that a similar phrase in the context of the United Nations Sales Convention was understood as referring to consumer contracts.据指出,《联合国销售公约》中的一段类似文字被理解为系指消费合同。
However, in the context of the draft convention, which had a broader scope of application and was not limited to electronic communications related to purchase transactions, the words in subparagraph 1 (a) could be given a broader interpretation, so as to exclude communications related to contracts governed by family law and the law of succession.不过本公约草案具有更广泛的适用范围,并不限于与购买交易有关的电子通信,因此第1款(a)项中的这些词语可以作更广泛的解释,以便排除与受家庭法和继承法规范的合同有关的通信。
In support of that suggestion, it was stated that, according to an understanding widely shared at the Working Group, it had always been assumed that the draft convention did not govern matters related to family law and the law of succession, and that the draft convention’s focus on trade transactions was evidenced by the requirement, in draft article 1, that the parties had to have their “places of business” in contracting States.支持此项建议的与会者指出,根据工作组广泛认同的一种理解,一直存在一种假定,即本公约草案不涉及与家庭法和继承法有关的问题,本公约草案侧重于贸易,这一点可以由第1条草案中的要求得到证明,该要求是当事各方必须在缔约国中拥有“营业地”。
However, there were objections to taking up those suggestions at the current stage on the grounds that they might lead to reopening other matters that had been settled at the Working Group, when it had agreed to delete a large list of matters excluded from the scope of the draft convention.不过有与会者对于在目前采纳这些建议表示反对,理由是它们可能导致重新审议工作组已经解决的其他问题,工作组曾经商定删去一长列排除在本公约草案适用范围之外的问题。
It was agreed that the explanatory notes should reflect the deliberations of the Working Group.与会者一致同意,最后案文的解释性说明或评注应当反映工作组的审议情况。
Subparagraph 1 (a) of draft article 2 should not be understood in the narrow meaning given to a similar phrase in the context of the United Nations Sales Convention, which meant that the use of electronic communications in connection with contracts governed by family law or the law of succession was outside the scope of the draft convention.第2条草案第1款(a)项不应当按照《联合国销售公约》中一段类似文字的狭隘含义来理解,意即与受家庭法和继承法规范的合同有关的电子通信的使用不在本公约草案范围之内。
30. The Commission approved the substance of draft article 2 and referred the text to the drafting group.30. 委员会核准了第2条草案的实质内容,并将案文转交起草小组处理。
Article 3. Party autonomy第3条. 当事人意思自治
31. The text of the draft article was as follows:31. 本条草案的案文如下:
“The parties may exclude the application of this Convention or derogate from or vary the effect of any of its provisions.”“当事人可以排除本公约的适用,或者删减或更改其中任何一项规定的效力。”
32. The Commission noted that two issues arose in connection with comments that had been submitted by Governments in respect of draft article 3.32. 委员会注意到,对于各国政府就第3条草案提交的意见,产生了两个问题。
The first was whether or not derogation had to be made explicitly or could also be made implicitly, for example by parties agreeing to contract terms at variance with the provisions of the draft convention.第一个问题是,例如就不符合公约草案条文的合同条款达成一致意见的当事人是必须明确地还是也可含蓄地作出减损。
Although some concern was expressed that implicit derogation could lead to uncertainty of application, the Commission agreed that derogation could be either explicit or implicit and that that aspect should be reflected in the explanatory notes.虽然有与会者对含蓄的减损可能导致适用的不确定性表示了某种程度的关切,但委员会一致认为减损既可以是明确的也可以是含蓄的,并且这一方面应反映在解释性说明中。
33. The second issue concerned the question whether the scope of party autonomy should be restricted.33. 第二个问题涉及是否应当对当事人意思自治加以限制的问题。
For example, it was proposed that the parties not be able to derogate from articles 8 and 9, which set out the minimum conditions for meeting form requirements.例如,有与会者提议,各当事人不得减损第8和第9条,因为其中规定了遵守形式要求的最低条件。
It was submitted that unrestricted party autonomy could undermine the entire convention and could permit parties to derogate from mandatory national laws.据认为,不加限制的当事人意思自治可能损害整个公约,并可能允许当事人减损强制性国家法律。
A proposal was made that the scope of article 3 be limited to articles 10-14.据提议,第3条的范围应限于第10-14条。
However, there was strong support for the view that party autonomy was vital in contractual negotiations and should be recognized by the draft convention, although it was generally accepted that party autonomy did not extend to contracting out of otherwise mandatory national laws.但有与会者强烈支持以下看法,即当事人意思自治对于合同谈判至关重要,应得到公约草案的确认,尽管普遍认为当事人意思自治并不延伸至根据从其他方面看是属于强制性的国家法律来订约。
On that basis, the Commission agreed that the principle of party autonomy as expressed in draft article 3 should not be restricted and that aspect should be reflected in the explanatory notes.在此基础上,委员会商定,不应对第3条草案中表示的当事人意思自治原则加以限制,这一方面应反映在解释性说明中。
34. The Commission approved the substance of draft article 3 and referred the text to the drafting group.34. 委员会赞同第3条草案的实质内容并将案文交给起草小组处理。
Article 4.第4条. 定义
Definitions
35. The text of the draft article was as follows:35. 本条草案的案文如下:
“For the purposes of this Convention:“在本公约中:
“(a) ‘Communication’ means any statement, declaration, demand, notice or request, including an offer and the acceptance of an offer, that the parties are required to make or choose to make in connection with the formation or performance of a contract;“(a) ‘通信’系指当事人在一项合同的订立或履行中需要作出或选择作出的包括要约和对要约的承诺在内的任何陈述、声明、要求、通知或请求;
“(b) ‘Electronic communication’ means any communication that the parties make by means of data messages;“(b) ‘电子通信’系指当事人以数据电文方式发出的任何通信;
“(c) ‘Data message’ means information generated, sent, received or stored by electronic, magnetic, optical or similar means including, but not limited to, electronic data interchange (EDI), electronic mail, telegram, telex or telecopy;“(c) ‘数据电文’系指经由电子手段、电磁手段、光学手段或类似手段生成、发送、接收或储存的信息,这些手段包括但不限于电子数据交换、电子邮件、电报、电传或传真;
“(d) ‘Originator’ of an electronic communication means a party by whom, or on whose behalf, the electronic communication has been sent or generated prior to storage, if any, but it does not include a party acting as an intermediary with respect to that electronic communication;“(d) 电子通信的‘发端人’系指亲自或由他人所代表已发送或生成可能随后备存的电子通信的当事人,但不包括作为中间人处理该电子通信的当事人;
“(e) ‘Addressee’ of an electronic communication means a party who is intended by the originator to receive the electronic communication, but does not include a party acting as an intermediary with respect to that electronic communication;“(e) 电子通信的‘收件人’系指发端人意图中的接收该电子通信的当事人,但不包括作为中间人处理该电子通信的当事人;
“(f) ‘Information system’ means a system for generating, sending, receiving, storing or otherwise processing data messages;“(f) ‘信息系统’系指生成、发送、接收、储存或用其他方法处理数据电文的系统;
“(g) ‘Automated message system’ means a computer program or an electronic or other automated means used to initiate an action or respond to data messages or performances in whole or in part, without review or intervention by a person each time an action is initiated or a response is generated by the system;“(g) ‘自动电文系统’系指一种计算机程序或者一种电子或其他自动手段,用以引发一个行动或者全部或部分地对数据电文或执行生成答复,而无须每次在该系统引发行动或生成答复时由人进行复查或干预;
“(h) ‘Place of business’ means any place where a party maintains a non-transitory establishment to pursue an economic activity other than the temporary provision of goods or services out of a specific location.”“(h) ‘营业地’系指除利用具体所在地临时提供货物或服务的情况之外当事人保留一处非短暂性营业所以便从事一项经济活动的任何所在地。”
36.
The Commission noted that most of the definitions contained in draft article 4 were based on definitions used in the UNCITRAL Model Law on Electronic Commerce and had been the subject of extensive discussion at the Working Group (see A/CN.9/527, paras. 111-122, A/CN.9/528, paras. 76 and 77, and A/CN.9/571, paras. 78-89).36. 委员会注意到,第4条草案中所载的大多数定义依据的是《贸易法委员会电子商务示范法》中使用的定义,是工作组中广泛讨论的主题(见A/CN.9/527第111-122段,A/CN.9/528第76和77段,及A/CN.9/571第78-89段)。
37. The Commission heard a few suggestions for clarifying definitions or eliminating some of them, in particular the definition of “place of business” in subparagraph (h), which was said to interfere with established law.37. 委员会听取了关于澄清定义或取消其中一些定义的建议,特别是(h)项中的“营业地”定义,据称该定义与既定法律相抵触。
However, there was little support for amending the draft article, which the Commission approved in substance and referred to the drafting group.然而,几乎无人支持对本条草案进行修正,因此委员会赞同本条草案的实质内容并将其交给起草小组处理。
The Commission agreed that the definition of “place of business” was not intended to affect other substantive law relating to places of business, and that that understanding should be reflected in the explanatory notes (see also para. 90 below).委员会一致认为,“营业地”的定义并非意在影响与营业地相关的其他实体法,这一理解应反映在解释性说明中(另见下文第90段)。
Article 5.第5条. 解释
Interpretation
38. The text of the draft article was as follows:38. 本条草案的案文如下:
“1. In the interpretation of this Convention, regard is to be had to its international character and to the need to promote uniformity in its application and the observance of good faith in international trade.“1. 在解释本公约时,应当考虑到其国际性以及促进其适用上的统一和在国际贸易中遵守诚信的必要性。
“2. Questions concerning matters governed by this Convention which are not expressly settled in it are to be settled in conformity with the general principles on which it is based or, in the absence of such principles, in conformity with the law applicable by virtue of the rules of private international law.”“2. 涉及本公约所管辖事项但未在本公约中明确解决的问题,应当按照本公约所依据的一般原则求得解决,或在无此种原则时,按照国际私法规则指定的适用法律解决。
39. Noting that draft article 5 was a standard provision in UNCITRAL texts, the Commission approved the substance of draft article 5 and referred the text to the drafting group.39. 委员会注意到第5条草案是贸易法委员会法规中的一项标准条款,因此核准了第5条草案的实质内容,并将案文转交起草小组处理。
Article 6. Location of the parties第6条. 当事人的所在地
40. The text of the draft article was as follows:40. 本条草案的案文如下:
“1. For the purposes of this Convention, a party’s place of business is presumed to be the location indicated by that party, unless another party demonstrates that the party making the indication does not have a place of business at that location.“1. 就本公约而言,当事人的营业地推定为其所指明的所在地,除非另一方当事人证明该指明其所在地的当事人在该所在地无营业地。
“2. If a party has not indicated a place of business and has more than one place of business, then [, subject to paragraph 1 of this article,] the place of business for the purposes of this Convention is that which has the closest relationship to the relevant contract, having regard to the circumstances known to or contemplated by the parties at any time before or at the conclusion of the contract.“2. 当事人未指明营业地并且拥有不止一个营业地的,[依照本条第1款,]就本公约而言,与有关合同关系最密切的营业地为其营业地,但须考虑到双方当事人在合同订立前任何时候或合同订立时所知道或所设想的情况。
“3. If a natural person does not have a place of business, reference is to be made to the person’s habitual residence.“3. 自然人无营业地的,以其惯常居所为准。
“4. A location is not a place of business merely because that is: (a) where equipment and technology supporting an information system used by a party in connection with the formation of a contract are located; or (b) where the information system may be accessed by other parties.“4. 一所在地并不仅因以下两点之一而成为营业地:(a)系一方当事人订立合同所用信息系统的支持设备和技术的所在地;(b)系其他当事人可以进入该信息系统的地方。
“5. The sole fact that a party makes use of a domain name or electronic mail address connected to a specific country does not create a presumption that its place of business is located in that country.”“5. 仅凭一方当事人使用与某一特定国家相关联的域名或电子信箱地址,不能推定其营业地位于该国。
41. The Commission recalled that there had been considerable debate on the draft provision during the preparation of the draft convention by the Working Group (see A/CN.9/509, paras. 61-65, and A/CN.9/546, paras. 88-105).41. 委员会回顾到,在编拟公约草案期间工作组曾就本条草案进行过激烈的辩论(见A/CN.9/509,第61-65段和A/CN.9/546,第88-105段)。
The current text of the draft article merely created a presumption in favour of a party’s indication of its place of business, which was accompanied by conditions under which that indication could be rebutted and default provisions that applied if no indication had been made.本条草案的现行案文只是创设了有利于当事人指明其营业地的一条推定,该推定附有可对此种指明加以反驳的种种条件和若未指明则予以适用的缺省条文。
The draft article was not intended to allow parties to invent fictional places of business that did not meet the requirements of draft article 4, subparagraph (h).本条草案无意允许当事人凭空创设不符合第4条草案(h)项要求的虚假营业地。
42. Nevertheless, it was proposed that the draft convention include an obligation for a party to indicate its place of business and that not to do so could leave that aspect of the draft convention open to commercial fraud.42. 但有人提议公约草案应列入当事人指明其营业地的义务,不然就会造成公约草案这一部分给商业欺诈带来可资利用的机会。
It was suggested that such a positive obligation would enhance confidence in electronic commerce, support measures to curb illicit uses of electronic means of communications and facilitate determining the scope of application of the draft convention.据称此种积极义务将会增强对电子商务的信任度,有助于采取制止非法利用电子通信手段的措施并确定公约草案的适用范围。
43. In response, it was noted that determining the scope of application of the draft convention was a matter dealt with by draft article 1 and that including a positive obligation in draft article 6 had no bearing on that question.43. 有与会者就此指出,确定公约草案的适用范围系由第1条草案处理的事项,在第6条草案中列入一则积极义务对该问题不会有任何意义。
It was further noted that earlier versions of the draft convention, which were inspired by article 5, paragraph 1, of Directive 2000/31/EC of the European Union (the “European Union Directive”), had contemplated a positive duty for the parties to disclose their places of business or provide other information.还有与会者注意到,受欧洲联盟第2000/31/EC号指示(“欧洲联盟指示”)第5条第1款的启发而来的公约草案前几稿曾考虑规定当事人有披露其营业地或提供其他信息的积极义务。
The Working Group, however, after extensive debate had agreed to delete those provisions, mainly because they were felt to be regulatory in nature, ill-placed in a commercial law instrument, unduly intrusive and potentially harmful to certain existing business practices.但工作组经广泛讨论后同意删除这些条文,主要原因是,工作组认为这些条文在性质上属于监管条文,放在商法文书中不合适,侵扰性过强,有可能危及某些现行的商业惯例。
Disclosure obligations such as those which had been contemplated by the draft article were typically found in legal texts that were primarily concerned with consumer protection, as was the case in the European Union Directive. In the context of the European Union, however, member States had their own regime for lack of compliance with disclosure obligations.本条草案考虑确定的披露义务通常载于主要涉及消费者保护的法律文本,例如欧洲联盟的指示,具体到欧洲联盟,各会员国对未遵行披露义务的情况自有其规定。
It was recalled that the Working Group had agreed that inclusion of any such obligation would require inclusion of provisions setting out the consequences of failing to comply with such an obligation and the Working Group had agreed that that was outside the scope of the draft convention.有与会者回顾到,工作组曾商定,列入任何此种义务都要求列入阐明未遵守此种义务所产生之后果的条文,工作组一致认为这超出了公约草案的范围。
44. In view of those observations, the Commission approved the substance of paragraph 1 unchanged and referred the text to the drafting group.44. 鉴于这些意见,委员会全盘核准了第1款的实质内容,并将案文转交起草小组处理。
45. It was noted that paragraph 2 was inspired by a similar provision contained in the United Nations Sales Convention and was based on the principle that if a party had more than one place of business, the party should be able to designate one place to be the place of business and, in the absence of such a designation, the place of business bearing the closest relationship to the contract should be taken to be the place of business.45. 有与会者注意到,第2款受《联合国销售公约》中所载一则类似条文启发而来,其所依据的原则是,如果一当事人有不止一个营业地,该当事人应能够指定其中一地为营业地,若未予指明,则应将与合同关系最密切的营业地视为营业地。
A proposal was made to delete the bracketed text in paragraph 2 and also delete the words “and has more than one place of business” for the reason that those words were unnecessary.有与会者提议删除第2款中置于括号内的案文并删除“并且拥有不止一个营业地的”这些词语,原因是这些词语毫无必要。
The proposal to delete the bracketed text was supported.有与会者支持关于删除置于括号内的案文的提议。
However, the words “and has more than one place of business” were retained.但还是保留了“并且拥有不止一个营业地的”这些词语。
With that change, the Commission approved the substance of draft paragraph 2 and referred the text to the drafting group.经如此改动后,委员会核准了第2款草案的实质内容,并将案文转交起草小组处理。
46. Clarification was sought as to whether paragraph 2 of the draft article also applied to cases where a party with several places of business had in fact indicated a place of business but that indication was rebutted under paragraph 1.46. 有与会者寻求澄清本条草案第2款是否还适用于拥有几个营业地的一当事人事实上已指明营业地但根据第1款此种指明已被推翻的情形。
In response, it was stated that the application of paragraph 2 of the draft article would be triggered by the absence of a valid indication of a place of business and that the default rule provided in that provision would apply not only in the event that a party failed to indicate its place of business, but also when such indication was rebutted under paragraph 1.有与会者就此指出,若未有效指明营业地即可自动适用本条草案第2款,该条文中所载的缺省规则不仅适用于一当事人未指明其营业地的情况,而且还适用于根据第1款此种指明已被推翻的情况。
It was agreed that the explanatory notes should contain an explanation to that effect.工作组商定在解释性说明中作出内容大致如此的解释。
47. The Commission approved the substance of paragraphs 3 and 4 of the draft article unchanged and referred the text to the drafting group.47. 委员会未作修改核准了本条草案第3和第4款的实质内容,并将案文转交起草小组处理。
In respect of paragraph 5, it was suggested that, for purposes of technological neutrality, reference should also be made to the use of “other electronic means of communication”, in addition to the expressions “domain name” and “electronic mail address”, so as to include other commonly used media, such as, for example, a short message service (SMS).关于第5款,有与会者建议,出于不偏重任何技术的目的,除“域名”和“电子邮件地址”等用语外,还应提及应使用其他电子通信手段,以便将如手机短信等其他普遍使用的媒介包括在内。
While the Commission was initially inclined to accept that suggestion, it was eventually agreed to retain the text of paragraph 5 of the draft article as it currently stood.委员会尽管最初倾向于接受这一建议,但最终还是同意保留现行本条草案的第5款的案文。
It was observed that domain names and electronic mail addresses were not strictly speaking “means of communication” and that, therefore, the proposed addition would not fit well in the current draft paragraph.据指出,域名和电子邮件所涉及的并非严格意义上的“通信手段”,因此,拟议增加的内容放在现行本款草案中不合适。
Furthermore, it was pointed out that the current text was concerned with existing technology in respect of which the Commission was of the view that they did not offer, in and of themselves, a sufficiently reliable connection to a country so as to authorize a presumption of a party’s location.而且,有与会者指出,对于本案文涉及的现行技术,委员会的看法是,这些技术本身与一国并没有十分可靠的关联,很难藉此认可对当事人的所在地作出推断。
However, it would be unwise for the Commission, by using such a broad formulation, to rule out the possibility that new as yet undiscovered technologies might appropriately create a strong presumption as to a party’s location in a country to which the technology used would be connected.但委员会使用此种宽泛的行文来排除下述可能性也非明智之举:新的但尚未发现的技术有可能以适当的方式十分有把握地推定当事人的所在地在哪个国家,因为到那时所使用的技术将与国家有关联。
Therefore, the Commission approved the substance of draft paragraph 5 unchanged and referred the text to the drafting group.因此,委员会未做修改核准了第5款草案的实质内容,并将案文转交起草小组处理。
Article 7. Information requirements第7条. 对提供情况的要求
48. The text of the draft article was as follows:48. 本条草案案文如下:
“Nothing in this Convention affects the application of any rule of law that may require the parties to disclose their identities, places of business or other information, or relieves a party from the legal consequences of making inaccurate or false statements in that regard.”“本公约中的规定概不影响适用任何可能要求当事人披露其身份、营业地或其他情况的法律规则,也不免除当事人就此作出不准确或虚假说明的法律后果。”
49. The Commission recalled that the text of draft article 7 was the result of extensive deliberations by the Working Group (A/CN.9/546, paras. 88-105, and A/CN.9/571, paras. 115 and 116).49. 委员会回顾到,第7条草案案文是工作组广泛审议的结果(A/CN.9/546,第88-105段和A/CN.9/571,第115和116段)。
Having regard to the persisting objections within the Working Group to the addition of provisions whereby the parties would have a duty to disclose their places of business, the Working Group had agreed to address the matter from a different angle, namely by a provision that recognized the possible existence of disclosure requirements under the substantive law governing the contract and reminded the parties of their obligations to comply with such requirements.考虑到工作组内有的成员坚持反对增加有关当事人有义务披露其营业地的条款,工作组商定换一个角度来处理这一事项,即规定,承认根据管辖合同的实体法可能存在有关披露的要求并提醒当事人有义务遵守这类要求。
Nothing in the draft article allowed the parties to rely on fictitious places of business and thereby avoid other legal obligations.本条草案中的规定概不允许当事人使用虚假的营业地并以此规避其他法律义务。
50. A suggestion was made that the reference to “inaccurate or false” might not cover situations where there was an omission to make a statement that was required to be made under law.50. 据指出,“不准确或虚假”这一措辞可能不涵盖未按法律要求作出说明的情形。
To address that situation it was proposed to add the term “incomplete” after the term “inaccurate”.为处理这种情形,建议在“不准确”一词后添加“不完全”一词。
With that amendment, the Commission approved the substance of draft article 7 and referred the text to the drafting group.作出这一修改后,委员会核准了第7条草案的实质内容,并将案文转交起草小组处理。
Article 8. Legal recognition of electronic communications第8条. 对电子通信的法律承认
51. The text of the draft article was as follows:51. 该条草案案文如下:
“1. A communication or a contract shall not be denied validity or enforceability on the sole ground that it is in the form of an electronic communication.“1. 不得仅以其为电子通信形式为由而否定一项通信或合同的有效性或可执行性。
“2. Nothing in this Convention requires a party to use or accept electronic communications, but a party’s agreement to do so may be inferred from the party’s conduct.”“2. 本公约中的规定概不要求当事人使用或接受电子通信,但可以从该当事人的作为中推断其是否同意使用或接受电子通信。
52. The Commission noted that paragraph 1 of draft article 8 embodied the principle of functional equivalence and was inspired by a similar provision contained in article 5 of the UNCITRAL Model Law on Electronic Commerce.52. 委员会注意到第8条第1款体现了功能等同原则,并且是受《贸易法委员会电子商务示范法》第5条中的类似规定的启发。
It was noted that paragraph 2, while not similarly reflected in the Model Law, had been included in a number of national laws relating to electronic commerce to highlight the principle of party autonomy and recognize that parties were not obliged to use or accept electronic communications.委员会注意到第2款,虽然示范法中没有与之类似的规定,但该款已被纳入一些国家有关电子商务的法律,以强调当事人意思自治原则并确认不得强制当事人使用或接受电子通信。
53. The Commission approved the substance of draft article 8 and referred the text to the drafting group.53. 委员会核准了第8条草案的实质内容,并将案文转交起草小组处理。
Article 9. Form requirements第9条. 形式要求
54. The text of the draft article was as follows:54. 本条草案的案文如下:
“1. Nothing in this Convention requires a communication or a contract to be made or evidenced in any particular form.“1. 本公约中的规定概不要求一项通信或一项合同以任何特定形式作出、订立或证明。
“2. Where the law requires that a communication or a contract should be in writing, or provides consequences for the absence of a writing, that requirement is met by an electronic communication if the information contained therein is accessible so as to be usable for subsequent reference.“2. 凡法律要求一项通信或一项合同应当采用书面形式的,或规定了不采用书面形式的后果的,若一项电子通信所含信息可以调取以备日后查用,即满足了该项要求。
“3. Where the law requires that a communication or a contract should be signed by a party, or provides consequences for the absence of a signature, that requirement is met in relation to an electronic communication if:“3. 凡法律要求一项通信或一项合同应当由当事人签字的,或法律规定了没有签字的后果的,对于一项电子通信而言,在下列情况下,即满足了该项要求:
“(a) A method is used to identify the party and to indicate that party’s approval of the information contained in the electronic communication;“(a) 使用了一种方法来鉴别该当事人的身份和表明该当事人认可了电子通信内所含的信息;而且
and
“(b) That method is as reliable as appropriate to the purpose for which the electronic communication was generated or communicated, in the light of all the circumstances, including any relevant agreement.“(b) 从各种情况来看,包括根据任何相关的约定,该方法对于生成或传递电子通信所要达到的目的既是适当的,也是可靠的。
“4. Where the law requires that a communication or a contract should be presented or retained in its original form, or provides consequences for the absence of an original, that requirement is met in relation to an electronic communication if:“4. 凡法律要求一项通信或一项合同应当以原件形式提交或保留的,或规定了缺少原件的后果的,对于一项电子通信而言,在下列情况下,即满足了该项要求:
“(a) There exists a reliable assurance as to the integrity of the information it contains from the time when it was first generated in its final form, as an electronic communication or otherwise;“(a) 自电子通信首次以最终形式——电子通信或其他形式——生成之时起,该电子通信所载信息的完备性有可靠保障;而且
and
“(b) Where it is required that the information it contains be presented, that information is capable of being displayed to the person to whom it is to be presented.“(b) 要求出示电子通信所载信息的,该信息能够被显示给应向其出示的人。
“5. For the purposes of paragraph 4 (a):“5. 在第4(a)款中:
“(a) The criteria for assessing integrity shall be whether the information has remained complete and unaltered, apart from the addition of any endorsement and any change which arises in the normal course of communication, storage and display;“(a) 评价完整性的标准应当是,除附加任何签注和正常的通信、储存和显示过程中出现的任何改动之外,信息是否完备而且未被改动;而且
and
“(b) The standard of reliability required shall be assessed in the light of the purpose for which the information was generated and in the light of all the relevant circumstances.“(b) 所要求的可靠性标准应当根据生成信息的目的和所有相关情况加以评估。
“[6. Paragraphs 4 and 5 do not apply where a rule of law or the agreement between the parties requires a party to present certain original documents for the purpose of claiming payment under a letter of credit, a bank guarantee or a similar instrument.]”“[6. 第4和第5款不适用于法律规则或当事人之间的协议要求一方当事人出具某些原件方可根据信用证、银行担保或类似票据要求付款的情形。
]”
Paragraph 1第1款
55. The Commission approved the substance of draft paragraph 1 and referred the text to the drafting group.55. 委员会核准了第1款草案的实质内容,并将案文转交起草小组处理。
Paragraph 2第2款
56. The view was expressed that the word “law” in paragraph 2 of the draft article could lead to confusion in certain legal systems and it was suggested that the text should instead refer to the “applicable law” or “applicable rules of law”, as appropriate.56. 有与会者表示,本条草案第2款中“法律”一词可能会在某些法律制度中造成混乱,因此建议该案文应在适当时使用“适用的法律”或“适用的法律规则”的提法。
It was noted that draft article 9 was based largely on the UNCITRAL Model Law on Electronic Commerce, which set out criteria to recognize the functional equivalence between data messages and paper documents.据指出,第9条草案大体上立足于《贸易法委员会电子商务示范法》,后者提出了承认数据电文和纸质文件具有功能等同性的标准。
It was said, in that connection, that the use of the words “the law” in articles 6-8 of the UNCITRAL Model Law on Electronic Commerce did not give rise to difficulties, as the Model Law was intended to be incorporated into the legal system of enacting States and the meaning of the expression “the law” would in that context be clear.有与会者就此指出,《贸易委员会电子商务示范法》第6-8条使用“法律”一词不会造成任何困难,因为本来就打算把示范法纳入颁布国的法律制度,而且“法律”这一用语的含义在这种背景之下很明确。
However, as one of the purposes of the draft convention was to remove possible obstacles to the use of electronic communications under existing international conventions and treaties, the words “the law” might not always be given a sufficiently broad interpretation so as to also cover legislative texts of an international origin.但由于公约草案的目的之一是消除有可能影响在现行国际公约和条约下使用电子通信的种种障碍,对“法律”一词所作解释的范围可能不会总是很广,无法同时顾及国际法规。
57. Another suggestion was that the words “the law” might be understood as covering only the domestic law of the contracting States to the convention and not accepted trade practices and trade usages, which would be typically referred to by a broader term such as “rules of law”.57. 另有与会者建议可将“法律”一词理解为仅涵盖公约缔约国的国内法律,而不包括公认的贸易惯例和商业习惯,后者的提法通常为“法律规则”等范围更广的用语。
A better formulation, it was said, would be a phrase such as “the applicable international conventions, international trade rules and practices or the law”.据称,“适用的国际公约、国际贸易规则和惯例或法律”等行文措词更为恰当。
Alternatively, if the draft article only referred to the domestic law of a contracting State, the words “the applicable law” should be used.如果本条草案仅涉及缔约国的国内法律,还可选择使用“适用的法律”这一词语。
58. In response, it was observed that the matter had already been considered by the Working Group, which had agreed to use the words “the law” essentially in the same sense in which those words had been used in the UNCITRAL Model Law on Electronic Commerce (see A/CN.9/571, para. 125).58. 有与会者就此指出,工作组曾对该问题进行过审议,工作组当时一致认为所使用的“法律”一词的含义应与《贸易委员会电子商务示范法》所用的这个词的含义基本相同(见A/CN.9/571,第125段)。
In the context of the draft article, the words “the law” were to be understood as encompassing not only statutory or regulatory law, including international conventions or treaties ratified by a contracting State, but also judicially created law and other procedural law.具体到本条草案,应将“法律”一词理解为不仅涵盖包括由缔约国批准的国际公约或条约在内的成文法或监管法,而且还涵盖经司法创设的法律和其他程序法。
However, as used in the draft article, the words “the law” did not include areas of law that had not become part of the law of a State and were sometimes referred to by expressions such as “lex mercatoria” or “law merchant”.但根据本条草案的用法,“法律”一词不包括尚未成为一国法律的一部分的法律领域,对这一用语有时使用“商法”等术语的提法。
59. The Commission approved the substance of draft paragraph 2 and referred the text to the drafting group.59. 委员会核准了第2款草案的实质内容,并将案文转交起草小组。
The Commission asked the Secretariat to illustrate the intended meaning of the word “law” in paragraph 2 in the explanatory notes along the lines of what was indicated in paragraph 68 of the Guide to Enactment of UNCITRAL Model Law on Electronic Commerce.6委员会请秘书处在最后案文的解释性说明中使用与《贸易委员会电子商务示范法颁布指南》6第68段所载内容类似的措词来具体说明第2款中“法律”一词的含义。
Paragraph 3第3款
60. It was noted that paragraph 3 of the draft article was based on article 7 of the UNCITRAL Model Law on Electronic Commerce.60. 据指出,本条草案第3款是以《贸易委员会电子商务示范法》第7条为基础的。
However, it was suggested that paragraph 3 should instead be reformulated along the lines of article 6 of the UNCITRAL Model Law on Electronic Signatures, which provided greater legal certainty by setting out more detailed standards for determining the reliability of an electronic signature.但有与会者称,应使用与《贸易委员会电子签名示范法》第6条类似的措词改拟第3款,因为该示范法载有确定电子签名可靠性的更为详细的标准,从而具有更强的法律确定性。
As there was not sufficient support for that proposal, the Commission confirmed the Working Group’s preference for using the more general requirements in article 7 of the UNCITRAL Model Law on Electronic Commerce as a basis for the paragraph.由于该提议未得到充分的支持,委员会确认工作组赞成使用《贸易委员会电子商务示范法》第7条中更为笼统的要求以作为本款草案的基础。
61. The view was expressed that the text of subparagraph 3 (a) did not provide for cases in which the signature was affixed to the message for the sole purpose of associating a party with an electronic communication, without any intended approval of the information contained therein, and for cases in which no content was associated with the signature.61. 有与会者表示,第3款(a)项的案文未就以下情形作出规定:将签名附在电文后的唯一目的是将当事人与电子通信联系在一起而没有打算认可电子通信中所载信息的情形,以及所载内容与签名无任何联系的情形。
It was said, however, that there might be instances where the law required a signature, but that signature did not have the function of indicating the signing party’s approval of the information contained in the electronic communication.但有与会者称,在有些情形下法律可能要求有签名,但该签名不具备表明签名人认可电子通信中所载信息的功能。
For example, many States had requirements of law for notarization of a document by a notary or attestation by a commissioner for oath.举例说,许多国家的法律都要求由公证人对文件进行公证或由监誓专员对文件加以证明。
In such cases, it was not the intention of the law to require the notary or commissioner, by signing, to indicate approval of the information contained in the electronic communication.在此种情形下,法律的意图并非是要求公证人或专员以签名的方式表示认可电子通信中所载信息。
In such cases, the signature of the notary or commissioner merely identified the notary or commissioner and associated the notary or commissioner with the contents of the document, but did not indicate the approval by the notary or commissioner of the information contained in the document.对于此种情形,公证人或专员的签名仅表明公证人或专员的身份,并将公证人或专员与文件的内容联系在一起,但并未表明公证人或专员认可文件中所载信息。
Similarly, there might be laws that required the execution of a document to be witnessed by witnesses, who might be required to append their signatures to that document.同样,有些法律可能要求文件的执行应由证人作证,而后者可能必须在该文件上附上其签名。
The signature of the witnesses merely identified them and associated the witnesses with the contents of the document witnessed, but did not indicate their approval of the information contained in the document.证人的签名只是表明其身份并将证人与所作证的文件的内容联系在一起,但未表明其认可该文件中所载信息。
62. It was suggested that subparagraph 3 (a) should therefore be amended to recognize that electronic signatures were sometimes required by law only for the purpose of identifying the person who signed an electronic communication and associating the information with that person, but not necessarily to indicate that person’s “approval” of the information contained in the electronic communication.62. 有与会者指出,因此必须对第3款(a)项加以修订,以承认法律有时之所以要求电子签名目的只是为了鉴别电子通信签名人的身份,并将信息与该人联系在一起,而不一定是为了表明该人“认可”电子通信中所载信息。
To that end, it was proposed that the subparagraph be revised to read along the following lines:为此目的,有与会者提议对该项加以修订,修订后的内容大致如下:
“(a) A method is used to identify the party and to associate that party with the information contained in the electronic communication, and as may be appropriate in relation to that legal requirement, to indicate that party’s approval of the information contained in the electronic communication;“(a) 使用了一种方法来鉴别该当事人的身份并将该当事人与电子通信中所载信息联系在一起,并酌情针对这一法律要求表明该当事人认可电子通信中所载信息;及”;
and”
63. There was general agreement within the Commission that subparagraph 3 (a) should not be understood to the effect that an electronic signature always implied a party’s approval of the entire content of the communication to which the signature was attached.63. 委员会普遍认为不应将第3款(a)项大致理解为电子签名总是表明当事人认可附有签名的通信的全部内容。
The views differed, however, as to whether the proposed new text improved the understanding of the draft article, or, on the contrary, rendered the draft article unnecessarily complex.但对于拟议的新案文究竟是加深了对本条草案的理解还是反而使本条草案过于复杂的问题,与会者意见不一。
Furthermore, it was said that the act of assigning a document typically signified consent at least to part of the information contained in a document.而且有与会者称,在文件上签名这一行动通常表明至少同意文件中所载的部分信息。
As an alternative, it was suggested that paragraph 3 of the draft article could instead refer to a party’s approval “of the information to which the signature related”.有与会者建议,作为一种备选办法,本条草案第3款可使用当事人认可“与签名有关的信息”的提法。
However, that proposal, too, was criticized on the grounds that, in practice, signatures could be used for different purposes.但该提议也遭到批评,理由是签名在实践中可能会被用于不同的目的。
For example, there could be a mere signature on a page without an accompanying text, such as a signature to express an acknowledgement of receipt of goods; even if signed in blank, such a signature might still be evidence of receipt.举例说,可能只在没有附文的一页上签名,例如确认收到货物的签名,此种签名即便为空白签名也可作为收货的证据。
64. After extensive debate, and having considered various alternative formulations, the Commission eventually agreed that the words “that party’s approval of the information contained in the electronic communication” should be replaced with the words “that party’s intention in respect of the information contained in the electronic communication”.64. 经广泛讨论并对各种备选措词加以审议以后,委员会最终一致认为应将“该当事人认可了电子通信内所含的信息”一语改为“该当事人在电子通信所载信息方面的意图”这一短语。
65. Turning to subparagraph 3 (b), the Commission heard expressions of concern that under the present formulation of that provision the satisfaction by an electronic signature of a legal signature requirement depended on whether the signature method was appropriately reliable for the purpose of the electronic communication in the light of all the circumstances.65. 委员会就第3款(b)项听取了与会者表示的各种关切,即根据该条文的现行措词,电子签名是否满足关于签名的法律要求将取决于从各种情况来看,该签名方法对于电子通信的目的是否既是适当的也是可靠的。
As such a determination could only be made ex post by a court or other trier of fact, the parties to the electronic communication or contract would not be able to know with certainty in advance whether the electronic signature used would be upheld by a court or other trier of fact as “appropriately reliable” or whether it would be denied legal validity for not having met such requirement.由于只能由法院或其他审理事实的司法官事后加以确定,电子通信或合同当事人事先无法肯定地知悉所使用的电子签名是否会被法院或其他审理事实的司法官确认为“适当可靠”,或是否会因为未满足此种要求而被剥夺法律效力。
Furthermore, subparagraph 3 (b) also meant that, even if there was no dispute about the identity of the person signing or the fact of signing (i.e. no dispute as to authenticity of the electronic signature), a court or trier of fact might still rule that the electronic signature was not appropriately reliable and therefore invalidate the entire contract.而且,第3款(b)项还意味着即便对签名人的身份或签名这一事实不存在任何争议(即对电子签名的真实性没有任何争议)法院或审理事实的司法官仍可裁定电子签名并不适当可靠,并从而确认整个合同无效。
That result would be particularly unfortunate, as it would allow a party to a transaction in which a signature was required to try to escape its obligations by denying that its signature (or the other party’s signature) was valid—not on the ground that the purported signer did not sign or that the document it signed had been altered, but only on the ground that the method of signature employed was not as reliable as appropriate in the circumstances.此种结果将尤其令人遗憾,因为这将使需要签名的交易当事人以否认其签名(或另一当事人的签名)有效的方式设法逃避承担其义务,其所持的理由并非是声称的签名人未予签名或所签名的文件遭到篡改,而只是所使用的签名方式在这些情形中既不可靠也不合适。
The language of the draft convention would thus permit a bad-faith undermining of the contract.因此,公约草案的措词会造成听任恶意损害合同的情况存在。
It was also mentioned that that problem would be more apparent in cases where third parties challenged a commercial transaction, as it might be the case where trustees in bankruptcy or regulatory and enforcement government entities were involved.另有与会者提到,在第三方对商业交易提出质疑的情况下,这种问题更加明显,如涉及受托人破产或政府的监理和执行实体,就可能是这种情况。
For those reasons, it was suggested that draft article 9, subparagraph 3 (b), should be deleted.出于这些理由,有与会者建议删除第9条草案第3款(b)项。
66.
In response, it was indicated that the identity requirement contained in draft article 9, subparagraph 3 (a), could be insufficient to ensure the correct interpretation of the principle of functional equivalence in electronic signatures, since the “reliability test” of subparagraph 3 (b), while indicating the minimum requirements for the validity of the signature, would also remind courts of the need to take into account factors other than technology, such as the purpose for which the electronic communication was generated or communicated, or a relevant agreement of the parties, in ascertaining the validity of the signature.66. 对此据指出,第9条草案第3款(a)项所载身份要求可能不足以确保正确解释电子签名中的功能等同原则,因为第3款(b)项中的“可靠性检验”尽管表明了签名有效性的最低要求,但是也提醒法院注意到有必要考虑到技术以外的因素,如电子通信生成或传递的目的,或者当事各方为证实签名的有效性所达成的有关协议。
Without subparagraph 3 (b), the courts in some States might be inclined to consider that only signature methods that employed high-level security devices were adequate to identify a party, despite an agreement of the parties to use simpler signature methods.如果没有第3款(b)项,一些国家的法院可能倾向于只将采用高度安全方法的签名方法视为足以鉴别一方当事人,尽管当事各方之间的协议同意使用更简单的签名方法。
It was further observed that the post facto judicial control over the validity of the signature was an element common to handwritten signatures, as was the risk of possible malicious challenges to the validity of the signature.另据指出,对于手签来说,对签名有效性的事后司法控制可能是常见的,正如对于签名有效性的可能的恶意质询的风险也是常见的一样。
It was also indicated that the reliability test that appeared in the UNCITRAL Model Law on Electronic Commerce had not given rise to particular problems in the jurisdictions where the Model Law had been enacted.另据指出,《贸易法委员会电子商务示范法》中就有可靠性检验,并没有在颁布示范法的有关法域产生特别的问题。
67. The Commission considered extensively the various views that had been expressed.67. 委员会广泛审议了所提出的各种意见。
There was strong support for retaining the “reliability test” contained in subparagraph 3 (b) of the draft article.与会者强烈支持保留本条草案第3款(b)项中的“可靠性检验”。
However, the Commission was also sensitive to the arguments that had been made in favour of deleting that provision.不过委员会还敏感地注意到赞成删去该条文的主张。
There was general agreement that the draft convention should prevent the recourse to the “reliability test” in those cases when the actual identity of the party and its actual intention could be proved.总体一致意见是,公约草案应当防止在当事人的实际身份及其实际意图可以证明的情况下仍依靠“可靠性检验”。
After considering various proposals for additional language to achieve that result, the Commission eventually agreed to reformulate paragraph 3 of the draft article along the following lines:委员会在审议了关于可达成这一效果的其他措词的各种提议之后,最终一致同意按照如下写法重拟本条草案第3款:
“3. Where the law requires that a communication or a contract should be signed by a party, or provides consequences for the absence of a signature, that requirement is met in relation to an electronic communication if:“3. 凡法律要求一项通信或一项合同应当由当事人签名的,或法律规定了未予签名的后果的,对于一项电子通信而言,在下列情况下,即满足了该项要求:
“(a) A method is used to identify the party and to indicate that party’s intention in respect of the information contained in the electronic communication;“(a) 使用了一种方法来鉴别该当事人的身份和表明该当事人在电子通信所载信息方面的意图;而且
and
“(b) The method used is either:“(b) 所使用的方法:
“(i) As reliable as appropriate for the purpose for which the electronic communication was generated or communicated, in the light of all the circumstances, including any relevant agreement;“㈠ 从各种情况来看,包括根据任何相关的约定,该方法对于生成或传递电子通信所要达到的目的既是适当的,也是可靠的;或
or
“(ii) Proven in fact to have fulfilled the functions described in subparagraph (a) above, by itself or together with further evidence.”“㈡ 该方法本身或依靠其他证据被证明实际上实现了上文(a)项所述功能。”
68. The Commission approved the substance of the revised version of draft paragraph 3 and referred the text to the drafting group.68. 委员会核准了第3款草案修订案文的实质内容,并将案文转交起草小组处理。
Paragraphs 4 and 5第4和第5款
69. It was observed that the word “presented” in paragraph 4 could be misleading, as the term as used in some jurisdictions had a narrow technical meaning, limited, for instance, to the law of negotiable instruments.69. 据指出,第4款中的“提交”一词可能产生误解,因为该词在一些法域的使用中具有狭隘的技术含义,例如限于流通票据法。
The Commission thus decided to replace the word “presented” with the words “made available” in paragraph 4.委员会因此决定将第4款中的“提交”一词替换为“提供”一词。
70. It was proposed that paragraphs 4 and 5 of draft article 9 be deleted because they did not satisfactorily address the question of the electronic equivalent of an original document.70. 据建议,应删去第9条草案第4和第5款,因为它们没有令人满意地解决正本的电子等同物问题。
It was observed that the particular problem involved in creating an electronic equivalent for the transfer of a paper-based original was how to provide a guarantee of uniqueness equivalent to possession of the original of a document of title or negotiable instrument and that thus far it had not been possible to develop a wholly satisfactory solution to ensure this “singularity” or “originality”.据指出,创设一种电子等同物以用于纸质正本的转让所涉及的特殊问题是,如何保证相当于持有所有权凭证或流通票据正本的唯一性,迄今为止尚未能够找到一个完全令人满意的解决办法,以确保这种“单一性”或“原始性”。
Under such circumstances, it was surprising that draft article 9, in paragraphs 4 and 5, should purport to define the electronic equivalent of an original when it did not make such equivalence subject to the requirement of singularity of the original, which was intrinsically linked to the very function and nature of an original.在这种情况下,令人吃惊的是,第9条第4和第5款在没有将这种等同性置于正本的独一无二性要求的约束下就试图定义正本的电子等同物,因为这种独一无二性与正本的特定功能和性质是内在相关的。
The provision would thus be unable to address the question of the transfer of a negotiable instrument.该条文因此将无法解决流动票据的转让问题。
Paragraphs 4 and 5 should, therefore, be deleted or, at the very least, limited only to arbitration agreements.因此应删去第4和第5款,或者至少将其限于仲裁协议。
In response, it was noted that the Commission had decided to exclude documents of title and negotiable instruments from the scope of the convention in draft article 2, paragraph 2 (see paras. 25-30 above).对此,有与会者指出,委员会已决定在第2条草案第2款中将所有权凭证和流通票据排除在公约范围之外(见上文第25-30段)。
71. The Commission recalled that the Working Group had initially decided to include a provision on electronic equivalents of “original” documents in the draft convention in the light of its decision to add the New York Convention to the list of instruments in draft article 19, paragraph 1, because article IV, paragraph (1) (b), of the New York Convention required that the party seeking recognition and enforcement of a foreign arbitral award must submit, inter alia, an original or a duly certified copy of the arbitration agreement.71. 委员会回顾到,工作组最初曾经根据其关于在第19条草案第1款中的文书清单中列入《纽约公约》的决定,决定在公约草案中列入一项关于“正本”文件的电子等同物的条文,因为《纽约公约》第四条第(1)(b)款要求申请承认和执行外国仲裁裁决的一方当事人除其他以外必须提交仲裁协议的正本或一份经过正式认证的副本。
At the same time, however, the Working Group had noted that, although draft paragraphs 4 and 5 had been inserted to address a particular problem raised by arbitration agreements, the usefulness of those provisions extended beyond that limited field in view of possible obstacles to electronic commerce that might result from various other requirements concerning original form.不过,工作组同时指出,尽管增加了第4和第5款草案以解决仲裁协议方面的特殊问题,鉴于可能来自若干关于正本的其他要求的可能给电子商务造成的障碍,这些条文的有用性将超越这一有限领域。
Despite differing views as to the appropriateness of that conclusion, the Working Group had not agreed to limit the scope of draft paragraphs 4 and 5 to arbitration agreements (A/CN.9/571, para. 132).尽管对于这一结论是否合适有不同意见,工作组未同意将第4和第5款草案的范围限制在仲裁协议方面(A/CN.9/571,第132段)。
72. Another argument in support of retaining draft paragraphs 4 and 5 was that, whereas uniqueness was in fact an important condition for an effective system of negotiability in connection with transport documents or negotiable instruments, documents could retain their condition as “original” documents even if they were issued in several “original” copies.72. 另一种支持保留第4和第5款草案的意见是,尽管唯一性实际上是运输单据或流通票据方面有效的可流通性制度的一个重要条件,但是即使单据是以若干份“正本”形式出具的,其仍然可以保留其作为“正本”的状态。
The essential requirement for all purposes other than transfer and negotiation of rights evidenced by or embodied in a document was the integrity of the document and not its uniqueness.除了单据所证实或包含的权利的转让和流通以外,所有其他目的的基本要求都是单据的完整性,而不是其唯一性。
73. Having considered the views expressed, and noting that there was little support for deleting paragraphs 4 and 5 of the draft article, the Commission approved their substance, with the amendments it had accepted earlier, and referred them to the drafting group.73. 考虑到所提出的各种意见,并注意到对于删去本条草案第4和第5款的支持不多,委员会赞同其实质内容,包括委员会先前已接受的修正,并将其交给起草小组处理。
The Commission noted, however, that, when it reached draft article 18, it could consider whether that article gave States the possibility to exclude the application of paragraphs 4 and 5 of draft article 9.不过委员会指出,在审议进行到第18条草案时,委员会可以考虑该条是否给予各国排除第9条草案第4和第5款的适用的可能性。
Paragraph 6第6款
74. The Commission noted that paragraph 6 appeared within square brackets because the Working Group had not been able, for lack of time, to complete its review at its forty-fourth session.74. 委员会注意到第6款被置于方括号中,因为工作组第四十四届会议由于时间不够未能完成对该款的审查。
As an alternative to the draft paragraph, it had been suggested that the draft convention could give States the possibility to exclude the application of paragraphs 4 and 5 of draft article 9 in respect of the documents referred to in paragraph 6 by declarations made under draft article 18 (A/CN.9/571, para. 138).作为该款草案的替代条文,据建议,公约草案可以给予各国通过根据第18条草案作出的声明排除第9条草案第4和第5款对于第6款所述单据的适用的可能性(A/CN.9/571,第138段)。
75. Questions were raised concerning the purpose of paragraph 6, which appeared to duplicate the exclusion contained in draft article 2, paragraph 2.75. 有与会者就第6款的目的提出疑问,该款似乎重复了第2条草案第2款中的除外情形。
In response, it was noted that paragraph 6 of draft article 9 related to documents and evidence that needed to be submitted in writing to substantiate claims for payments under a letter of credit or a bank guarantee, but not to the bank guarantee or letter of credit itself, which would not be excluded from the scope of the convention.对此据指出,第9条草案第6款与为了证实信用证或银行保函下的付款要求而需要书面提交的单证和证据有关,而与银行保函或信用证本身无关,因此将不会被排除在公约范围之外。
It was pointed out that article 2, paragraph 2, was not intended to cover letters of credit or bank guarantees, since it was limited to “transferable” documents or instruments.据指出,第2条第2款的意图并非要包含信用证或银行保函,因为该款只限于“可转让”单据或票据。
It was, however, recognized that the explanatory notes should clarify the import of that exclusion.不过委员会认识到,最终案文所附解释性说明或评注应当明确该除外情形的含义。
76. There was some support for retaining paragraph 6 of draft article 9, in part for the comfort it provided to the issuers of and obligees under the instruments it referred to, and in part because it was felt that an outright exclusion under draft article 9 would better suit the purpose of attaining the broadest possible uniformity in the application of the convention than the alternative of corresponding exclusions at the national level by means of declarations under draft article 18, paragraph 2.76. 有与会者支持保留第9条草案第6款,部分原因是该款为其所述文据的开立人和受益人所提供的安慰,部分原因是据认为在第9条草案下直接排除,将比在国家一级通过根据第18条草案第2款作出声明而相应排除的替代方法更好地满足在适用公约方面实现最广泛的统一性的目的。
The prevailing view, however, was that States that wished to facilitate the submission of electronic communications in support of payment claims under letters of credit and bank guarantees should not be deprived of that possibility by the existence of a general exclusion under paragraph 6 of draft article 9.不过普遍意见是,不应当通过在第9条草案第6款下的一般性排除,剥夺希望便利在信用证和银行保函项下提交支持付款要求的电子通信的国家的这一可能性。
Unilateral exclusions for those States which did not want to promote that possibility, however undesirable from the perspective of uniform law, would nevertheless be a better option than the current paragraph 6 of the draft article.但是从统一法的角度看无论有多么不可取,对于那些不想促进这一可能性的国家,单方面排除相比本条草案目前第6款将是一个更好的选择。
The Commission therefore agreed to delete paragraph 6 of draft article 9.委员会因此同意删去第9条草案第6款。
Article 10. Time and place of dispatch and receipt of electronic communications第10条. 发出和收到电子通信的时间和地点
77. The text of the draft article was as follows:77. 本条草案案文如下:
“1. The time of dispatch of an electronic communication is the time when it leaves an information system under the control of the originator or of the party who sent it on behalf of the originator or, if the electronic communication has not left an information system under the control of the originator or of the party who sent it on behalf of the originator, the time when the electronic communication is received.“1. 电子通信的发出时间是其离开发端人或代表发端人发送电子通信的当事人控制范围之内的信息系统的时间,或者,如果电子通信尚未离开发端人或代表发端人发送电子通信的当事人控制范围之内的信息系统,则为电子通信被收到的时间。
“2. The time of receipt of an electronic communication is the time when it becomes capable of being retrieved by the addressee at an electronic address designated by the addressee.“2. 电子通信的收到时间是其能够由收件人在该收件人指定的电子地址检索的时间。
The time of receipt of an electronic communication at another electronic address of the addressee is the time when it becomes capable of being retrieved by the addressee at that address and the addressee becomes aware that the electronic communication has been sent to that address.电子通信在收件人的另一电子地址的收到时间是其能够由该收件人在该地址检索并且该收件人了解到该电子通信已发送到该地址的时间。
An electronic communication is presumed to be capable of being retrieved by the addressee when it reaches the addressee’s electronic address.当电子通信抵达收件人的电子地址时,即应推定收件人能够检索该电子通信。
“3. An electronic communication is deemed to be dispatched at the place where the originator has its place of business and is deemed to be received at the place where the addressee has its place of business, as determined in accordance with article 6.“3. 电子通信将发端人设有营业地的地点视为其发出地点,将收件人设有营业地的地点视为其收到地点,营业地依照第6条确定。
“4. Paragraph 2 of this article applies notwithstanding that the place where the information system supporting an electronic address is located may be different from the place where the electronic communication is deemed to be received under paragraph 3 of this article.”“4. 即使支持电子地址的信息系统的所在地可能不同于根据本条第3款规定而认定的电子通信的收到地点,本条第2款的规定依然适用。
Paragraph 1第1款
78. The Commission noted that paragraph 1 followed in principle the rule set out in article 15 of the UNCITRAL Model Law on Electronic Commerce, although it provided that the time of dispatch was when the electronic communication left an information system under the control of the originator rather than the time when the electronic communication entered an information system outside the control of the originator.78. 委员会指出,第1款原则上遵守《贸易法委员会电子商务示范法》第15条中的规则,尽管该款规定,发出时间为电子通信离开发端人控制的信息系统的时间,而不是电子通信进入发端人控制以外的一个信息系统的时间。
79. The Commission approved the substance of draft paragraph 1 and referred the text to the drafting group.79. 委员会核准了第1款草案的实质内容,并将案文转交起草小组处理。
Paragraph 2第2款
80. With respect to paragraph 2, a proposal was made that, in order to address the concerns raised by the increasing use of security filters (such as “spam” filters and other technologies restricting the receipt of problem electronic mail), the explanatory notes should clarify that the principle contained therein, namely that the time of receipt of an electronic communication was the time when it became capable of being retrieved by the addressee at an electronic address designated by the addressee, was a rebuttable presumption.80. 关于第2款,有一项建议是,为了解决日益增加的对安全过滤器(诸如“垃圾邮件”过滤器和其他限制接收问题电子邮件的技术)的使用所引起的关切,公约草案最后案文所附解释性说明应当明确,公约中的原则,即电子通信的收到时间为电子通信可以由收件人在收件人指定的电子地址检索的时间,是一个可以反驳的推定。
This was supported by many delegations.许多代表团对此表示支持。
81. It was also proposed that the explanatory notes highlight that draft article 10 did not preclude sending electronic communications referring to information that was available to be retrieved by the receiver at a particular location, such as a web address.81. 另据建议,这些解释性说明应当突出强调,第10条草案不排除发送提及收件人可以在一个诸如一个网址等特定位置检索的信息的电子通信。
The concern was raised that the proposal could in effect lead to the creation of a technology-specific rule, especially given that, even in written communications, reference was often made to information that was contained in another separately available document, such as a record in a registry.有一种关切是,这一建议可能实际上导致创立一个具有特定技术的规则,尤其是考虑到即使在书面通信中,也经常会提及可以查到的另一份单独文件所载信息,如登记册中的记录。
While some support was expressed for that proposal, concerns were expressed that recognition of such practices by way of the explanatory notes might unwittingly raise the legal status of a posting of information on a website.尽管对此建议有一些支持,但是有与会者提出关切,即通过解释性说明承认这种做法可能会不明智地提高在网站上张贴信息这一做法的法律地位。
It was noted that, as the text of the paragraph stood, it did not encompass notification of information contained in a website.据指出,按照本款目前案文,本款不包括通知一网站所载信息。
It was suggested that a distinction ought to be drawn between a situation where an electronic communication referred to and included a link to a website containing further information relating to the electronic communication and a situation where an electronic communication simply contained a link to a website.据建议,应当在两种情况之间作出区分:一种情况是电子通信提及并包括载有与电子通信有关的进一步信息的网址的链接;另一种情况是电子通信仅仅载有一网址的链接。
The first posting could be taken as forming part of the electronic communication based on the principle of incorporation by reference (as enunciated, for example, in article 5 bis of the Model Law on Electronic Commerce), but the second could not be taken to be included within the electronic communication.根据通过提及而纳入的原则(正如例如《电子商务示范法》第15条之二所述),第一种张贴可以被视为电子通信的一个组成部分,但是第二种张贴不可以视为包含在电子通信之中。
Following discussion, the Commission decided that there was no consensus to include the proposed clarification in the explanatory notes.经过讨论,委员会决定,对于在解释性说明中列入所提议的说明未达成协商一致意见。
82. The suggestion was made that the condition for the presumption of receipt of electronic communications at a non-designated address created legal uncertainty, as it would be difficult for the originator to prove a subjective circumstance such as when the addressee had in fact become aware that the electronic communication had been sent to a particular non-designated address.82. 有一项建议是,推定在一个非指定地址收到电子通信的条件带来了法律不确定性,因为发端人将难以证明诸如收件人何时知晓电子通信已被发往一个特定的非指定地址等主观情况。
It was therefore proposed that the second sentence of paragraph 2 be deleted and that paragraph 2 no longer distinguish between designated and non-designated electronic addresses.因此据建议,应删去第2款第二句,第2款不应再在指定电子地址和非指定电子地址之间作出区分。
In response, it was stated that such awareness could be proven by other objective evidence.对此据指出,这种知悉可以由其他客观证据加以证明。
The Commission recalled that paragraph 2 was a provision that had been arrived at after extensive deliberation and that the current text represented a finely balanced compromise reached in the Working Group, which had acknowledged that many persons had more than one electronic address and could not be reasonably expected to anticipate receiving legally binding communications at all addresses they maintained.委员会回顾到,第2款是经过广泛审议之后形成的一项条文,目前的案文是工作组内部所达成的微妙平衡的折中产物,该案文承认许多人拥有不只一个电子地址,从而不能合理地被预期他们能够预见到在他们所拥有的所有地址均收到具有法律约束力的通信。
After discussion, the Commission approved the substance of draft paragraph 2 without change and referred the text to the drafting group.经过讨论,委员会核准了第2款草案的实质内容而未作改动,并将案文转交起草小组处理。
Paragraph 3第3款
83. It was proposed that the current wording of paragraph 3, which referred to a communication being “deemed to be received” at particular places should be a presumption, rebuttable by appropriate evidence.83. 据建议,第3款的目前措词提及通信将特定地点“视为其收到地点”,这一措词应当是可以由适当证据加以反驳的一项推定。
To achieve that, it was proposed to replace the word “deemed” with the word “presumed”.为达到这一效果,据建议应以“推定为”一词替换“视为”一词。
It was said that that formulation was more consistent with other presumptions contained in the draft convention and also respected the principle of party autonomy.据指出,这一写法与公约草案所包含的其他推定更为一致,并且符合当事人意思自治原则。
There was little support for that proposal.这一建议得到的支持不多。
It was noted that the concern of the Working Group had been to avoid a duality of regimes for online and offline transactions and, taking the United Nations Sales Convention as a precedent, where the focus was on the actual place of business of the party, the reference to the term “deemed” had been chosen deliberately to avoid attaching legal significance to the use of a server in a particular jurisdiction that differed from the jurisdiction where the place of business was located simply because that was the place where an electronic communication had reached the information system where the addressee’s electronic address was located.据指出,工作组的关切一直是避免造成网上交易和非网上交易的双重制度,考虑到《联合国销售公约》的先例(该公约的侧重点是当事人的实际营业地),特意选择提及“视为”一词以避免对一种情况给予法律上的重视,即在一个与营业地所处法域不同的一特定法域使用服务器,原因仅仅是该法域是电子通信到达收件人的电子地址所处信息系统的地点。
84. The Commission approved the substance of draft article 10 and referred the text to the drafting group.84. 委员会核准了第10条草案的实质内容,并将案文转交起草小组处理。
Article 11. Invitations to make offers第11条. 要约邀请
85. The text of the draft article was as follows:85. 本条草案案文如下:
“A proposal to conclude a contract made through one or more electronic communications which is not addressed to one or more specific parties, but is generally accessible to parties making use of information systems, including proposals that make use of interactive applications for the placement of orders through such information systems, is to be considered as an invitation to make offers, unless it clearly indicates the intention of the party making the proposal to be bound in case of acceptance.”“通过一项或多项电子通信提出的订立合同提议,凡不是向一个或多个特定当事人提出,而是可供使用信息系统的当事人一般查询的,包括使用互动式应用程序通过这类信息系统发出订单的提议,应当视作要约邀请,但明确指明提议的当事人打算在提议获承诺时受其约束的除外。”
86. It was suggested that a new paragraph should be incorporated into draft article 11 to address unsolicited commercial communications (“spam”).86. 有一项建议是,应当在第11条草案中列入新的一款,以解决未要求接收的商业通信(“垃圾邮件”)问题。
While concern was expressed regarding the impact of “spam”, the Commission agreed that it was not a matter that should be dealt with in the present text.尽管有与会者对“垃圾邮件”的影响表示关切,委员会一致认为,这不是一个本案文应当处理的问题。
87. Clarification was sought as to the meaning of “interactive applications” and whether it was equivalent to the term “automated message system” as defined in article 4, subparagraph (g), of the draft convention.87. 有与会者要求对“互动式应用程序”的含义作出说明,并要求说明其是否等同于公约草案第4条第4款(g)项中所定义的“自动电文系统”一词。
The Commission noted that the term “interactive applications” had been used in preference to “automated message system” as it was considered to provide an appropriately objective term that better described the situation that was apparent to any person accessing a system, namely, that it was prompted to exchange information through that system by means of immediate actions and responses having an appearance of automaticity (A/CN.9/546, para. 114).委员会注意到,相比“自动电文系统”,更倾向于采用“互动式应用程序”一词,因为该词被认为提供了一个适当的客观用语,可更好地描述对于任何进入一个系统的人来说都十分明显的情形,即进入者被提示经由该系统立即采取行动和作出反应以交换信息,这看上去具有自动化的特征(A/CN.9/546,第114段)。
88. The Commission approved the substance of draft article 11 and referred the text to the drafting group.88. 委员会核准了第11条草案的实质内容,并将案文转交起草小组处理。
Article 12. Use of automated message systems for contract formation第12条. 自动电文系统在合同订立中的使用
89. The text of the draft article was as follows:89. 本条草案案文如下:
“A contract formed by the interaction of an automated message system and a natural person, or by the interaction of automated message systems, shall not be denied validity or enforceability on the sole ground that no natural person reviewed each of the individual actions carried out by the systems or the resulting contract.”“通过自动电文系统与自然人之间的交互动作或者通过若干自动电文系统之间的交互动作订立的合同,不得仅仅因为无自然人复查这些系统进行的每一动作或者由此产生的合同而被否认有效性或可执行性。”
90. It was suggested that the language in draft article 12 should be aligned with the language used in the definition of “automated message system” contained in draft article 4, subparagraph (g), of the draft convention in two respects.90. 据建议,第12条草案的措词应当与公约草案第4条(g)项所载“自动电文系统”的定义的用语在两个方面保持一致。
Firstly, it was proposed that the term “natural person” contained in draft article 12 should also be used in draft article 4, subparagraph (g).第一,据建议,第4条草案(g)项也应当使用第12条草案所载“自然人”一词。
That proposal was agreed to by the Commission.委员会同意了该建议。
91. Secondly, it was proposed that the reference to “or intervention” contained in draft article 4, subparagraph (g), be repeated in draft article 12.91. 第二,据建议,第12条草案也应当重复提及第4条(g)项所载“或干预”一语。
That proposal was also agreed to.该建议也得到认可。
92. The Commission approved the substance of draft article 12, as modified, and referred the text to the drafting group.92. 委员会核准了修改后的第12条草案的实质内容,并将案文转交起草小组处理。
Article 13. Availability of contract terms第13条. 合同条款的备查
93. The text of the draft article was as follows:93. 本条草案案文如下:
“Nothing in this Convention affects the application of any rule of law that may require a party that negotiates some or all of the terms of a contract through the exchange of electronic communications to make available to the other party those electronic communications that contain the contractual terms in a particular manner, or relieves a party from the legal consequences of its failure to do so.”“本公约中的规定概不影响适用任何可能要求一通过交换电子通信谈判部分或全部合同条款的当事人以某种特定方式向另一方当事人提供载有合同条款的电子通信的法律规则,也不免除一方当事人未能这样做的法律后果。”
94. Clarification was sought as to whether the reference to “any rule of law” should be aligned with language used elsewhere in the text, such as in draft article 9, paragraph 2, which referred to “the law”.94. 有与会者要求说明对“任何法律规则”的提及是否应当与诸如提及“法律”的第9条草案第2款等案文的其他地方的用语保持一致。
In response, the Commission took note that the use of the term “any rule of law” instead of “law” had been chosen because of the phrasing of particular paragraphs that did not lend themselves to inclusion of the term “law”.对此委员会注意到,之所以选择采用“任何法律规则”一词以代替“法律”,是因为没有采用“法律”一词的某几款的措词。
The phrase “any rule of law” in the draft article had however the same meaning as the words “the law” in draft article 9 and encompassed statutory, regulatory and judicially created laws as well as procedural laws, but did not cover laws that had not become part of the law of the State, such as lex mercatoria, even though the expression “rules of law” was sometimes used in that broader meaning.不过,本条草案中“任何法律规则”一语与第9条草案中的“法律”一词含义相同,包括了法律、法规和判例法以及程序法,但不包括诸如商法等未成为各国法律的一部分的法律,例如欧洲商事法,即使“法律规则”一语有时被在这种广泛意义上使用。
The Commission approved the substance of draft article 13 and referred the text to the drafting group.委员会核准了第13条草案的实质内容,并将案文转交起草小组处理。
Article 14. Error in electronic communications第14条. 电子通信中的错误
95. The text of the draft article was as follows:95. 本条草案的案文如下:
“1. Where a natural person makes an input error in an electronic communication exchanged with the automated message system of another party and the automated message system does not provide the person with an opportunity to correct the error, that person, or the party on whose behalf that person was acting, has the right to withdraw the electronic communication in which the input error was made if:“1. 一自然人在与另一方当事人的自动电文系统往来的电子通信中发生输入错误,而该自动电文系统未给该人提供更正错误的机会,在下列情况下,该人或其所代表的当事人有权撤回发生输入错误的电子通信:
“(a) The person, or the party on whose behalf that person was acting, notifies the other party of the error as soon as possible after having learned of the error and indicates that he or she made an error in the electronic communication;“(a) 该自然人或其所代表的当事人在发现错误后尽可能立即将该错误通知另一方当事人,并指出其在电子通信中发生了错误;
“(b) The person, or the party on whose behalf that person was acting, takes reasonable steps, including steps that conform to the other party’s instructions, to return the goods or services received, if any, as a result of the error or, if instructed to do so, to destroy the goods or services;“(b) 该自然人或其所代表的当事人采取合理步骤,包括遵照另一方当事人的指示采取步骤,退还因该错误而可能收到的任何货物或服务,或者根据指示销毁这种货物或服务;而且
and
“(c) The person, or the party on whose behalf that person was acting, has not used or received any material benefit or value from the goods or services, if any, received from the other party.“(c) 该自然人或其所代表的当事人没有使用可能从另一方当事人收到的任何货物或服务所产生的任何重大利益或价值或从中受益。
“2. Nothing in this article affects the application of any rule of law that may govern the consequences of any errors made during the formation or performance of the type of contract in question other than an input error that occurs in the circumstances referred to in paragraph 1.”“2. 本条中的规定概不影响适用任何可能就相关合同类型的订立或履行当中发生的错误的后果而不是就第1款所列情况下发生的输入错误的后果作出规定的法律规则。
Paragraph 1第1款
96. Support was expressed for the principle that, except for the particular situation dealt with in the draft article, the conditions for withdrawal of electronic communications vitiated by error should be better left for domestic legislation, as they related to general principles of contract law and not to issues specific to electronic commerce.96. 有与会者支持下述原则,即除本条草案所涉及的特殊情形外,撤回因错误而无效的电子通信的条件最好由国内法规来加以规定,因为这些条件涉及到合同法的一般原则,而与电子商务具体问题无关。
97. The suggestion was made that the draft provision should contain an additional condition for withdrawal to the effect that the withdrawal of an electronic communication would only be possible when it could be assumed, in the light of all circumstances, that a reasonable person in the position of the originator would not have issued the electronic communication, had that person been aware of the error at that time.97. 有与会者建议本条草案应载列允许撤回的另一个条件,其内容大致为,只有在下述情况下才可以撤回电子通信,即从各种情况来看可以推定作为发端人的一个有理性的人如果当时意识到发生了错误就不会发出电子通信。
Such an addition, it was said, was justified by the need to ensure that the possibility of withdrawing an electronic communication would not be misused by parties acting in bad faith who wished to nullify what would otherwise be valid legal commitments accepted by them.据指出,之所以增设这一条件是因为必须确保恶意行事者不致滥用撤回电子通信的可能性,后者希望取消因其接受而本应有效的法律承诺。
There was little support for that proposal, as it was felt that it added a subjective element that would require a determination of the intent of the party who sent the allegedly erroneous message.对该提案表示支持者很少,因为与会者认为该提案添加了一个主观性成份,即需要确定发送所谓错误电文的当事人的意图。
It was pointed out that the draft article dealt with the allocation of risks concerning errors in electronic communications in a fair and sensible manner.据指出,本条草案涉及以公平合理的方式分担有关电子通信发生错误的风险。
An electronic communication could only be withdrawn if the automated message system did not provide the originator with an opportunity to correct the error before sending the message.如果自动电文系统未给发端人提供在发送电文以前更正错误的机会,则只能撤回电子通信。
If the operator of the automated message system failed to offer such means, despite the clear incentive to do so in the draft article, it was reasonable to make such party bear the risk of errors being made in electronic communications exchanged through the automated message system.如果本条草案虽明确鼓励但自动电文系统的操作人仍未提供此种手段,则有理由令此种当事人承担通过自动电文系统往来的电子通信发生错误的风险。
Limiting the right of the party in error to withdraw the messages would not further the intended goal of the provision to encourage parties to provide for an error-correction method in automated message systems.对发生错误的当事人撤回电文的权利予以限制,将无助于实现本条文鼓励当事人就自动电文系统中更正错误的方法作出规定的预期目的。
98. The view was expressed that the term “correct” should replace the term “withdraw”, or, alternatively, that both terms should be used, for the reasons that had already been put forward during the deliberations of the Working Group (see A/CN.9/571, para. 193).98. 有与会者表示,应将“撤回”一语改为“更正”,或也可同时使用这两个用语,在工作组审议期间已有与会者就此提案的原因作过论述(见A/CN.9/571,第193段)。
There were objections to that proposal for the following reasons: (a) the typical consequence of an error in most legal systems was to make it possible for the party in error to avoid the effect of the transaction resulting from its error, but not necessarily to restore the original intent and enter into a new transaction;有与会者出于下述原因对该提案表示反对:(a)在大多数法律制度中,发生错误通常所造成的后果是,发生错误的一方当事人有可能得以避免承担因错误而造成的交易所产生的影响,但却不一定能恢复最初的意图,订立新的交易;(b)撤回等同于取消通信,而更正即为有可能对以前的通信作出修改。
(b) withdrawal equated to nullification of a communication, while correction required the possibility to modify the previous communication (a provision mandating the right to correct would introduce additional costs for system providers and give remedies with no parallel in the paper world, a result that the Working Group had previously agreed to avoid); and (c) the proposed amendment might cause practical difficulties, as operators of automated message systems might more readily provide an opportunity to nullify a communication already recorded than an opportunity to correct errors after a transaction was concluded.条文若规定有权作出更正就会增加系统供应商的费用,其所提供的救济在纸质世界中也是没有先例的,工作组此前商定应避免造成此种后果;(c)拟议的修正会造成一些实际困难,因为自动电文系统的操作人可能更愿意提供废除业已加以记录的通信的机会,而不是提供在交易完成以后更正错误的机会。
It was further indicated that a right to correct errors might entail that an offeror who received an electronic communication later alleged to contain errors must keep its original offer open since the other party had effectively replaced the communication withdrawn.还有与会者指出,有权更正错误即可要求收到后来据称含有错误的电子通信的要约人必须对最初的要约持开放态度,因为另一方当事人已实际更换了已撤回的通信。
99. It was observed that draft article 14, paragraph 1, required the withdrawal of the entire communication also when the error vitiated only a part of the electronic communication.99. 据指出,根据第14条草案第1款,即便错误仅使部分电子通信无效也必须撤回整个通信。
It was indicated that the right to withdraw should not affect those portions of a message not vitiated by the error.有与会者指出,撤回权不应影响电文中未因错误而无效的那些部分。
It was added that the provision for a partial withdrawal would also assist in preventing abuses in the exercise of the right to withdraw.有与会者补充说,就部分撤回作出规定还将有助于防止滥用撤回权。
100. After discussion, the Commission decided to add the words “the portion of” between the words “the right to withdraw” and the words “the electronic communication” in draft article 14, paragraph 1, of the draft convention.100. 委员会经讨论后决定在公约草案第14条草案第1款“有权撤回……电子通信”后添加“的部分”的词句。
The Commission requested the Secretariat to clarify in the explanatory notes how the withdrawal of a portion of the electronic communication might affect the validity of the whole message.委员会请秘书处在解释性说明中澄清撤回电子通信的一部分究竟会对整个电文的效力产生什么样的影响。
The Commission approved the substance of the chapeau and subparagraph 1 (a) of draft paragraph 1 and referred the text to the drafting group.委员会核准了第1款草案盖头语和(a)项,并将案文转交起草小组。
Subparagraph (b)(b)项
101. It was suggested that subparagraph (b) should be deleted, since it related to the consequences of the error, which should be left for national law to determine, and not with the conditions for the exercise of the right of withdrawal.101. 有与会者建议删除(b)项,因为该项涉及错误所产生的后果,而这个问题应交由国内法决定,而与行使撤回权的条件无关。
After discussion, the Commission decided to delete subparagraph (b) of paragraph 1.委员会经讨论后决定删除第1款(b)项。
Subparagraph (c)(c)项
102. It was also suggested that subparagraph (c) should be deleted, for the same reasons as for subparagraph (b) in the same draft article (see para. 101 above).102. 还有与会者建议,出于同一条草案(b)项中所载的同样的理由(见上文第101段),应删除(c)项。
However, the contrary view was also expressed, that draft subparagraph (c) related to the conditions for the exercise of the right of withdrawal.但也有与会者表示相反的观点,即(c)项草案涉及行使撤回权的条件。
It was added that the rationale of the draft provision was to bar withdrawal when the party making an error had already received material benefits or value from the vitiated communication.有与会者补充说,本条草案的基本依据是,如果造成错误的当事人已经从失效的通信中获得重大利益或价值,即可禁止撤回。
The Commission decided to retain subparagraph (c) paragraph 1 and referred the text to the drafting group.委员会决定保留第1款(c)项,并将案文转交起草小组处理。
Paragraph 1: time limit第1款:时限
103. It was indicated that the draft convention should contain a provision indicating a time limit of two years to exercise the right of withdrawal in case of input error.103. 有与会者指出公约草案应载有一则条文,规定发生输入错误时行使撤回权的时限为两年。
It was observed that such time limit would give certainty to legal transactions, which would otherwise indefinitely be subject to withdrawal until discovery of the error.据指出,此种时限可以使合法交易具有确定性,否则的话,在错误被发现之前撤回的期限将是无限的。
In response, it was indicated that time limits were a matter of public policy in many legal systems and that the draft convention should not deal with them.有与会者就此指出,在许多法律制度中,时限系公共政策问题,公约草案不应涉及。
It was added that the combined impact of subparagraphs (a) and (c) already resulted in limiting the time within which an electronic communication could be withdrawn, since indeed withdrawal had to occur “as soon as possible”, but in any event not later than the time when the party had used or received any material benefit or value from the goods or services received from the other party.有与会者补充说,在(a)项和(c)项的共同作用下,撤回电子通信的时间已经受到限制,因为撤回实际上必须“尽快”进行,但无论如何不得迟于一方当事人使用从另一方当事人收到的任何货物或服务所产生的任何重大利益或价值或从中受益的时间。
After discussion, the Commission decided not to insert a time limit to exercise the right of withdrawal in case of input error.委员会经讨论后决定不对发生输入错误时行使撤回权设置时限。
Paragraph 2第2款
104. It was submitted that the underlying purpose of draft article 14 was to provide that the specific remedy provided for in respect of input errors was not intended to interfere with the general doctrine on error that existed in national laws.104. 有与会者承认,第14条草案的基本目的是规定,就输入错误所提供具体救济并非意在影响各国法律中有关错误的一般原则。
To better express that purpose it was proposed that paragraph 2 be amended to delete the words “in question other than an input error that occurs in the circumstances referred to” and substitute wording along the following lines: “on grounds or for purposes other than providing a special remedy for input errors having occurred in the circumstances referred to in paragraph 1”.为更好地表述这一目的,有与会者提议对第2款加以修订,删除“……相关……而不是就……所列情况下发生的输入错误……”,改为:“……出于就第1款所列情况下发生的输入错误提供特别救济以外的原因或目的……”。
There was support for that proposal, although it was suggested that the amended words should be shortened to simply provide “other than as provided for in paragraph 1”.有与会者对该提议表示支持,但也有与会者建议将该款简化为“除了第1款中所提到的错误之外的……”。
Another suggestion was made to delete the words “made during the formation or performance of the type of contract in question” since those words were unnecessary given the reference to paragraph 1.有与会者建议删除“订立或履行相关合同类型当中发生的”的词句,原因是鉴于已提及第1款,这些词句毫无必要。
That proposal was accepted.工作组接受了这一提议。
A proposal to include a reference to “special remedy” in paragraph 2 did not receive support.关于在第2款中列入“特别救济”的提议未获支持。
The Commission agreed to amend paragraph 2 along the following lines: “Nothing in this article affects the application of any rule of law that may govern the consequences of any errors other than as provided for in paragraph 1.”委员会商定第2款的内容大致修订如下:“本条中的规定概不影响适用任何可能就除了第1款中所提到的错误之外的任何错误的后果作出规定的法律规则。
The Commission approved the substance of draft paragraph 2, as revised, and referred the text to the drafting group.”委员会核准了修订后的第2款草案的实质内容,并将案文转交起草小组处理。
General remarks on the final provisions对最后条文的一般意见
105. The Commission noted that draft articles 15-21, 22, variant A, 23 and 25 had already appeared in the last version of the draft convention considered by the Working Group.105. 委员会注意到,草案第15-21条、第22条备选案文A、第23和第25条已经载于由工作组审议的公约草案最后稿。
Draft articles 16 bis, 19 bis, 22, variant B, and 24 reflected proposals for additional provisions that had been made at the forty-fourth session of the Working Group.第16条之二、第19条之二、第22条备选案B和第24条草案反映了与会者在工作组第四十四届会议上就补充条文提出的提案。
At that time, the Working Group had considered and approved draft articles 18 and 19 and had held an initial exchange of views on the other final clauses, which, for lack of time, the Working Group had not formally approved.工作组当时审议并核准了第18和19条草案,就其他最后条款初步交换了意见,由于时间不够,工作组未正式核准这些条款。
In the light of its deliberations on chapters I, II and III and draft articles 18 and 19, the Working Group had requested the Secretariat to make consequential changes in the draft final provisions in chapter IV, as contained in the version of the draft convention considered by the Working Group.考虑到其就第一、二和三章及第18和19条草案的审议情况,工作组要求秘书处对载于由工作组审议的公约草案第四章中的最后条款草案作出相应的修改。
The Working Group had also requested the Secretariat to insert within square brackets in the final draft to be submitted to the Commission the draft additional provisions that had been proposed during its forty-fourth session (A/CN.9/571, para. 10).工作组还要求秘书处在拟提交给委员会的最后草案中插入在工作组第四十四届会议上提出的补充条文草案(A/CN.9/571,第10段) 并将其放在方括号内。
Article 15.第15条. 保存人
Depositary
106. The text of the draft article was as follows:106. 本条草案案文如下:
“The Secretary-General of the United Nations is hereby designated as the depositary for this Convention.”“兹指定联合国秘书长为本公约保存人。”
107. No comments were made on the draft article, which the Commission approved in substance and referred to the drafting group.107. 与会者未就该条草案发表任何意见,委员会核准了该条草案的实质内容,并将其转交起草小组处理。
Article 16. Signature, ratification, acceptance or approval第16条. 签署、批准、接受或认可
108. The text of the draft article was as follows:108. 本条草案案文如下:
“1. This Convention is open for signature by all States [at […] from […] to […] and thereafter] at the United Nations Headquarters in New York from […] to […].“1. 本公约[自[……]至[……]在[……]开放供各国签署,随后]自[……]至[……]在纽约联合国总部开放供各国签署。
“2. This Convention is subject to ratification, acceptance or approval by the signatory States.“2. 本公约须经签署国批准、接受或认可。
“3. This Convention is open for accession by all States which are not signatory States as from the date it is open for signature.“3. 自开放供签署之日,本公约对所有未签署国开放供加入。
“4. Instruments of ratification, acceptance, approval and accession are to be deposited with the Secretary-General of the United Nations.”“4. 批准书、接受书、认可书和加入书应送交联合国秘书长保存。
109. The Commission noted that, in the absence of concrete proposals for convening a diplomatic conference to adopt the draft convention, no recommendation for convening such a conference would be made to the General Assembly.109. 委员会注意到,由于在召开外交会议通过公约草案上缺乏具体的提议,未就召开此种会议向大会提出任何建议。
The Commission therefore agreed to delete the first set of words within square brackets.因此,委员会商定删除置于方括号内的头几个词。
As regards the period during which the convention should be open for signature, the Commission agreed that States should have the possibility to sign the convention for a period of two years after its adoption by the Assembly.关于本公约开放供签署的期限,委员会商定各国可以在大会通过本公约后两年内加以签署。
The Commission requested the Secretariat to consider the possibility of organizing a special ceremony to give States the possibility of signing the convention, possibly during the Commission’s thirty-ninth session, in 2006, as recent experience had demonstrated the usefulness of signing ceremonies for the purpose of promoting signature of newly adopted international conventions.委员会请秘书处研究视可能在2006年委员会第三十九届会议期间安排使各国得以签署公约的特别仪式的可能性,因为最近的经验表明签署仪式有助于推动签署最新通过的国际公约。
110. The Commission approved the substance of the draft article, as amended, and referred the text to the drafting group.110. 委员会核准了经修订的该条草案的实质内容,并将案文转交起草小组处理。
Article 16 bis. Participation by regional economic integration organizations第16条之二. 区域经济一体化组织的参与
111. The text of the draft article was as follows:111. 本条草案的案文如下:
“[1. A Regional Economic Integration Organization which is constituted by sovereign States and has competence over certain matters governed by this Convention may similarly sign, ratify, accept, approve or accede to this Convention.“[1. 经济一体化组织同样可以签署、批准、接受、认可或加入本公约。
The Regional Economic Integration Organization shall in that case have the rights and obligations of a Contracting State, to the extent that that Organization has competence over matters governed by this Convention.在此情况下,区域经济一体化组织享有的权利和负有的义务应与缔约国相同,但仅限于本组织对本公约管辖的事项具有管辖权的范围。
Where the number of Contracting States is relevant in this Convention, the Regional Economic Integration Organization shall not count as a Contracting State in addition to its Member States which are Contracting States.当本公约须考虑缔约国的数目时,除一区域经济一体化组织中已成为本公约缔约国的成员国之外,该组织不应算作一个缔约国。
“[2. The Regional Economic Integration Organization shall, at the time of signature, ratification, acceptance, approval or accession, make a declaration to the Depositary specifying the matters governed by this Convention in respect of which competence has been transferred to that Organization by its Member States.“[2. 区域经济一体化组织在签署、批准、接受、认可或加入时应向保存人提出一项声明,指明对本公约管辖的哪些事项的管辖权已由其成员国转移给本组织。
The Regional Economic Integration Organization shall promptly notify the Depositary of any changes to the distribution of competence, including new transfers of competence, specified in the declaration under this paragraph.根据本款提出的声明中所指明的管辖权分配如发生任何变化,包括管辖权的新的转移,区域经济一体化组织应迅速通知保存人。
“[3. Any reference to a ‘Contracting State’ or ‘Contracting States’ or ‘State Party’ or ‘States Parties’ in this Convention applies equally to a Regional Economic Integration Organization where the context so requires.]”“[3. 在情况需要时,本公约中对“一缔约国”或“各缔约国”的任何提及均同等适用于区域经济一体化组织。 ]”
112. The Commission noted that the draft article reflected a proposal that had been made at the forty-fourth session of the Working Group.112. 委员会注意到,本条草案反映了在工作组第四十四届会议上提出的一项提案。
There was strong support for retaining the draft article, as it was felt that such a provision, which also appeared in other recent international conventions in the field of international commercial law, such as the Unidroit Convention on International Interests in Mobile Equipment (Cape Town, 2001) (the “Cape Town Convention”), would facilitate wider participation in the convention.与会者大力支持保留本条草案,因为据称还载于统法协会《移动设备国际权益公约》(2001年,开普敦)(“《开普敦公约》”)等国际商法领域的其他新的国际公约中的此种条文可便利拓宽参与本公约的范围。
Nevertheless, a number of questions were raised concerning the formulation of the draft article.但有与会者就本条草案的行文措词提出了一些问题。
113. There was no support for the proposal to broaden the draft article so as to cover international organizations generally and not only regional economic integration organizations.113. 与会者均不支持拓宽本条草案的范围以普遍涵盖国际组织而不仅仅是区域经济一体化组织的提议。
It was noted that, at the current stage, most international organizations did not have the power to enact legally binding rules having a direct effect on private contracts, since that function typically required the exercise of certain attributes of state sovereignty that only few regional economic integration organizations had received from their member States.据指出,在现阶段,大多数国际组织都无权颁布直接影响私人合同的具有法律约束力的规则,因为行使此种职能通常需要具备国家主权的某些属性,而从其成员国获得此种属性的区域经济一体化组织为数很少。
However, some delegations stated that, in their view, the draft article should not be considered as excluding such international organizations that did have the necessary competence.但是一些代表团指出,它们认为本条草案不应被视作排除那些确有所需权限的国际组织。
114. The suggestion was made that the draft article should only permit ratification by a regional economic integration organization when its member States had expressly authorized the organization to ratify the convention.114. 有与会者建议,本条草案只有在区域经济一体化组织成员国明确授权该组织批准公约时方可允许其批准公约。
It was also said that a regional economic integration organization should not have the right to ratify the convention if none of its member States had decided to do so.还有与会者称,如果区域经济一体化组织的成员国均决定不予批准,则该组织不应享有批准公约的权利。
In response, it was observed that the extent of powers given to a regional economic integration organization was an internal matter concerning the relations between the organization and its own member States.有与会者就此指出,赋予区域经济一体化组织的权限究竟有多大属于有关该组织及其成员国之间关系的内部事项。
The draft article, it was agreed, should not prescribe the manner in which regional economic integration organizations and their member States divided competences and powers among themselves.与会者一致认为,本条草案不应对区域经济一体化组织及其成员国分配管辖权及其权限的方式作出规定。
115. As regards the phrase “has competence over certain matters governed by this Convention” in paragraph 1, the view was expressed that ratification or accession by a regional economic integration organization should only be possible to the extent that the organization in question had competence over all the matters covered by the draft convention.115. 关于第1款中“对本公约管辖的某些事项拥有管辖权”的用语,有与会者认为,区域经济一体化组织批准或加入的必要条件是该组织对本公约草案所涉所有事项均拥有管辖权。
Another concern, in that connection, related to the interplay between draft articles 16 bis and 18.与此有关的另一个问题涉及第16条之二和第18条草案之间的相互关系。
The question was asked whether a regional economic integration organization could submit declarations that differed from the declarations submitted by its member States.有与会者质疑区域经济一体化组织是否可以提出有别于其成员国所提出之声明的声明。
Such a situation was said to be highly undesirable, as it would create considerable uncertainty in the application of the convention and deprive private parties of the ability to easily ascertain beforehand to which matters the convention applied in respect of which States.据称,此种情况很不可取,因为它会造成公约的适用很不确定,使私人当事方无法事先很容易的确定公约在哪些事项上对哪些国家适用。
Clarification was also sought concerning matters in which a regional economic integration organization might share competence with its member States and how private parties in third countries might know when the member States and when the organization had the power to make a declaration.还有与会者寻求澄清区域经济一体化组织究竟在哪些问题上可以与其成员国共享管辖权及第三国的私人当事方究竟如何能够了解成员国和该组织何时享有提出一项声明的权力。
116. In response, it was observed that regional economic integration organizations typically derived their powers from their member States and that by their very nature, as international organizations, they only had competences in the areas that had been expressly or implicitly transferred to their sphere of activities.116. 有与会者就此提出,区域经济一体化组织的权力通常来自其成员国,根据其作为国际组织的基本性质,区域经济一体化组织仅在已经明确或不明确地转移到其活动范围的领域内享有权限。
Several provisions of the draft convention, in particular those of chapter IV, implied the exercise of full state sovereignty and the draft convention was not in its entirety capable of being applied by a regional economic integration organization.公约草案的几则条文,尤其是第四章中的条文含有行使完全国家主权的意思,因此区域经济一体化组织并不能够适用本公约草案的全部条款。
Furthermore, the legislative authority over the substantive matters dealt with in the draft convention might to some extent be shared between the organization and its member States.而且,对公约草案中所涉实质性事项的立法权在某种程度上可以由某个组织与其成员国共享。
The draft article would not provide a basis for ratification if the regional economic integration organization had no competence on the subject matter covered by the convention, but in cases where the organization had some competence, the draft article was a useful provision.如果区域经济一体化组织对公约所涉主题事项不享有管辖权,本条草案也就无法提供批准的依据,但如果一个组织享有某种权限,本条草案则是有益的条文。
117. As regards the declarations that a regional economic integration organization and its member States might submit, it was suggested that, in practice, it was unlikely that conflicting declarations might be submitted by the organization and its member States.117. 关于区域经济一体化组织及其成员国可提交的声明,有与会者指出,一组织及其成员国事实上无法提交互有冲突的声明。
Paragraph 2 of the draft article already required a high standard of coordination by requiring that the regional economic integration organization declare the specific matters for which it was competent.本条草案第2款规定区域经济一体化组织应声明其享有管辖权的具体事项,因此在协调问题上所要求达到的标准很高。
Under normal circumstances, careful consultations would take place, as a result of which, if declarations under draft article 18 were found to be necessary, there would be a set of common declarations for the matters in respect of which the regional economic integration organization was competent, which would be mandatory for all member States of the organization.在通常情况下将进行认真的磋商,在磋商以后如果认为根据第18条草案必须作出声明,则将就区域经济一体化组织享有管辖权的事项作出一系列共同声明,此种声明对该组织所有成员国均具有强制性。
Differing declarations from member States would thus be limited to matters in which no exclusive competence had been transferred from member States to the regional economic integration organization, or matters particular to the State making a declaration, as might be the case, for example, of declarations under draft article 19, paragraphs 2-4, since not all member States of regional economic integration organizations were necessarily contracting States to the same international conventions or treaties.因此,成员国局限于对下述事项作出不同的声明:即专属管辖权未从成员国转移至区域经济一体化组织的事项或与作出声明的国家有关的特定事项,例如,根据第19条草案第2-4款作出的声明就属于此种情况,因为区域经济一体化组织的所有各成员国并不一定都是同样一些国际公约或条约的缔约国。
118. The Commission took note of those comments.118. 委员会注意到这些评论意见。
There was general agreement on the paramount need for ensuring consistency between declarations made by regional economic integration organizations and declarations made by their member States.与会者普遍认为,关键是确保区域经济一体化组织所作声明与其成员国所作声明保持一致。
The Commission acknowledged, that, in view of the flexibility needed to take into account the peculiarities of regional economic integration organizations, it would not be possible to formulate provisions in the draft convention that effectively eliminated the risk, at least in theory, of a regional economic integration organization and its member States making conflicting declarations.委员会承认,鉴于必须灵活考虑区域经济一体化组织的特殊性,在公约草案中拟定的条文至少从理论上讲无法实际消除区域经济一体化组织及其成员国作出互有冲突的声明的风险。
Nevertheless, there was a strong consensus within the Commission that contracting States to the convention would be entitled to expect that a regional economic integration organization that ratified the convention, and its own member States, would take the necessary steps to avoid conflicts in the manner in which they applied the convention.尽管如此,委员会中形成的强烈共识是,公约缔约国有权要求批准本公约的区域经济一体化组织及其成员国将采取必要步骤避免在适用公约的方式上发生冲突。
119. It was said that some regional economic integration organizations had the power to enact rules aimed at harmonizing private commercial law with a view to facilitating the establishment of an internal market among its member States.119. 据称,某些区域经济一体化组织有权为协助建立其成员国之间的内部市场而颁布旨在统一商业私法的规则。
Those cases were analogous to the situation in some countries in which sub-sovereign jurisdictions, such as states or provinces, had legislative authority over private law matters.此种情形与某些国家的州或省等次级主权管辖区对私法事项享有立法权的情况类似。
Therefore, for matters subject to regional legal harmonization, a regional economic integration organization showed some features of a domestic legal system and deserved similar treatment.因此,对于某些须在区域范围内进行立法协调的事项,区域经济一体化组织具有国内法律制度的某些特征,因此理应得到类似的对待。
For those reasons, it was proposed that a new paragraph should be added to the draft article to the effect that, in their mutual relations, contracting States to the convention should apply the rules emanating from the regional economic integration organization, rather than the provisions of the convention.出于这些原因,有与会者提议在本条草案中增列新的一款,其内容大致为,本公约缔约国在其相互关系中所应适用的规则系来自区域经济一体化组织的规则,而不是本公约的条文。
120. While there were several expressions of support for the proposed new provision, there were also strong objections to it.120. 尽管有些与会者对拟议的新条文表示支持,但也有人强烈反对。
The main reason for those widely shared objections was that it would be inappropriate for an instrument prepared by the United Nations to prescribe to member States of regional economic integration organizations what rules they should apply as a result of their membership in such an organization.普遍持异议的主要原因是,由联合国编拟的文书不宜给区域经济一体化组织成员国规定其作为此种组织的成员应适用哪一些规则。
It was noted that other instruments prepared by the Commission, such as the United Nations Sales Convention, acknowledged the right of States with similar laws in respect of matters covered by the instrument to declare that their domestic laws took precedence over the provisions of the international instrument in respect of contracts concluded between parties located in their territories.据指出,《联合国销售公约》等由委员会编拟的其他文书均承认,在文书所涉事项上订有类似法律的国家有权声明,对于位于其域内的当事人之间订立的合同,其国内法优先于国际文书的规定。
It would not be acceptable, however, for the international convention itself to dictate how States had to apply their domestic laws or regional commitments.但由国际公约本身来强制规定各国如何适用其国内法或区域承诺,则是无法让人接受的。
121. The Commission considered the proposal and its supporting arguments extensively, as well as alternative provisions that were suggested to meet the concerns of those who had raised objections to it.121. 委员会对该提案及支持该提案的各种论点以及与会者为消除反对者所持的关切而提出的备选条文进行了广泛的研究。
The Commission eventually agreed that a new paragraph 4 should be inserted in the draft article with wording along the following lines:委员会最终一致认为应在本条草案中插入新的第4款,其措词大致如下:
“This Convention shall not prevail over any conflicting rules of any regional economic integration organization as applicable to parties whose respective places of business are located in Member States of any such organization, as set out by declaration made in accordance with article 20.”“对于任何区域经济一体化组织的规则,凡适用于其各自营业地位于根据第20条作出的声明所列出的任何此种组织的成员国的当事人的,在与本公约发生冲突时,本公约不得优先。”
122. In response to questions raised in connection with the new provision, it was observed that the declaration contemplated therein would be submitted by the regional economic integration organization itself and was distinct from, and without prejudice to, declarations by States under draft article 18, paragraph 2.122. 有与会者在答复就新的条文而提出的问题时指出,此处拟议的声明将由区域经济一体化组织亲自提交,此种声明既有别于也不会损害各国根据第18条草案第2款所作的声明。
If no such organization ratified the convention, their member States who wished to do so would still have the right to include, among the other declarations that they might wish to make, a declaration of the type contemplated in the new paragraph 4 of the draft article in view of the broad scope of draft article 18, paragraph 2.即使一组织未批准本公约,但是鉴于第18条草案第2款的范围很广,该组织中的成员国如果愿意的话,仍有权把本条草案新的第4款中所设想的哪类声明列入其可能希望作出的其他声明中。
It was understood that if a State did not make such a declaration, paragraph 4 of the draft article would not automatically apply.按理解,如果一国未作出此类声明,本条草案第4款将不会自动适用。
123. The Commission approved the substance of the draft article, with the addition it had accepted, and referred the text to the drafting group.123. 委员会核准了本条草案的实质内容,连同其已接受的补充条文,并将案文转交起草小组处理。
Article 17. Effects in domestic territorial units第17条. 对本国领土单位的效力
124. The text of the draft article was as follows:124. 本条草案案文如下:
“1. If a Contracting State has two or more territorial units in which different systems of law are applicable in relation to the matters dealt with in this Convention, it may, at the time of signature, ratification, acceptance, approval or accession, declare that this Convention is to extend to all its territorial units or only to one or more of them, and may amend its declaration by submitting another declaration at any time.“1. 一缔约国拥有两个或多个领土单位,各领土单位对本公约所涉事项适用不同法律制度的,该国得在签署、批准、接受、认可或加入时声明本公约适用于本国全部领土单位或仅适用于其中的一个或数个领土单位,并且可以随时提出另一声明来修改其所做的声明。
“2. These declarations are to be notified to the depositary and are to state expressly the territorial units to which the Convention extends.“2. 此种声明应通知保存人,并且明确指明适用本公约的领土单位。
“3. If, by virtue of a declaration under this article, this Convention extends to one or more but not all of the territorial units of a Contracting State, and if the place of business of a party is located in that State, this place of business, for the purposes of this Convention, is considered not to be in a Contracting State, unless it is in a territorial unit to which the Convention extends.“3. 由于按本条规定作出一项声明,本公约适用于缔约国的一个或数个领土单位但不是全部领土单位,而且一方当事人的营业地位于该国之内的,为本公约之目的,除非该营业地位于本公约适用的领土单位内,否则该营业地视为不在缔约国内。
“4. If a Contracting State makes no declaration under paragraph (1) of this article, the Convention is to extend to all territorial units of that State.”“4. 缔约国未根据本条第1款作出声明的,本公约适用于该国所有领土单位。
125. The Commission noted that the draft article reflected the wording of similar provisions in other instruments it had prepared.125. 委员会指出,本条草案反映了其所拟订的其他文书中类似条款的措辞。
However, the words “according to its constitution”, which had appeared after the words “two or more territorial units in which”, had been deleted in other instruments.不过,删除了其他文书中“两个或多个领土单位”一语之后的“依照本国宪法规定”一语。
The Commission took note of those new practices, approved the substance of draft article 17 unchanged and referred the text to the drafting group.委员会注意到这些新做法,核准了第17条草案的实质内容,未作改动,并将案文转交起草小组处理。
Article 18. Declarations on the scope of application第18条. 关于适用范围的声明
126. The text of the draft article was as follows:126. 本条草案案文如下:
“1. Any State may declare, in accordance with article 20, that it will apply this Convention only:“1. 任何国家均可根据第20条声明其仅在下述情况下适用本公约:
“(a) When the States referred to in article 1, paragraph 1 are Contracting States to this Convention;“(a) 第1条第1款中提及的国家是本公约的缔约国;
“(b) When the rules of private international law lead to the application of the law of a Contracting State;“(b) 国际私法规则导致适用某一缔约国的法律;或
or
“(c) When the parties have agreed that it applies.“(c) 当事人约定适用本公约。
“2. Any State may exclude from the scope of application of this Convention the matters it specifies in a declaration made in accordance with article 20.”“2. 任何国家均可将其在根据第20条所作的声明中指明的事项排除在本公约的适用范围之外。
127. The Commission agreed that the provision contained in draft article 18, paragraph 1 (b), should be deleted to reflect the understanding of the Commission that the application of the convention would in any event be subject to the rules of private international law and that, therefore, paragraph 1 (b) was redundant (see paras. 21 and 22 above).127. 委员会一致同意删去第18条草案第1款(b)项所载条文,以反映委员会的一项理解,即公约的适用在任何情况下都必须受国际私法规则的约束,因此第1款(b)项显得多余(见上文第21和22段)。
128. It was suggested that the provision contained in draft article 18, paragraph 1 (c), should be deleted as it would give rise to significant uncertainties on the application of the convention in non-party States whose rules of private international law directed the courts to the application of the laws of a contracting State that had made such a declaration.128. 据建议,应删去第18条草案第1款(c)项所载条文,因为如果非缔约国的国际私法规则指示法院适用一作出此项声明的缔约国的法律,则该条文将在公约在该非缔约国中的适用方面造成重大不确定性。
Furthermore, it was argued that any declaration under draft article 18, paragraph 1 (c), would, in practice, radically restrict the applicability of the convention and deprive it of its primary function, which was to provide default rules for the use of electronic communications by parties that had not agreed on detailed contract rules for the matters covered by the draft convention.而且据认为,任何根据第18条草案第1款(c)项的规定作出的声明都将在实务中大大限制公约的适用,并导致公约丧失其主要功能,即为在公约草案所涉事项上未约定详细合同规则的当事各方使用电子通信提供缺省规则的功能。
However, it was also observed that the provision would give those States which might have difficulties in accepting the general application of the convention under its article 1, paragraph 1, the possibility to allow their nationals to choose the convention as applicable law.不过另据指出,该条文将为可能在根据公约第1条第1款的规定接受公约的普遍适用方面有困难的国家提供允许其国民选择公约作为准据法的可能性。
The Commission agreed to retain the draft provision.委员会同意保留该条文草案。
129. The question was raised as to whether draft article 18, paragraph 2, allowed States to make a declaration whereby the application of the convention would be limited only to the use of electronic communications in connection with contracts covered by some of the international conventions listed in draft article 19, paragraph 1, for example, to the New York Convention and to the United Nations Sales Convention, to the extent that the State making such a declaration was bound by those Conventions.129. 有与会者提出一个问题,即第18条草案第2款是否允许各国作出声明,将公约的适用仅限制在与第19条草案第1款中所列国际公约的其中一部分所涉合同有关而使用的电子通信方面,例如限于《纽约公约》和《联合国销售公约》,条件是作出此种声明的国家受这些公约的约束。
The Commission agreed that under the broad terms of draft article 18, paragraph 2, such a declaration would be possible.委员会一致同意,根据第18条草案第2款的广义规定,这一声明是可能的。
However, it was also noted that, while any form of participation in the convention would contribute to the development of the use of electronic commerce in international trade, such a declaration would not further the equally desired goal of ensuring the broadest possible application of the convention and should not be encouraged.不过另据指出,尽管任何加入公约的形式都有助于发展在国际贸易中使用电子商务,但是这类声明却无助于促进确保公约尽可能获得最广泛的适用这一同样希望的目标,因此不应当加以鼓励。
130. The Commission approved the substance of the draft article, as amended, and referred the text to the drafting group.130. 委员会核准了修订后的本条草案的实质内容,并将案文转交起草小组处理。
Article 19. Communications exchanged under other international conventions第19条. 根据其他国际公约进行的通信往来
131. The text of the draft article was as follows:131. 本条草案案文如下:
“1. The provisions of this Convention apply to the use of electronic communications in connection with the formation or performance of a contract or agreement to which any of the following international conventions, to which a Contracting State to this Convention is or may become a Contracting State, apply:“1. 本公约的规定适用于与订立或履行本公约缔约国已加入或可能加入的下列任何国际公约所适用的合同或协议有关的电子通信的使用:
Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 10 June 1958);《承认及执行外国仲裁裁决公约》(1958年6月10日,纽约);
Convention on the Limitation Period in the International Sale of Goods (New York, 14 June 1974) and Protocol thereto (Vienna, 11 April 1980);《国际货物销售时效期限公约》(1974年6月14日,纽约)及其议定书(1980年4月11日,维也纳);
United Nations Convention on Contracts for the International Sale of Goods (Vienna, 11 April 1980);《联合国国际货物销售合同公约》(1980年4月11日,维也纳);
United Nations Convention on the Liability of Operators of Transport Terminals in International Trade (Vienna, 19 April 1991);《联合国国际贸易运输港站经营人赔偿责任公约》(1991年4月19日,维也纳);
United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 11 December 1995);《联合国独立担保和备用信用证公约》(1995年12月11日,纽约);
United Nations Convention on the Assignment of Receivables in International Trade (New York, 12 December 2001).《联合国国际贸易应收款转让公约》(2001年12月12日,纽约)。
“2. The provisions of this Convention apply further to electronic communications in connection with the formation or performance of a contract or agreement to which another international convention, treaty or agreement not specifically referred to in paragraph 1 of this article, and to which a Contracting State to this Convention is or may become a Contracting State, applies, unless the State has declared, in accordance with article 20, that it will not be bound by this paragraph.“2. 本公约的规定还适用于与订立或履行本公约一缔约国已加入或可能加入但未在本条第1款中具体提及的另一国际公约、条约或协定所适用的合同或协议有关的电子通信,除非该国已根据第20条声明其将不受本款的约束。
“3. A State that makes a declaration pursuant to paragraph 2 of this article may also declare that it will nevertheless apply the provisions of this Convention to the use of electronic communications in connection with the formation or performance of any contract or agreement to which a specified international convention, treaty or agreement applies to which the State is or may become a Contracting State.“3. 根据本条第2款作出声明的国家也可声明其仍将对与订立或履行该国已加入或可能加入的已指明的国际公约、条约或协定所适用的任何合同或协议有关的电子通信的使用适用本公约的规定。
“4.
Any State may declare that it will not apply the provisions of this Convention to the use of electronic communications in connection with the formation or performance of a contract or agreement to which any international convention, treaty or agreement specified in that State’s declaration, to which the State is or may become a Contracting State, applies, including any of the conventions referred to in paragraph 1 of this article, even if such State has not excluded the application of paragraph 2 of this article by a declaration made in accordance with article 20.”“4. 任何国家均可声明其将不对与订立或履行该国已加入或可能加入的而且在该国的声明中指明的任何国际公约、条约或协定,包括本条第1款中提及的任何公约所适用的合同或协议有关的电子通信的使用适用本公约的规定,即使该国尚未通过根据第20条作出声明的方式排除本条第2款的适用亦如此。
132. Noting the extensive deliberations held on the draft article in the Working Group (A/CN.9/571, paras. 47-58), the Commission approved its substance and referred the text to the drafting group.132. 注意到工作组已就本条草案开展了广泛审议(A/CN.9/571,第47-58段),委员会核准了其实质内容,并将案文转交起草小组处理。
Article 19 bis. Procedure for amendments to article 19, paragraph 1第19条之二. 对第19条第1款的修正程序
133. The text of the draft article was as follows:133. 本条草案案文如下:
“[1.
The list of instruments in article 19, paragraph 1, may be amended by the addition of [other conventions prepared by UNCITRAL] [relevant conventions, treaties or agreements] that are open to the participation of all States.“[1. 第19条第1款所载文书清单可作修改,增列向所有国家开放加入的[由贸易法委员会拟定的其他公约][相关公约、条约或协定]。
“2. After the entry into force of this Convention, any State Party may propose such an amendment.“2. 本公约生效后,任何缔约国可提议作出上述修改。
Any proposal for an amendment shall be communicated to the depositary in written form.要求修改的任何提议应以书面形式提交保存人。
The depositary shall notify proposals that meet the requirements of paragraph 1 to all States Parties and seek their views on whether the proposed amendment should be adopted.保存人应将符合第1款要求的提议通知所有缔约国,并就是否应通过拟议的修改征求它们的意见。
“3. The proposed amendment shall be deemed adopted unless one third of the States Parties object to it by a written notification not later than 180 days after its circulation.]”“3. 除非有三分之一的缔约国在拟议的修改分发后180天内提出书面通知表示反对,否则有关修改视为通过。
]”
134. The Commission noted that the entire draft article appeared within square brackets, as it reflected a proposal that had been made at the forty-fourth session of the Working Group but that the Working Group had not had time to consider.134. 委员会注意到,本条草案整个置于方括号中,因为本条草案反映了工作组第四十四届会议上提出的一项提案,但工作组当时没有时间对其加以审议。
135. It was observed that the draft provision would further the application of the convention to other UNCITRAL instruments, whose implementation was particularly favoured in view of their origin, as reflected in the text of draft article 19.135. 据指出,本条草案将进一步将本公约适用于其他贸易法委员会文书,正如第19条草案案文所反映的,由于这些文书的出处,其实施尤其得到优先考虑。
In response, concerns were raised on the mechanism of tacit acceptance of the amendments envisaged in draft paragraph 3, insofar as this would bind States that did not explicitly express their consent to be bound by the amendment.对此,有与会者对第3款草案所设想的默认修正的机制提出关切,因为这将对没有明确表示同意受该修正约束的国家具有约束力。
It was added that, in the absence of a dedicated provision, the amendment of the relevant article would be possible according to the general rules applicable to the convention.据补充,在没有一项专门条文的情况下,将有可能根据本公约所适用的一般规则对有关条款加以修正。
136. After discussion, the Commission decided to delete draft article 19 bis from the text of the draft convention.136. 经过讨论,委员会决定从本公约草案案文中删去第19条之二草案。
Article 20. Procedure and effects of declarations第20条. 声明的程序和效力
137. The text of the draft article was as follows:137. 本条草案案文如下:
“1.
Declarations under articles 17, paragraph 1, 18, paragraphs 1 and 2 and 19, paragraphs 2, 3 and 4, may be made at any time.“1. 可以在任何时候根据第17条第1款、第18条第1款和第2款以及第19条第2款、第3款和第4款作出声明。
Declarations made at the time of signature are subject to confirmation upon ratification, acceptance or approval.在签署时作出的声明须在批准、接受或认可时加以确认。
“2. Declarations and their confirmations are to be in writing and be formally notified to the depositary.“2. 声明及其确认,应以书面形式提出,并应正式通知保存人。
“3. A declaration takes effect simultaneously with the entry into force of this Convention in respect of the State concerned.“3. 声明在本公约对有关国家开始生效时同时生效。
However, a declaration of which the depositary receives formal notification after such entry into force takes effect on the first day of the month following the expiration of six months after the date of its receipt by the depositary.但是,保存人于此种生效后收到正式通知的声明,应于保存人收到该项声明之日起满六个月后的下一个月第一日生效。
“4. Any State which makes a declaration under this Convention may modify or withdraw it at any time by a formal notification in writing addressed to the depositary.“4. 根据本公约规定作出声明的任何国家可以在任何时候以书面形式正式通知保存人更改或撤回该项声明。
The modification or withdrawal is to take effect on the first day of the month following the expiration of six months after the date of the receipt of the notification by the depositary.”此种更改或撤回于保存人收到通知之日起满六个月后的下一个月第一日生效。
138. The Commission agreed that the reference to draft article 17, paragraph 1, should be deleted from draft article 20, paragraph 1, since the declaration contained in draft article 17, paragraph 1, was typically made upon expression of consent to be bound by the State, as stated in the same draft provision.138. 委员会一致同意,应从第20条草案第1款中删去对第17条草案第1款的提及,因为正如第17条草案第1款所述,该条文草案中所述声明通常系缔约国在表示同意受约束时所作。
139. The Commission agreed that a reference to draft article 16 bis, paragraph 4, should be inserted in draft article 20, paragraph 1.139. 委员会一致同意,应当在第20条草案第1款中加入对第16条之二草案第4款的提及。
It was suggested that, unlike the declaration provided for in draft article 16 bis, paragraph 2, which was typically made upon expression of participation by the regional economic integration organization, the declaration in draft article 16 bis, paragraph 4, could be made at any time.据建议,与第16条之二草案第2款中所规定的通常由区域经济一体化组织在表示加入时所作的声明不同,第16条之二草案第4款所述声明可以在任何时候作出。
140. It was further suggested that declarations lodged after the entry into force of the convention should enter into force three months after the date of receipt by depositary, as provided for in other international trade law agreements.140. 另据建议,在本公约生效之后所作的声明按照其他国际贸易法协定的规定,应当在保存人收到日之后三个月内生效。
However, it was also noted that three months might not be adequate time to allow for adjustment in certain business practices and that for this purpose the period of six months should be retained.不过另据指出,在某些商业实务中,三个月可能尚不足以作出调整,为此应保留六个月期限。
141. Subject to those amendments, the Commission approved the substance of the draft article and referred the text to the drafting group.141. 经过这些修改,委员会核准了本条草案的实质内容,并将案文转交起草小组处理。
Article 21. Reservations第21条. 保留
142. The text of the draft article was as follows:142. 本条草案案文如下:
“No reservations may be made under this Convention.”“不得对本公约提出保留。”
143. Having noted the Working Group’s understanding as to the practical difference between declarations and reservations in the context of the draft convention (see A/CN.9/571, para. 30), the Commission approved the substance of the draft article and referred the text to the drafting group.143. 注意到工作组对于本公约草案中声明和保留之间的实际差别的理解(见A/CN.9/571,第30段),委员会核准了本条草案的实质内容,并将案文转交起草小组处理。
Article 22. Amendments第22条. 修正
144. The text of the draft article was as follows:144. 本条草案案文如下:
“[Variant A“[备选案文A
“1. Any Contracting State may propose amendments to this Convention.“1. 任何缔约国均可对本公约提出修正案。
Proposed amendments shall be submitted in writing to the Secretary-General of the United Nations, who shall circulate the proposal to all States Parties, with the request that they indicate whether they favour a conference of States Parties.所提出的修正案应当以书面形式提交联合国秘书长,后者应将提案转发各缔约国,并要求它们表明其是否赞成召开缔约国会议。
In the event that, within four months from the date of such communication, at least one third of the States Parties favour such a conference, the Secretary-General shall convene the conference under the auspices of the United Nations.如果从转发提案之日起四个月内至少有三分之一的缔约国赞成召开此会议,则秘书长应当在联合国主持下召开此会议。
Proposals for amendment shall be circulated to the Contracting States at least ninety days in advance of the conference.修正案应当至少在会前提前九十天分发给各缔约国。
“2.
Amendments to this Convention shall be adopted by [two thirds] [a majority of] the Contracting States present and voting at the conference of Contracting States and shall enter into force in respect of States which have ratified, accepted or approved such amendment on the first day of the month following the expiration of six months after the date on which [two thirds] of the Contracting States as of the time of the adoption of the amendment at the conference of the Contracting States have deposited their instruments of acceptance of the amendment.]“2. 本公约修正案须以出席缔约国会议并参加表决的缔约国的[三分之二][过半数]通过,并应于自缔约国会议通过修正案之时起[三分之二]的缔约国已交存修正案接受书之日满六个月后的下一个月第一日对已批准、接受或认可该修正案的国家生效。
“[Variant B“[备选案文B
“1. The [Office of Legal Affairs of the United Nations] [secretariat of the United Nations Commission on International Trade Law] shall prepare reports [yearly or] at such [other] time as the circumstances may require for the States Parties as to the manner in which the international regimen established in this Convention has operated in practice.“1. [联合国法律事务厅][联合国国际贸易法委员会秘书处]应[每年或]在视情所需的[其他]时间为缔约国编制报告,介绍有关本公约设立的国际制度的实际运作方式。
“2. At the request of [not less than twenty-five per cent of] the States Parties, review conferences of Contracting States shall be convened from time to time by the [Office of Legal Affairs of the United Nations] [secretariat of the United Nations Commission on International Trade Law] to consider:“2. 应[不少于百分之二十五的]缔约国的要求,[联合国法律事务厅][联合国国际贸易法委员会秘书处]应随时召开缔约国复审大会,以审议:
“(a) The practical operation of this Convention and its effectiveness in facilitating electronic commerce covered by its terms;“(a) 本公约的实际运作及其在促进其条款中所涵盖的电子商务方面的成效;
“(b) The judicial interpretation given to, and the application made of, the terms of this Convention;“(b) 对本公约的条款所作的司法解释以及条款的适用情况;
and
“(c) Whether any modifications to this Convention are desirable.“(c) 是否应对本公约作任何修订。
“3.
Any amendment to this Convention shall be approved by at least a two-thirds majority of States participating in the conference referred to in the preceding paragraph and shall then enter into force in respect of States which have ratified, accepted or approved such amendment when ratified, accepted, or approved by three States in accordance with the provisions of article 23 relating to its entry into force.]”“3. 对本公约的任何修订,须经出席前款所述大会的至少三分之二的多数缔约国认可,并在根据第23条有关生效的规定经三个国家批准、接受或认可后,对已经批准、接受或认可该项修订的国家生效。 ]”
145. The Commission noted that variant A of the draft article had already appeared in the last version of the draft convention that the Working Group had reviewed, whereas variant B reflected a proposal which had been made at the forty-fourth session of the Working Group, and which the Working Group had not had the time to consider.145. 委员会指出,本条草案备选案文A在工作组所审议的公约草案上一稿中已经存在,其中备选案文B反映了工作组第四十四届会议上所提出的一项提案,工作组尚无时间对其进行审议。
The Commission was advised that variant B presented a more flexible means for assessing the needs for amendment of the draft convention.委员会了解到,备选案文B为评估修正公约草案的需要提供了一种更为灵活的手段。
The Commission was also advised that the references to the “Office of Legal Affairs of the United Nations” and the “secretariat of the United Nations Commission on International Trade Law” might need to be replaced with references to the “Secretary-General of the United Nations” or “the depositary” for consistency with the practices in respect of administrative services provided by the United Nations to its Member States.委员会还了解到,为了与联合国为会员国提供行政服务的做法保持一致,对“联合国法律事务厅”和“联合国国际贸易法委员会秘书处”的提及可能需要替换为提及“联合国秘书长”或“保存人”。
146. While some support was expressed for variant A, the prevailing view of the Commission was to adopt variant B as a working assumption.146. 尽管有一些与会者对备选案文A表示支持,委员会的普遍意见是采纳备选案文B作为工作假设。
There was strong support for the idea of requesting the Secretariat to keep the practical application of the convention under review and to report to Member States, from time to time, as to problems or new developments that might warrant a revision of the convention.与会者强烈支持一项意见,即请秘书处不断审查公约的实际适用情况,并定期向会员国报告可能需要修订公约的问题或新的情况。
There was also support for envisaging a simplified amendment procedure that might obviate the need for convening ad hoc diplomatic conferences and that might take advantage of the existing framework offered by the Commission, its Working Groups and the Secretariat for the purpose of considering proposals for revision of the convention.与会者还支持设想一个简化修正程序,该简化修正程序可能无需召开特别外交会议,并可能利用委员会、其各工作组和秘书处为审议关于修订公约的提案所提供的现有框架。
However, there was considerable disagreement as to the level of detail with which those objectives should be reflected in the draft convention and to the extent to which the draft convention should deal with amendment procedures.不过,关于这些目标应当在公约草案中加以反映的详细程度以及公约草案在多大程度上应当涉及修正程序问题,有大量不同意见。
In particular, there were strong objections to making express reference in the draft convention to an amendment procedure requiring formal voting by contracting States, as it was suggested that the practice of taking decisions by consensus, which the Commission had consistently applied throughout the years, was more appropriate for the formulation of uniform rules on private law matters.尤其是,有与会者强烈反对在公约草案中明确提及需要缔约国正式表决的修正程序,因为据建议,委员会多年来一直采用的以协商一致的方式作出决定的做法对于私法问题统一规则的拟订更为妥当。
147. It was stated that the Commission could propose changes by a protocol or otherwise through its procedures and that contracting States could still modify provisions at any time inter se under existing treaty law.147. 据指出,委员会可通过一项规程或以其他方式通过其程序而提出改动,缔约国则仍可根据现有条约法律在此期间随时修订条文。
It was also noted that most conventions that the Commission had prepared did not contain provisions on their amendment.另据指出,委员会所拟订的大多数公约不包含关于其修正的条文。
In the absence of any provision relating to amendment of the draft convention, the principles for amendment of the draft convention would be found by reference to the Vienna Convention on the Law of Treaties between States that were party to that Convention and principles of customary international law.在没有任何关于本公约草案的修正的条文的情况下,本公约草案的修正原则,将在加入《维也纳条约法公约》的国家之间以该公约为依据并参照国际习惯法原则,包括那些已被纳入《维也纳条约法公约》的原则。
After extensive debate on those conflicting views and having considered various proposals to address the concerns that had been expressed, the Commission decided to delete draft article 22.在对这些相互冲突的观点进行广泛辩论并审议了所提出的若干关于这些关切的建议之后,委员会决定整个删去第22条草案。
Article 23.第23条. 生效
Entry into force
148. The text of the draft article was as follows:148. 本条草案案文如下:
“1. This Convention enters into force on the first day of the month following the expiration of six months after the date of deposit of the [...] instrument of ratification, acceptance, approval or accession.“1. 本公约于第[……]件批准书、接受书、认可书或加入书交存之日起满六个月后的下一个月第一日生效。
“2. When a State ratifies, accepts, approves or accedes to this Convention after the deposit of the […] instrument of ratification, acceptance, approval or accession, this Convention enters into force in respect of that State on the first day of the month following the expiration of six months after the date of the deposit of its instrument of ratification, acceptance, approval or accession.”“2. 一国在第[……]件批准书、接受书、认可书或加入书交存之后才批准、接受、认可或加入本公约的,本公约于该国交存其批准书、接受书、认可书或加入书之日起满六个月后的下一个月第一日对该国生效。
149. The Commission noted that existing UNCITRAL conventions required as few as three and as many as 10 ratifications for entry into force.149. 委员会注意到,现有贸易法委员会公约的生效需要少至三个多至10个国家的批准。
A proposal was made that the number of ratifications to be included in the draft article should be 20.有一项建议是,本条草案中的批准书数目应为20个。
However, the Commission did not accept that proposal, as the prevailing view was in favour of entry into force after ratification of three States.不过委员会未接受该建议,因为普遍意见倾向于在三个国家批准之后生效。
It was noted that that approach was in keeping with the modern trend in commercial law conventions, which promoted their application as early as possible to those States which sought to apply such rules to their commerce.据指出,这一方法与商业法公约的现代趋势是一致的,即促进公约尽早适用于希望将其规则适用于本国商业的国家。
150. The Commission agreed to include the words “the third” in the open bracketed text in paragraphs 1 and 2.150. 委员会一致同意在第1和第2款的方括号中列入“第三”一词。
The Commission approved the substance of the draft article and referred the text to the drafting group.委员会核准了本条草案的实质内容,并将案文转交起草小组处理。
Article 24. Transitional rules第24条. 过渡规则
151. The text of the draft article was as follows:151. 本条草案案文如下:
“[1. This Convention applies only to electronic communications that are made after the date when the Convention enters into force.“[1. 本公约仅适用于在公约生效之日后进行的电子通信。
“[2. In Contracting States that make a declaration under article 18, paragraph 1, this Convention applies only to electronic communications that are made after the date when the Convention enters into force in respect of the Contracting States referred to in paragraph 1 (a) or the Contracting State referred to in paragraph 1 (b) of article 18.“[2. 在根据第18条第1款作出声明的缔约国中,本公约仅适用于在公约对第18条第1(a)款所述缔约国或对第1(b)款所述缔约国生效之日后进行的电子通信。
“[3. This Convention applies only to the electronic communications referred to in article 19, paragraph 1, after the date when the relevant Convention among those listed in article 19, paragraph 1, has entered into force in the Contracting State.“[3. 本公约仅适用于第19条第1款所列其中相关公约在缔约国生效之日后进行的如第19条第1款所述的电子通信。
“[4. When a Contracting State has made a declaration under article 19, paragraph 3, this Convention applies only to electronic communications in connection with the formation or performance of a contract falling within the scope of the declaration after the date when the declaration takes effect in accordance with article 20, paragraph 3 or 4.“[4. 缔约国根据第19条第3款作出声明的,本公约仅适用于在该项声明根据第20条第3款或第4款生效之日后与订立或履行属于该项声明范围内的合同而相关的电子通信。
“[5. A declaration under article 18, paragraphs 1 or 2, or article 19, paragraphs 2, 3 or 4, or its withdrawal or modification, does not affect any rights created by electronic communications made before the date when the declaration takes effect in accordance with article 20, paragraph 3 or 4.]”“[5. 根据第18条第1款或第2款或者根据第19条第2款、第3款或第4款作出的声明,或对声明的撤消或更改,不影响在该项声明根据第20条第3款或第4款生效之日前进行的电子通信所创设的任何权利。
]”
152. The Commission noted that the last version of the draft convention that the Working Group had considered had contained only paragraph 1 of the draft article.152. 委员会注意到,工作组所审议的公约草案上一稿仅载有本条草案第1款。
In its current form, the draft article reflected a proposal that had been made at the forty-fourth session of the Working Group.目前的本条草案反映了在工作组第四十四届会议上提出的一项建议。
153. Some support was expressed for inclusion of a provision in the draft convention to ensure that the convention only applied prospectively.153. 有与会者支持在公约草案中列入一项条文,以确保公约仅仅对未来适用。
However, clarification was sought as to whether what was intended to be covered by the words “when the Convention enters into force” was when the convention entered into force generally or when it entered into force in respect of the contracting State in question.不过有与会者要求明确,“当公约生效时”一语所述意为当公约普遍生效时还是当公约针对有关缔约国生效时。
It was noted that, if it was intended to refer to the time when the convention entered into force generally, that could have the effect of giving retrospective application in respect of States that became party to the convention thereafter.据指出,如果意在提及公约普遍生效的时间,则可能造成对于后来加入公约的国家追溯适用的效果。
To address that ambiguity, it was agreed to include a reference to “in respect of each Contracting State” in paragraph 1.为解决这一含义不明确问题,与会者一致同意在第1款中提及“针对每一缔约国”。
154. It was proposed that paragraphs 2-5 of the draft article be deleted because they were unnecessarily complex and detailed.154. 据建议,应删去本条草案第2-5款,因为这几款过于复杂和详细。
It was suggested that the issues dealt with therein might be more appropriately addressed by the general rule set out in paragraph 1, which could be extended to refer also to declarations.据建议,其中所涉及的问题可以更为妥当地通过第1款中所列一般规则来解决,因为该款亦可延伸而意指声明。
The Commission agreed to that proposal.委员会一致同意该建议。
155. The Commission agreed to amend the draft article to read as follows:155. 委员会一致同意将本条草案改为如下:
“This Convention and any declaration apply only to electronic communications that are made after the date when the Convention or the declaration enters into force or takes effect in respect of each Contracting State.”“本公约和任何声明仅适用于在本公约或该声明对每一缔约国生效或产生效力之日后所进行的电子通信”。
The Commission also agreed to change the title of the draft article to “Time of application”. The Commission approved the substance of the draft article, as amended, and referred the text to the drafting group.委员会还一致同意将本条草案的标题改为“适用时间”。委员会核准了修订后的本条草案的实质内容,并将案文转交起草小组处理。
Article 25.第25条. 退约
Denunciations
156. The text of the draft article was as follows:156. 本条草案案文如下:
“1. A Contracting State may denounce this Convention by a formal notification in writing addressed to the depositary.“1. 缔约国可以书面形式正式通知保存人,宣布退出本公约。
“2. The denunciation takes effect on the first day of the month following the expiration of twelve months after the notification is received by the depositary.“2. 退出于保存人收到通知之日起满十二个月后的下一个月第一日起生效。
Where a longer period for the denunciation to take effect is specified in the notification, the denunciation takes effect upon the expiration of such longer period after the notification is received by the depositary.”凡通知内订明退出的生效需更长期限的,退出于保存人收到通知后该段更长期限届满时生效。
157. The Commission approved the substance of the draft article and referred the text to the drafting group.157. 委员会核准了本条草案的实质内容,并将案文转交起草小组处理。
Signature clause签署条款
158. The text of the draft signature clause was as follows:158. 签署条款的草案案文如下:
“DONE at […], this […] day of […], […], in a single original, of which the Arabic, Chinese, English, French, Russian and Spanish texts are equally authentic.“[……]年[……]月[……]日订于[……],正本一份,其阿拉伯文本、中文本、英文本、法文本、俄文本和西班牙文本具有同等效力。
“IN WITNESS WHEREOF the undersigned plenipotentiaries, being duly authorized by their respective Governments, have signed this Convention.”“下列署名全权代表,经各自政府正式授权,在本公约上签字,以昭信守。”
159. The Commission approved the substance of the draft signature clause and referred the text to the drafting group. Preamble159. 委员会核准了签署条款的草案实质内容,并将案文转交起草小组处理。
序言
160. The text of the draft preamble was as follows:160. 序言草案的案文如下:
“The States Parties to this Convention,“本公约各缔约国,
“Reaffirming their belief that international trade on the basis of equality and mutual benefit is an important element in promoting friendly relations among States,“重申深信平等互利基础上的国际贸易是促进各国之间友好关系的一个重要因素,
“Noting that the increased use of electronic communications improves the efficiency of commercial activities, enhances trade connections and allows new access opportunities for previously remote parties and markets, thus playing a fundamental role in promoting trade and economic development, both domestically and internationally,“注意到电子通信越来越多的使用提高了商业活动的效率,加强了贸易联系,并为过去相距遥远的当事人和市场提供了新的准入机会,从而在促进国内国际贸易和经济发展方面发挥了重要作用,
“Considering that problems created by uncertainty as to the legal value of the use of electronic communications in international contracts constitute an obstacle to international trade,“考虑到与国际合同中使用电子通信的法律效力有关的不确定性所产生的问题构成了对国际贸易的障碍,
“Convinced that the adoption of uniform rules to remove obstacles to the use of electronic communications in international contracts, including obstacles that might result from the operation of existing international trade law instruments, would enhance legal certainty and commercial predictability for international contracts and may help States gain access to modern trade routes,“深信采用统一规则消除对国际合同使用电子通信的障碍,特别是现有国际贸易法文书在执行上可能产生的障碍,将加强国际合同的法律确定性和商业上的可预见性,并将有助于各国获得现代贸易途径,
“Being of the opinion that uniform rules should respect the freedom of parties to choose appropriate media and technologies, [taking account of their interchangeability,] to the extent that the means chosen by the parties comply with the purpose of the relevant rules of law,“认为统一规则应当尊重当事人在其所选择的手段符合相关法律规则的目的的限度内,选择适当媒介和技术的自由,[同时考虑到它们之间的可互换性,]
“Desiring to provide a common solution to remove legal obstacles to the use of electronic communications in a manner acceptable to States with different legal, social and economic systems,“希望以不同法律制度、社会制度和经济制度的国家所能够接受的方式对消除电子通信使用中的法律障碍提供一个共同的解决办法,
“Have agreed as follows:”“兹商定如下:”
161. It was suggested that the draft preamble was too long and could be shortened to indicate only the two main objectives envisaged in the draft convention, namely the encouragement of the use of electronic communications in international trade and the creation of the conditions required to establish confidence in electronic communications.161. 有与会者认为序言草案太长,可加以缩短,以仅指明公约草案中期望的两大目标,即鼓励在国际贸易中使用电子通信以及为建立对电子通信的信任创造所需要的条件。
In response, it was observed that the length and content of the draft preamble were generally in line with previous UNCITRAL instruments.对此,有与会者指出,序言草案的长度和内容与以往的贸易法委员会文书大体一致。
It was added that the current draft of the preamble highlighted the relationship between the draft convention and the broader regulatory framework for electronic commerce.还据指出,目前的序言草案案文突出了公约草案与更宽泛的监管性电子商务框架的相互关系。
162. The Commission decided that the bracketed language contained in paragraph 5 of the draft preamble should be replaced with the words “taking into account of principles of technological neutrality and functional equivalence”.162. 委员会决定,序言草案第5段中置于括号内的词语应改换为“同时考虑到不偏重任何技术和功能等同的原则”这些词语。
163. Subject to those amendments, the Commission approved the substance of the draft preamble and referred the text to the drafting group.163. 在作出这些修正的前提下,委员会核准了序言草案的实质内容,并将案文转交起草小组处理。
Title of the convention公约的标题
164. Noting that the title of the draft convention, “Convention on the Use of Electronic Communications in International Contracts” reflected accurately the scope of application of the convention, the Commission approved the title.164. 委员会注意到公约草案的标题——“国际合同使用电子通信公约”准确反映了公约的适用范围,因此核准了这一标题。
D. Explanatory notesD. 解释性说明
165. The Commission asked the Secretariat to prepare the explanatory notes to the text of the convention and, after their completion, to present those notes to the Commission at its thirty-ninth session, in 2006.165. 委员会要求秘书处为公约草案案文编写解释性说明,在完成编写后,将其提交给委员会2006年第三十九届会议。
E. Report of the drafting groupE. 起草小组的报告
166. The Commission requested a drafting group established by the Secretariat to review the draft convention, with a view to ensuring consistency between the various language versions.166. 委员会请秘书处设立的一个起草小组对公约草案进行审查,以确保各语文文本之间的用语一致。
At the close of its deliberations on the draft convention, the Commission considered the report of the drafting group and approved the draft convention.委员会在结束对公约草案的审议时,审议了起草小组的报告,并核准了公约草案。
The Commission requested the Secretariat to review the text of the draft convention from a purely linguistic and editorial point of view before its adoption by the General Assembly.委员会请秘书处在公约草案获得大会通过之前纯粹从语言和编辑角度对公约草案案文进行审查。
F. Decision of the Commission and recommendation to the General AssemblyF. 委员会的决定和对大会的建议
167. At its 810th meeting, on 15 July 2005, the Commission adopted by consensus the following decision and recommendation to the General Assembly:167. 委员会在其2005年7月 15日第 810次会议上以协商一致的方式通过了下述决定和对大会的建议:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Recalling that at its thirty-fourth session, in 2001, it entrusted Working Group IV (Electronic Commerce) with the preparation of an international instrument dealing with issues of electronic contracting, which should also aim at removing obstacles to electronic commerce in existing uniform law conventions and trade agreements,“回顾委员会在其2001年第三十四届会议上曾委托第四工作组(电子商务)编拟一份关于电子订约问题的国际文书,该文书的目的还应是消除现有统一法公约和贸易协定中影响电子通信的障碍,
“Noting that the Working Group devoted six sessions, held from 2002 to 2004, to the preparation of the draft convention on the use of electronic communications in international contracts,“注意到工作组从2002年到2004年召开了六届会议专门编拟国际合同使用电子通信公约草案,
“Having considered the draft convention at its thirty-eighth session, in 2005,“在其2005年第三十八届会议上审议了公约草案,
“Drawing attention to the fact that all States and interested international organizations were invited to participate in the preparation of the draft convention at all the sessions of the Working Group and at the thirty-eighth session of the Commission, either as member or as observer, with full opportunity to speak and make proposals,“提请注意曾经邀请所有国家和有关的国际组织在工作组的所有届会上并在委员会第三十八届会议上作为成员或作为观察员参加公约草案的拟订并给予了发言和提出建议的充分机会,
“Also drawing attention to the fact that the text of the draft convention was circulated for comments before the thirty-eighth session of the Commission to all Governments and international organizations invited to attend the meetings of the Commission and the Working Group as observers and that such comments were before the Commission at its thirty-eighth session,“还提请注意公约草案的案文已在委员会第三十八届会议之前分发给作为观察员应邀出席委员会和工作组各次会议的各国政府和各国际组织,以征求其意见,而且这些意见现已提交委员会第三十八届会议,
“Considering that the draft convention has received sufficient consideration and has reached the level of maturity for it to be generally acceptable to States,“认为公约草案已经得到充分审议并已达到可为各国普遍接受的成熟水平,
“1. Submits to the General Assembly the draft convention on the use of electronic communications in international contracts, as set forth in annex I to the report of the United Nations Commission on International Trade Law on the work of its thirty-eighth session;“1. 向大会提交联合国国际贸易法委员会第三十八届会议报告附件一所载国际合同使用电子通信公约草案;
“2. Recommends that the General Assembly, taking into account the extensive consideration given to the draft convention by the Commission and its Working Group IV (Electronic Commerce), consider the draft convention with a view to adopting, at its sixtieth session, on the basis of the draft convention approved by the Commission, a United Nations convention on the use of electronic communications in international contracts.”“2. 建议大会结合委员会及其第四工作组(电子商务)对公约草案进行的广泛审议情况审议公约草案,以期在其第六十届会议上根据委员会所核准的公约草案通过一项联合国国际合同使用电子通信公约。
IV. Procurement: progress report of Working Group I四. 采购:第一工作组进度报告
168. At its thirty-sixth session, in 2003, the Commission considered a note by the Secretariat on possible future work in the area of public procurement (A/CN.9/539 and Add.1).168. 委员会在其2003年第三十六届会议上审议了秘书处关于公共采购领域未来可能的工作的说明(A/CN.9/539和Add.1)。
It was observed that the UNCITRAL Model Law on Procurement of Goods, Construction and Services contained procedures aimed at achieving competition, transparency, fairness, economy and efficiency in the procurement process and that it had become an important international benchmark in procurement law reform.委员会注意到,《贸易法委员会货物、工程和服务采购示范法》载有一些旨在实现采购过程中的竞争、透明度、公平、经济节约和效率的程序,而且已成为采购法改革方面的一项重要的国际尺度。
Observing that, despite the widely recognized value of the Model Law, novel issues and practices had arisen since its adoption that might justify an effort to adjust its text, the Commission requested the Secretariat to prepare for its further consideration detailed studies and proposals on how to address those issues and practices.鉴于注意到,尽管示范法的价值已获得广泛承认,但自其通过以来已产生了新的问题和做法,可能需要对其案文进行调整,因此委员会请秘书处就如何处理这些问题和做法编写详细的研究报告和建议,供委员会审议。
169. At its thirty-seventh session, in 2004, based on a note by the Secretariat (A/CN.9/553) submitted pursuant to that request, the Commission agreed that the Model Law would benefit from being updated to reflect new practices, in particular those which resulted from the use of electronic communications in public procurement, and the experience gained in the use of the Model Law as a basis for law reform in public procurement as well as possible additional issues.169. 根据秘书处依照上述请求提交的一份说明(A/CN.9/553),委员会在其2004年第三十七届会议上一致认为,增订示范法以反映新的做法,特别是由公共采购中使用电子通信而形成的做法以及在利用示范法作为公共采购领域法律改革的基础方面所取得的经验,以及可能的其他问题,这对示范法是有好处的。
The Commission decided to entrust the preparation of proposals for the revision of the Model Law to its Working Group I (Procurement) and gave the Working Group a flexible mandate to identify the issues to be addressed in its considerations.委员会决定委托其第一工作组(采购)拟订关于修订示范法的建议,并赋予该工作组灵活的任务授权,以查明需要在其进行审议时加以讨论的问题。
The Commission also requested the Secretariat to present to the Working Group appropriate notes further elaborating upon issues discussed in the note by the Secretariat (A/CN.9/553) in order to facilitate the considerations of the Working Group.委员会还请秘书处向该工作组提交适当的说明,进一步阐述秘书处的说明(A/CN.9/553)中讨论的问题,以便利该工作组进行审议。
The Commission recalled its earlier statements that, in updating the Model Law, care should be taken not to depart from the basic principles of the Model Law and not to modify the provisions whose usefulness had been proven.委员会还回顾了其早些时候的说法,即增订示范法时应当谨慎从事,以免背离示范法的基本原则,而且也不要对一些已证明有益的条款加以修改。
170. At its thirty-eighth session, the Commission took note of the reports of the sixth (Vienna, 30 August-3 September 2004) and seventh (New York, 4-8 April 2005) sessions of the Working Group (A/CN.9/568 and A/CN.9/575, respectively).170. 委员会在其第三十八届会议上注意到该工作组第六届会议(2004年8月30日至9月3日,维也纳)和第七届会议(2005年4月4日至8日,纽约)的报告(分别为A/CN.9/568和A/CN.9/575)。
171.
The Commission was informed that the Working Group had begun its work on the preparation of proposals for the revision of the Model Law at its sixth session, with the preliminary consideration of the following topics: (a) electronic publication of procurement-related information;
(b) the use of electronic communications in the procurement process;
(c) controls over the use of electronic communications in the procurement process;
(d) electronic reverse auctions;
(e) the use of suppliers’ lists;
(f) framework agreements;
(g) procurement of services;
(h) evaluation and comparison of tenders and the use of procurement to promote industrial, social and environmental policies;
(i) remedies and enforcement;
(j) alternative methods of procurement;
(k) community participation in procurement; (l) simplification and standardization of the Model Law; and (m) legalization of documents (A/CN.9/WG.I/WP.31 and A/CN.9/WG.I/WP.32). The Commission was further informed that the Working Group at its sixth session had decided to proceed with the in-depth consideration of those topics in sequence at its future sessions (A/CN.9/568, para.171. 委员会获悉,该工作组在其第六届会议上开始着手拟订关于修订示范法的建议,初步审议了下列议题:(a)与采购有关的信息的电子发布;(b)电子通信在采购过程中的使用;(c)对采购过程中使用电子通信的控制;(d)电子逆向拍卖;(e)供应商名单的使用;(f)框架协议;(g)服务采购;(h)投标书的评审与比较,以及利用采购促进工业、社会和环境政策;(i)救济和执行;(j)替代采购方法;(k)采购中的社会参与;(l)示范法的简化和标准化;(m)对书证的公证证明(A/CN.9/WG.I/WP.31和A/CN.9/WG.I/WP.32)。
10) and accordingly, at its seventh session, had started the in‑depth consideration of the topics related to the use of electronic communications and technologies in the procurement process: (a) electronic publication and communication of procurement-related information; (b) other issues arising from the use of electronic means of communication in the procurement process, such as controls over their use, including the electronic submission of tenders; (c) electronic reverse auctions; and (d) abnormally low tenders (A/CN.9/WG.I/WP.34 and Add.1‑2, A/CN.9/WG.I/WP.35 and Add.1 and A/CN.9/WG.I/WP.36).委员会还获悉,该工作组第六届会议曾决定,将在其今后的几届会议上接着按顺序对这些议题进行深入的审议(A/CN.9/568,第10段),因此,其第七届会议开始深入审议了与在采购过程中使用电子通信和技术有关的议题,即:(a)与采购有关的信息的电子发布和通信;(b)由采购过程中使用电子通信手段而引起的其他问题,例如对这种手段的使用的控制,包括以电子方式提交投标书;(c)电子逆向拍卖;以及(d)异常低价竞标(A/CN.9/WG.I/WP.34和Add.1-2、A/CN.9/WG.I/WP.35和Add.1,以及A/CN.9/WG.I/WP.36)。
The Commission noted the Working Group’s decision to accommodate the use of electronic communications and technologies (including electronic reverse auctions) as well as the investigation of abnormally low tenders in the Model Law and to continue at its eighth session the in-depth consideration of those topics and the revisions to the Model Law that would be necessary in that regard and, time permitting, to take up the topic of framework agreements (A/CN.9/575, para. 9).委员会注意到该工作组决定,将在示范法中顾及电子通信和技术的使用(包括电子逆向拍卖)和对异常低价竞标的调查,并在其第八届会议上继续深入审议这些议题和在这方面对示范法所作的必要修订,而且如果时间允许,将开始讨论框架协议这一议题(A/CN.9/575,第9段)。
172. The Commission commended the Working Group for the progress made in its work and reaffirmed its support for the review being undertaken and for the inclusion of novel procurement practices in the Model Law.172. 委员会赞扬该工作组在工作中取得的进展,并重申支持正在进行的审查及支持将新的采购做法纳入示范法。
(For the next two sessions of the Working Group, see paragraph 240 (a) below.)(关于该工作组下两届会议,见下文第240(a)段。
V. Arbitration: progress report of Working Group II五. 仲裁:第二工作组进度报告
173. At its thirty-second session, in 1999, the Commission, having exchanged views on its future work in the area of international commercial arbitration, decided to entrust that work to one of its working groups.173. 委员会1999年第三十二届会议在就国际商事仲裁领域未来的工作交流了意见之后,决定将这一工作委托给其一个工作组。
It agreed that the priority items for consideration by the working group should be, inter alia, requirement of written form for the arbitration agreement and enforceability of interim measures of protection.委员会一致认为,供该工作组审议的优先项目应尤其是仲裁协议的书面形式要求和临时保全措施的可执行性。
The Working Group, subsequently named Working Group II (Arbitration and Conciliation), commenced its work pursuant to that mandate at its thirty-second session (Vienna, 20-31 March 2000).该工作组随后命名为第二工作组(仲裁和调解),在其第三十二届会议(2000年3月20日至31日,维也纳)上根据这一任务授权开始了其工作。
174. At its thirty-eighth session, the Commission took note of the progress made by the Working Group at its forty-first (Vienna, 13-17 September 2004) and forty-second (New York, 10-14 January 2005) sessions (see A/CN.9/569 and A/CN.9/573, respectively).174. 委员会在其第三十八届会议上注意到该工作组第四十一届会议(2004年9月13日至17日,维也纳)和第四十二届会议(2005年1月10日至14日,纽约)取得的进展(分别见A/CN.9/569和A/CN.9/573)。
The Commission noted that the Working Group had continued its discussions on a draft text for a revision of article 17, paragraph 7, of the UNCITRAL Model Law on International Commercial Arbitration (the “Arbitration Model Law”) on the power of an arbitral tribunal to grant interim measures of protection on an ex parte basis.委员会注意到,该工作组继续就《贸易法委员会国际商事仲裁示范法》(《仲裁示范法》)关于仲裁庭准予采取单方面临时保全措施的权力的第17条第7款的修订案文草案进行了讨论。
The Commission noted also that the Working Group had discussed a draft provision on the recognition and enforcement of interim measures of protection issued by an arbitral tribunal (for insertion as a new article of the Arbitration Model Law, tentatively numbered 17 bis) and a draft article dealing with interim measures issued by state courts in support of arbitration (for insertion as a new article of the Arbitration Model Law, tentatively numbered 17 ter).委员会还注意到,该工作组讨论了一项关于承认和执行仲裁庭发出的临时保全措施的条文草案(供作为《仲裁示范法》新的一条列入,暂编为第17条之二),并讨论了一项关于国家法院为支持仲裁而发出的临时措施的条款草案(供作为《仲裁示范法》新的一条列入,暂编为第17条之三)。
175. The Commission noted the Working Group’s progress made so far regarding the issue of interim measures of protection.175. 委员会注意到该工作组在临时保全措施问题方面迄今取得的进展。
The Commission also noted that, notwithstanding the wide divergence of views, the Working Group had agreed, at its forty-second session, to include a compromise text of the revised draft of paragraph 7 in draft article 17, on the basis of the principles that that paragraph would apply unless otherwise agreed by the parties, that it should be made clear that preliminary orders had the nature of procedural orders and not of awards and that no enforcement procedure would be provided for such orders in article 17 bis.委员会还注意到,尽管存在着广泛的意见分歧,该工作组第四十二届会议还是同意将第7款修订草案折衷案文列入第17条草案,但所依据的原则是,除非各方当事人另有约定,否则该款将予以适用;应明确说明临时命令在性质上属于程序问题的裁定,而不是仲裁裁决;对第17条之二中的这类命令将不规定任何强制执行程序。
The Commission noted that the issue of ex parte interim measures remained contentious.委员会注意到,对单方面临时措施问题仍然存有争议。
Some delegations expressed the hope that the compromise text reached was the final one.一些代表团表示希望,所达成的折衷案文是最后的案文。
Other delegations expressed doubts as to the value of the proposed compromise text, in particular in view of the fact that it did not provide for enforcement of preliminary orders.有些代表团则对所提议的折衷案文的价值表示怀疑,尤其是考虑到该案文未规定临时命令的强制执行。
Concerns were also expressed that the inclusion of such a provision was contrary to the principle of equal access of the parties to the arbitral tribunal and could expose the revised text of the Arbitration Model Law to criticism.还有与会者表示关切,即列入这一条文与当事各方获得仲裁庭审理的平等机会的原则相违背,可能使《仲裁示范法》的修订案文受到批评。
A proposal was made that, if the provision were to be included, it should be drafted in the form of an opting-in provision, applying only where the parties had expressly agreed to its application.有一项建议是,如拟列入该条文,则该条文应当按照选入条款的形式草拟,仅仅在当事各方明确约定其适用的情况下方才适用。
176. The Commission noted that the Working Group had yet to finalize its work on draft articles 17, 17 bis and 17 ter, including the issue of the form in which the current and the revised provisions could be presented in the Arbitration Model Law.176. 委员会注意到,该工作组尚待最终完成其关于第17条草案、第17条之二草案和第17条之三草案的工作,包括《仲裁示范法》中的目前条文和修订条文的形式问题。
In respect of the structure of draft article 17, it was proposed that the issue of preliminary orders should be dealt with in a separate article in order to facilitate the adoption of draft article 17 by States that did not wish to adopt provisions relating to preliminary orders.关于第17条草案的结构,据建议,应当在一项单独条款中处理临时命令问题,以便利不希望通过与临时命令有关的条文的国家通过第17条草案。
As a matter of drafting, the Commission also took note of a proposal that the revised text of draft articles 17, 17 bis and 17 ter should not be included in the body of the Model Law but in an annex.在措词方面,委员会还注意到一项建议,即第17条草案、第17条之二草案和第17条之三草案不应当列入示范法的主体部分,而应列入附件中。
Also, the Commission noted that the Working Group was expected to complete its work on draft article 7 of the Model Law on the form requirement for an arbitration agreement and on its relation to article II, paragraph 2, of the New York Convention.而且委员会还注意到,预期该工作组将完成其就《示范法》关于仲裁协议形式要求的第7条草案以及就该条草案与《纽约公约》第二条第2款之间的关系开展的工作。
177. The Commission expressed its expectation that the Working Group would be able, with two additional sessions, to present its proposals for final review and adoption to the Commission at its thirty-ninth session, in 2006.177. 委员会希望,该工作组再举行两届会议之后,将能够提交其建议供委员会2006年第三十九届会议最终审查和通过。
178. With respect to future work in the field of settlement of commercial disputes, the Commission took note of the suggestion of the Working Group made at its forty-second session that, once the existing projects currently being considered had been completed, priority consideration might be given to the issues of arbitrability of intra-corporate disputes and other issues relating to arbitrability, for example, arbitrability in the fields of immovable property, insolvency or unfair competition.178. 关于商事纠纷的解决方面的今后工作,委员会注意到工作组第四十二届会议所提出的建议,即一旦目前正在审议的现有项目得以完成,可优先考虑公司内纠纷的可仲裁性问题以及其他与可仲裁性有关的问题,例如不动产、破产或不公平竞争等领域的可仲裁性问题。
Another suggestion was that issues arising from online dispute resolution (ODR) and the possible revision of the UNCITRAL Arbitration Rules might also need to be considered (A/CN.9/573, para. 100).另一项建议是,网上纠纷解决做法所引起的问题以及对《贸易法委员会仲裁规则》可能作出的修改问题可能也需要加以考虑(A/CN.9/573,第100段)。
Those proposals were supported by the Commission.这些建议得到委员会的支持。
179. The Commission was informed that 2006 would mark the thirtieth anniversary of the UNCITRAL Arbitration Rules and that conferences to celebrate that anniversary were expected to be organized in different regions to exchange information on the application and possible areas of revision of the Rules.179. 委员会获悉,2006年是《贸易法委员会仲裁规则》三十周年纪念,预计将在不同区域举办周年庆祝会议,以交流关于《仲裁规则》的适用情况和可能的修订领域的信息。
One such conference would be held in Vienna on 6 and 7 April 2006, under the auspices of the International Arbitral Centre of the Austrian Federal Economic Chamber.其中一次会议将于2006年4月6日和7日在维也纳举行,由奥地利联邦商会国际仲裁中心主办。
(For the next two sessions of the Working Group, see paragraph 240 (b) below.)(关于工作组的下两届会议,见下文第240(b)段。
VI. Transport law: progress report of Working Group III六. 运输法:第三工作组进度报告
180. At its thirty-fourth session, in 2001, the Commission established Working Group III (Transport Law) to prepare, in close cooperation with interested international organizations, a legislative instrument on issues relating to the international carriage of goods by sea, such as the scope of application, the period of responsibility of the carrier, the obligations of the carrier, the liability of the carrier, the obligations of the shipper and transport documents.180. 委员会在其2001年第三十四届会议上设立了第三工作组(运输法),要求其与有关国际组织密切合作,拟订一项国际海上货物运输方面关于下列问题的法律文书:适用范围、承运人的责任期、承运人的义务、承运人的赔偿责任、托运人的义务以及运输单证等等。
At its thirty-fifth session, in 2002, the Commission approved the working assumption that the draft instrument on transport law should cover door-to-door transport operations.委员会2002年第三十五届会议核准了关于运输法文书草案应当包括门到门运输业务的暂定假设。
At its thirty-sixth and thirty-seventh sessions, in 2003 and 2004, respectively, the Commission noted the complexities involved in the preparation of the draft instrument, and authorized the Working Group, on an exceptional basis, to hold its twelfth, thirteenth, fourteenth and fifteenth sessions on the basis of two-week sessions.委员会分别在其2003年第三十六届会议和2004年第三十七届会议注意到文书草案编写工作的复杂性,因此批准该工作组作为例外将其第十二届、十三届、十四届和十五届会议的会期定为二周。
(For the consideration of the matter at the current session, see paragraph 238 below.) Further, at its thirty-seventh session, the Commission reaffirmed its appreciation of the magnitude of the project and expressed its support for the efforts of the Working Group to accelerate the progress of its work, in particular in view of the Commission’s agreement that 2006 would be a desirable goal for completion of the project, but that the issue of establishing a deadline for such completion should be revisited at its thirty-eighth session, in 2005.181.(有关本届会议对这一问题的审议情况,见下文第238段。 )委员会第三十七届会议还重申其理解这一项目规模很大并表示支持该工作组为加快工作进度而作出的努力,主要原因是委员会同意将2006年作为完成这一项目的可取的目标,但将在2005年第三十八届会议上再次审议设定完成这一项目的最后期限问题。
At its thirty-eighth session, the Commission took note of the progress made by the Working Group at its fourteenth (Vienna, 29 November-10 December 2004) and fifteenth (New York, 18-28 April 2005) sessions (see A/CN.9/572 and A/CN.9/576, respectively).181. 委员会第三十八届会议注意到该工作组第十四届会议(2004年11月29日至12月10日,维也纳)和第十五届会议(2005年4月18日至28日,纽约)取得的进展情况(分别见A/CN.9/572和A/CN.9/576)。
182. The Commission noted with appreciation the progress that the Working Group had made in its consideration of the draft instrument on the carriage of goods [wholly or partly] [by sea].182. 委员会赞赏地注意到该工作组在审议[全程或部分途程][海上]货物运输文书草案上取得的进展。
The Commission was informed that, at its fourteenth and fifteenth sessions, the Working Group had proceeded with its second reading of the draft instrument and had made good progress regarding a number of difficult issues, including those regarding the basis of liability pursuant to the draft instrument, as well as scope of application of the instrument and related freedom of contract issues.委员会获知,工作组第十四届和十五届会议已着手对文书草案进行二读,并在一些棘手问题上取得了很好的进展,其中包括文书草案所规定的赔偿责任的依据、文书适用范围和有关的契约自由问题。
In addition, the Commission also heard that the Working Group had considered during its fourteenth and fifteenth sessions the chapters in the draft instrument on jurisdiction and arbitration and had had an initial exchange of views regarding the topics of right of control and transfer of rights.此外,委员会还获悉,工作组在其第十四届和十五届会议期间审议了文书草案中有关管辖权和仲裁的各章,就控制权和权利转让等议题初步交换了看法。
The Commission was also informed that, following consultations with Working Group IV (Electronic Commerce), the Working Group had considered for the first time, at its fifteenth session, provisions in the draft instrument relating to electronic commerce.委员会还获悉,经与第四工作组(电子商务)磋商,工作组第十五届会议首次审议了文书草案中与电子商务有关的条文。
The Commission was also informed that, with a view to continuing the acceleration of the exchange of views, the formulation of proposals and the emergence of consensus in preparation for a third and final reading of the draft instrument, a number of delegations participating in the fourteenth and fifteenth sessions of the Working Group had continued their initiative of holding informal consultations for the continuation of discussion between sessions of the Working Group.委员会还获知,为继续加快交换看法、拟订提案并形成共识,为文书草案三读和最后一读作好准备,参加工作组第十四届和十五届会议的一些代表团继续主动举行非正式磋商,在工作组闭会期间继续展开讨论。
The Working Group had considered the issue of the time frame for concluding its work on the draft instrument and a number of delegations supported the view that, while the completion of the work at the end of 2005 was unlikely, with the valuable assistance of the informal consultation process, the Working Group was hoping to complete its work at the end of 2006, with a view to presenting a draft instrument for possible adoption by the Commission in 2007.工作组审议了完成其文书草案方面工作的时限问题,一些代表团支持下述看法,即尽管无法在2005年底完成这项工作,但在非正式磋商工作的大力协助下,工作组希望在2006年底完成其工作,以便提交文书草案可由委员会于2007年通过。
183. The Commission commended the Working Group for the progress it had made and reiterated its appreciation of the magnitude of the project and of the difficulties involved in the preparation of the draft instrument, given, in particular, the nature of the interests and complex legal issues involved that required the striking of a delicate balance and consistent and considered treatment of the issues in the text.183. 委员会称赞该工作组所取得的进展,重申其理解这一项目规模很大,在编写文书草案上存在着各种困难,主要是因为鉴于所涉及的利益的性质和复杂的法律问题,必须就案文中的各种问题达成微妙的平衡,在处理上做到前后一致和考虑周详。
Several delegations expressed concern with respect to the informal meetings convened between some members of the Working Group and interested parties to discuss issues being considered by the Working Group.一些代表团对一些工作组成员与相关利益方之间召开非正式会议讨论工作组正在审议的问题表示关切。
While such meetings had enabled the Working Group to make good progress in its work, concern was expressed that many members of the Working Group were not informed of these meetings and were thus unable to participate in substantive discussions on many issues being considered by the Working Group.虽然此类会议曾使工作组在其工作中取得良好进展,但所表示的关切是,工作组的许多成员都未收到关于会议的通知,因而不能参加对工作组正在审议的许多问题进行的实质性讨论。
There was much support for the view that more information should be made available to all members of the Working Group about these meetings, including their time and location.许多与会者支持一种看法,认为应向工作组的所有成员提供关于这些会议的更多信息,包括会议的时间和地点。
It was suggested that the UNCITRAL website would be a good means of providing such information.据建议,贸易法委员会的网站将是提供这类信息的一个良好渠道。
Contrary views were expressed.也有与会者表示了相反的意见。
It was also stated that absent from the Commission’s meeting, and their views therefore not before that body, were the International Maritime Committee and representatives of shippers, carriers, cargo insurers, freight forwarders and others, all of whose interests were affected by the draft instrument and who had participated in the ad hoc meetings.另据指出,缺席委员会会议因而未在该机构上发表意见的有国际海事委员会和托运人、承运人、货物保险人、货运代理人和其他方的代表,文书草案涉及所有这些人的利益,他们也曾参加了各次特设会议。
In addition, it was stated that experts from many States participating in the Commission’s meeting were also involved in the ad hoc meetings.另外,据指出,参加委员会会议的许多国家的专家也参与了这些特设会议。
184. The Commission’s attention was drawn to the view set out in the report of the fifteenth session of the Working Group (A/CN.9/576, para. 216) that there was support in the Working Group regarding its current working methods, including informal consultation work between sessions and the use of small drafting groups within the Working Group.184. 有与会者提请委员会注意工作组第十五届会议报告中所述的观点(A/CN.9/ 576,第216段),即工作组中有人支持其现行工作方法,包括在闭会期间进行非正式磋商和利用工作组内部的起草小组的做法。
It was noted that the process should be compatible with the production of official documents in all official languages.据指出,此种工作应兼容以所有正式语文提供正式文件。
While it was clarified that some informal meetings that considered issues on the agenda of UNCITRAL had been convened by other organizations and not by the Secretariat, there was agreement that, in meetings convened by the Secretariat, care should be exercised with respect to allowing experts to express themselves in the working languages of the United Nations and with respect to the translation into all official languages of official documents to be considered by the Working Group.尽管有与会者澄清,对贸易法委员会议程上一些议题进行审议的某些非正式会议,是由其他组织而不是由秘书处召集的,但与会者一致认为,在秘书处召集的会议上,对于允许专家以联合国工作语文发表看法以及将拟由该工作组审议的正式文件译成所有正式语文,应做到谨慎仔细。
Further, there was agreement that substantive decisions regarding the work should continue to be made only in the Working Group and in the Commission.与会者还一致认为,与这一工作有关的实质性决定仍只应在该工作组和委员会中作出。
With respect to a possible time frame for completion of the draft instrument, there was support for the view that it would be desirable to complete a third reading of the draft text as quickly as possible and with a view to its adoption by the Commission in 2007.关于完成文书草案的可能的时限,有与会者支持下述观点,即应尽快完成案文草案的三读,以便委员会于2007年加以通过。
After discussion, the Commission agreed that 2007 would be a desirable goal for completion of the project, but that the issue of establishing a deadline for such completion should be revisited at its thirty-ninth session, in 2006.委员会经讨论后同意将2007年作为完成这一项目的可取的目标,但应在2006年第三十九届会议上再次审议设定完成这一项目的最后期限问题。
(For the next two sessions of the Working Group, see paragraph 240 (c) below.)(关于工作组下两届会议,见下文第240(c)段)。
VII. Security interests: progress report of Working Group VI七. 担保权益:第六工作组进度报告
185. At its thirty-fourth session, in 2001, the Commission entrusted Working Group VI (Security Interests) with the task of developing an efficient legal regime for security interests in goods involved in a commercial activity, including inventory.185. 委员会在其2001年第三十四届会议上委托第六工作组(担保权益)制定关于商业活动所涉货物,包括库存品的担保权益有效法律制度。
At its thirty-fifth session, in 2002, the Commission confirmed the mandate given to the Working Group and that the mandate should be interpreted widely to ensure an appropriately flexible work product, which should take the form of a legislative guide.委员会在其2002年第三十五届会议上确认了下达给工作组的任务,认为应当对此项任务作广泛解释,以确保取得适当灵活的工作成果,这种成果可以采取立法指南的形式。
At its thirty-sixth session, in 2003, the Commission confirmed that it was up to the Working Group to consider the exact scope of its work and, in particular, whether trade receivables, letters of credit, deposit accounts and intellectual property rights should be covered in the draft legislative guide.委员会在其2003年第三十六届会议上确认,应当由工作组来考虑其工作的确切范围,特别是是否应当在立法指南草案中涉及贸易应收款、信用证、存款账户和知识产权等问题。
At its thirty-seventh session, in 2004, the Commission welcomed the preparation of additional chapters for inclusion in the draft legislative guide on various types of asset, such as negotiable instruments, deposit accounts and intellectual property rights.委员会在其2004年第三十七届会议上欢迎编拟关于各类资产的附加章节以列入立法指南草案中,这些资产包括流通票据、存款账户和知识产权等等。
186. At its thirty-eighth session, the Commission took note of the reports of the Working Group on the work of its sixth (Vienna, 27 September-1 October 2004) and seventh (New York, 24-28 January 2005) sessions (A/CN.9/570 and A/CN.9/574, respectively).186. 委员会第三十八届会议注意到该工作组第六届会议(2004年9月27日至10月1日,维也纳)和第七届会议(2005年1月24日至28日,纽约)的工作报告(分别为A/CN.9/570和A/CN.9/574)。
The Commission commended the Working Group for the progress achieved so far.委员会赞扬该工作组迄今为止所取得的进展。
In particular, the Commission noted with appreciation that a complete consolidated set of legislative recommendations, which included, in addition to recommendations on inventory, equipment and trade receivables, recommendations on negotiable instruments, negotiable documents, bank accounts and proceeds from independent undertakings, would be before the Working Group at its eighth session (see para. 240 (f) below).委员会赞赏地注意到,一个全套合并立法建议将提交该工作组第八届会议,这套建议中除关于库存品、设备和贸易应收款的建议之外,还载有关于流通票据、可转让单证、银行账户和独立担保收益的建议(见下文第240(f)段)。
In that connection, the Commission noted that informal expert group meetings were useful in providing advice to the Secretariat with respect to documents to be prepared by the Secretariat but were not meant to involve any negotiations or to result in any decisions binding on the Working Group or the Commission.为此,委员会指出,非正式专家组会议固然有益于就秘书处拟编写的文件向秘书处提供建议,但其目的并不是进行任何谈判或产生任何对工作组或委员会有约束力的决定。
187.
In addition, the Commission noted with interest the progress made by the Working Group in the coordination of its work with: (a) the Hague Conference on Private International Law, which had prepared the Convention on the Law Applicable to Certain Rights in respect of Securities held with an Intermediary (The Hague, 2002); (b) the International Institute for the Unification of Private Law (Unidroit), which was preparing a draft convention on security and other rights in intermediated securities; (c) the World Bank, which was revising its Principles and Guidelines for Effective Insolvency and Creditor Rights Systems; and (d) the World Intellectual Property Organization.187. 除此之外,委员会还感兴趣地注意到工作组在与下述各机构协调工作方面所取得的进展:(a)海牙国际私法会议,该组织已拟订了《中间人代持证券所涉某些权利的法律适用公约》(2002年,海牙);(b)国际统一私法协会(统法协会),该组织正在拟订关于中介证券担保权和其他权利的公约草案;(c)世界银行,该机构正在重新审议《关于有效的破产和债权人权利制度的原则和准则》;(d)世界知识产权组织。
After discussion, the Commission confirmed the mandate given to the Working Group at the thirty-fourth session of the Commission and subsequently confirmed at its thirty-fifth to thirty-seventh sessions (see para. 185 above).经过讨论,委员会确认了委员会第三十四届会议对该工作组下达的、此后又在委员会第三十五届至第三十七届会议上加以确认的任务(见上文第185段)。
The Commission also requested the Working Group to expedite its work so as to submit the draft legislative guide to the Commission, at least for approval in principle, in 2006, and for final adoption in 2007.委员会还请工作组加快工作进度,以便于2006年将立法指南草案提交委员会至少在原则上核准,并于2007年最后通过。
(For the next two sessions of the Working Group, see paragraph 240 (f) below.)(关于第六工作组的下两届会议,见下文第240(f)段。
VIII. Monitoring implementation of the 1958 New York Convention八. 监测1958年《纽约公约》的执行情况
188. The Commission recalled that, at its twenty-eighth session, in 1995, it had approved a project, undertaken jointly with Committee D of the International Bar Association, aimed at monitoring the legislative implementation of the New York Convention.188. 委员会回顾其曾在1995年第二十八届会议上核可与国际律师协会D委员会共同执行一个项目,旨在监测《纽约公约》的立法执行情况。
At its thirty-seventh session, in 2004, the Commission requested the Secretariat, subject to the availability of the necessary resources, to undertake its best efforts to produce for consideration by the Commission at its thirty-eighth session a preliminary analysis of the replies received by the Secretariat in response to the questionnaires circulated in connection with the project.委员会在其2004年第三十七届会议上,请秘书处在有必要资源可资利用的情况下,尽最大努力编写对秘书处所收到的对该项目调查表的答复的初步分析,以供委员会第三十八届会议审议。
189. In accordance with that request, the Secretariat presented an interim report to the Commission at its thirty-eighth session (A/CN.9/585), which set out the issues raised by the replies received and also set out additional questions that the Commission might request the Secretariat to put to States in order to obtain more comprehensive information regarding implementation practice.189. 根据这一请求,秘书处向委员会第三十八届会议提交了一份中期报告(A/CN.9/585),陈述了迄今为止收到的答复中提出的问题,还阐述了委员会可能要求秘书处向各国提出的其他问题,目的是争取获得在执行实际做法上的更为全面的信息。
The Commission expressed its appreciation to those States parties which had provided replies since its thirty-seventh session and reiterated its appeal to the remaining States parties to send replies.委员会对自其第三十七届会议以来已提供答复的缔约国表示感谢,并重申其呼吁其余缔约国提交答复。
190. The Commission welcomed the progress reflected in the interim report, noting that the general outline of replies received served to facilitate discussions as to the next steps to be taken and highlighted areas of uncertainty where more information could be sought from States parties or further studies could be undertaken.190. 委员会对中期报告中所载进展情况表示欢迎,指出对所收到的答复的基本概括有助于推动就拟采取的步骤展开讨论并着重点出可寻求缔约国提供更多信息或进行进一步研究的不确定方面。
It was pointed out that, taking into account that questionnaires had been circulated since 1995, the work should be finalized in due course.据指出,考虑到自1995年以来即已分发了调查表,所以有关工作应在适当的时候最后完成。
It was also noted that, given the limited resources of the Secretariat, care should be taken to ensure that the work undertaken by the Secretariat in relation to the project did not duplicate the extensive research on the implementation of the New York Convention that already existed and was ongoing.另据指出,鉴于秘书处资源有限,应注意确保秘书处就该项目进行的工作不重复已对《纽约公约》执行情况进行的或正在进行的广泛研究。
In that respect, the Commission was informed that the Secretariat’s ongoing work on the project had not had a negative impact on other work, including servicing of Working Group II (Arbitration and Conciliation).在这方面,委员会获悉,秘书处正在进行的有关这一项目的工作不会对包括为第一工作组(仲裁和调解)提供服务的工作在内的其他工作产生负面影响。
191. The Commission considered the approach taken in preparing the interim report, including the style and presentation and level of detail, to be appropriate, but considered that it might be helpful to provide more detailed indications, including the naming of States, as appropriate.191. 委员会认为在编拟中期报告上采取的做法,包括报告的风格、编排方式和详略程度都很合适,但认为报告不妨酌情提供更详细的情况,包括适当点名有关的国家。
It was suggested that one possible future step could be the development of a legislative guide to limit the risk that state practice would diverge from the spirit of the New York Convention.有与会者建议今后可采取的一个步骤是拟订一份立法指南,以限制各国实际做法可能偏离《纽约公约》的精神的风险。
The Commission was generally of the view that appointing national experts on international arbitration would be of assistance to the Secretariat in completing its work.委员会普遍认为,任命国际仲裁问题国别专家将有助于秘书处完成其工作。
Concern was expressed that it would be difficult to identify experts who could provide a comprehensive overview of national practice.有与会者担心很难找到能够全面介绍各国实际做法的专家。
However, it was recommended that relevant arbitration centres or academic organizations, as might be appointed by States, also assist the Secretariat in its work.但有与会者建议,各国可能指定的相关仲裁中心或学术组织也协助秘书处开展其工作。
After discussion, the Commission agreed that a level of flexibility should be left to the Secretariat in determining the time frame for completion of the project, the level of detail that should be reflected in the report that the Secretariat would present for the consideration by the Commission in due course, whether or not individual States should be identified by name in that report and the extent to which references to case law should be made in the report, and in ensuring that the work by the Secretariat on the project was not duplicative of work undertaken in other forums with respect to the survey of the implementation of the New York Convention.委员会经讨论后一致认为,应让秘书处具有一定程度的灵活性来决定完成项目的时限,秘书处将在适当时提交委员会审议的报告中所应反映的详细程度,该报告中是否应点名具体国家,以及报告中究竟应在多大程度上参照判例法,另外在确保秘书处这一项目工作不与其他论坛在《纽约公约》的执行情况调查方面所开展的工作发生重叠方面,也要留出一定余地。
IX. Case law on UNCITRAL texts, digests of case law九. 贸易法委员会法规判例法,判例法摘要
192. The Commission noted with appreciation the continuing work under the system established for the collection and dissemination of case law on UNCITRAL texts (CLOUT), consisting of the preparation of abstracts of court decisions and arbitral awards relating to UNCITRAL texts, compilation of the full texts of those decisions and awards, as well as of the preparation of research aids and analytical tools.192. 委员会赞赏地注意到在收集和传播贸易法委员会法规判例法(法规判例法)的系统下继续进行的工作,包括编写关于贸易法委员会法规的法院判决和仲裁裁决的摘要,汇编这些判决和裁决的完整文本,以及制定研究辅助手段和分析手段。
As at 13 July 2005, 46 issues of CLOUT had been prepared for publication, dealing with 530 cases, relating mainly to the United Nations Sales Convention and the Arbitration Model Law.截至2005年7月13日,已经编写了46期法规判例法以供发表,涉及到530个案件,主要是关于《联合国销售公约》和《仲裁示范法》。
193. It was widely agreed that CLOUT continued to be an important tool of the overall training and technical assistance activities undertaken by UNCITRAL and that the wide distribution of CLOUT in both paper and electronic formats, in all the six official languages of the United Nations, promoted the uniform interpretation and application of UNCITRAL texts by facilitating access to decisions and awards from many jurisdictions.193. 人们普遍认为,法规判例法仍然是贸易法委员会开展的全面培训和技术援助活动的一个重要方面,而且使用纸面和电子形式以联合国全部六种正式语文广泛传播法规判例法,便于接触许多法域的判决和裁决,从而推动了统一解释和适用贸易法委员会的法规。
The Commission expressed its appreciation to the national correspondents for their work in selecting decisions and preparing case abstracts.委员会对国家通信员甄选判决和编写案例摘要的工作表示感谢。
194. The Commission noted that the digest of the case law on the United Nations Sales Convention, prepared pursuant to the Commission’s request at its thirty-fourth session, had been published in December 2004.194. 委员会注意到,根据委员会第三十四届会议的请求而编写的关于《联合国销售公约》的判例法摘要已于2004年12月发表。
It also noted that the first draft of a digest of case law related to the Arbitration Model Law had been prepared pursuant to the Commission’s request at its thirty-fifth session and taking into account the relevant discussion at its thirty-seventh session.还注意到,根据委员会第三十五届会议的请求并考虑到委员会第三十七届会议上的相关讨论情况,编写了关于《仲裁示范法》的判例法摘要初稿。
The Commission was informed that the draft digest would be before the CLOUT national correspondents at their meeting on 14 and 15 July 2005.委员会获悉,此摘要初稿将提交法规判例法国家通信员2005年7月14日和15日的会议审议。
X. Technical assistance to law reform十. 对法律改革的技术援助
195. The Commission had before it a note by the Secretariat (A/CN.9/586) describing the technical assistance activities undertaken since its thirty-seventh session and the direction of future activities.195. 委员会收到了秘书处的一份说明(A/CN.9/586),其中介绍了自委员会第三十七届会议以来所进行的技术援助活动以及今后活动的方向。
The Commission expressed its appreciation for the technical assistance activities undertaken by the Secretariat since the thirty-seventh session of the Commission (A/CN.9/586, para. 8) and noted, in addition, the seminars, conferences and courses where UNCITRAL texts had been presented and in which members of the Secretariat had participated as speakers (A/CN.9/586, para.15).委员会对秘书处自委员会第三十七届会议以来所开展的技术援助活动表示赞赏(A/CN.9/ 586,第8段),并注意到,此外,秘书处的成员作为发言者参与了若干研讨会、会议和课程,其间介绍了贸易法委员会的法规(A/CN.9/586,第15段)。
196. The Commission noted the establishment of the legislative and technical assistance units within its secretariat and the administrative arrangements for conducting the work of the two units.196. 委员会注意到在秘书处内设立了立法和技术援助股,为这两个股开展工作作出了行政安排。
With respect to the technical assistance unit, the Commission also noted that its secretariat had identified the goals of that unit and had taken steps to draft guidelines addressing the requirements for organizing, implementing and reporting of technical assistance activities requested by States and by international and regional organizations.关于技术援助股,委员会还注意到,秘书处已确定该股的目标,并且已采取各种步骤根据各国及国际和区域组织的要求,草拟满足在组织、执行和报告技术援助活动上的要求的准则。
It further noted that its secretariat was beginning to identify national and regional needs for technical assistance, in conjunction with national, regional and international organizations and permanent missions to the United Nations, as well as opportunities for the development of joint programmes with, and participation in existing programmes of, organizations providing technical assistance to trade law reform.委员会又注意到,秘书处已着手协同国家、区域和国际组织及常驻联合国代表团确定在技术援助方面的国家和区域需求,查明制定与向贸易法改革提供技术援助的组织的联合方案并参与其现行方案的机会。
197. 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 purpose-specific contributions, so as to facilitate planning and enable the Secretariat to meet the increasing demands from developing countries and States with economies in transition for training and technical legislative assistance.197. 委员会重申其吁请所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金提供捐款,如果有可能的话,以多年捐款或专门用途捐款的形式捐款,以便促进规划工作并使秘书处能够满足发展中国家和转型期经济国家对培训和立法技术援助日益增加的需要。
The Commission expressed its appreciation to those States which had contributed to the fund since the thirty-seventh session, namely, Mexico, Singapore and Switzerland, and also to organizations that had contributed to the programme by providing funds or staff or by hosting seminars.委员会对自从第三十七届会议以来已对该基金捐款的那些国家即墨西哥、新加坡和瑞士表示感谢,并对通过提供经费或工作人员或主办研讨会等办法为该方案作出贡献的各组织表示感谢。
198. The Commission appealed to the relevant bodies of the United Nations system, organizations, institutions and individuals to make voluntary contributions to the trust fund established to provide travel assistance to developing countries that were members of the Commission.198. 委员会吁请联合国系统各有关机关、组织、机构和个人对为向属于委员会成员国的发展中国家提供旅行资助而设立的信托基金提供自愿捐款。
The Commission noted that no contributions to the trust fund for travel assistance had been received since the thirty-seventh session.委员会注意到,自第三十七届会议以来没有收到对该信托基金提供的旅行资助方面的任何捐助。
XI.十一. 贸易法委员会法规的现状和促进
Status and promotion of UNCITRAL legal texts 199. The Commission considered the status of the conventions and model laws emanating from its work, as well as the status of the New York Convention, on the basis of a note by the Secretariat (A/CN.9/583).199. 委员会根据秘书处的一份说明(A/CN.9/583)审议了由委员会的工作所产生的各项公约和示范法的现状以及《纽约公约》的现状。
The Commission noted with appreciation the new actions and enactments of States and jurisdictions since its thirty-seventh session regarding the following instruments:委员会欣慰地注意到,自其第三十七届会议以来有些国家和法域就下列文书采取了新的行动和作了新的颁布:
(a) United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980). New actions by Cyprus and Gabon; number of States parties:  65;(a) 《联合国国际货物销售合同公约》(1980年,维也纳)。实施新行动的国家是塞浦路斯和加蓬;缔约国数目:65个;
(b) United Nations Convention on International Bills of Exchange and International Promissory Notes (New York, 1988). New action by Gabon; number of States parties: 4;(b) 《联合国国际汇票和国际本票公约》(1988年,纽约)。实施新行动的国家是加蓬;缔约国数目:4个;
(c) United Nations Convention on the Liability of Operators of Transport Terminals in International Trade (Vienna, 1991). New action by Gabon; number of States parties: 3;(c) 《联合国国际贸易运输港站经营人赔偿责任公约》(1991年,维也纳)。实施新行动的国家是加蓬;缔约国数目:3个;
(d) United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 1995). New action by Gabon; number of States parties: 7;(d) 《联合国独立担保和备用信用证公约》(1995年,纽约)。实施新行动的国家是加蓬;缔约国数目:7个;
(e) Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958). New action by Afghanistan; number of States parties: 135;(e) 《承认及执行外国仲裁裁决公约》(1958年,纽约)。实施新行动的国家是阿富汗;缔约国数目:135个;
(f) UNCITRAL Model Law on International Commercial Arbitration (1985). New jurisdictions that had enacted legislation based on the Model Law: Chile and Philippines;(f) 《贸易法委员会国际商事仲裁示范法》(1985年)。根据示范法颁布法规的新法域是:智利和菲律宾;
(g) UNCITRAL Model Law on Electronic Commerce (1996). New jurisdictions that had enacted legislation based on the Model Law: Chile and, within the United States, the State of Wisconsin;(g) 《贸易法委员会电子商务示范法》(1996年)。根据示范法颁布法规的新法域是:智利和美国国内的威斯康辛州;
(h) UNCITRAL Model Law on Cross-Border Insolvency (1997). New jurisdictions that had enacted legislation based on the Model Law: British Virgin Islands, overseas territory of the United Kingdom, and United States;(h) 《贸易法委员会跨国界破产示范法》(1997年)。根据示范法颁布法规的新法域是:联合王国海外属地英属威尔京群岛和美国;
(i) UNCITRAL Model Law on Electronic Signatures (2001). New jurisdiction that had enacted legislation based on the Model Law: Republic of Korea.(i) 《贸易法委员会电子签名示范法》(2001年)。根据示范法颁布法规的新法域是:大韩民国。
200. It was noted that one State enacting the UNCITRAL Model Law on Cross-Border Insolvency (see para. 199 (h) above) into its bankruptcy code had changed the format of its legislation to make clear that it originated from the UNCITRAL text.200. 据指出,一个国家将《贸易法委员会跨国界破产示范法》(见上文第199段(h))纳入本国破产法加以颁布,该国改变了其本国立法的格式,以清楚表明这一法律源自贸易法委员会的案文。
201. It was noted that the UNCITRAL Model Law on International Commercial Conciliation (2002) would be included in the next revision of the report on the status and promotion of UNCITRAL texts.201. 据指出,《贸易法委员会国际商事调解示范法》(2002年)将列入下一次的关于贸易法委员会法规的现状和促进的报告修订本中。
202. The Commission requested States that had enacted or were about to enact legislation based on a model law prepared by the Commission or that were considering legislative action regarding a convention resulting from the work of the Commission to inform the secretariat of the Commission accordingly.202. 委员会请已经或即将根据委员会拟订的示范法颁布法律的国家或正在考虑就委员会所拟订的一项公约采取立法行动的国家向委员会秘书处通报有关情况。
The Commission noted with appreciation reports by a number of States that official action was being considered with a view to adherence to various conventions and the adoption of legislation based on various model laws prepared by UNCITRAL.委员会赞赏地注意到一些国家编写的报告,其中称正在考虑采取正式行动,以遵守各项公约和通过以贸易法委员会拟订的各项示范法为基础的法规。
The Commission was informed that, pursuant to its request at its thirty-seventh session, the Secretariat would include copies of national enactments of UNCITRAL model laws on the UNCITRAL website in the original language and, where available, in a translation, even if unofficial, into one or more of the official languages of the United Nations.委员会获悉,根据其第三十七届会议的请求,秘书处将把各国颁布贸易法委员会示范法的法规用原语文放在贸易法委员会的网站上,并在可能的情况下将其译成一种或数种联合国的正式语文,即使是非正式的译文。
203. The Commission was informed that a series of conferences were being held in different countries to celebrate the twenty-fifth anniversary of the United Nations Sales Convention and the twentieth anniversary of the Arbitration Model Law, and that efforts would be made to publish their proceedings.203. 委员会获悉,正在不同国家举行一系列会议,庆祝《联合国销售公约》二十五周年和《仲裁示范法》二十周年,并将为发表这些会议的记录做出努力。
204. The Commission had before it a note by the Secretariat (A/CN.9/580 and Add.2) outlining developments in the area of cross-border insolvency, including enactments of the UNCITRAL Model Law on Cross-Border Insolvency and the interpretation in the European Union of certain concepts common to both the Model Law and law of the European Union.204. 委员会收到秘书处的一份说明(A/CN.9/580和Add.2),其中概述了跨国界破产领域的动态,包括《贸易法委员会跨国界破产示范法》的法规颁布以及欧洲联盟内对示范法和欧洲联盟法律中共同具有的某些概念所作的解释。
The Commission took note with satisfaction of the report on developments with enactments of the Model Law.委员会满意地注意到示范法法规颁布方面的动态报告。
It was noted that the Secretariat would continue to monitor those decisions of the courts of the European Union which were relevant to interpretation of concepts used in the Model Law.注意到秘书处将继续监测欧洲联盟各法院作出的与解释示范法中使用的概念有关的判决。
XII. Relevant General Assembly resolutions十二. 大会的有关决议
205. The Commission took note with appreciation of General Assembly resolutions 59/39, on the report of the Commission on the work of its thirty-seventh session, and 59/40, on the UNCITRAL Legislative Guide on Insolvency Law, both of 2 December 2004.205. 委员会赞赏地注意到关于委员会第三十七届会议工作报告的大会第59/39号决议和关于《贸易法委员会破产法立法指南》的大会第59/40号决议,这两个决议的日期都是2004年12月2日。
206.
The Commission took particular note of those parts of resolution 59/39 in which the General Assembly expressed its concern that activities undertaken by other bodies in the field of international trade law without adequate coordination with the Commission might lead to undesirable duplication of efforts and would not be in keeping with the aim of promoting efficiency, consistency and coherence in the unification and harmonization of international trade law, and in which the Assembly reaffirmed the mandate of the Commission, as the core legal body within the United Nations system in the field of international trade law, to coordinate legal activities in this field.206. 委员会特别注意到大会在第59/39号决议中表示了下述关切的那些部分:国际贸易法领域中的其他机构未与委员会适当协调而开展的活动可能导致不必要的重叠,而且不符合在国际贸易法统一和协调工作中促进效率、一致性和连贯性的目的。 大会在该决议中还再次确认了委员会作为联合国系统内在国际贸易法领域中的核心法律机构协调这一领域中的立法活动的任务授权。
Note was taken with appreciation of paragraph 4 of the resolution, in which the Assembly endorsed the efforts and initiatives of the Commission aimed at increasing coordination of and cooperation on legal activities of international and regional organizations active in the field of international trade law.委员会还赞赏地注意到该决议中的第4段,大会在其中肯定了委员会为加强对活跃在国际贸易法领域的国际和区域组织的立法活动加以协调与合作所作出的努力和采取的举措。
XIII. Coordination and cooperation十三. 协调与合作
A. General
207.A. 概论
The Commission had before it a note by the Secretariat (A/CN.9/584) providing a brief survey of the work of international organizations related to the harmonization of international trade law, focusing upon substantive legislative work, as well as two additional notes addressing specific areas of activity, electronic commerce (A/CN.9/579) (see paras. 213-215 below) and insolvency law (A/CN.9/580/Add.1).207. 委员会收到了秘书处的一份说明(A/CN.9/584),其中提供了对国际组织特别侧重于实体法工作的国际贸易法协调工作的简要调查结果,另外还收到两份述及具体活动领域的说明,一份是关于电子商务(A/CN.9/579)(见下文第213-215段),另一份是关于破产法(A/CN.9/580/Add.1)。
The Commission commended the Secretariat for the preparation of those reports, recognizing their value to coordination of the activities of international organizations in the field of international trade law, and noted with appreciation that the survey contained in the note by the Secretariat (A/CN.9/584) was the first in a series that would be updated and revised on an annual basis.委员会赞扬秘书处编拟了这些报告,承认这些报告对协调国际组织在国际贸易法领域中的活动的重要性,并赞赏地注意到秘书处的说明(A/CN.9/584)中所载列的调查报告是今后每年都将增补和修订的系列文件中的第一份。
A number of suggestions for additional information were made.会上对提供进一步资料提出了一些建议。
The Commission noted that the first of a series of parallel reports on the activities of international organizations providing technical assistance to law reform in the areas of international trade law of interest to the Commission would be prepared for its thirty-ninth session in 2006.委员会注意到将为委员会2006年第三十九届会议编拟第一份并行系列报告,阐述各国际组织在委员会感兴趣的国际贸易法领域中提供法律改革方面技术援助的各项活动。
208. It was recalled that the Commission had generally agreed at its thirty-seventh session that it should adopt a more proactive attitude, through its secretariat, to fulfilling its coordination role.208. 会议回顾委员会曾在其第三十七届会议上基本商定,委员会将通过其秘书处采取更为积极主动的态度来履行其协调职责。
The Commission, recalling the statement by the General Assembly in its resolution 59/39 regarding the importance of coordination (see para. 206 above), noted with appreciation that the Secretariat was taking steps to engage in a dialogue, on both legislative and technical assistance activities, with a number of organizations, including the World Bank, the International Monetary Fund (IMF), the Common Market for Eastern and Southern Africa, the Hague Conference on Private International Law, the International Council for Commercial Arbitration, the International Development Law Organization, the Organization of American States and Unidroit.委员会回顾大会曾在其第59/39号决议中指出协调工作的重要性(见上文第206段),为此赞赏地注意到秘书处正在采取步骤,就立法活动和技术援助活动与一些组织进行对话,这些组织包括世界银行、国际货币基金组织(货币基金组织)、东南非共同市场、海牙国际私法会议、国际商事仲裁理事会、国际发展法组织、美洲国家组织和统法协会。
The Commission noted that that work often involved travel to meetings of those organizations and the expenditure of funds allocated for official travel.委员会注意到,这方面的工作通常涉及出差去参加这些组织的会议以及为公务旅行拨出经费。
The Commission reiterated the importance of coordination work being undertaken by UNCITRAL as the core legal body in the United Nations system in the field of international trade law and supported the use of travel funds for that purpose.委员会重申贸易法委员会作为联合国系统在国际贸易法领域中的核心法律机构开展协调工作的重要性,并支持为此目的使用差旅费。
B. Insolvency lawB. 破产法
1. Future work on insolvency law1. 破产法方面今后的工作
209.
The Commission had before it a series of proposals, on which it heard presentations, for future work in the area of insolvency law (A/CN.9/582 and Add.1‑7), specifically on treatment of corporate groups in insolvency, cross-border insolvency protocols in transnational cases, post-commencement financing in international reorganizations, directors’ and officers’ responsibilities and liabilities in insolvency and pre-insolvency cases, and commercial fraud and insolvency.209. 委员会收到了一系列关于破产法领域今后工作的建议(A/CN.9/582和Add.1-7),并就此听取了专题介绍,具体包括下列方面的工作:破产中对公司集团的处理,跨国案件中的跨国界破产协议,国际重组中的启动后融资,破产和破产前案件中董事和管理人员的责任和赔偿责任,以及商业欺诈与破产。
The Commission recalled that several of those topics had arisen in the context of the development of the UNCITRAL Legislative Guide on Insolvency Law, but that the treatment in the Legislative Guide was either limited to a brief introduction, as in the case of treatment of corporate groups in insolvency, or limited to domestic insolvency law, as in the case of post-commencement financing.委员会回顾,其中若干问题是在拟订《贸易法委员会破产法立法指南》中产生的,但是立法指南的处理要么局限于简要介绍(如对于破产中公司集团的处理问题),要么局限于国内破产法(如对于启动后融资问题)。
It was acknowledged that undertaking further work on those two topics would build upon and complement the work already completed by the Commission.据承认,在这两个问题上开展进一步工作将发展和补充委员会所已经完成的工作。
Similarly, the Commission agreed that the proposal on cross-border insolvency protocols was closely related and complementary to the promotion and use of a text already adopted by the Commission, the Model Law on Cross-Border Insolvency.与此类似,委员会一致认为,关于跨国界破产协议的建议与委员会已经通过的一项案文《跨国界破产示范法》的推广和使用密切相关,并相辅相成。
It was recalled that a study on commercial fraud was being undertaken by the United Nations Office on Drugs and Crime (UNODC) in cooperation with the UNCITRAL secretariat and that, in addition to issues of criminal law, that work included aspects of civil law that would be relevant to insolvency.据回顾,联合国毒品和犯罪问题办事处(毒品和犯罪问题办事处)正在与秘书处合作开展对商业欺诈的研究,除刑法问题以外,该工作还包括与破产有关的民法方面。
The Commission was of the view that any future work on commercial fraud in the area of insolvency should be coordinated with the results of that study (see para. 218 below).委员会认为,破产法领域今后在商业欺诈方面的任何工作都应当与该研究报告的结果进行协调(见下文第218段)。
The Commission noted that, while the topic of directors’ and officers’ liability was an important one, it might involve questions of criminal law that would be outside the mandate of the Commission or questions for which it might be difficult to find harmonized solutions.委员会指出,虽然董事和管理人员的责任问题是一个重要问题,但是该问题可能涉及委员会任务授权范围之外的刑法问题或难以找出协调的解决办法的问题。
For those reasons, that topic might not be as susceptible as other topics to future work at that time.为此,届时这一问题可能不如其他问题那样受今后工作的影响。
210. After discussion, some preference for the topics of corporate groups, cross-border protocols and post-commencement financing was expressed.210. 经过讨论,有与会者倾向于公司集团问题、跨国界协议问题和启动后融资问题。
The Commission agreed that to facilitate further consideration and obtain the views and benefit from the expertise of international organizations and insolvency experts, an international colloquium should be held, similar to the UNCITRAL/INSOL International/International Bar Association Global Insolvency Colloquium (Vienna, 4-6 December 2000), which had been a key part of the work on the development of the UNCITRAL Legislative Guide on Insolvency Law (see A/CN.9/495).委员会一致认为,为了便利继续审议并从国际组织的专家以及破产专家处获取意见并受益,应当举办一次国际学术讨论会,类似于贸易法委员会/破产管理从业人员国际协会/国际律师协会的破产问题全球学术讨论会(2000年12月4日至6日,维也纳),该会议是《贸易法委员会破产法立法指南》的拟订工作的一个关键部分(见A/CN.9/495)。
The Commission agreed that in preparing the programme for that colloquium, to be held in Vienna from 14 to 16 November 2005, the Secretariat should take into account the discussion in the Commission in determining priorities.委员会一致认为,在拟订拟于2005年11月14日至16日在维也纳举行的该学术讨论会的议程时,秘书处确定优先项目应考虑到委员会的讨论情况。
2. Coordination with the World Bank and the International Monetary Fund2. 与世界银行和国际货币基金组织的协调
211. The Commission recalled that, at its thirty-seventh session, in its decision adopting the UNCITRAL Legislative Guide on Insolvency Law, it had confirmed its intention to continue coordination and cooperation with the World Bank and IMF to facilitate the development of a unified international standard in the area of insolvency law.211. 委员会回顾,在其第三十七届会议关于通过《贸易法委员会破产法立法指南》的决定中,委员会确认,将继续与世界银行和货币基金组织开展协调与合作,以便利破产法领域统一国际标准的拟订。
That standard was being developed in the context of the joint World Bank/IMF initiative on standards and codes (Reports on Standards and Codes (ROSC)), insolvency being one of the 12 areas that was identified as useful for the operational work of the Bank and IMF and for which standard assessments had been, and were to continue to be, undertaken.该标准的拟订工作正在世银/货币基金组织关于标准和准则的联合倡议(《标准和准则遵守情况报告》)框架内进行,破产是十二个领域之一,被确认为有助于世银和货币基金组织的业务工作,已经并将继续对这些领域进行标准评估。
Those assessments were designed to assess a country’s institutional practices against an internationally recognized standard and, if needed, provide recommendations for improvement.这些评估在设计上着眼于参照国际公认标准评估一国的制度做法,并在必要情况下提供改进建议。
They were conducted on a voluntary basis and at the request of a country, the results being confidential unless the country agreed to publication of an executive summary.这些评估是应一国要求自愿进行的,评估结果将予以保密,除非该国同意发表内容提要。
The uniform standard was to be based upon a framework that included both the World Bank’s Principles and Guidelines for Effective Insolvency and Creditor Rights Systems and the UNCITRAL Legislative Guide on Insolvency Law as independent texts.统一标准将依据的框架包括作为独立案文的世界银行《关于有效的破产和债权人权利制度的原则和准则》和《贸易法委员会破产法立法指南》。
It was not expected that the two texts would be combined as a single publication.预计这两个文本将不会合并为一份出版物。
212. The Commission was informed that staff of the World Bank and IMF would recommend that their respective executive boards recognize those documents as constituting the unified standard for insolvency and creditor rights systems for use in the two institutions’ operational work.212. 委员会获悉,世界银行和货币基金组织的工作人员将建议其各自的执行理事会将这些文件认可为构成破产和债权人权利制度的统一标准,供在两个机构的业务工作中使用。
Recognition by the two executive boards would allow ROSC assessments to be conducted on the basis of the unified standard on insolvency and creditor rights systems.双方执行理事会的认可将使得《标准和准则遵守情况报告》评估可以在关于破产和债权人权利制度的统一标准的基础上进行。
The unified standard forms the basis of a methodology document that is being developed by the Bank, in coordination with IMF and UNCITRAL, within the parameters of the joint World Bank/IMF initiative on standards and codes.该统一标准形成世银在世界银行/货币基金组织关于标准和准则的联合倡议范围内正与货币基金组织和贸易法委员会协作拟订的方法论文件的基础。
C. Electronic commerceC. 电子商务
213. The Commission considered the possibility of undertaking future work in the area of electronic commerce in the light of a note submitted by the Secretariat in pursuance of the Commission’s mandate to coordinate international legal harmonization efforts in the area of international trade law, in which the Secretariat summarized the work undertaken by other organizations in various areas related to electronic commerce (A/CN.9/579).213. 委员会根据秘书处提交的一份说明研究了今后在电子商务领域开展工作的可能性,这份说明是由秘书处依照委员会协调国际贸易法领域国际法律统一工作的任务授权而提交的,秘书处在这份说明中概述了其他组织在与电子商务有关的各个领域所开展的工作情况(A/CN.9/579)。
It was pointed out that the range of issues currently being dealt with by various organizations were indicative of the various elements required to establish a favourable legal framework for electronic commerce.据指出,各组织正在处理的各种问题表明了建立有利于电子商务的法律框架所需的各项要素。
The UNCITRAL Model Laws on Electronic Commerce and Electronic Signatures, as well as the draft convention on the use of electronic communications in international contracts, which the Commission had approved in its current session (see para. 166 above), provided a good basis for States to facilitate electronic commerce, but only addressed a limited number of issues.《贸易法委员会电子商务示范法》和《贸易法委员会电子签名示范法》以及委员会本届会议已经核准的国际合同使用电子通信公约草案(见上文,第166段),为各国促进电子商务提供了良好的依据,但只涉及有限的问题。
Much more needed to be done to enhance confidence and trust in electronic commerce, such as appropriate rules on consumer and privacy protection, cross-border recognition of electronic signatures and authentication methods, measures to combat computer crime and cybercrime, network security and critical infrastructure for electronic commerce and protection of intellectual property rights in connection with electronic commerce, among various other aspects.为增强对电子商务的信心和信任仍有许多工作需要去做,例如关于保护消费者和隐私的适当规则、对电子签名和认证方法的跨国界承认、打击计算机犯罪和网上犯罪的措施、网络安全和对电子商务至关重要的基础设施、与电子商务有关的知识产权保护工作,等等。
At present, there was no single international document providing guidance to which legislators and policymakers around the world could refer for advice on those various aspects.目前尚无一份世界各国立法者和决策者可在这些方面用作参考的国际指导性文书。
The task of legislators and policymakers, in particular in developing countries, might be greatly facilitated if such a comprehensive reference document were to be formulated.若能拟订一份此种综合性参考文书则将大大便利于尤其是发展中国家的立法者和决策者开展工作。
214. The Commission welcomed the information provided in the note by the Secretariat and confirmed the usefulness of such cross-sectoral overview of activities from the viewpoint both of its coordination activities and of the information requirements of Member States.214. 委员会对秘书处说明中提供的信息表示欢迎,并肯定此种跨部门活动概览无论从协调活动还是从会员国对信息需要的角度来看都是有益的。
There was general agreement that it would be useful for the Secretariat to prepare a more detailed study, in cooperation and in consultation with the other international organizations concerned, for consideration by the Commission at its thirty-ninth session, in 2006.与会者普遍认为,秘书处应该与其他有关的国际组织开展合作与磋商,拟订一份更为详细的研究报告供委员会2006年第三十九届会议审议。
Such a detailed overview, with proposals as to the form and nature of the reference document that would be envisaged, would be useful to allow the Commission to consider possible areas in which it could undertake legislative work in the future, as well as areas in which legislators and policymakers might benefit from comprehensive information, which did not necessarily need to take the form of specific legislative guidance.此种内容详实的概览和就参考文件的格式与性质拟就的提案,将有助于委员会审议今后可开展立法工作的各个方面以及可以向立法者和决策者提供全面信息的诸多方面,这方面的工作不一定采取具体立法指南的形式。
In considering that matter, the Commission should bear in mind the need to ensure appropriate coordination and consultation with other organizations and to avoid duplicating or overlapping work.委员会在对该事项加以审议时应铭记必须确保与其他组织进行适当的协调与磋商,避免工作的重复或重叠。
It was also suggested that the overview should provide more detail on the work of some regional organizations than was contained in the note by the Secretariat.还有与会者建议,此种概览应该比秘书处的说明中所载内容更进一步,更为详细地介绍某些区域组织的工作。
215. As regards the range of issues to be considered in such a detailed overview, the following areas were suggested: transfer of rights in tangible goods or other rights through electronic communications, intellectual property rights, information security, cross-border recognition of electronic signatures, electronic invoicing and online dispute resolution.215. 关于此种详细概览中拟审议的各种问题,有与会者建议拟涉及的方面如下:通过电子通信转让对有形货物的权利或其他权利、知识产权、信息安全、电子签名的跨国界承认、电子式发票和在线解决纠纷。
The Commission’s attention was also drawn to the recommendations for future work that had been made by the Working Group (see A/CN.9/571, para. 12).与会者还提请委员会注意工作组就未来工作提出的建议(见A/CN.9/571,第12段)。
It was agreed that those recommendations should also be considered in the context of the detailed overview to be prepared by the Secretariat, to the extent that some of them would not be reflected in the explanatory notes to the convention on the use of electronic communications in international contracts (see para. 165 above), or in separate information activities undertaken by the Secretariat, such as monitoring the implementation of the UNCITRAL Model Laws on Electronic Commerce and Electronic Signatures, and compiling judicial decisions on the matters dealt with in those Model Laws.会议一致认为,还应结合拟由秘书处编拟的详细概览审议这些建议,但其中有些建议将不会在国际合同使用电子通信公约草案解释性说明(见上文第165段)或秘书处单独开展的宣传活动中得到反映,此类宣传活动包括监督《贸易法委员会电子商务示范法》和《贸易法委员会电子签名示范法》的执行情况以及编撰关于这些示范法所涉问题的法庭裁决。
D. Commercial fraudD. 商业欺诈
216. The Commission recalled its consideration of the subject at its thirty-fifth to thirty-seventh sessions, in 2002 to 2004, respectively.216. 委员会回顾了2002年至2004年举行的其第三十五至三十七届会议分别对这一问题进行的审议。
At its thirty-seventh session, in 2004, the Commission had agreed that it would be useful if, wherever appropriate, examples of commercial fraud were to be discussed in the particular contexts of projects worked on by the Commission so as to enable delegates involved in those projects to take the problem of fraud into account in their deliberations.委员会在其2004年第三十七届会议上一致认为,只要情况允许,就应特别结合委员会正在开展的项目讨论商业欺诈的实例,从而使参与这些项目的代表在其审议中考虑到欺诈问题。
In addition, the Commission agreed that the preparation of lists of common features present in typical fraudulent schemes could be useful as educational material for participants in international trade and other potential targets of perpetrators of frauds to the extent they would help them protect themselves and avoid becoming victims of fraudulent schemes.此外,委员会一致认为,编写一份典型欺诈手段的共同特征清单,可以成为国际贸易参与者和诈骗分子的其他潜在对象的有用教材,因为它们将有助于这些人采取自我保护,避免成为欺诈手段的受害人。
While it was not proposed that the Commission itself or its intergovernmental working groups be directly involved in those efforts, it was agreed that the Secretariat would keep the Commission informed regarding such activity.虽然并没建议委员会或其各政府间工作组直接参与这些工作,但会议一致认为,秘书处应随时向委员会通报这一活动的进展情况。
217.
In that regard, the Commission’s attention was drawn to Economic and Social Council resolution 2004/26 of 21 July 2004, entitled “International cooperation in the prevention, investigation, prosecution and punishment of fraud, the criminal misuse and falsification of identity and related crimes”, in which the Council requested the Secretary-General to convene an intergovernmental expert group to prepare a study on fraud and the criminal misuse and falsification of identity and to develop on the basis of the study useful practices, guidelines or other materials, taking into account in particular the relevant work of UNCITRAL, and recommended that the Secretary-General designate UNODC to serve as secretariat for the intergovernmental expert group, in consultation with the secretariat of UNCITRAL.217. 在这方面,有与会者提醒委员会注意经济及社会理事会2004年7月21日题为“开展国际合作,预防、侦查、起诉和惩处欺诈、滥用和伪造身份资料罪以及有关的犯罪”的第2004/26号决议。 在该决议中,经社理事会请秘书长召集一个政府间专家组,以编写一份关于欺诈和为犯罪目的滥用及伪造身份资料的研究报告,并在此研究报告的基础上,同时考虑到尤其是贸易法委员会的有关工作,拟订实用做法、准则或其他材料;还建议,秘书长经与贸易法委员会秘书处协商后,指定毒品和犯罪问题办事处担任该政府间专家组的秘书处。
218. At its thirty-eighth session, the Commission heard an oral report from the Secretariat regarding the results of the intergovernmental expert group meeting, organized by UNODC from 17 to 18 March 2005, which were reported to the Commission on Crime Prevention and Criminal Justice at its fourteenth session (Vienna, 23-27 May 2005; see E/CN.15/2005/11).218. 委员会在第三十八届会议上听取了秘书处关于毒品和犯罪问题办事处2005年3月17日至18日举办的政府间专家组会议的成果的口头报告,该成果已向预防犯罪和刑事司法委员会第十四届会议作了报告(2005年5月23日至27日,维也纳;见E/CN.15/2005/11)。
The United Nations Commission on International Trade Law was informed that the participants at the expert group meeting had indicated that fraud was a serious concern for their Governments and represented a problem that was rapidly expanding, both in the range of frauds being committed and their geographical scope and diversity, owing in part to developments in technology.联合国国际贸易法委员会了解到,专家组会议的与会者表示,欺诈是他们国家政府的一项严重关切,并且无论是从所实施的欺诈的种类来看,还是从其地理范围和多样性来看,欺诈都是一个正在急剧蔓延的问题,其部分原因是技术的发展。
Participants had agreed that a study of the problem should be undertaken, based on information received from Member States in response to a questionnaire on fraud and the criminal misuse and falsification of identity (identity fraud) to be circulated by UNODC.与会者一致认为,应当根据从会员国收到的对拟由毒品和犯罪问题办事处分发的关于欺诈和为犯罪目的滥用和伪造身份资料(身份欺诈)的调查表的答复,对这一问题开展研究。
The Commission was informed that the UNCITRAL secretariat had participated in the expert group meeting and that the group had taken note of the willingness expressed by the UNCITRAL secretariat to assist UNODC in the preparation of the study and the drafting and dissemination of the questionnaire.委员会了解到,贸易法委员会秘书处参加了专家组会议,并且专家组注意到,贸易法委员会秘书处表示愿意协助毒品和犯罪问题办事处拟订该研究报告并起草和分发调查表。
219. The Commission took note of the Economic and Social Council resolution and support was expressed for the assistance of the UNCITRAL secretariat in the UNODC project.219. 委员会注意到经济和社会理事会的决议,并且对贸易法委员会秘书处对于毒品和犯罪问题办事处项目的协助表示支持。
The view was expressed that the commercial and criminal law aspects of the topic of fraud provided a solid basis for the UNCITRAL secretariat cooperation with UNODC and could provide for more prophylactic coverage of the topic, in particular in the light of the suggestion that fraudulent activity was taking advantage of the gap between the commercial and criminal treatment of fraud.有一种意见是,欺诈问题所涉及的商业法和刑法方面为贸易法委员会秘书处与毒品和犯罪问题办事处开展合作提供了一个坚实的基础,并且可以更多地从防范的角度处理这一问题,尤其是考虑到所提出的一种看法,即欺诈活动正在利用对于欺诈的商业处理和刑事处理之间的空隙。
However, as had been expressed at previous sessions, several delegations stressed that, given the Commission’s mandate to harmonize trade law and enhance expertise in that area, work on this topic should stay within the parameters of commercial fraud and not stray into criminal law concerns, especially as there were numerous other international agencies working in the area of crime and law enforcement.然而,正如以往各届会议上所表示的,一些代表团强调,鉴于委员会协调统一贸易法和提高这一领域专门知识的任务授权,关于这一问题的工作应当保持在商业欺诈的范围之内,而不应当偏离到刑法方面的关切,尤其是因为已有许多其他国际机构在犯罪和执法领域工作。
Another view was that civil aspects of commercial fraud appeared often to fall outside the usual areas of work by other international bodies.另一种观点是,商业欺诈所涉及的民事方面似乎往往不属于其他国际机构通常的工作范畴。
It was suggested that commercial fraud should remain a potential topic for future work, pending the outcome of the UNODC study, and any future decisions of the Commission in that regard.据指出,商业欺诈仍然应当是今后工作的一个可能的主题,当然这要取决于毒品和犯罪问题办事处研究报告的结果和委员会今后在这方面的任何决定。
220. In response to an inquiry, it was clarified that the insolvency colloquium planned for November 2005 (see para. 210 above) could consider an aspect of fraud in relation to insolvency, but only insofar as considering a targeted legislative response to deter fraudulent practices in cases of insolvency, rather than serving the educational and preventive goals of general work on commercial fraud.220. 针对一项质询,委员会明确指出,拟于2005年11月举行的破产问题学术讨论会(见上文,第210段)可审议欺诈与破产有关的一个方面,但仅限于审议一项在破产中制止欺诈做法的目标明确的立法对策,而不是实现商业欺诈方面的一般性工作的教育和预防目标。
The Commission reiterated the mandate given to its secretariat, operating within existing resources and operational requirements, for an initiative to develop lists of common features present in typical fraudulent schemes (see para. 216 above) and requested its secretariat to consider how best to coordinate that work with the preparation of the UNODC study entrusted to the intergovernmental expert group.委员会重申授与其秘书处的任务是在现有资源和业务要求范围内实行一项举措,拟订典型欺诈手段的共同特征清单(见上文,第216段),并请秘书处考虑如何将该工作与委托政府间专家组编拟毒品和犯罪问题办事处研究报告的工作进行最佳的协调。
E. Reports of other international organizationsE. 其他国际组织的报告
1. Council of Europe1. 欧洲委员会
221. The Commission heard a statement on behalf of the Council of Europe on the Convention on Cybercrime (Budapest, 2001), which entered into force on 1 July 2004. The Commission was informed that the Convention obliged Governments to introduce a harmonized notion of computer-related offences in their national legal systems;221. 委员会听取了欧洲委员会的代表就《网络犯罪公约》(2001年,布达佩斯)所作的发言,该公约于2004年7月1日生效。
to establish certain harmonized procedures of investigation and prosecution;
to establish an institutional capacity permitting judicial organs to combat computer-related offences; to establish appropriate conditions for direct cooperation between public institutions as well as between them and entities from the private sector; to establish effective regimes for judicial assistance that would permit direct cross-border cooperation; and to create an intergovernmental system for urgent intervention.委员会获悉,根据该公约各国政府负有以下义务:在本国法律制度中提出一个有关计算机犯罪的统一概念;制定某些有关侦查和起诉的统一程序;建立机构能力使司法机关得以打击计算机犯罪;为公共机构之间以及公共机构与私营部门实体之间开展直接合作创造适当的条件;建立提供司法援助的有效机制,以便得以开展直接的跨国界合作;并创设紧急干预政府间制度。
222. It was emphasized that the Convention on Cybercrime was not limited to the European continent; a number of non-European States had participated in its negotiations and, in addition to signature by 31 member States of the Council of Europe, it had been signed by non-members such as Canada, Japan, South Africa and the United States.222. 据强调,该《网络犯罪公约》并不限定于欧洲大陆;一些非欧洲国家也参加了公约的谈判工作,除欧洲委员会的31个成员国外,加拿大、日本、南非和美国等非成员国也签署了该公约。
223. Noting that declarations in support of the Convention had been adopted in several organizations such as Asia-Pacific Economic Cooperation, the Commonwealth and the Organization of American States and endorsed at a summit of the Group of Eight and that the Convention presented a useful complement to the draft convention on the use of electronic communications in international contracts, it was suggested on behalf of the Council of Europe that the Commission might wish to join the movement to encourage Governments to adhere to the Convention on Cybercrime or to enact its principles in their national laws.223. 考虑到亚太经合组织、英联邦和美洲国家组织等一些组织通过了对该公约表示支持的声明,八国集团首脑会议也赞同该公约,而且该公约是对国际合同使用电子通信公约草案的一种有益的补充,因此欧洲委员会代表以欧洲委员会的名义建议贸易法委员会加入到鼓励各国政府加入《网络犯罪公约》或在本国法律中颁布该公约原则的行列中去。
224.
The Commission, having expressed its appreciation to the representative of the Council of Europe for the presentation of the Convention on Cybercrime, recalled its plan to consider at its next session a proposal for a coordinated legislative reference document on electronic commerce (see paras. 214 and 215 above) and agreed that the Convention might usefully be included in that context, in view of the increasing vulnerability of international trade to abusive or fraudulent use of Internet technology and the potential of the Convention to provide Governments and the private sector with useful tools to fight cybercrime.224. 委员会赞赏欧洲委员会代表对《网络犯罪公约》所作的介绍,回顾其计划在下届会议上审议一份有关电子商务的协调立法参考文件的提案(见上文,第214和215段),并一致认为似宜将该公约列入其中,其原因是国际贸易受滥用互联网技术或将互联网技术用于欺诈的影响的情况有增无减,该公约可以向各国政府和私营部门提供打击网络犯罪的有益工具。
2. International Council for Commercial Arbitration2. 国际商事仲裁理事会
225. The Commission heard a statement on behalf of the International Council for Commercial Arbitration on the importance of the role of courts in the arbitral process and of activities undertaken by the Council to provide technical assistance to judges in that regard.225. 委员会听取了代表国际商事仲裁理事会就法院在仲裁过程中所发挥重要作用以及该理事会在这方面向法官提供技术援助的活动的重要性所作的发言。
The Commission was informed that the Council was willing to assist and cooperate with UNCITRAL in that area of technical assistance, including with the development of materials that might be used to facilitate that technical assistance.委员会获悉,理事会愿意在技术援助方面向贸易法委员会提供帮助并与其开展合作,包括共同制定可用于为技术援助提供便利的材料。
3. Hague Conference on Private International Law3. 海牙国际私法会议
226. The Commission heard a statement on behalf of the Hague Conference on Private International Law reporting on progress with a number of projects, including:226. 委员会听取了代表海牙国际私法会议报告若干项目进展情况的发言,这些项目包括:
(a) The conclusion of the diplomatic conference in June 2005 with the adoption of a new Convention on Choice of Court Agreements (an explanatory report to be published later in 2005);(a) 2005年6月举行了一次外交会议,通过了一项新公约——《关于选择法院协议公约》以及拟于2005年下半年公布的解释性报告;
(b) An international forum held in May 2005 on e-Notarization and e‑Apostille, in particular with respect to application of the Convention Abolishing the Requirement of Legalization for Foreign Public Documents (The Hague, 1961);(b) 2005年5月举行的电子公证和电子加注问题国际论坛,尤其涉及适用《废除要求认证外国公文的公约》(1961年,海牙);
(c) A conference held in October 2004 on the practical interplay of existing instruments in international trade law and dispute resolution with regard to electronic transactions, the proceedings of which were to be published in 2005.(c) 2004年10月举行的有关国际贸易法现行文书与纠纷解决现行文书在电子交易方面的实际相互影响的会议,会议纪要将于2005年公布。
227. The Commission was also informed that Paraguay had become a member of the Hague Conference and that the Statute of the Hague Conference had been amended to permit economic integration organizations to become members.227. 委员会还获悉,巴拉圭已成为海牙会议的成员;《海牙会议规约》作了修正,允许让经济一体化组织加入海牙会议。
4. International Institute for the Unification of Private Law4. 国际统一私法协会(统法协会)
228. The Secretary-General of the International Institute for the Unification of Private Law (Unidroit) reported on progress with a number of different projects, including:228. 国际统一私法协会(统法协会)秘书长报告了在若干不同项目上的进展情况,这些项目包括:
(a) The expected entry into force, in the next few months, of the Protocol to the Cape Town Convention on Matters Specific to Aircraft Equipment (Cape Town, 2001) and the establishment, within the International Civil Aviation Organization, of the registry function under that Convention;(a) 《开普敦公约关于航空器设备特有事项的议定书》(2001年,开普敦)预计在今后几个月内生效,以及在国际民用航空组织内设立该公约所规定的登记处;
(b) The proposal to convene a diplomatic conference in 2006 on the second protocol to the Cape Town Convention, dealing with the financing of railway rolling stock, the continuing negotiation of the third protocol, dealing with space assets, and with proposals for further protocols on agricultural, construction and mining equipment;(b) 提议2006年举行关于《开普敦公约》涉及铁道车辆融资的第二份议定书的外交会议,并继续谈判涉及空间资产的第三份议定书,同时就其他有关农业、建筑和采矿设备的议定书提出建议;
(c) The addition, in 2004, of six chapters to the Uniform Principles of International Commercial Contracts and proposals for further additions;(c) 《国际商事合同通则》2004年增补了六个章节,以及有关进一步增补的提议;
(d) The adoption in 2004 of the Principles of Transnational Civil Procedure;(d) 2004年通过了《跨国民事诉讼程序原则》;
(e) Continuing negotiation of a draft convention on substantive rules regarding securities held with intermediaries;(e) 继续谈判中间人代持证券事宜实质性规则公约草案;
(f) Development of a uniform contract law for States parties to the Treaty on the Harmonization of Business Law in Africa;(f) 为《非洲商法协调条约》的缔约国拟订统一合同法;
(g) Planning for future projects on a legislative guide on capital markets law and a model law on international financial leasing, as follow-up to the Convention on International Financial Leasing (Ottawa, 1988).(g) 规划有关资本市场法立法指南和国际金融租赁示范法的未来项目,作为对《国际金融租赁公约》(1988年,渥太华)的后续行动。
229. The Commission was informed that Unidroit would, at some future date, seek endorsement by the Commission of the Principles of International Commercial Contracts.229. 委员会获悉,统法协会将在今后某日争取委员会核可《国际商业合同原则》。
5. International Monetary Fund5. 国际货币基金组织
230. The Commission heard a statement on behalf of IMF on the coordination of its legal work, in particular technical assistance, with other organizations.230. 委员会听取了代表货币基金组织就尤其在技术援助方面与其他组织协调其法律工作的发言。
It was noted that technical assistance was generally delivered at the request of States, with the demand for assistance generally exceeding capacity.委员会注意到,通常根据各国的请求提供技术援助,对援助的需求一般超出了提供此种援助的能力。
Most technical assistance was directed at assisting States with economic development and financial stability reform, including with respect to central banking and banking regulation; fiscal issues; anti-money-laundering and financing of terrorism; creditor rights, including insolvency, secured transactions and enforcement of financial claims;绝大多数技术援助均着眼于协助各国发展经济,进行金融稳定方面的改革,包括在中央银行和银行条例上进行改革;财政问题;反洗钱和资助恐怖主义;债权人的权利,包括破产、担保交易和执行金融债权;以及公共机构的治理。
and governance of public institutions.
Technical assistance generally involved drafting of legislation and regulations; seminars and training for lawyers and judges; and participation in the development of international best practices and standards, such as the UNCITRAL Legislative Guide on Insolvency Law.技术援助通常涉及草拟法规和条例;为律师和法官举办研讨会和培训;参与拟订国际最佳做法和标准,例如《贸易法委员会破产法立法指南》。
Delivery of the Fund’s technical assistance programme was informed by coordination with other organizations active in those fields.在与这些领域中的其他组织协调工作时通报了货币基金组织技术援助方案的执行情况。
F. Congress 2007F. 2007年大会
231. The Commission approved the plan, in the context of the fortieth annual session of the Commission in Vienna, in 2007, to hold a congress similar to the UNCITRAL Congress on Uniform Commercial Law in the Twenty-first Century (New York, 18-22 May 1992). The Commission envisaged that the congress would review the results of the past work programme of UNCITRAL, as well as related work of other organizations active in the field of international trade law, assess current work programmes and consider and evaluate topics for future work programmes.231. 委员会核准计划2007年在维也纳举行委员会第四十届年会期间举行一次大会,类似于贸易法委员会二十一世纪统一商法大会(1992年5月18日至22日,纽约),委员会设想,将在这次大会上审查贸易法委员会过去工作方案的成果,以及活跃于国际贸易法领域的其他组织的相关工作,并对当前的工作方案进行评估,同时审议和评价未来工作方案的各项专题。
XIV.十四. 其他事项
Other business A. Willem C. Vis International Commercial Arbitration MootA. Willem C. Vis国际商事仲裁模拟仲裁庭辩论赛
232. It was noted that the Institute of International Commercial Law at Pace University School of Law in White Plains, New York, had organized the Twelfth Willem C. Vis International Commercial Arbitration Moot in Vienna from 18 to 24 March 2005. As in previous years, the Moot had been co-sponsored by the Commission.232. 委员会注意到,纽约佩斯大学White Plains法学院国际商法研究所于2005年3月18日至24日在维也纳举办了第十二次Willem C. Vis国际商事仲裁模拟仲裁庭辩论赛。
与往年一样,辩论赛活动由委员会协同主办。
It was noted that legal issues dealt with by the teams of students participating in the Twelfth Moot had been based on the United Nations Sales Convention, the Swiss Rules of International Arbitration, the Arbitration Model Law and the New York Convention.委员会注意到,参与第十二次辩论赛的各队学生所辩论的法律问题是以《联合国销售公约》、《瑞士国际仲裁规则》、《仲裁示范法》及《纽约公约》为依据的。
Some 151 teams from law schools in 46 countries had participated in the Twelfth Moot.46个国家的法学院的约151支代表队参加了第十二次辩论赛。
The best team in oral arguments was that of Stetson University, Florida, United States, followed by the University of Vienna, Austria.口头辩论的最优秀队伍是美国佛罗里达州Stetson大学,其后是奥地利维也纳大学。
The Commission noted that its secretariat had also organized lectures relating to its work coinciding with the period in which the Moot had been held.委员会注意到,在辩论赛举办期间,委员会秘书处还同时举办了与委员会工作有关的讲座。
The Thirteenth Willem C. Vis International Commercial Arbitration Moot would be held in Vienna from 7 to 13 April 2006.第十三次Willem C. Vis国际商事仲裁模拟仲裁庭辩论赛将于2006年4月7日至13日在维也纳举行。
233. The Commission heard a report about the history, growth and features of the Moot.233. 委员会听取了有关辩论赛的历史、发展和特征的报告。
Statements were made highlighting the importance of the Moot as a means of introducing law students to the work of UNCITRAL and to its uniform legal texts, in particular in the areas of contract law and arbitration.与会者在发言中特别强调了辩论赛作为尤其在合同法和仲裁方面向法学院学生介绍贸易法委员会工作及其统一法规的一种手段的重要性。
The Commission noted the positive impact that the Moot had on law students, professors and practitioners around the world.委员会注意到辩论赛给世界各地的法学院学生、教授和实际工作者所带来的积极影响。
It was widely felt that the annual Moot, with its extensive oral and written competition, and its broad international participation, presented an excellent opportunity to disseminate information about UNCITRAL, its legal texts and for teaching international trade law.与会者普遍认为年度辩论赛口头和书面竞赛涉面很广,得到各国的广泛参与,为传播有关贸易法委员会及其法规和国际贸易法教学的信息提供了一个绝佳的机会。
The suggestion was made that information about the Moot should be circulated more widely in law schools and universities and that the Moot should be considered an important part of the UNCITRAL technical assistance programme.有与会者建议,应在法学院和大学中更为广泛地宣传辩论赛的情况,辩论赛应被视为贸易法委员会技术援助方案的一个重要部分。
234. The Commission expressed its gratitude to the organizers and sponsors of the Moot for their efforts to make it successful and hoped that the international outreach and positive impact of the Moot would continue to grow.234. 委员会感谢辩论赛的组织方和主办方为使辩论赛取得成功而作出的努力,并希望继续进一步开展有关辩论赛的国际宣传活动,不断扩大这项活动的积极影响。
Special appreciation was expressed to Eric E. Bergsten, former Secretary of the Commission, for the development and direction of the Moot since its inception in 1993-1994.委员会对委员会前任秘书Eric E. Bergsten自辩论赛于1993-1994年创办以来一直负责这项活动的发展和指导而向他致以特别的谢意。
B. UNCITRAL information resourcesB. 贸易法委员会的信息资源
235. The Secretariat presented to the Commission the new UNCITRAL website (www.uncitral.org) launched in June 2005.235. 秘书处向委员会介绍了于2005年6月创办的贸易法委员会新网站(www. uncitral.org)。
The Commission welcomed the new website and noted with appreciation the extended implementation of the principle of multilingualism in the website, as well as its enhanced functionality, which further facilitated delegates’ access to documents.委员会对该新的网站表示欢迎,并赞赏地注意到该网站继续执行了多语文的原则,并且网站的功能有所提高,从而更加方便代表查阅文件。
The Commission considered the UNCITRAL website an important component of the Commission’s overall programme of information activities and training and technical assistance and encouraged the Secretariat to further maintain and upgrade the website in accordance with the existing guidelines.委员会认为贸易法委员会网站是委员会有关信息活动、培训和技术援助总体方案的一个重要组成部分,并鼓励秘书处依照现行准则进一步维护和升级该网站。
C. BibliographyC. 文献目录
236. The Commission noted with appreciation the bibliography of recent writings related to its work (A/CN.9/581).236. 委员会赞赏地注意到与其工作有关的最新文献目录(A/CN.9/581)。
The Commission was informed that the bibliography was being updated on the UNCITRAL website on an ongoing basis.委员会获悉,文献目录在贸易法委员会网站上不断更新。
The Commission stressed that it was important for the bibliography to be as complete as possible and, for that reason, requested Governments, academic institutions, other relevant organizations and individual authors to send copies of relevant publications to its secretariat.委员会强调了使文献目录尽可能完整的重要性,因此,请各国政府、学术机构、其他有关组织和作者个人向委员会秘书处寄送有关出版物。
XV. Date and place of future meetings十五. 今后会议的日期和地点
A. General discussion on the duration of sessionsA. 关于届会会期的一般性讨论
237. The Commission recalled that, at its thirty-sixth session, it had agreed that: (a) working groups should normally meet for a one-week session twice a year; (b) extra time, if required, could be allocated from the unused entitlement of another working group provided that such an arrangement would not result in the increase of the total number of 12 weeks of conference services per year currently allotted to sessions of all six working groups of the Commission; and (c) if any request by a working group for extra time would result in the increase of the 12-week allotment, it should be reviewed by the Commission, with proper justification being given by that working group regarding the reasons for which a change in the meeting pattern was needed.237. 委员会回顾其在第三十六届会议上同意:(a)工作组的会议一般为每年二次,每次一周;(b)如果需要额外时间,则可从另一工作组未使用的时间权限中分配,只要这一安排不会导致增加目前委员会所有六个工作组届会每年总共十二周的会议服务;(c)如果工作组对额外时间的请求导致十二周分配时间的增加,则应由委员会审查这种请求,工作组应就为何需要改变会议时间分配模式提出适当理由。
238. At its thirty-eighth session, for the reasons noted by the Commission at its thirty-sixth session, the Commission decided to accommodate again the need of Working Group III (Transport Law) for two-week sessions, utilizing the entitlement of Working Group IV (Electronic Commerce), which was not expected to meet in the second half of 2005 or in 2006.238. 委员会在第三十八届会议上,出于其第三十六届会议上指出的理由,决定再次满足第三工作组(运输法)举行为期二周届会的需要,使用第四工作组(电子商务)的时间权限,因为预期该工作组在2005年下半年或2006年不会开会。
In addition, the Commission noted that Working Group V (Insolvency Law) was not expected to meet before the Commission’s thirty-ninth session.此外,委员会注意到,预期第五工作组(破产法)在委员会第三十九届会议前不会开会。
Meeting dates from 1 to 5 May 2006 reserved for that Working Group would therefore be available for another working group that might need to hold a longer or an additional session.因此为该工作组预留的2006年5月1日至5日的会期可以分配给可能需要延长届会会期或举行额外届会的另一个工作组。
B. Thirty-ninth session of the CommissionB. 委员会第三十九届会议
239. The Commission approved the holding of its thirty-ninth session in New York, from 19 June to 7 July 2006.239. 委员会批准了2006年6月19日至7月14日在纽约举行其第三十九届会议。
The duration of the session might be shortened, should a shorter session become advisable in view of the draft texts produced by the various working groups.如各工作组编写法规草案的情况表明缩短会期是可取的,则该届会议的会期可能缩短。
C. Sessions of working groups up to the thirty-ninth session of the CommissionC. 在委员会第三十九届会议之前各工作组的届会
240. The Commission approved the following schedule of meetings for its working groups:240. 委员会批准了各工作组下述会议安排:
(a) Working Group I (Procurement) would hold its eighth session in Vienna from 7 to 11 November 2005 and its ninth session in New York from 24 to 28 April 2006;(a) 第一工作组(采购)将于2005年11月7日至11日在维也纳举行第八届会议,2006年4月24日至28日在纽约举行第九届会议;
(b) Working Group II (Arbitration and Conciliation) would hold its forty-third session in Vienna from 3 to 7 October 2005 and its forty-fourth session in New York from 23 to 27 January 2006;(b) 第二工作组(仲裁和调解)将于2005年10月3日至7日在维也纳举行第四十三届会议,2006年1月23日至27日在纽约举行第四十四届会议;
(c) Working Group III (Transport Law) would hold its sixteenth session in Vienna from 28 November to 9 December 2005 and its seventeenth session in New York from 3 to 13 April 2006 (the United Nations will be closed on 14 April);(c) 第三工作组(运输法)将于2005年11月28日至12月9日在维也纳举行第十六届会议,2006年4月3日至13日在纽约举行第十七届会议(4月14日,联合国不办公);
(d) Working Group IV (Electronic Commerce). No session of the Working Group was envisaged;(d) 第四工作组(电子商务)。预计该工作组不需要举行届会;
(e) Working Group V (Insolvency Law). No session of the Working Group was envisaged;(e) 第五工作组(破产法)。预计该工作组不需要举行届会;
(f) Working Group VI (Security Interests) would hold its eighth session in Vienna from 5 to 9 September 2005 and its ninth session in New York from 30 January to 3 February 2006.(f) 第六工作组(担保权益)将于2005年9月5日至9日在维也纳举行其第八届会议,2006年1月30日至2月3日在纽约举行第九届会议。
D. Sessions of working groups in 2006 after the thirty-ninth session of the CommissionD. 2006年各工作组在委员会第三十九届会议之后的届会
241. The Commission noted that tentative arrangements had been made for working group meetings in 2006 after its thirty-ninth session (the arrangements were subject to the approval of the Commission at its thirty-ninth session):241. 委员会注意到已为2006年期间在其第三十九届会议之后的各工作组的会议作出暂时安排(有关安排需经委员会第三十九届会议批准):
(a) Working Group I (Procurement) would hold its tenth session in Vienna from 4 to 8 December 2006;(a) 第一工作组(采购)将于2006年12月4日至8日在维也纳举行第十届会议;
(b) Working Group II (Arbitration and Conciliation) would hold its forty-fifth session in Vienna from 11 to 15 September 2006;(b) 第二工作组(仲裁和调解)将于2006年9月11日至15日在维也纳举行第四十五届会议;
(c) Working Group III (Transport Law) would hold its eighteenth session in Vienna from 6 to 17 November 2006;(c) 第三工作组(运输法)将于2006年11月6日至17日在维也纳举行第十八届会议;
(d) Working Group IV (Electronic Commerce). No session of the Working Group was envisaged;(d) 第四工作组(电子商务)。预计该工作组不需要举行届会;
(e) Working Group V (Insolvency Law) would hold its thirty-first session in Vienna from 11 to 15 December 2006;(e) 第五工作组(破产法)将于2006年12月11日至15日在维也纳举行第三十一届会议;
(f) Working Group VI (Security Interests) would hold its tenth session in Vienna from 18 to 22 September 2006.(f) 第六工作组(担保权益)将于2006年9月18日至22日在维也纳举行第十届会议。
Annex I附件一
Draft Convention on the Use of Electronic Communications in International Contracts国际合同使用电子通信公约草案
The States Parties to this Convention,本公约各缔约国,
Reaffirming their belief that international trade on the basis of equality and mutual benefit is an important element in promoting friendly relations among States,重申相信平等互利基础上的国际贸易是促进各国之间友好关系的一个重要因素,
Noting that the increased use of electronic communications improves the efficiency of commercial activities, enhances trade connections and allows new access opportunities for previously remote parties and markets, thus playing a fundamental role in promoting trade and economic development, both domestically and internationally,注意到电子通信的使用增多提高了商业活动的效率,加强了贸易联系,并为过去相距遥远的当事人和市场提供了新的准入机会,从而对促进国内、国际贸易和经济发展发挥着极其重要的作用,
Considering that problems created by uncertainty as to the legal value of the use of electronic communications in international contracts constitute an obstacle to international trade,考虑到国际合同中使用电子通信的法律效力不确定性所产生的种种问题构成了对国际贸易的障碍,
Convinced that the adoption of uniform rules to remove obstacles to the use of electronic communications in international contracts, including obstacles that might result from the operation of existing international trade law instruments, would enhance legal certainty and commercial predictability for international contracts and help States gain access to modern trade routes,深信采用统一规则消除对国际合同使用电子通信的障碍,包括消除现有国际贸易法文书在执行上可能产生的障碍,将加强国际合同的法律确定性和商业上的可预见性,有助于各国获得现代贸易途径,
Being of the opinion that uniform rules should respect the freedom of parties to choose appropriate media and technologies, taking account of the principles of technological neutrality and functional equivalence, to the extent that the means chosen by the parties comply with the purpose of the relevant rules of law,认为统一规则应当尊重当事人在其所选择的手段符合相关法律规则的目的的限度内选择适当媒介和技术的自由,同时顾及不偏重任何技术和功能等同的原则,
Desiring to provide a common solution to remove legal obstacles to the use of electronic communications in a manner acceptable to States with different legal, social and economic systems,希望以法律制度、社会制度和经济制度不同的国家所能接受的方式对消除电子通信使用中的法律障碍提供一个共同解决办法,
Have agreed as follows:兹商定如下:
Chapter I. Sphere of application第一章 适用范围
Article 1. Scope of application第1条 适用范围
1. This Convention applies to the use of electronic communications in connection with the formation or performance of a contract between parties whose places of business are in different States.1. 本公约适用于与营业地位于不同国家的当事人之间订立或履行合同有关的电子通信的使用。
2. The fact that the parties have their places of business in different States is to be disregarded whenever this fact does not appear either from the contract or from any dealings between the parties or from information disclosed by the parties at any time before or at the conclusion of the contract.2. 当事人营业地位于不同国家,但这一事实只要未从合同或当事人之间的任何交往中或当事人在订立合同之前任何时候或订立合同之时披露的资料中显示出来,即不予以考虑。
3. Neither the nationality of the parties nor the civil or commercial character of the parties or of the contract is to be taken into consideration in determining the application of this Convention.3. 在确定本公约是否适用时,既不考虑当事人的国籍,也不考虑当事人和合同的民事或商务性质。
Article 2.第2条 不适用情形
Exclusions
1. This Convention does not apply to electronic communications relating to any of the following:1. 本公约不适用于与下列情形有关的电子通信:
(a) Contracts concluded for personal, family or household purposes;(a) 为个人、家人或家庭目的订立的合同;
(b) (i) Transactions on a regulated exchange;
(ii) foreign exchange transactions; (iii) inter-bank payment systems, inter-bank payment agreements or clearance and settlement systems relating to securities or other financial assets or instruments; (iv) the transfer of security rights in, sale, loan or holding of or agreement to repurchase securities or other financial assets or instruments held with an intermediary.(b) ㈠受管制交易所的交易;㈡外汇交易;㈢银行间支付系统、银行间支付协议或者与证券或其他金融资产或票据有关的清算和结算系统;㈣对中间人持有的证券或其他金融资产或票据的担保权的转让、出售、出借或持有或回购协议。
2. This Convention does not apply to bills of exchange, promissory notes, consignment notes, bills of lading, warehouse receipts or any transferable document or instrument that entitles the bearer or beneficiary to claim the delivery of goods or the payment of a sum of money.2. 本公约不适用于汇票、本票、运单、提单、仓单或任何可使持单人或受益人有权要求交付货物或支付一笔款额的可转让单证或票据。
Article 3. Party autonomy第3条 当事人意思自治
The parties may exclude the application of this Convention or derogate from or vary the effect of any of its provisions.当事人可以排除本公约的适用,亦可减损或更改其中任何一项规定的效力。
Chapter II.第二章 总则
General provisions
Article 4.第4条 定义
Definitions
For the purposes of this Convention:在本公约中:
(a) “Communication” means any statement, declaration, demand, notice or request, including an offer and the acceptance of an offer, that the parties are required to make or choose to make in connection with the formation or performance of a contract;(a) “通信”系指当事人在一项合同的订立或履行中被要求作出或选择作出的包括要约和对要约的承诺在内的任何陈述、声明、要求、通知或请求;
(b) “Electronic communication” means any communication that the parties make by means of data messages;(b) “电子通信”系指当事人以数据电文方式发出的任何通信;
(c) “Data message” means information generated, sent, received or stored by electronic, magnetic, optical or similar means, including, but not limited to, electronic data interchange (EDI), electronic mail, telegram, telex or telecopy;(c) “数据电文”系指经由电子手段、电磁手段、光学手段或类似手段生成、发送、接收或存储的信息,这些手段包括但不限于电子数据交换、电子邮件、电报、电传或传真;
(d) “Originator” of an electronic communication means a party by whom, or on whose behalf, the electronic communication has been sent or generated prior to storage, if any, but it does not include a party acting as an intermediary with respect to that electronic communication;(d) 电子通信的“发件人”系指亲自或由他人代表而发送或生成了可能随后备存的电子通信的当事人,但不包括作为中间人处理该电子通信的当事人;
(e) “Addressee” of an electronic communication means a party who is intended by the originator to receive the electronic communication, but does not include a party acting as an intermediary with respect to that electronic communication;(e) 电子通信的“收件人”系指发件人意图中的接收该电子通信的当事人,但不包括作为中间人处理该电子通信的当事人;
(f) “Information system” means a system for generating, sending, receiving, storing or otherwise processing data messages;(f) “信息系统”系指生成、发送、接收、存储或用其他方法处理数据电文的系统;
(g) “Automated message system” means a computer program or an electronic or other automated means used to initiate an action or respond to data messages or performances in whole or in part, without review or intervention by a natural person each time an action is initiated or a response is generated by the system;(g) “自动电文系统”系指一种计算机程序或者一种电子手段或其他自动手段,用以引发一个行动或者全部或部分地对数据电文或执行生成答复,而无须每次在该系统引发行动或生成答复时由自然人进行复查或干预;
(h) “Place of business” means any place where a party maintains a non-transitory establishment to pursue an economic activity other than the temporary provision of goods or services out of a specific location.(h) “营业地”系指当事人为了从事一项经济活动,但并非从某一处所临时提供货物或服务而保持一非短暂性营业所的任何地点。
Article 5.第5条 解释
Interpretation
1. In the interpretation of this Convention, regard is to be had to its international character and to the need to promote uniformity in its application and the observance of good faith in international trade.1. 在解释本公约时,应当考虑到其国际性以及促进其适用上的统一和在国际贸易中遵守诚信的必要性。
2. Questions concerning matters governed by this Convention which are not expressly settled in it are to be settled in conformity with the general principles on which it is based or, in the absence of such principles, in conformity with the law applicable by virtue of the rules of private international law.2. 涉及本公约所管辖事项的问题, 未在本公约中明确解决的,应当按照本公约所依据的一般原则加以解决,在无此种原则时,应当按照国际私法规则指定的适用法律加以解决。
Article 6. Location of the parties第6条 当事人的所在地
1. For the purposes of this Convention, a party’s place of business is presumed to be the location indicated by that party, unless another party demonstrates that the party making the indication does not have a place of business at that location.1. 就本公约而言,当事人的营业地推定为其所指明的所在地,除非另一方当事人证明该指明其所在地的当事人在该所在地无营业地。
2. If a party has not indicated a place of business and has more than one place of business, then the place of business for the purposes of this Convention is that which has the closest relationship to the relevant contract, having regard to the circumstances known to or contemplated by the parties at any time before or at the conclusion of the contract.2. 当事人未指明营业地并且拥有不止一个营业地的,就本公约而言,与有关合同关系最密切的营业地为其营业地,但须考虑到双方当事人在合同订立之前任何时候或合同订立之时所知道或所设想的情况。
3. If a natural person does not have a place of business, reference is to be made to the person’s habitual residence.3. 自然人无营业地的,以其惯常居所为准。
4. A location is not a place of business merely because that is: (a) where equipment and technology supporting an information system used by a party in connection with the formation of a contract are located; or (b) where the information system may be accessed by other parties.4. 一所在地并不仅因以下两点之一而成为营业地:(a)系一方当事人订立合同所用信息系统的支持设备和技术的所在地;(b)系其他当事人可以进入该信息系统的地方。
5. The sole fact that a party makes use of a domain name or electronic mail address connected to a specific country does not create a presumption that its place of business is located in that country.5. 仅凭一方当事人使用与某一特定国家相关联的域名或电子信箱地址,不能推定其营业地位于该国。
Article 7. Information requirements第7条 对提供情况的要求
Nothing in this Convention affects the application of any rule of law that may require the parties to disclose their identities, places of business or other information, or relieves a party from the legal consequences of making inaccurate, incomplete or false statements in that regard.本公约中的规定概不影响适用任何可能要求当事人披露其身份、营业地或其他情况的法律规则,也不免除当事人就此作出不准确、不完整或虚假说明的法律后果。
Chapter III. Use of electronic communications in international contracts第三章 国际合同使用电子通信
Article 8. Legal recognition of electronic communications第8条 对电子通信的法律承认
1. A communication or a contract shall not be denied validity or enforceability on the sole ground that it is in the form of an electronic communication.1. 对于一项通信或一项合同,不得仅以其为电子通信形式为由而否定其效力或可执行性。
2. Nothing in this Convention requires a party to use or accept electronic communications, but a party’s agreement to do so may be inferred from the party’s conduct.2. 本公约中的规定概不要求当事人使用或接受电子通信,但可以根据当事人的作为推断其是否同意使用或接受电子通信。
Article 9. Form requirements第9条 形式要求
1. Nothing in this Convention requires a communication or a contract to be made or evidenced in any particular form.1. 本公约中的规定概不要求一项通信或一项合同以任何特定形式作出、订立或证明。
2. Where the law requires that a communication or a contract should be in writing, or provides consequences for the absence of a writing, that requirement is met by an electronic communication if the information contained therein is accessible so as to be usable for subsequent reference.2. 凡法律要求一项通信或一项合同应当采用书面形式的,或规定了不采用书面形式的后果的,一项电子通信所含信息可以调取以备日后查用,即满足了该项要求。
3. Where the law requires that a communication or a contract should be signed by a party, or provides consequences for the absence of a signature, that requirement is met in relation to an electronic communication if:3. 凡法律要求一项通信或一项合同应当由当事人签字的,或法律规定了没有签字的后果的,对于一项电子通信而言,在下列情况下,即满足了该项要求:
(a) A method is used to identify the party and to indicate that party’s intention in respect of the information contained in the electronic communication;(a) 使用了一种方法来鉴别该当事人的身份和表明该当事人对电子通信所含信息的意图;而且
and
(b) The method used is either:(b) 所使用的这种方法:
(i) As reliable as appropriate for the purpose for which the electronic communication was generated or communicated, in the light of all the circumstances, including any relevant agreement;㈠ 从各种情况来看,包括根据任何相关的约定,对于生成或传递电子通信所要达到的目的既是适当的,也是可靠的;或者
or
(ii) Proven in fact to have fulfilled the functions described in subparagraph (a) above, by itself or together with further evidence.㈡ 其本身或结合进一步证据事实上被证明已履行以上(a)项中所说明的功能。
4. Where the law requires that a communication or a contract should be made available or retained in its original form, or provides consequences for the absence of an original, that requirement is met in relation to an electronic communication if:4. 凡法律要求一项通信或一项合同应当以原件形式提供或保留的,或规定了缺少原件的后果的,对于一项电子通信而言,在下列情况下,即满足了该项要求:
(a) There exists a reliable assurance as to the integrity of the information it contains from the time when it was first generated in its final form, as an electronic communication or otherwise;(a) 该电子通信所含信息的完整性自其初次以最终形式——电子通信或其他形式——生成之时起即有可靠保障;而且
and
(b) Where it is required that the information it contains be made available, that information is capable of being displayed to the person to whom it is to be made available.(b) 要求提供电子通信所含信息的,该信息能够被显示给要求提供该信息的人。
5. For the purposes of paragraph 4 (a):5. 在第4(a)款中:
(a) The criteria for assessing integrity shall be whether the information has remained complete and unaltered, apart from the addition of any endorsement and any change that arises in the normal course of communication, storage and display;(a) 评价完整性的标准应当是,除附加任何签注以及正常通信、存储和显示过程中出现的任何改动之外,信息是否仍然完整而且未被更改;而且
and
(b) The standard of reliability required shall be assessed in the light of the purpose for which the information was generated and in the light of all the relevant circumstances.(b) 所要求的可靠性标准应当根据生成信息的目的和所有相关情况加以评估。
Article 10. Time and place of dispatch and receipt of electronic communications第10条 发出和收到电子通信的时间和地点
1. The time of dispatch of an electronic communication is the time when it leaves an information system under the control of the originator or of the party who sent it on behalf of the originator or, if the electronic communication has not left an information system under the control of the originator or of the party who sent it on behalf of the originator, the time when the electronic communication is received.1. 电子通信的发出时间是其离开发件人或代表发件人发送电子通信的当事人控制范围之内的信息系统的时间,或者,如果电子通信尚未离开发件人或代表发件人发送电子通信的当事人控制范围之内的信息系统,则为电子通信被收到的时间。
2. The time of receipt of an electronic communication is the time when it becomes capable of being retrieved by the addressee at an electronic address designated by the addressee.2. 电子通信的收到时间是其能够由收件人在该收件人指定的电子地址检索的时间。
The time of receipt of an electronic communication at another electronic address of the addressee is the time when it becomes capable of being retrieved by the addressee at that address and the addressee becomes aware that the electronic communication has been sent to that address.电子通信在收件人的另一电子地址的收到时间是其能够由该收件人在该地址检索并且该收件人了解到该电子通信已发送到该地址的时间。
An electronic communication is presumed to be capable of being retrieved by the addressee when it reaches the addressee’s electronic address.当电子通信抵达收件人的电子地址时,即应推定收件人能够检索该电子通信。
3. An electronic communication is deemed to be dispatched at the place where the originator has its place of business and is deemed to be received at the place where the addressee has its place of business, as determined in accordance with article 6.3. 电子通信将发件人设有营业地的地点视为其发出地点,将收件人设有营业地的地点视为其收到地点,营业地根据第6条确定。
4. Paragraph 2 of this article applies notwithstanding that the place where the information system supporting an electronic address is located may be different from the place where the electronic communication is deemed to be received under paragraph 3 of this article.4. 即使支持电子地址的信息系统的所在地可能不同于根据本条第3款而认定的电子通信的收到地点,本条第2款依然适用。
Article 11. Invitations to make offers第11条 要约邀请
A proposal to conclude a contract made through one or more electronic communications which is not addressed to one or more specific parties, but is generally accessible to parties making use of information systems, including proposals that make use of interactive applications for the placement of orders through such information systems, is to be considered as an invitation to make offers, unless it clearly indicates the intention of the party making the proposal to be bound in case of acceptance.通过一项或多项电子通信提出的订立合同提议,凡不是向一个或多个特定当事人提出,而是可供使用信息系统的当事人一般查询的,包括使用交互式应用程序通过这类信息系统发出订单的提议,应当视作要约邀请,但明确指明提议的当事人打算在提议获承诺时受其约束的除外。
Article 12. Use of automated message systems for contract formation第12条 自动电文系统在合同订立中的使用
A contract formed by the interaction of an automated message system and a natural person, or by the interaction of automated message systems, shall not be denied validity or enforceability on the sole ground that no natural person reviewed or intervened in each of the individual actions carried out by the automated message systems or the resulting contract.通过自动电文系统与自然人之间的交互动作或者通过若干自动电文系统之间的交互动作订立的合同,不得仅仅因为无自然人复查或干预这些系统进行的每一动作或由此产生的合同而被否定效力或可执行性。
Article 13. Availability of contract terms第13条 合同条款的备查
Nothing in this Convention affects the application of any rule of law that may require a party that negotiates some or all of the terms of a contract through the exchange of electronic communications to make available to the other party those electronic communications which contain the contractual terms in a particular manner, or relieves a party from the legal consequences of its failure to do so.一方当事人通过交换电子通信的方式谈判部分或全部合同条款的,本公约中的规定概不影响适用任何可能要求其以某种特定方式向另一方当事人提供含有合同条款的电子通信的法律规则,也不免除一方当事人未能这样做的法律后果。
Article 14. Error in electronic communications第14条 电子通信中的错误
1. Where a natural person makes an input error in an electronic communication exchanged with the automated message system of another party and the automated message system does not provide the person with an opportunity to correct the error, that person, or the party on whose behalf that person was acting, has the right to withdraw the portion of the electronic communication in which the input error was made if:1. 一自然人在与另一方当事人的自动电文系统往来的电子通信中发生输入错误,而该自动电文系统未给该人提供更正错误的机会,在下列情况下,该人或其所代表的当事人有权撤回电子通信中发生输入错误的部分:
(a) The person, or the party on whose behalf that person was acting, notifies the other party of the error as soon as possible after having learned of the error and indicates that he or she made an error in the electronic communication;(a) 该自然人或其所代表的当事人在发现错误后尽可能立即将该错误通知另一方当事人,并指出其在电子通信中发生了错误;而且
and
(b) The person, or the party on whose behalf that person was acting, has not used or received any material benefit or value from the goods or services, if any, received from the other party.(b) 该自然人或其所代表的当事人既没有使用可能从另一方当事人收到的任何货物或服务所产生的任何重大利益或价值,也没有从中受益。
2. Nothing in this article affects the application of any rule of law that may govern the consequences of any error other than as provided for in paragraph 1.2. 本条中的规定概不影响适用任何可能就除了第1款中所提到的错误之外的任何错误的后果作出规定的法律规则。
Chapter IV. Final provisions第四章 最后条款
Article 15.第15条 保存人
Depositary
The Secretary-General of the United Nations is hereby designated as the depositary for this Convention.兹指定联合国秘书长为本公约保存人。
Article 16. Signature, ratification, acceptance or approval第16条 签署、批准、接受或认可
* Two years after its adoption by the General Assembly.
1. This Convention is open for signature by all States at United Nations Headquarters in New York from […] to […].*1. 本公约自[……]至[……]在纽约联合国总部开放供各国签署。
2. This Convention is subject to ratification, acceptance or approval by the signatory States.2. 本公约须经签署国批准、接受或认可。
3. This Convention is open for accession by all States that are not signatory States as from the date it is open for signature.3. 自开放供签署之日,本公约对所有未签署国开放供加入。
4. Instruments of ratification, acceptance, approval and accession are to be deposited with the Secretary‑General of the United Nations.4. 批准书、接受书、认可书和加入书应送交联合国秘书长保存。
Article 17. Participation by regional economic integration organizations第17条 区域经济一体化组织的参与
1. A regional economic integration organization that is constituted by sovereign States and has competence over certain matters governed by this Convention may similarly sign, ratify, accept, approve or accede to this Convention.1. 由主权国家组成并对本公约管辖的某些事项拥有管辖权的区域经济一体化组织同样可以签署、批准、接受、认可或加入本公约。
The regional economic integration organization shall in that case have the rights and obligations of a Contracting State, to the extent that that organization has competence over matters governed by this Convention.在此情况下,区域经济一体化组织享有的权利和负有的义务应与缔约国相同,但仅限于本组织对本公约管辖的事项具有管辖权的范围。
Where the number of Contracting States is relevant in this Convention, the regional economic integration organization shall not count as a Contracting State in addition to its member States that are Contracting States.当本公约须考虑缔约国的数目时,除一区域经济一体化组织中已成为本公约缔约国的成员国之外,该组织不应算作一个缔约国。
2. The regional economic integration organization shall, at the time of signature, ratification, acceptance, approval or accession, make a declaration to the depositary specifying the matters governed by this Convention in respect of which competence has been transferred to that organization by its member States.2. 区域经济一体化组织在签署、批准、接受、认可或加入时应向保存人提出一项声明,指明对本公约所管辖的哪些事项的管辖权已由其成员国转移给本组织。
The regional economic integration organization shall promptly notify the depositary of any changes to the distribution of competence, including new transfers of competence, specified in the declaration under this paragraph.根据本款提出的声明中所指明的管辖权分配如发生任何变化,包括管辖权的新的转移,区域经济一体化组织应迅速通知保存人。
3. Any reference to a “Contracting State” or “Contracting States” in this Convention applies equally to a regional economic integration organization where the context so requires.3. 在情况需要时,本公约中对“一缔约国”或“各缔约国”的任何提及均同等适用于区域经济一体化组织。
4. This Convention shall not prevail over any conflicting rules of any regional economic integration organization as applicable to parties whose respective places of business are located in member States of any such organization, as set out by declaration made in accordance with article 21.4. 对于任何区域经济一体化组织的规则,凡适用于其各自营业地位于根据第21条作出的声明所列出的任何此种组织的成员国的当事人的,在与本公约发生冲突时,本公约不得优先。
Article 18. Effect in domestic territorial units第18条 对本国领土单位的效力
1. If a Contracting State has two or more territorial units in which different systems of law are applicable in relation to the matters dealt with in this Convention, it may, at the time of signature, ratification, acceptance, approval or accession, declare that this Convention is to extend to all its territorial units or only to one or more of them, and may amend its declaration by submitting another declaration at any time.1. 一缔约国拥有两个或多个领土单位,各领土单位对本公约所涉事项适用不同法律制度的,该国得在签署、批准、接受、认可或加入时声明本公约适用于本国的全部领土单位或仅适用于其中的一个或数个领土单位,并且可以随时提出另一声明来修改其所做的声明。
2. These declarations are to be notified to the depositary and are to state expressly the territorial units to which the Convention extends.2. 此种声明应通知保存人,并且明确指明适用本公约的领土单位。
3. If, by virtue of a declaration under this article, this Convention extends to one or more but not all of the territorial units of a Contracting State, and if the place of business of a party is located in that State, this place of business, for the purposes of this Convention, is considered not to be in a Contracting State, unless it is in a territorial unit to which the Convention extends.3. 由于按本条规定作出一项声明,本公约适用于缔约国的一个或数个领土单位但不是全部领土单位,而且一方当事人的营业地位于该国之内的,为本公约之目的,除非该营业地位于本公约适用的领土单位内,否则该营业地视为不在缔约国内。
4. If a Contracting State makes no declaration under paragraph 1 of this article, the Convention is to extend to all territorial units of that State.4. 一缔约国未根据本条第1款作出声明,本公约适用于该国的所有领土单位。
Article 19. Declarations on the scope of application第19条 关于适用范围的声明
1. Any Contracting State may declare, in accordance with article 21, that it will apply this Convention only:1. 任何缔约国均可根据第21条声明本国仅在下述情况下适用本公约:
(a) When the States referred to in article 1, paragraph 1, are Contracting States to this Convention;(a) 第1条第1款中提及的国家是本公约的缔约国;或者
or
(b) When the parties have agreed that it applies.(b) 当事人约定适用本公约。
2. Any Contracting State may exclude from the scope of application of this Convention the matters it specifies in a declaration made in accordance with article 21.2. 任何缔约国均可将其在根据第21条所作的声明中指明的事项排除在本公约的适用范围之外。
Article 20. Communications exchanged under other international conventions第20条 根据其他国际公约进行的通信往来
1. The provisions of this Convention apply to the use of electronic communications in connection with the formation or performance of a contract to which any of the following international conventions, to which a Contracting State to this Convention is or may become a Contracting State, apply:1. 本公约的规定适用于与订立或履行本公约缔约国已加入或可能加入的下列任何国际公约所适用的合同有关的电子通信的使用:
Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 10 June 1958);《承认及执行外国仲裁裁决公约》(1958年6月10日,纽约);
Convention on the Limitation Period in the International Sale of Goods (New York, 14 June 1974) and Protocol thereto (Vienna, 11 April 1980);《国际货物销售时效期限公约》(1974年6月14日,纽约)及其议定书(1980年4月11日,维也纳);
United Nations Convention on Contracts for the International Sale of Goods (Vienna, 11 April 1980);《联合国国际货物销售合同公约》(1980年4月11日,维也纳);
United Nations Convention on the Liability of Operators of Transport Terminals in International Trade (Vienna, 19 April 1991);《联合国国际贸易运输港站经营人赔偿责任公约》(1991年4月19日,维也纳);
United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 11 December 1995);《联合国独立担保和备用信用证公约》(1995年12月11日,纽约);
United Nations Convention on the Assignment of Receivables in International Trade (New York, 12 December 2001).《联合国国际贸易应收款转让公约》(2001年12月12日,纽约)。
2. The provisions of this Convention apply further to electronic communications in connection with the formation or performance of a contract to which another international convention, treaty or agreement not specifically referred to in paragraph 1 of this article, and to which a Contracting State to this Convention is or may become a Contracting State, applies, unless the State has declared, in accordance with article 21, that it will not be bound by this paragraph.2. 本公约的规定还适用于与订立或履行本公约一缔约国已加入或可能加入但未在本条第1款中具体提及的另一国际公约、条约或协定所适用的合同有关的电子通信,除非该国已根据第21条声明其将不受本款的约束。
3. A State that makes a declaration pursuant to paragraph 2 of this article may also declare that it will nevertheless apply the provisions of this Convention to the use of electronic communications in connection with the formation or performance of any contract to which a specified international convention, treaty or agreement applies to which the State is or may become a Contracting State.3. 根据本条第2款作出声明的国家也可声明,对于与订立或履行该国已加入或可能加入的已指明的国际公约、条约或协定所适用的任何合同有关的电子通信的使用,本国仍将适用本公约的规定。
4.
Any State may declare that it will not apply the provisions of this Convention to the use of electronic communications in connection with the formation or performance of a contract to which any international convention, treaty or agreement specified in that State’s declaration, to which the State is or may become a Contracting State, applies, including any of the conventions referred to in paragraph 1 of this article, even if such State has not excluded the application of paragraph 2 of this article by a declaration made in accordance with article 21.4. 任何国家均可声明,对于与订立或履行该国已加入或可能加入的而且在该国的声明中指明的任何国际公约、条约或协定,包括本条第1款中提及的任何公约所适用的合同有关的电子通信的使用,本国将不适用本公约的规定,即使该国尚未通过根据第21条作出声明的方式排除本条第2款的适用亦如此。
Article 21. Procedure and effects of declarations第21条 声明的程序和效力
1.
Declarations under article 17, paragraph 4, article 19, paragraphs 1 and 2, and article 20, paragraphs 2, 3 and 4, may be made at any time.1. 任何时候均可根据第17条第4款、第19条第1和第2款以及第20条第2、第3和第4款作出声明。
Declarations made at the time of signature are subject to confirmation upon ratification, acceptance or approval.在签署时作出的声明须在批准、接受或认可时加以确认。
2. Declarations and their confirmations are to be in writing and to be formally notified to the depositary.2. 声明及其确认,应以书面形式提出,并应正式通知保存人。
3. A declaration takes effect simultaneously with the entry into force of this Convention in respect of the State concerned.3. 声明在本公约对有关国家开始生效时同时生效。
However, a declaration of which the depositary receives formal notification after such entry into force takes effect on the first day of the month following the expiration of six months after the date of its receipt by the depositary.但是,保存人于此种生效后收到正式通知的声明,应于保存人收到该项声明之日起满六个月后的下一个月第一日生效。
4. Any State that makes a declaration under this Convention may modify or withdraw it at any time by a formal notification in writing addressed to the depositary.4. 根据本公约的规定作出声明的任何国家,可以在任何时候以书面形式正式通知保存人更改或撤回该项声明。
The modification or withdrawal is to take effect on the first day of the month following the expiration of six months after the date of the receipt of the notification by the depositary.此种更改或撤回于保存人收到通知之日起满六个月后的下一个月第一日生效。
Article 22. Reservations第22条 保留
No reservations may be made under this Convention.不得对本公约提出保留。
Article 23.第23条 生效
Entry into force
1. This Convention enters into force on the first day of the month following the expiration of six months after the date of deposit of the third instrument of ratification, acceptance, approval or accession.1. 本公约于第三件批准书、接受书、认可书或加入书交存之日起满六个月后的下一个月第一日生效。
2. When a State ratifies, accepts, approves or accedes to this Convention after the deposit of the third instrument of ratification, acceptance, approval or accession, this Convention enters into force in respect of that State on the first day of the month following the expiration of six months after the date of the deposit of its instrument of ratification, acceptance, approval or accession.2. 一国在第三件批准书、接受书、认可书或加入书交存之后才批准、接受、认可或加入本公约的,本公约于该国交存其批准书、接受书、认可书或加入书之日起满六个月后的下一个月第一日对该国生效。
Article 24. Time of application第24条 适用时间
This Convention and any declaration apply only to electronic communications that are made after the date when the Convention or the declaration enters into force or takes effect in respect of each Contracting State.本公约和任何声明仅适用于在本公约或该声明对每一缔约国生效或产生效力之日后所进行的电子通信。
Article 25.第25条 退约
Denunciations
1. A Contracting State may denounce this Convention by a formal notification in writing addressed to the depositary.1. 缔约国得以书面形式正式通知保存人,宣布其退出本公约。
2. The denunciation takes effect on the first day of the month following the expiration of twelve months after the notification is received by the depositary.2. 退约于保存人收到通知之日起满十二个月后的下一个月第一日起生效。
Where a longer period for the denunciation to take effect is specified in the notification, the denunciation takes effect upon the expiration of such longer period after the notification is received by the depositary.凡通知内订明退约的生效需更长期限的,退约于保存人收到通知后该段更长期限届满时生效。
DONE at New York, this […] day of […], […], in a single original, of which the Arabic, Chinese, English, French, Russian and Spanish texts are equally authentic.[……]年[……]月[……]日订于纽约,正本一份,其阿拉伯文本、中文本、英文本、法文本、俄文本和西班牙文本具有同等效力。
IN WITNESS WHEREOF the undersigned plenipotentiaries, being duly authorized by their respective Governments, have signed this Convention.下列署名全权代表,经各自政府正式授权,在本公约上签字,以昭信守。
Annex II附件二
List of documents before the Commission at its thirty‑eighth session委员会第三十八届会议收到的文件一览表
Symbol文件号
Title or description标题或说明
A/CN.9/567A/CN.9/567
Provisional agenda, annotations thereto and scheduling of meetings of the thirty-eighth session第三十八届会议临时议程、临时议程说明和会议日程安排
A/CN.9/568A/CN.9/568
Report of Working Group I (Procurement) on the work of its sixth session (Vienna, 30 August-3 September 2004)第一工作组(采购)第六届会议工作报告(2004年8月30日至9月3日,维也纳)
A/CN.9/569A/CN.9/569
Report of Working Group II (Arbitration and Conciliation) on the work of its forty-first session (Vienna, 13-17 September 2004)第二工作组(仲裁和调解)第四十一届会议工作报告(2004年9月13日至17日,维也纳)
A/CN.9/570A/CN.9/570
Report of Working Group VI (Security Interests) on the work of its sixth session (Vienna, 27 September-1 October 2004)第六工作组(担保权益)第六届会议工作报告(2004年9月27日至10月1日,维也纳)
A/CN.9/571A/CN.9/571
Report of Working Group IV (Electronic Commerce) on the work of its forty-fourth session (Vienna, 11-22 October 2004)第四工作组(电子商务)第四十四届会议工作报告(2004年10月11日至22日,维也纳)
A/CN.9/572A/CN.9/572
Report of Working Group III (Transport Law) on the work of its fourteenth session (Vienna, 29 November-10 December 2004)第三工作组(运输法)第十四届会议工作报告(2004年11月29日至12月10日,维也纳)
A/CN.9/573A/CN.9/573
Report of Working Group II (Arbitration and Conciliation) on the work of its forty-second session (New York, 10-14 January 2005)第二工作组(仲裁和调解)第四十二届会议工作报告(2005年1月10日至14日,纽约)
A/CN.9/574A/CN.9/574
Report of Working Group VI (Security Interests) on the work of its seventh session (New York, 24-28 January 2005)第六工作组(担保权益)第七届会议工作报告(2005年1月24日至28日,纽约)
A/CN.9/575A/CN.9/575
Report of Working Group I (Procurement) on the work of its seventh session (New York, 4-8 April 2005)第一工作组(采购)第七届会议工作报告(2005年4月4日至8日,纽约)
A/CN.9/576A/CN.9/576
Report of Working Group III (Transport Law) on the work of its fifteenth session (New York, 18-28 April 2005)第三工作组(运输法)第十五届会议工作报告(2005年4月18日至28日,纽约)
A/CN.9/577 and Add.1A/CN.9/577和Add.1
Note by the Secretariat on the draft Convention on the Use of Electronic Communications in International Contracts秘书处关于《国际合同使用电子通信公约》草案的说明
A/CN.9/578 and Add.1-17A/CN.9/578和Add.1-17
Note by the Secretariat on the draft Convention on the Use of Electronic Communications in International Contracts: comments received from Member States and international organizations秘书处关于《国际合同使用电子通信公约》草案的说明:从会员国和国际组织收到的评议
A/CN.9/579A/CN.9/579
Note by the Secretariat on current work by other international organizations in the area of electronic commerce秘书处关于其他国际组织目前在电子商务领域的工作的说明
A/CN.9/580A/CN.9/580
Note by the Secretariat on insolvency law: developments in insolvency law: adoption of the UNCITRAL Model Law on Cross-Border Insolvency; use of cross-border protocols and court-to-court communication guidelines; and case law on interpretation of “centre of main interests” and “establishment” in the European Union秘书处的说明,破产法动态:《贸易法委员会跨国界破产示范法》的通过;跨国界协议和法院间沟通准则的使用;欧洲联盟关于“主要利益中心”和“营业机构”的解释的案例法
A/CN.9/580/Add.1A/CN.9/580/Add.1
Note by the Secretariat on coordination of work: current activities of international organizations related to insolvency law秘书处的说明,协调工作:国际组织当前与破产法有关的活动
A/CN.9/580/Add.2A/CN.9/580/Add.2
Note by the Secretariat on insolvency law: developments in insolvency law: adoption of the UNCITRAL Model Law on Cross-Border Insolvency秘书处的说明,破产法:破产法动态:《贸易法委员会跨国界破产示范法》的通过
A/CN.9/581A/CN.9/581
Note by the Secretariat on a bibliography of recent writings related to the work of UNCITRAL秘书处的说明,与贸易法委员会工作有关的最新著作目录
A/CN.9/582 and Add.1-7A/CN.9/582和Add.1-7
Note by the Secretariat on insolvency law: possible future work in the area of insolvency law秘书处的说明,破产法:破产法领域今后可能的工作
A/CN.9/583A/CN.9/583
Note by the Secretariat on the status of conventions and model laws秘书处的说明,各公约和示范法的现状
A/CN.9/584A/CN.9/584
Note by the Secretariat on current activities of international organizations related to the harmonization and unification of international trade law秘书处的说明,国际组织当前与协调和统一国际贸易法有关的工作
A/CN.9/585A/CN.9/585
Note by the Secretariat on the interim report on the survey relating to the legislative implementation of the 1958 New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards秘书处的说明,关于1958年《承认及执行外国仲裁裁决纽约公约》立法实施情况的调查结果临时报告
A/CN.9/586A/CN.9/586
Note by the Secretariat on technical assistance秘书处的说明,技术援助
* 大会通过本公约后两年内。
1 Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years. Of the current membership, 17 were elected by the Assembly at its fifty-fifth session, on 16 October 2000 (decision 55/308) and 43 were elected by the Assembly at its fifty-eighth session, on 17 November 2003 (decision 58/407). By its resolution 31/99, the Assembly altered the dates of commencement and termination of membership by deciding that members would take office at the beginning of the first day of the regular annual session of the Commission immediately following their election and that their terms of office would expire on the last day prior to the opening of the seventh regular annual session of the Commission following their election.2 根据大会第2205(XXI)号决议,委员会成员经选举产生,任期六年。在现任成员中,17国由大会第五十五届会议于2000年10月16日选出(第55/308号决定),43国由大会第五十八届会议于2003年11月17日选出(第58/407号决定)。大会在其第31/99号决议中,改变了成员资格的开始和终止日期,决定所有当选的成员国应从它们当选后紧接着召开的委员会年度常会开始的第一天起就职,其任期应于它们当选后委员会第七届年度常会开幕前的最后一天届满。
2 United Nations, Treaty Series, vol. 1489, No. 25567.3 联合国,《条约汇编》,第1489卷,第25567号。
3 United Nations publication, Sales No. 71.V.3.4 联合国出版物,出售品编号:71.V.3。
4 United Nations, Treaty Series, vol. 330, No. 4739.5 联合国,《条约汇编》,第330卷,第4739号。
5 For the text of the Convention, see “Final Act of the Thirteenth Session of the Hague Conference on Private International Law”, Actes et Documents de la Treizième session (1976), tome I.6 关于公约的案文,见“海牙国际私法会议第十三届会议最后文件”(1976年),第一卷。
6 For the text of the Model Law, see Official Records of the General Assembly, Fifty-first Session, Supplement No. 17 (A/51/17), annex I. The Model Law and its accompanying Guide to Enactment have been published as a United Nations publication (Sales No. E.99.V.4).7 关于《示范法》的案文,见《大会正式记录,第五十一届会议,补编第17号》(A/51/ 17),附件一。 《示范法》及其随附的《颁布指南》已作为联合国的一份出版物出版(出售品编号:E.99.V.4)。
7 Directive 2000/31/EC of the European Parliament and of the Council of 8 June 2000 on certain legal aspects of information society services, in particular electronic commerce, in the Internal Market (“Directive on electronic commerce”). Official Journal of the European Union, No. L 178, 17 July 2000, p. 1.8 欧洲议会和欧洲理事会2000年6月8日《第2000/31/EC号指令》,关于国内市场中信息社会服务特别是电子商务的某些法律方面(“电子商务指令”)。《欧洲联盟公报》,L 178号,2000年7月17日,第1页。
8 For the text of the Model Law, see Official Records of the General Assembly, Fifty-sixth Session, Supplement No. 17 (A/56/17), annex II.9 关于《示范法》的案文,见《大会正式记录,第五十六届会议,补编第17号》(A/56/17),附件二。
The Model Law and its accompanying Guide to Enactment have been published as a United Nations publication (Sales No. E.02.V.8).《示范法》及其随附的《颁布指南》已作为联合国的一份出版物出版(出售品编号:E.02.V.8)。
9 Available at http://www.unidroit.org/english/conventions/mobile-equipment/main.htm.10 可在网址http://www.unidroit.org/english/conventions/mobile-equipment/main.htm上查阅。
10 United Nations, Treaty Series, vol. 1155, No. 18232.11 联合国,《条约汇编》,第1155卷,第18232号。
11 Official Records of the General Assembly, Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), paras. 291-293.12 《大会正式记录,第五十六届会议,补编第17号》和更正(A/56/17和Corr.3),第291-293段。
12 For the reports of the Working Group, see A/CN.9/509, A/CN.9/527, A/CN.9/528, A/CN.9/546, A/CN.9/548 and A/CN.9/571.13 关于工作组的报告,见A/CN.9/509、A/CN.9/527、A/CN.9/528、A/CN.9/546、A/CN.9/548和A/CN.9/571。
13 Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), paras. 12-166.14 《大会正式记录,第六十届会议,补编第17号》(A/60/17),第12-166段。
14 A/CN.9/578 and Add.1-17.15 A/CN.9/578和Add.1-17。
15 Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17).16 《大会正式记录,第六十届会议,补编第17号》(A/60/17)。
16 Ibid., Forty-ninth Session, Supplement No. 17 and corrigendum (A/49/17 and Corr.1), annex I.17 同上,《第五十九届会议,补编第17号》和更正(A/49/17和Corr.1),附件一。
17 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 225-230.18 同上,《第五十八届会议,补编第17号》(A/58/17),第225-230段。
18 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 80-82.19 同上,《第五十九届会议,补编第17号》(A/59/17),第80-82段。
19 Ibid., Fifty-fourth Session, Supplement No. 17 (A/54/17), para. 380.20 同上,《第五十四届会议,补编第17号》(A/54/17),第380段。
20 Ibid., Fortieth Session, Supplement No. 17 (A/40/17), annex I. The Model Law has been published as a United Nations publication (Sales No. E.95.V.18).21 同上,《第四十届会议,补编第17号》(A/40/17),附件一。 《示范法》已作为联合国的一份出版物出版(出售品编号:E.95.V.18)
21 Official Records of the General Assembly, Thirty-first Session, Supplement No. 17 (A/31/17), para. 57.22 《大会正式记录,第三十一届会议,补编第17号》(A/31/17),第57段。
22 Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), para. 345.23 同上,《第五十六届会议,补编第17号》和更正(A/56/17和Corr.3),第345段。
23 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), para. 224.24 同上,《第五十七届会议,补编第17号》(A/57/17),第224段。
24 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 208.25 同上,《第五十八届会议,补编第17号》(A/58/17),第208段。
25 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 133.26 同上,《第五十九届会议,补编第17号》(A/59/17),第133段。
26 Ibid., paras. 64-66.27 同上,第64-66段。
27 Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), para. 358.28 同上,《第五十六届会议,补编第17号》和更正(A/56/17和Corr.3),第358段。
28 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), para. 204.29 同上,《第五十七届会议,补编第17号》(A/57/17),第204段。
29 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 222.30 同上,《第五十八届会议,补编第17号》(A/58/17),第222段。
30 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 77.31 同上,《第五十九届会议,补编第17号》(A/59/17),第77段。
31 Available at http://hcch.e-vision.nl/index_en.php?act=conventions.text&cid=72.32 可在网址http://hcch.e-vision.nl/index_en.php? act=conventions.text&cid=72上查阅。
32 Official Records of the General Assembly, Fiftieth Session, Supplement No. 17 (A/50/17), paras. 401-404.33 《大会正式记录,第五十届会议,补编第17号》(A/50/17),第401-404段。
33 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 84.34 同上,《第五十九届会议,补编第17号》(A/59/17),第84段。
34 Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), para. 395.35 同上,《第五十六届会议,补编第17号》和更正(A/56/17和Corr.3),第395段。
35 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), para. 243.36 同上,《第五十七届会议,补编第17号》(A/57/17),第243段。
36 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 88, 89 and 91.37 同上,《第五十九届会议,补编第17号》(A/59/17),第88、89和91段。
37 United Nations publication, Sales No. E.95.V.16.38 联合国出版物,出售品编号:E.95.V.16。
38 Official Records of the United Nations Conference on the Liability of Operators of Transport Terminals in International Trade, Vienna, 2-19 April 1991 (United Nations publication, Sales No. E.93.XI.3), part I, document A/CONF.152/13, annex.39 《联合国关于国际贸易运输港站经营人赔偿责任会议的正式记录,1991年4月2日至19日,维也纳》(联合国出版物,出售品编号:E.93.XI.3),第一部分,A/CONF.152/13号文件,附件。
39 United Nations publication, Sales No. E.97.V.12.40 联合国出版物,出售品编号:E.97.V.12。
40 The Republic of Korea stated that the reference to the Republic of Korea in paragraph 9 of document A/CN.9/583 should have been accompanied by a footnote explaining that in 1999 the Republic of Korea enacted legislation implementing provisions of the UNCITRAL Model Law on Electronic Commerce except for its provisions on certification of electronic signatures.41 大韩民国指出,A/CN.9/583号文件第9段在提及大韩民国时本应附上一则脚注,解释大韩民国在1999年即已颁布了立法,实施《贸易法委员会电子商务示范法》的条款,但只有其中关于验证电子签名的条款除外。
41 United Nations publication, Sales No. E.99.V.3.42 联合国出版物,出售品编号:E.99.V.3。
42 United Nations publication, Sales No. E.05.V.4.43 联合国出版物,出售品编号:E.05.V.4。
43 Official Records of the General Assembly, Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 98.44 《大会正式记录,第五十九届会议,补编第17号》(A/59/17),第98段。
44 Ibid., para. 114.45 同上,第114段。
45 United Nations publication, Sales No. E.05.V.10.46 联合国出版物,出售品编号:E.05.V.10。
46 Official Records of the General Assembly, Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 55.47 《大会正式记录,第五十九届会议,补编第17号》(A/59/17),第55段。
47 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), paras. 279-290; ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 234-241; and ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 110-112.48 同上,《第五十七届会议,补编第17号》(A/57/17),第279-290段;同上,《第五十八届会议,补编第17号》(A/58/17),第234-241段;同上,《第五十九届会议,补编第17号》(A/59/17),第110-112段。
48 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 110-112.49 同上,《第五十九届会议,补编第17号》(A/59/17),第110-112段。
49 Available at http://conventions.coe.int/Treaty/en/Treaties/Html/185.htm.50 可在网址http://conventions.coe.int/Treaty/en/Treaties/Html/185.htm上查阅。
50 Available at http://www.hcch.net/index_en.php?act=conventions.text&cid=98.51 可在网址http://www.hcch.net/index_en.php?act=conventions.text&cid=98上查阅。
51 Available at http://www.hcch.net/index_en.php?act=conventions.text&cid=41.52 可在网址http://www.hcch.net/index_en.php?act=conventions.text&cid=41上查阅。
52 Entered into force on 15 July 1955.53 1955年7月15日生效。
The text is available at http://www.hcch.net/index_en.php?act=conventions.text&cid=29.案文可在网址http://www.hcch.net/index_en.php?act=conventions. text&cid=29上查阅。
53 For information on the work of the Hague Conference on Private International Law, see http://www.hcch.net/index_en.php?act=home.splash.54 关于海牙国际私法会议的工作情况,见http://www.hcch.net/index_en.php?act=home.splash。
54 Available at http://www.unidroit.org/english/conventions/mobile-equipment/main.htm.55 可在网址http://www.unidroit.org/english/conventions/mobile-equipment/main.htm上查阅。
55 Available at http://www.unidroit.org/english/principles/contracts/main.htm.56 可在网址http://www.unidroit.org/english/principles/contracts/main.htm上查阅。
56 Available at http://www.unidroit.org/english/principles/civilprocedure/main.htm.57 可在网址http://www.unidroit.org/english/principles/civilprocedure/main.htm上查阅。
57 Available at http://www.ohada.com/traite.php?categorie=10.58 可在网址http://www.ohada.com/traite.php?categorie=10上查阅。
58 Acts and Proceedings of the Diplomatic Conference for the adoption of the draft UNIDROIT Conventions on International Factoring and International Financial Leasing, Ottawa, 9-28 May 1988, vol. I (Rome, Unidroit, 1991-1992) (also available at http://www.unidroit.org/english/conventions/1988leasing/main.htm).59 《关于通过统法协会〈国际保理公约草案〉和〈国际金融租赁公约草案〉的外交会议的文件和会议记录,1988年5月9日至28日,渥太华》,第一卷(1991-1992年,罗马,统法协会)(也可在网址http://www.unidroit.org/english/conventions/1988leasing/main.htm上查阅)。
59 For information about the work of Unidroit, see http://www.unidroit.org.60 关于统法协会的工作情况,见http://www.unidroit.org。
60 For the proceedings of the Congress, see document A/CN.9/SER.D/1; also published as a United Nations publication (Sales No. E.94.V.14).61 关于会议纪要,见A/CN.9/SER.D/1号文件;还作为联合国出版物另行出版(出售品编号:E.94.V.14)。
61 Available at http://www.swissarbitration.ch/rules.php.62 可在网址http://www.swissarbitration.ch/rules.php上查阅。
62 Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275.63 《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第275段。