A_63_17_EC
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A/63/17 V0855508.doc (english)A/63/17 V0855507.doc (chinese)
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United Nations联合国
Report of the United Nations Commission on International Trade Law联合国国际贸易法委员会 第四十一届会议工作报告
Forty-first session2008年6月16日至7月3日
(16 June-3 July 2008)大会
General Assembly正式记录
Official Records Sixty-third session Supplement No. 17第六十三届会议 补编第17号
General Assembly大会
Official Records正式记录
Sixty-third session第六十三届会议
Supplement No. 17补编第17号
United Nations New York, 2008联合国 2008年,纽约
Report of the United Nations Commission on International Trade Law联合国国际贸易法委员会
Forty-first session第四十一届会议工作报告
(16 June-3 July 2008)2008年6月16日至7月3日
Note说明
Symbols of United Nations documents are composed of capital letters combined with figures.联合国文件用英文大写字母附加数字编号。
Mention of such a symbol indicates a reference to a United Nations document.提到这种编号,即指联合国的某一个文件。
ISSN 0251-9127ISSN 0251-916X
Contents目录
Chapter章次
Paragraphs段次
Page页次
Introduction导言
1-21-2
11
Organization of the session会议的组织
3-113-11
11
Opening of the session会议开幕
33
11
Membership and attendance成员和出席情况
4-84-8
11
Election of officers选举主席团成员
99
22
Agenda议程
1010
33
Adoption of the report通过报告
1111
43
Finalization and approval of a draft convention on contracts for the international carriage of goods wholly or partly by sea最后审定和核准全程或者部分海上国际货物运输合同公约草案
12-29812-298
44
Introduction导言
12-1412-14
44
Consideration of draft articles审议条款草案
15-29615-296
54
Report of the drafting group起草小组报告
297297
5647
Decision of the Commission and recommendation to the General Assembly委员会的决议和对大会的建议
298298
5647
Procurement:采购:
progress report of Working Group I第一工作组进度报告
299-307299-307
5748
Arbitration and conciliation:仲裁和调解:
progress report of Working Group II第二工作组进度报告
308-316308-316
5950
Insolvency law破产法
317-321317-321
6152
Progress report of Working Group V第五工作组进度报告
317-318317-318
6152
Facilitation of cooperation and coordination in cross-border insolvency proceedings促进跨国界破产程序中的合作和协调
319-321319-321
6252
Security interests:担保权益:
progress report of Working Group VI第六工作组进度报告
322-326322-326
6353
Possible future work in the area of electronic commerce今后可能在电子商务领域开展的工作
327-338327-338
6454
Possible future work in the area of commercial fraud今后可能在商业欺诈领域开展的工作
339-347339-347
6756
Work on indicators of commercial fraud关于商业欺诈指标的工作
339-344339-344
6756
Collaboration with the United Nations Office on Drugs and Crime with respect to commercial and economic fraud在商业和经济欺诈问题上与联合国毒品和犯罪问题办公室的合作
345-347345-347
6857
Fiftieth anniversary of the New York Convention《纽约公约》五十周年
348-352348-352
6958
Monitoring implementation of the New York Convention监测《纽约公约》的执行情况
353-360353-360
7159
Technical assistance to law reform对法律改革的技术援助
361-369361-369
7361
Technical cooperation and assistance activities技术合作与援助活动
361-364361-364
7361
Technical assistance resources技术援助资源
365-369365-369
7461
Status and promotion of UNCITRAL legal texts贸易法委员会法规的现状和促进
370-372370-372
7562
Working methods of UNCITRAL贸易法委员会工作方法
373-381373-381
7663
Coordination and cooperation协调与合作
382-384382-384
7965
Role of UNCITRAL in promoting the rule of law at the national and international levels委员会在促进国内和国际法治方面的作用
385-386385-386
8066
Willem C. Vis International Commercial Arbitration Moot competition维斯国际商事模拟仲裁辩论赛
387387
8167
Relevant General Assembly resolutions大会有关决议
388-389388-389
8167
Other business其他事项
390-394390-394
8268
Internship programme实习方案
390390
8268
Proposed strategic framework for the period 2010-20112010-2011年期间拟议战略框架
391391
8268
Evaluation of the role of the Secretariat in facilitating the work of the Commission评价秘书处在促进委员会工作方面发挥的作用
392392
8368
Retirement of the Secretary of the Commission委员会秘书退休
393-394393-394
8368
Date and place of future meetings今后会议的日期和地点
395-398395-398
8469
Forty-second session of the Commission委员会第四十二届会议
395395
8469
Sessions of working groups up to the forty-second session of the Commission各工作组在委员会第四十二届会议之前的届会
396-397396-397
8469
Sessions of working groups in 2009 after the forty-second session of the Commission各工作组2009在委员会第四十二届会议之后的届会
398398
8570
Annexes附件
Draft Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea全程或者部分海上国际货物运输合同公约草案
8671
Letter dated 5 June 2008 from the Minister of Transport of the Netherlands, the Mayor of Rotterdam and the Executive Board of the Port of Rotterdam Authority addressed to the delegates at the forty-first session of the United Nations Commission on International Trade Law荷兰交通大臣、鹿特丹市长和鹿特丹港口当局执行局2008年6月5日致联合国国际贸易法委员会第四十一届会议代表的信函
127108
List of documents before the Commission at its forty-first session委员会第四十一届会议收到的文件一览表
129110
Introduction一. 导言
The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the forty-first session of the Commission, held in New York from 16 June to 3 July 2008.联合国国际贸易法委员会(贸易法委员会)本期报告概述委员会于2008年6月16日至7月3日在纽约举行的第四十一届会议的情况。
Pursuant to General Assembly resolution 2205 (XXI) of 17 December 1966, this report is submitted to the Assembly and is also submitted for comments to the United Nations Conference on Trade and Development.现根据大会1966年12月17日第2205 (XXI)号决议向大会提交本报告,同时一并提交联合国贸易和发展会议征求意见。
Organization of the session二. 会议的组织
Opening of the session会议开幕
The forty-first session of the Commission was opened on 16 June 2008 by the Under-Secretary-General for Legal Affairs and the Legal Counsel of the United Nations, Nicolas Michel.委员会第四十一届会议于2008年6月16日由联合国法律事务副秘书长和法律顾问Nicolas Michel宣布开幕。
Membership and attendance成员和出席情况
The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.大会在第2205 (XXI)号决议中设立了由大会选出的29个成员国组成的贸易法委员会。
By its resolution 3108 (XXVIII) of 12 December 1973, the Assembly increased the membership of the Commission from 29 to 36 States.大会在1973年12月12日第3108 (XXVIII)号决议中将委员会成员国数量从29个增加到36个。
By its resolution 57/20 of 19 November 2002, the Assembly further increased the membership of the Commission from 36 to 60 States.大会在2002年11月19日第57/20号决议中进一步将委员会成员国数量从36个增加到60个。
The current members of the Commission, elected on 17 November 2003 and on 22 May 2007, are the following States, whose term of office expires on the last day prior to the beginning of the annual session of the Commission in the year indicated:下列国家是分别于2003年11月17日和2007年5月22日选出的委员会现任成员,任期于所示年份的委员会年度届会开始前的最后一天届满:
Algeria (2010), Armenia (2013), Australia (2010), Austria (2010), Bahrain (2013), Belarus (2010), Benin (2013), Bolivia (2013), Bulgaria (2013), Cameroon (2013), Canada (2013), Chile (2013), China (2013), Colombia (2010), Czech Republic (2010), Ecuador (2010), Egypt (2013), El Salvador (2013), Fiji (2010), France (2013), Gabon (2010), Germany (2013), Greece (2013), Guatemala (2010), Honduras (2013), India (2010), Iran (Islamic Republic of) (2010), Israel (2010), Italy (2010), Japan (2013), Kenya (2010), Latvia (2013), Lebanon (2010), Madagascar (2010), Malaysia (2013), Malta (2013), Mexico (2013), Mongolia (2010), Morocco (2013), Namibia (2013), Nigeria (2010), Norway (2013), Pakistan (2010), Paraguay (2010), Poland (2010), Republic of Korea (2013), Russian Federation (2013), Senegal (2013), Serbia (2010), Singapore (2013), South Africa (2013), Spain (2010), Sri Lanka (2013), Switzerland (2010), Thailand (2010), Uganda (2010), United Kingdom of Great Britain and Northern Ireland (2013), United States of America (2010), Venezuela (Bolivarian Republic of) (2010) and Zimbabwe (2010).阿尔及利亚(2010年)、亚美尼亚(2013年)、澳大利亚(2010年)、奥地利(2010年)、巴林(2013年)、白俄罗斯(2010年)、贝宁(2013年)、玻利维亚(2013年)、保加利亚(2013年)、喀麦隆(2013年)、加拿大(2013年)、智利(2013年)、中国(2013年)、哥伦比亚(2010年)、捷克共和国(2010年)、厄瓜多尔(2010年)、埃及(2013年)、萨尔瓦多(2013年)、斐济(2010年)、法国(2013年)、加蓬(2010年)、德国(2013年)、希腊(2013年)、危地马拉(2010年)、洪都拉斯(2013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(2013年)、肯尼亚(2010年)、拉脱维亚(2013年)、黎巴嫩(2010年)、马达加斯加(2010年)、马来西亚(2013年)、马耳他(2013年)、墨西哥(2013年)、蒙古(2010年)、摩洛哥(2013年)、纳米比亚(2013年)、尼日利亚(2010年)、挪威(2013年)、巴基斯坦(2010年)、巴拉圭(2010年)、波兰(2010年)、大韩民国(2013年)、俄罗斯联邦(2013年)、塞内加尔(2013年)、塞尔维亚(2010年)、新加坡(2013年)、南非(2013年)、西班牙(2010年)、斯里兰卡(2013年)、瑞士(2010年)、泰国(2010年)、乌干达(2010年)、大不列颠及北爱尔兰联合王国(2013年)、美利坚合众国(2010年)、委内瑞拉玻利瓦尔共和国(2010年)和津巴布韦(2010年)。
With the exception of Armenia, Bulgaria, Lebanon, Mongolia, Namibia, Pakistan, Sri Lanka and Zimbabwe, all the members of the Commission were represented at the session.除亚美尼亚、保加利亚、黎巴嫩、蒙古、纳米比亚、巴基斯坦、斯里兰卡和津巴布韦之外,委员会所有成员都派代表出席了本届会议。
The session was attended by observers from the following States:下列国家派观察员出席了本届会议:
Angola, Argentina, Belgium, Brazil, Burkina Faso, Chad, Congo, Côte d’Ivoire, Croatia, Cyprus, Democratic Republic of the Congo, Denmark, Ethiopia, Finland, Ghana, Guinea, Holy See, Indonesia, Kuwait, Libyan Arab Jamahiriya, Moldova, Myanmar, Netherlands, New Zealand, Niger, Philippines, Romania, Saudi Arabia, Slovakia, Slovenia, Sweden, the former Yugoslav Republic of Macedonia and Turkey.安哥拉、阿根廷、比利时、巴西、布基纳法索、乍得、刚果、科特迪瓦、克罗地亚、塞浦路斯、刚果民主共和国、丹麦、埃塞俄比亚、芬兰、加纳、几内亚、罗马教廷、印度尼西亚、科威特、阿拉伯利比亚民众国、摩尔多瓦、缅甸、荷兰、新西兰、尼日尔、菲律宾、罗马尼亚、沙特阿拉伯、斯洛伐克、斯洛文尼亚、瑞典、前南斯拉夫的马其顿共和国和土耳其。
The session was also attended by observers from the following organizations:下列组织也派观察员出席了本届会议:
United Nations system:联合国系统:
Special Representative of the Secretary-General on human rights, and transnational corporations and other business enterprises and the World Bank;秘书长负责人权、跨国公司和其他商业企业问题的特别代表和世界银行;
Intergovernmental organizations:政府间组织:
Asian-African Legal Consultative Organization, European Community World Customs Organization (WCO);亚非法律协商组织、欧洲共同体、世界海关组织(海关组织);
Non-governmental organizations invited by the Commission:委员会邀请的非政府组织:
Advisory Council of the United Nations Convention on Contracts for the International Sale of Goods, American Arbitration Association, American Bar Association, Asociación Americana de Derecho Internacional Privado, Association of American Railroads, Association of the Bar of the City of New York, BIMCO, Center for International Environment Law, Center for International Legal Studies, Comité maritime international (CMI), European Shippers’ Council, Federación Latinoamericana de Bancos, Institute of International Banking Law and Practice, Instituto Iberoamericano de Derecho Marítimo, International Association of Ports and Harbors, International Bar Association, International Chamber of Shipping, International Council for Commercial Arbitration, International Federation of Freight Forwarders Associations, International Group of P and I Clubs, International Institute for Sustainable Development, International Multimodal Transport Association, International Swaps and Derivatives Association, Kuala Lumpur Regional Centre for Arbitration, London Court of International Arbitration, Private International Law Interest Group of the American Society of International Law, Union internationale des avocats and World Maritime University.《联合国国际货物销售合同公约》咨询理事会、美国仲裁协会、美国律师协会、美洲国际私法协会、美洲铁路协会、纽约市律师协会、波罗的海海事理事会、国际环境法中心、国际法律研究中心、国际海事委员会(海事委员会)、欧洲托运人理事会、拉丁美洲银行联合会、国际银行法及银行惯例学会、拉丁美洲海商法学会、国际港埠协会、国际律师协会、国际海运局、国际商事仲裁理事会、国际货运代理协会联合会、保偿协会国际集团、国际可持续发展研究所、国际多式联运协会、国际掉期及衍生工具协会、吉隆坡区域仲裁中心、伦敦国际仲裁法院、美国国际法学会国际私法研究小组、国际律师联盟和世界海事大学。
The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda.委员会欢迎在主要议程项目方面拥有专门知识的国际非政府组织参加会议。
Their participation was crucial for the quality of texts formulated by the Commission, and the Commission requested the Secretariat to continue to invite such organizations to its sessions.它们参加会议对于提高委员会拟定的案文的质量至关重要,委员会请秘书处继续邀请这类组织参加其届会。
Election of officers选举主席团成员
The Commission elected the following officers:委员会选出了下列主席团成员:
Chairperson:主席:
Rafael ILLESCAS ORTIZ (Spain)Rafael ILLESCAS ORTIZ(西班牙)
Vice-Chairpersons:副主席:
Amadou Kane DIALLO (Senegal)Amadou Kane DIALLO(塞内加尔)
Ricardo SANDOVAL LÓPEZ (Chile)Ricardo SANDOVAL LÓPEZ(智利)
Tomotaka FUJITA (Japan)Tomotaka FUJITA(日本)
Rapporteur:报告员:
Anita ZIKMANE (Latvia)Anita ZIKMANE(拉脱维亚)
Agenda议程
The agenda of the session, as adopted by the Commission at its 865th meeting, on 16 June 2008, was as follows:委员会在2008年6月16日第865次会议上通过的会议议程如下:
Opening of the session.会议开幕。
Election of officers.选举主席团成员。
Adoption of the agenda.通过议程。
Finalization and approval of a draft convention on contracts for the international carriage of goods wholly or partly by sea.最后审定和核准全程或者部分海上国际货物运输合同公约草案。
Procurement:采购:
progress report of Working Group I.第一工作组进度报告。
Arbitration and conciliation:仲裁和调解:
progress report of Working Group II.第二工作组进度报告。
Insolvency law:破产法:
progress report of Working Group V.第五工作组进度报告。
Security interests:担保权益:
progress report of Working Group VI.第六工作组进度报告。
Possible future work in the area of electronic commerce.今后可能在电子商务领域进行的工作。
Possible future work in the area of commercial fraud.今后可能在商业欺诈问题上进行的工作。
Fiftieth anniversary of the 1958 New York Convention.1958年《纽约公约》五十周年。
Monitoring implementation of the 1958 New York Convention.监测1958年《纽约公约》的执行情况。
Technical assistance to law reform.法律改革技术援助。
Status and promotion of UNCITRAL legal texts.贸易法委员会各项法规的现状和推广。
Working methods of UNCITRAL.贸易法委员会的工作方法。
Coordination and cooperation.协调与合作。
Role of UNCITRAL in promoting rule of law at the national and international levels.贸易法委员会在国家和国际级别促进法治的作用。
Willem C. Vis International Commercial Arbitration Moot competition.维斯国际商事模拟仲裁辩论赛。
Relevant General Assembly resolutions.大会的有关决议。
Other business.其他事项。
Date and place of future meetings.今后会议的日期和地点。
Adoption of the report of the Commission.通过委员会的报告。
Adoption of the report通过报告
At its 886th and 887th meetings, on 3 July 2008, the Commission adopted the present report by consensus.委员会在2008年7月3日第886和887次会议上以协商一致方式通过了本报告。
Finalization and approval of a draft convention on contracts for the international carriage of goods wholly or partly by sea三. 最后审定和核准全程或者部分海上国际货物运输合同公约草案
Introduction导言
The Commission noted that, at its thirty-fourth session, in 2001, it had 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, such as the scope of application, the period of responsibility of the carrier, obligations of the carrier, liability of the carrier, obligations of the shipper and transport documents.委员会在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,拟订一项关于国际货物运输方面下列问题的法律文书: 适用范围、承运人的责任期限、承运人的义务、承运人的赔偿责任、托运人的义务和运输单证等等。
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 to fortieth sessions, in 2003 to 2007, 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 sessions on the basis of two-week sessions.委员会在2003年至2007年举行的第三十六至四十届会议上注意到拟订该文书草案的复杂性,破例授权工作组将会期定为两周。
At its thirty-ninth and fortieth sessions, in 2006 and 2007, the Commission commended the Working Group for the progress it had made and agreed that 2008 would be a desirable goal for completion of the project.委员会在2006年和2007年的第三十九和四十届会议上赞扬工作组已经取得的进展,并一致认为应把2008年作为完成该项目的可取目标。
At the current session, the Commission had before it the reports of the twentieth (Vienna, 15-25 October 2007) and twenty-first (Vienna, 14-25 January 2008) sessions of the Working Group (A/CN.9/642 and A/CN.9/645).在本届会议上,委员会将收到该工作组第二十届会议(2007年10月15日至25日,维也纳)和第二十一届会议(2008年1月14日至25日,维也纳)的报告(A/CN.9/642和A/CN.9/645)。
The report of the twenty-first session contained in an annex the text of the draft Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea approved by the Working Group.第二十一届会议报告的附件载有工作组核准的全程或者部分海上国际货物运输合同公约草案的案文。
The Commission also had before it a compilation of comments submitted by Governments and intergovernmental organizations regarding the draft Convention as approved by the Working Group (A/CN.9/658 and Add.1-14).委员会还收到了各国政府和国际组织就工作组核准的公约草案提交的意见汇编(A/CN.9/658和Add.1-14)。
The Commission was reminded that, according to the schedule agreed upon at its fortieth session, it was expected to finalize and approve the text of a draft convention at the current session.谨提请委员会注意,按照第四十届会议商定的时间表,预计委员会在本届会议上将最后审定并核准公约草案的案文。
The draft convention would then be submitted to the General Assembly for adoption at its sixty-third session, in 2008.然后公约草案将提交2008年大会第六十三届会议通过。
Consideration of draft articles审议条款草案
The Commission agreed that it should consider the draft articles in the order they appeared in the annex to document A/CN.9/645, except where the interrelationship between certain draft articles required their consideration in a different order.委员会一致认为,应按照条款草案在A/CN.9/645号文件附件中出现的顺序对其进行审议,除非某些条款草案之间的相互关系需要以不同顺序进行审议。
The Commission agreed that the draft definitions should be considered in conjunction with the substantive provisions to which they related.委员会一致认为,应结合与定义草案相关的实质性条文对定义草案进行审议。
Chapter 1. General provisions第1章. 总则
Draft article 2. Interpretation of this Convention第2条草案. 本公约的解释
The Commission approved the substance of draft article 2 and referred it to the drafting group.委员会小组核准了第2条草案的实质内容,将其交给起草小组处理。
Draft article 3. Form requirements; and draft article 1, paragraph 17 (“electronic communication”)第3条草案. 形式要求,第1条草案第17款(“电子通信”)
The Commission agreed that the cross references contained in draft article 3 were incomplete and that reference should also be made to draft articles 24, paragraph 4; 69, paragraph 2; and 77, paragraph 4, as those provisions also contemplated communications that needed to be made in writing.委员会一致认为,第3条草案所载的比照提及是不完整的,还应当提及第24条草案第4款以及第69条草案第2款和第77条草案第4款,因为这些条文也设想需要书面完成的通信。
The question was asked whether the definition of electronic communication contained in draft article 1, paragraph 17, should include as well the requirement that the communication should also identify its originator.有与会者询问,第1条草案第17款所载电子通信的定义是否也包括还应凭通信识别其发件人的要求。
In response to that question, it was observed that the definition of electronic communication used in the draft Convention followed the definition of the same term in the United Nations Convention on the Use of Electronic Communications in International Contracts.对此问题,认为公约草案中使用的定义是遵从《联合国国际合同使用电子通信公约》中相同术语的定义。
The capability of identifying the originator, it was said, was a function of electronic signature methods, which was dealt with in draft article 40, and not a necessary element of the electronic communication itself.据说是否能够识别发件人属于电子签名方法的功能,已在第40条草案中处理,而不是电子通信本身的一个必要因素。
The Commission agreed that the draft definition adequately reflected that understanding.委员会一致认为定义草案充分反映了这样的认识。
Subject to the agreed amendments, the Commission approved the substance of draft article 3 and the definition in draft article 1, paragraph 17, and referred them to the drafting group.在作上述修改的前提下,委员会核准了第3条草案的实质内容和第1条草案第17款中的定义,将其交给起草小组处理。
Draft article 4. Applicability of defences and limits of liability第4条草案. 抗辩和赔偿责任限制的适用
The Commission approved the substance of draft article 4 and referred it to the drafting group.委员会核准了第4条草案的实质内容,将其交给起草小组处理。
Chapter 2.第2章. 适用范围
Scope of application Draft article 5. General scope of application; and draft article 1, paragraphs 1 (“contract of carriage”), 5 (“carrier”) and 8 (“shipper”)第5条草案. 一般适用范围,第1条草案第1款(“运输合同”)、 第5款(“承运人”)和第8款(“托运人”)
The view was expressed that the notion of “contract of carriage” in the draft convention was wider than under previous conventions, such as the Protocol to amend the International Convention for the unification of certain rules of law relating to bills of lading, 25 August 1924, as amended by the Protocol of 23 February 1968 (the “Hague-Visby Rules”) and the United Nations Convention on the Carriage of Goods by Sea (the “Hamburg Rules”), because the Convention would also apply to carriage of goods done only partly by sea.有意见认为,公约草案中“运输合同”的概念比以往公约(如修正经由1968年2月23日议定书修正的1924年8月25日《统一提单若干法律规则国际公约》的议定书(“《海牙–维斯比规则》”)和《联合国海上货物运输公约》(“《汉堡规则》”))下的概念范围更广,因为公约还将适用于仅有部分路程在海上的货物运输。
However, it was pointed out that there was no requirement in the draft Convention for the goods actually to be carried by sea, which meant that, in theory, as long as the contract of carriage provided that the goods would be carried by sea, the Convention would apply even if the goods were not actually so carried.但有与会者指出,公约没有要求货物实际上经由海上运输,也就是说,在理论上,只要运输合同规定货物将经由海上运输,公约便适用,即使货物实际上并未经由海上运输。
As the contract could identify a port of loading and a port of discharge in different States, the Convention would apply, even if the goods had not actually been loaded or discharged at those named ports.只要合同可指明位于不同国家的装货港和卸货港,公约便适用,即使货物实际上并未在这些指定港口装卸。
Alternatively, if the contract of carriage failed to mention any of the places or ports listed in draft article 5, subparagraphs 1 (a)-(d), it would be possible to infer that the Convention would not apply, even though the goods might, in fact, have been carried by sea in a manner that would have complied with the Convention requirements.换言之,如果运输合同并未提及第5条草案1(a)-(d)项所列的地点或港口,便有可能推断公约不适用,即使货物实际上可能是经由海上并以符合公约要求的方式运输的。
The draft Convention, it was proposed, should be amended so as to place the emphasis on the actual carriage rather than on the contractual provisions.有与会者建议,应当修改公约草案 ,以强调实际运输而非合同条款。
One delegation proposed new text for subparagraphs 1 (d) and (e) and a new paragraph 3 to attempt to achieve that.一个代表团为此提出了i(d)、(e)和3项的新案文,该提议得到一些支持。
There was some support for that proposal. 22. It was pointed out that from time to time many contracts, for good commercial reasons, left the means of transport open, either entirely or as between a number of possibilities.据指出,有时许多合同出于合理的商业原因,暂不决定运输方式,有的不排除任何可能,有的有若干可能的选择。
In that regard, if the contract was not “mode-specific”, it might be assumed that the Convention would not apply, except if a requirement for carriage by sea could be implied.为此,如果合同不限于“特定方式”,则可假定公约不适用,除非能够暗示要求进行海上运输。
Moreover, the requirement that the contract “provide for carriage by sea” might technically exclude contracts that did not specify the mode of transport to be used.此外,要求合同“就海上运输作出约定”,这在技术上可能会排除没有具体说明使用何种运输方式的合同。
It was proposed that additional language should be added to indicate that a contract which permitted carriage by sea should be deemed a “contract of carriage” in cases where the goods were in fact carried by sea.有与会者建议,应当添加措词,说明如果货物实际上是经由海上运输的,则应当将允许海上运输的合同视为“运输合同”。
Another proposal was to open the possibility for limiting the scope of the draft Convention only to contracts for carriage by sea so as not to cover contracts for carriage by sea and other modes of transport.另一条建议是允许将公约草案的范围仅限于海上运输合同,而不涵盖包括海上运输和其他运输方式的合同。
The concern was expressed that the draft Convention established special rules applying to one particular type of multimodal transport contract, namely multimodal transport contracts that provided for carriage by sea.有与会者表示关切说,公约草案所确立的特别规则适用于一种特别的多式联运合同,也就是规定了海上运输的多式联运合同。
That, it was said, would lead to a fragmentation of the laws on multimodal transport contracts.有与会者说,这将导致关于多式联运合同的法律分裂。
Moreover, the draft convention was said to be generally unsuitable for application to contracts for multimodal transport.此外有与会者说,公约草案基本上不宜适用于多式联运合同。
It was also said that a comparison between the provisions of the draft and the provisions of other conventions dealing with the carriage of goods, such as the Convention on the Contract for the International Carriage of Goods by Road (1956), as amended by the 1978 Protocol (the “CMR”), the Uniform Rules concerning the Contract for International Carriage of Goods by Rail (Appendix B to the Convention concerning International Carriage by Rail, as amended by the Protocol of Modification of 1999 (the “CIM-COTIF”)) and the Convention for the Unification of Certain Rules for International Carriage by Air (the “Montreal Convention”), revealed not only that the draft Convention was designed almost exclusively with a view to sea carriage but also that it considerably diminished the liability of the carrier, as compared with those other conventions.还有与会者说,如果将草案中的条款与其他涉及货物运输的公约相比较,如经1978年议定书修正的1956年《国际货物公路运输合同公约》(“《公路货运公约》”)、《国际铁路货物运输合同统一规则》(经1999年修订议定书修正的《国际铁路运输公约》的附录B)(“《铁路货运合同统一规则-铁路运输公约》”)和《统一国际航空运输某些规则的公约》(“《蒙特利尔公约》”),即可发现,公约草案几乎是专门为海上运输制定的,而且,与上述其他公约相比,其中大大降低了承运人的赔偿责任。
The Commission took note of those concerns, but was not in favour of amending the provisions that dealt with the scope of application of the Convention.委员会注意到了上述关切,但不赞成修改关于公约适用范围的条款。
It was observed that the basic assumption of the Working Group had been that the key for determining the scope of application of the draft instrument was the contract of carriage, not the actual carriage of the goods.有与会者说,工作组的基本设想是,决定本文书草案适用范围的关键是运输合同,而非实际的货物运输。
It was also observed that the Working Group had spent a significant amount of time in considering the scope of the draft Convention and its suitability for contracts of carriage that included other modes of transportation in addition to carriage by sea.还有与会者说,工作组已经花费了大量时间审议公约草案的范围以及公约草案对于包括海上运输和其他运输方式的运输合同的适切性。
The Commission approved the substance of draft article 5 and the definitions contained in draft article 1, paragraphs 1, 5 and 8, and referred them to the drafting group.委员会核准了第5条草案的实质内容和第1条第1、5、8款草案所载定义的实质内容,将其交给起草小组处理。
Draft article 6. Specific exclusions第6条草案. 特定除外情形
The Commission approved the substance of draft article 6 and referred it to the drafting group.委员会核准了第6条草案的实质内容,将其交给起草小组处理。
Draft article 1, paragraph 3 (“liner transportation”)第1条草案第3款(“班轮运输”)
The Commission approved the substance of draft article 1, paragraph 3, on the definition of “liner transportation” and referred it to the drafting group.委员会核准了关于“班轮运输”定义的第1条草案第3款的实质内容,将其交给起草小组处理。
Draft article 1, paragraph 4 (“non-liner transportation”)第1条草案第4款(“非班轮运输”)
The Commission approved the substance of draft article 1, paragraph 4, on the definition of “non-liner transportation” and referred it to the drafting group.委员会核准了关于“非班轮运输”定义的第1条草案第4款的实质内容,将其交给起草小组处理。
Draft article 7. Application to certain parties第7条草案. 对某些当事人的适用
The Commission approved the substance of draft article 7 and referred it to the drafting group.委员会核准了第7条草案的实质内容,将其交给起草小组处理。
Draft article 1, paragraph 10 (“holder”)第1条草案第10款(“持有人”)
The Commission approved the substance of draft article 1, paragraph 10, on the definition of “holder” and referred it to the drafting group.委员会核准了关于“持有人”定义的第1条草案第10款的实质内容,将其交给起草小组处理。
Draft article 1, paragraph 11 (“consignee”)第1条草案第11款(“收货人”)
The Commission approved the substance of draft article 1, paragraph 11, on the definition of “consignee” and referred it to the drafting group.委员会核准了关于“收货人”定义的第1条草案第11款的实质内容,将其交给起草小组处理。
Draft article 1, paragraph 2 (“volume contract”)第1条草案第2款(“批量合同”)
As a possible solution to the concerns expressed with respect to the operation of the volume contract provision (see paras. 243 and 244 below), it was suggested that the definition of “volume contract” in draft article 1, paragraph 2, could be adjusted in order to narrow the potential breadth of the volume contract provision.有与会者对批量合同规定的运作表示关切(见下文第243和244段),作为一种可能的解决办法,建议调整第1条草案第2款中“批量合同”的定义,以便缩小批量合同规定的潜在范围。
In particular, the view was expressed that if a specific number of shipments or containers or a specific amount of tonnage of cargo were to be added to the definition, it could provide additional protection, so that parties actually entering into volume contracts would clearly be of equal bargaining power.特别是,据认为,如果在定义中增加特定数量的货运或集装箱或特定数量的货物吨位,将可提供附加的保护,使实际订立批量合同的当事人明确具有同等的谈判能力。
Some support was expressed for that suggestion.一些与会者对这一建议表示支持。
However, the Commission noted that previous attempts by the Working Group to find a workable solution that would provide greater specificity to the definition of “volume contract” had not met with success, and that the Working Group had thus turned its attention to inserting additional protection for parties perceived to be at a disadvantage in the text of draft article 82 itself (see para. 245 below).但是,委员会注意到,工作组先前曾试图寻找一种可行的解决办法使“批量合同”的定义更加具体化,但未获得成功,因此工作组已改变其方向,将注意力放在第82条草案本身的案文上,在其中增加对被认为处于不利地位的当事人的保护(见下文第245段)。
The Commission agreed that the definition of “volume contract” should be retained as drafted, and that the compromise reached by the Working Group (see A/CN.9/645, paras. 196-204) should therefore be maintained.委员会商定,应按草案的原样保留“批量合同”的定义,并因此而维持工作组所达成的折衷(见A/CN.9/645,第196-204段)。
The Commission approved the substance of draft article 1, paragraph 2, on the definition of “volume contract” and referred it to the drafting group.委员会核准了关于“批量合同”定义的第1条草案第2款的实质内容,将其交给起草小组处理。
Chapter 3. Electronic transport records第3章. 电子运输记录
Draft article 8. Use and effect of electronic transport records第8条草案 电子运输记录的使用和效力
The Commission approved the substance of draft article 8 and referred it to the drafting group.委员会核准了第8条草案的实质内容,将其交给起草小组处理。
Draft article 9. Procedures for use of negotiable electronic transport records第9条草案. 可转让电子运输记录的使用程序
The Commission approved the substance of draft article 9 and referred it to the drafting group.委员会核准了第9草案的实质内容,将其交给起草小组处理。
Draft article 10. Replacement of negotiable transport document or negotiable electronic transport record第10条草案. 可转让运输单证或者可转让电子运输记录的替换
The Commission approved the substance of draft article 10 and referred it to the drafting group.委员会核准了第10条草案的实质内容,将其交给起草小组处理。
Chapter 4. Obligations of the carrier第4章. 承运人的义务
Draft article 11. Carriage and delivery of the goods第11条草案. 货物的运输和交付
The Commission approved the substance of draft article 11 and referred it to the drafting group.委员会核准了第11条草案的实质内容,将其交给起草小组处理。
Draft article 12. Period of responsibility of the carrier第12条草案. 承运人的责任期间
Concerns were expressed in the Commission regarding the possible effect of paragraph 3 of draft article 12, which stated that a provision was void to the extent that it provided that the time of receipt of the goods was subsequent to the beginning of their initial loading under the contract of carriage, or that the time of delivery of the goods was prior to the completion of their final unloading under the contract of carriage.委员会内对第12条草案第3款可能产生的效果表示关切,该款指出,一项条文作下述规定的即为无效: 接收货物的时间是在根据运输合同开始最初装货之后,或者交付货物的时间是在根据运输合同完成最后卸货之前。
In particular, the view was expressed that paragraph 3 could thus be taken to mean that a provision would be valid that provided for an exemption of the carrier from liability for loss or damage that occurred prior to the loading of the goods on the means of transport, or following their having been unloaded, despite the fact that at such time the carrier or its servants had custody of the goods.尤其是有观点认为,第3款可能因此而被理解为是指作如下规定的条文有效: 对于货物装上运输工具之前或者卸离运输工具之后发生的灭失或损坏,承运人免于承担赔偿责任,即便在此期间由承运人或其受雇人保管货物。
In order to avoid that result, the following text was suggested to replace paragraph 3:为避免产生这种结果,建议用下述案文取代第3款:
“3. For the purposes of determining the carrier’s period of responsibility, the parties may agree on the time and location of receipt and delivery of the goods, but a provision in a contract of carriage is void to the extent that it provides that:“3. 为确定承运人的责任期间,各方当事人可以约定接收和交付货物的时间和地点,但运输合同条款作如下规定的即为无效:
“(a) The time of receipt of the goods is subsequent to the time when the carrier or any person referred to in article 19 has actually received the goods; or“(a) 接收货物的时间是在承运人或者第19条提及的任何人实际接收货物之后;或者
“(b) The time of delivery of the goods is prior to the time when the carrier or any person referred to in article 19 has actually delivered the goods.”“(b) 交付货物的时间是在承运人或者第19条提及的任何人实际交付货物之前。 ”
Some support was expressed for that proposal and for adjusting the text.对这一提议和对调整案文表示了一些支持。
However, support was also expressed for an alternative interpretation of paragraph 3, such that the carrier should be responsible for the goods for the period set out in the contract of carriage, which could be limited to “tackle-to-tackle” carriage.但也有人支持对第第3款作另一种解释,即承运人应在运输合同规定的期间内对货物负责,这一期间可限于“钩至钩”运输。
Those that agreed with the above interpretation of paragraph 3 were generally of the view that the text of the provision should be retained as drafted.同意对第3款作上述解释的与会者普遍认为该款案文应按当前措词保留。
However, there was general agreement in the Commission that nothing in the draft Convention prevented the applicable law from containing a mandatory regime that applied in respect of the period prior to the start of the carrier’s period of responsibility or following its end.不过,委员会内普遍认为公约草案的规定概不影响适用法载入一项强制性制度,适用于承运人责任期间开始之前或结束之后的那段时间。
Another interpretation was that paragraph 3 did not modify paragraph 1, but only aimed at preventing the carrier, even if it had concluded an agreement on the basis of draft article 14, paragraph 2, from limiting its period of responsibility to exclude the time after initial loading of the goods or prior to final unloading of the goods.另一种解释是,第3款并没有修改第1款,而只是着眼于防止承运人甚至在其已根据第14条草案第2款订立协议的情况下限制其责任期间,把最初装货之后或者最后卸货之前的那段时间排除在外。
To that end, a suggestion was made that paragraph 3 could be moved to a position in the text immediately following paragraph 1 and that it could also be helpful to replace the opening phrase of paragraph 3 “For the purposes of determining the carrier’s period of responsibility” with the words “Subject to paragraph 1”.为此,有与会者建议可将第3款移至案文中紧接第1款的位置,并认为把第3款的开头语“为确定承运人的责任期间”改为“在不违反第1款的情况下”可能也会有所助益。
Some support was expressed for that possible approach.对这种可能的方法表示了一些支持。
There was agreement in the Commission that the different views that had been expressed on the possible interpretation of paragraph 3 illustrated that there could be some ambiguity in the text.委员会一致认为,对于第3款应当作何解释所表达的不同看法,表明案文可能存在某些模糊性。
However, the Commission was of the view that it might be possible to clarify the text so as to ensure a more uniform interpretation.但委员会认为,可以澄清案文,确保作出更加统一的解释。
The Commission agreed that revised text to resolve the apparent ambiguity in paragraph 3 should be considered, and that it would delay its approval of draft article 12 until such efforts had been pursued.委员会一致认为应当审议为消除第3款中显而易见的模糊性而提出的修订案文,并认为应推迟核准第12条草案,直至作出这些努力。
Following extensive efforts to clarify the text of paragraph 3 to resolve the apparent ambiguity in the text, the Commission took note that it had not been possible to reconcile the different interpretations of the provisions.委员会为澄清第3款的案文以解决案文中明显的模棱两可的问题作出了广泛的努力,随后委员会注意到,调和对这些规定的不同解释是不可能的。
In keeping with its earlier decision, the Commission approved the substance of draft article 12 and referred it to the drafting group.委员会按照其先前的决定核准了第12条草案的实质内容,将其提交给起草小组处理。
An additional view was expressed with respect to the interrelationship between draft article 12 and the right of control.有与会者对第12条草案和控制权之间的相互关系提出了新的意见。
In particular, it was noted that draft article 52, paragraph 2, made it clear that the right of control existed during the period of responsibility and ceased when that period expired.特别是,有与会者指出,第52条草案第2款明确说明,控制权存在于责任期间,该责任期间届满时即告终止。
Concern was expressed that if draft article 12, paragraph 3, operated to allow the parties to agree on a period of responsibility that began after the receipt of the goods for carriage or ended before delivery, there could be a corresponding gap in the right of control between the time of receipt and the start of the period of responsibility and between the end of the period of responsibility and the delivery of the goods.有与会者表示关切说,如果第12条草案第3款在操作中允许当事人商定一个责任期间,即从收到要运输的货物之后开始,或到交付之前结束,那么从收到货物后到责任期间开始前,以及从责任期间结束后到货物交付前,在控制权方面可能存在相应的空白期。
The Commission took note of that concern.委员会注意到了这一关切。
Draft article 13. Transport beyond the scope of the contract of carriage第13条草案. 超出运输合同范围的运输
Some concerns were expressed in the Commission with respect to a perceived lack of clarity in draft article 13. In particular, concerns were expressed regarding how a single transport document could be issued when the transport would be undertaken by both the carrier and another person.委员会内对第13条草案看起来不够明确表示了一些关切,尤其是对运输可能由承运人和另一人共同进行的情况下何以签发单一运输单证表示了关切。
It was felt by some that the text was in contradiction with the basic principle of the draft Convention in that the carrier could issue a transport document for carriage beyond the contract of carriage but would be responsible for only a portion of the transport.有些人认为,该案文与公约草案的基本原则相抵触,因为它规定承运人可以为超出运输合同范围的运输签发运输单证,但承运人只为其中一部分运输承担责任。
In addition, it was observed that problems could arise with respect to the provision in draft article 43 that the transport document was prima facie evidence of the carrier’s receipt of the goods if the transport document could include specified transport that was not covered by the contract of carriage.此外,据指出,如果运输单证可以包含运输合同未涵盖的特定运输,则第43条草案关于运输单证是承运人收到货物的初步证据的规定可能会产生问题。
Given the perceived difficulties of draft article 13, it was proposed that it should be deleted.鉴于看起来第13条草案可能造成的困难,有与会者建议应将其删除。
There was some support in the Commission for that proposal.委员会内对该建议表示了一些支持。
However, there was also support for the view that draft article 13 reflected an important commercial practice and need, and that it should be maintained in the text as drafted.但是,也有人支持下述观点,即第13条反映了一种重要的商业惯例和需要,应按当前措词保留在案文中。
In particular, it was said that there was a long-standing commercial practice where, as a consequence of the underlying sales agreement in respect of the goods, shippers required a single transport document, despite the fact that a carrier might not be willing or able to complete the entire transport itself.特别是,有与会者指出,长期以来有一种商业惯例即作为货物销售主合同的一种结果,托运人要求签发单一运输单证,尽管承运人可能不愿意或者不能独立完成整个运输。
In such cases, it was said to be important that shippers should be able to request that the carrier issue a single transport document, and that carriers should be able to issue such a document even though it included transport beyond the scope of the contract of carriage.在这些情况下,据指出,重要的是托运人应当能够要求承运人签发单一运输单证,并且承运人应当能够签发这种单证,即便其包含超出运输合同范围的运输。
However, of greater commercial significance due to their frequency were said to be cases of “merchant haulage”, where the consignee of the goods preferred to perform the final leg of the transport to an inland destination.不过,据认为,“货方接运”情况具有更大的商业意义,因为其经常发生。 在这些情况下,收货人更愿意履行运到某一内陆目的地的最后运输段。
It was observed that strong industry support for such a provision had been expressed during internal consultations undertaken by a number of delegations.据指出,在一些代表团举行的内部协商过程中,业界对这种规定表示了强烈的支持。
In addition, it was observed that draft article 13 was operative only at the request of the shipper, thereby protecting the shipper’s interest from any unscrupulous activity by the carrier.此外,据指出,第13条草案只有在托运人要求的情况下才适用,从而保护托运人的利益免受承运人毫无顾忌的活动的损害。
Concerns were expressed that the simple deletion of draft article 13 could have a detrimental effect on merchant haulage.与会者对简单删除第13条草案可能会对货方接运产生不良影响表示关切。
If merchant haulage were performed in the absence of draft article 13, it could be found to conflict with draft article 12, paragraph 3.如果货方接运是在没有第13条草案的情况下进行的,则会与第12条草案第3款相冲突。
Further, if there were loss of or damage to the goods during the final stage of the transport, it might be expected that such loss or damage should be the responsibility of the consignee.此外,如果在最后运输阶段发生货物灭失或损坏,预计这些灭失或损坏应由收货人承担责任。
However, as draft article 43 stated that the transport document was conclusive evidence of the carrier’s receipt of the goods as stated in the contract particulars, and in contrast to the outcome pursuant to the Hague-Visby Rules, the carrier could unfairly be held responsible for loss or damage occurring during the final leg of the transport that was performed by another party.但是,由于第43条指出运输单证是承运人收到合同事项中所记载货物的确证,而且与根据《海牙–维斯比规则》得到的结果相反,承运人可能需为另一当事人进行的最后运输段期间发生的灭失或损坏负责,这是不公平的。
A possible remedy for this potential problem was said to be that paragraph 2 of draft article 14 could be adjusted to allow the consignee and the carrier to agree to merchant haulage.据指出,这一潜在问题的一种可能补救办法是调整第14条草案第2款,允许收货人和承运人约定进行货方接运。
However, it was observed that that approach could be problematic owing to other concerns in respect of draft article 14, paragraph 2.不过,有与会者指出,由于对第14条草案第2款的其他关切,这种办法可能会产生问题。
A proposal was made that text could be added to draft article 13 to clarify that the portion of the carriage that the carrier was not performing itself should be specified, for example through the use of text such as “for the remaining part of the transport the carrier shall act as forwarding agent on behalf of the shipper”.所提出的一种建议是,可在第13条草案中添加案文,明确规定,不是承运人亲自进行的运输段,应当具体指明,例如,通过采用如下案文: “在运输的其余部分,承运人以托运人的货运代理人的身份行事。
However, it was observed that such an approach had been considered and not adopted by the Working Group, in the interests of avoiding regulation by the draft Convention of agency or forwarding matters.”不过,据指出,工作组已经对这种办法进行了审议,工作组没有采纳该办法,是为了避免由公约草案规范代理或货代事项。
The view was also expressed that the deletion of draft article 13 was unlikely to alter commercial practice in this regard, but that it could cause uncertainty with respect to current practice.还有与会者认为,删除第13条草案并不可能改变这方面的商业惯例,反倒可能给当前的实务造成不确定性。
In any event, it was observed that if draft article 13 were deleted, care should be taken to ensure that draft article 12, paragraph 3, did not prevent the commercial practice of merchant haulage agreements.无论如何,与会者指出,如果删除第13条草案,应注意确保第12条草案第3款不会妨碍货方接运协定的商业惯例。
While it was observed that the deletion of draft article 13 was unlikely to stop merchant haulage, there was support in the Commission for a clear rule in the draft Convention permitting such a practice.虽有与会者指出删除第13条草案亦不可能阻止货方接运的做法,但委员会内支持在公约草案中载入一项允许这种做法的明确规则。
Another proposal was made that draft article 13 could restrict its application to non-negotiable transport documents.另一种建议是可将第13条的适用仅限于不可转让的运输单证。
However, it was observed that such a restriction would represent a major change in current commercial practice and would thus be more undesirable than deletion of the provision.但据指出,这种限制可能会导致目前的商业惯例发生重大变化,与其如此,还不如删除该条文。
It was observed that, in the light of the diverging views in the Commission, two options seemed possible.有与会者说,鉴于委员会内部的不同意见,可行的办法似乎有两种。
The first was to simply delete draft article 13, but to ensure that the travaux préparatoires were clear in indicating that its deletion did not intend to indicate that the long-established commercial practice was no longer allowed.第一种是直接删去第13条草案,但确保在准备工作文件中明确指出,删去该条的用意不是要表明不再允许长期确立的商业惯例。
The second option was that the Commission could attempt to redraft draft article 13 in order to retain its purpose but address the concerns that had been raised in regard to its current text.第二种办法是,委员会可尝试重拟第13条草案,保留其目的,并解决就目前的案文提出的关切。
It was further observed that any attempt to redraft the text should make it clear that the provision was operative only at the express request of the shipper, and that it might be possible to redraft the text in order to clarify the carrier’s obligation in respect of the shipper in such cases.有与会者进一步说,重拟该案文的任何尝试都应当澄清,只有在托运人提出明确请求的情况下才能使用该条款,而且为了澄清这类情形下承运人对托运人的义务,可能必须重拟该条案文。
The Commission agreed that revised text for draft article 13 should be considered and that it would delay its final consideration of draft article 13 until such efforts had been pursued.委员会一致认为,应当对第13条的修订案文进行审议,委员会对第13条草案的最后审议将推迟到这些工作完成之后。
Following extensive efforts to clarify the text of draft article 13 to resolve the concerns that had been raised with respect to it, the Commission took note that it had not been possible to agree on a revised text for the provision.53.在为澄清第13条草案的案文以解决针对该案文提出的关切而作广泛努力之后,委员会注意到,无法就该条文的修订案文达成一致意见。
In keeping with its earlier decision, the Commission agreed that draft article 13 should be deleted, taking note that that deletion did not in any way signal that the draft Convention intended to criticize or condemn the use of such types of contract of carriage.委员会按照其先前的决定,一致认为应当删去第13条,并注意到删去这一条绝不表示公约草案的用意是批评或不赞成使用这些类型的运输合同。
Draft article 14. Specific obligations第14条草案. 具体义务
Concerns were expressed in the Commission with respect to the title of the draft provision.54.委员会中有人对该条草案的标题表示关切。
It was observed that the term “specific obligations” did not seem appropriate, particularly as translated into some of the language versions, as the provision itself set out very standard obligations of the carrier.有与会者说,“具体义务”这一术语似乎不太恰当,译成某些语文后尤其如此,因为该条款本身规定的是承运人的标准义务。
It was suggested that the title of the provision should be “general obligations” or possibly “obligations in respect of the goods”.有与会者建议将该条标题改为“一般义务”,或者可以改为“对于货物的义务”。
While the view was also expressed that the existing title of the provision was appropriate, there was some support for changing the title along the lines suggested.虽然也有意见认为该条目前的标题是适当的,但一些与会者赞成按照所建议的措词修改标题。
A proposal was made to include in paragraph 1 the requirement that the carrier carefully receive and mark the goods.有与会者建议,在第1款中添加一项要求,即承运人谨慎接收和标记货物。
However, it was observed that marking the goods was generally felt to be the shipper’s obligation, and the proposal was not taken up.但有与会者说,一般认为标记货物是托运人的义务,因此该建议未被采纳。
Support was expressed for a proposal to delete paragraph 2 of draft article 14, which regulated FIOS (free in and out, stowed) clauses.有与会者建议删去规范不负担装卸及积载费用条款的第14条草案第2款,有与会者对此表示赞同。
Concern was expressed that paragraph 2 required the consignee to perform certain obligations without requiring that it consent to such performance.有与会者表示关切说,第2款要求收货人履行某些义务,但没有规定须由收货人同意履行方可。
Concern was also expressed that a traditional responsibility of the carrier was now being left to freedom of contract.也有与会者担心,承运人的传统责任现在要由合同自由来决定了。
However, it was observed that the intention of the provision was not to establish obligations for the consignee, but rather to allow for common commercial situations in which the carrier and the shipper agreed that the shipper would perform obligations usually required of the carrier, and for which the carrier should therefore not be held responsible should loss or damage result.但有与会者说,这一规定的用意不是规定收货人的义务,而是顾及了一般的商业做法,即承运人和托运人商定由托运人履行通常要求承运人履行的义务,从而在造成灭失或损坏时不追究承运人的责任。
For example, it was noted that shippers often preferred to load and stow the goods themselves for a variety of commercial reasons, including superior technical knowledge, or the possession of special equipment.例如,据指出,出于各种商业原因,包括具有较好的技术知识,或拥有特殊设备,托运人往往宁愿自己装载和积载货物。
It was stated that paragraph 2 was a positive step in terms of settling the law in the area of FIOS clauses, which was quite unclear.有与会者说,以往关于不负担装卸及积载费用条款的法律非常不明确,第2款在确立这种法律方面迈出了积极的一步。
A suggestion was made that paragraph 2 could be limited to non-liner transportation as, in liner trade, the carrier typically performed the listed obligations itself in respect of the containers.有与会者建议,可将第2款限于非班轮运输,因为在班轮运输中,承运人通常履行已列出的对集装箱的义务。
It was noted that draft article 83, subparagraph (b), could cover those cases where the shipper itself undertook the handling of the goods in liner transportation.据指出,第83条草案(b)项可以涵盖在班轮运输中由托运人自行负责货物操作的情形。
However, it was observed that in some situations, as for example with respect to irregular or non-containerized goods such as large machinery, special equipment or particular products, FIOS clauses were employed in the liner trade as well.但有与会者说,在某些情形下,例如对于大型机械、特殊设备或特殊产品等不规则货物或非集装箱装运的货物,不负担装卸及积载费用条款也用于班轮运输。
Accordingly, the suggestion was not taken up.因此,该建议未被采纳。
At the conclusion of its consideration of the draft provision, the Commission approved the substance of draft article 14 and referred it to the drafting group.委员会在结束对第14条草案的审议时,核准了该条草案的实质内容,将其交给起草小组处理。
Draft article 15. Specific obligations applicable to the voyage by sea第15条草案. 特别适用于海上航程的义务
The view was expressed that the draft article represented a significant increase in the carrier’s liability, as it made the obligation to provide a seaworthy ship a continuing one rather than limiting it to the time before and at the beginning of the voyage by sea.有与会者认为,该条草案大大增加了承运人的赔偿责任,因为其中规定使船舶处于适航状态的义务为持续性义务,而不是局限于开航前或开航当时。
The Commission took note of that view and of the countervailing view, for which there was some support, that the draft article still set the carrier’s liability at a low standard, as it contemplated only an obligation to exercise due diligence to make the ship seaworthy, rather than a firm obligation to provide a seaworthy ship.委员会注意到这种观点以及相反的观点,相反的观点也得到一些支持,该观点认为,公约草案仍是按低标准规定了承运人的赔偿责任,因为只是规定为使船舶处于适航状态而谨慎处理的义务,而不是使船舶处于适航状态的硬性义务。
In that connection, there was not sufficient support for a proposal to qualify the carrier’s due diligence obligations to provide a seaworthy ship by including a reference to “prevailing standards of maritime safety”.在这方面,关于通过提及“海上安全的普遍标准”而对承运人使船舶处于适航状态的谨慎处理义务加以限定的提议未获充分支持。
It was noted that, as currently worded, draft article 15 seemed to suggest that a container might be regarded as an intrinsic part of the ship, which in most situations was not the case.有与会者指出,第15条草案按目前措辞似乎表明集装箱被视为船舶的固有部分,而多数情况下并非如此。
In order to avoid misunderstanding, it was proposed to replace the words “including any containers” with the words “and any containers” in subparagraph (c) of the draft article, and to make the necessary grammatical adjustments in the provision.为避免误解,提议将该条草案(c)项中“包括…集装箱”改为“和…集装箱”,并在语法上对条文作必要调整。
The Commission accepted that proposal.委员会接受该提议。
In connection with the same provision, it was pointed out that, at its twenty-first session, the Working Group had agreed to add references to “road or railroad cargo vehicle” in those provisions that mentioned containers, pallets and similar articles used to consolidate goods, where such addition was required by the context.关于同一条文,有与会者指出,工作组第二十一届会议曾商定在提及集装箱、货盘或拼装货物的类似装运器具的地方,若上下文需要,补充提及“公路或铁路货运车辆”。
Those additional words, it was suggested, should also be added to subparagraph (c) of draft article 15.有与会者指出,也应在第15条草案(c)项添加这些补充词语。
However, the Commission did not accept that proposal, which was considered to be of little practical relevance in the context of the provision in question, as it was regarded as highly unlikely that a carrier would also supply a “road or railroad cargo vehicle” for the purpose of the voyage by sea.但是,委员会不接受该提议,认为该提议在该条文中没有实际意义,因为认为承运人为海运航程目的同时提供“公路或铁路货运车辆”的可能性极小。
The Commission approved the substance of draft article 15 and referred it to the drafting group.委员会核准了第15条草案的实质内容,将其交给起草小组处理。
Draft article 16. Goods that may become a danger第16条草案. 可能形成危险的货物
A proposal was made to limit the carrier’s rights under draft article 16 by providing that the carrier could take any of the measures contemplated in the draft article only if it was not aware of the dangerous nature of the goods.有与会者提议限制承运人在第16条草案下的权利,规定只有在承运人不知道货物危险性的情况下,承运人方可采取该条草案所设想的任何措施。
The carrier, it was further suggested, should also be required to explain the reasons for taking any of those measures and to show that the actual or potential danger posed by the goods could not have been averted by less drastic measures than the ones actually taken.还指出,还应当要求承运人解释采取任何此类措施的原因,并说明若采取的措施不及实际采取的措施激烈,可能无法避免货物造成的实际或潜在危险。
There was not sufficient support for those proposals.这些提议没有得到足够支持。
On the one hand, it was felt that requiring the carrier to justify the reasons for any measures taken under the draft article was unnecessary, as the carrier would be required to do so in court in case the measures were challenged by the cargo interests.一方面,认为要求承运人证明根据该条草案所采取的任何措施有正当理由是不必要的,因为在货主对所采取措施提出质疑的情况下,承运人需要在法庭上证明这一点。
On the other hand, it was pointed out that draft articles 16 and 17 were important to confirm the carrier’s authority to take whatever measures were reasonable, or even necessary, under the circumstances to prevent danger to persons, property or the environment.另一方面,指出第16条和第17条草案非常重要,确认了承运人在防止对人身、财产或环境形成危险的情形下采取任何合理甚至必要措施的权力。
The carrier did not enjoy unlimited and uncontrolled discretion under draft article 16, which merely made it clear that measures reasonably taken by the carrier to avoid danger posed by the goods did not constitute a breach of the carrier’s obligations to care for the goods received for carriage.承运人在第16条草案下并不享有无限和不受控制的酌处权,第16条草案只是明确,承运人为避免货物所造成危险而合理采取的措施不构成违反承运人对收运的货物进行保管的义务。
However, the carrier’s release of liability under draft article 18, subparagraph 3 (o), was not an absolute one as, in any event, the measures taken by the carrier under draft articles 16 and 17 were subject to the standard of reasonableness stated in those provisions and otherwise inherent to the carrier’s duty of care for the cargo under the draft Convention.但是,承运人根据第18条草案3(o)项免除赔偿责任并不是绝对的,因为在任何情况下,承运人根据第16条和第17条草案采取的措施须符合这些条文所规定的合理性标准,并须符合承运人在公约草案下的保管货物义务本身所包括的其他合理性标准。
It was also said that limiting the carrier’s rights under the draft article to situations where the carrier could prove that it was not aware of the dangerous nature of the goods would be tantamount to shifting the risk of carrying dangerous goods from the shipper to the carrier, a result which should not be condoned in the draft Convention.还指出,将承运人在该条草案下的权利限制于承运人能够证明不知道货物危险性的情况,将等同于将运输危险货物的风险从托运人转给承运人,这种结果是公约草案所不能容忍的。
The Commission approved the substance of draft article 16 and referred it to the drafting group.委员会核准了第16条草案的实质内容,将其交给起草小组处理。
Draft article 17. Sacrifice of the goods during the voyage by sea第17条草案. 海上航程期间牺牲货物
The Commission approved the substance of draft article 17 and referred it to the drafting group.委员会核准了第17条草案的实质内容,将其交给起草小组处理。
Chapter 5. Liability of the carrier for loss, damage or delay第5章. 承运人对灭失、损坏或者迟延所负的赔偿责任
Draft article 18. Basis of liability第18条草案. 赔偿责任基础
Paragraph 2第2款
The Commission heard expressions of strong support for amendments to paragraph 2 of draft article 18, in addition to a request to delete paragraph 3.委员会听取了对修正第18条草案第2款提出的强烈支持意见以及删除第3款的请求。
Paragraph 3第3款
The Commission heard strong expressions of support for the deletion of paragraph 3 and the entire list of circumstances under which the carrier was relieved of liability for loss of or damage to the goods.委员会听取了所表示的强烈支持意见,一些与会者强烈支持删除第3款和承运人对货物灭失或损坏免负赔偿责任的一整系列情形。
It was stated that such a system was reminiscent of early stages of liner transportation and was not justified at a time when the shipping industry had made tremendous technological strides, with the appearance of new generations of vessels, container ships and ships specializing in the carriage of hazardous or highly perishable goods.据指出,这种制度会使人想起早期的班轮运输,在航运界已取得巨大技术进步的今天并不合适,如今已出现了新一代的船舶、集装箱货轮以及专门用于运输危险或极为易腐货物的船舶。
The Hamburg Rules, it was noted, did not retain the list of excepted perils of the Hague-Visby Rules, which meant that for all States that had adopted the Hamburg Rules the draft Convention represented a step backwards.据指出,《汉堡规则》并未保留《海牙–维斯比规则》的除外危险清单,这即意味着对于所有已通过《汉堡规则》的国家来说,公约草案代表着向后倒退的一步。
Paragraph 3 of draft article 18, it was said, was likely to adversely affect the legal situation of the party entitled to the cargo and might result, as a normal practical consequence, in higher insurance premiums, which would obviously be reflected in the price of the goods.据称,第18条草案第3款可能对货权人的法律地位造成不利影响,并且可能作为一种正常的实际后果而造成保险费的提高,这显然将会反映在货物的价格中。
That snowball effect would ultimately reach the final consumers, with all the obvious implications for their purchasing power and hence for national economies.这种滚雪球的效应将最终由最后的消费者承担,对消费者的购买力以及因而对国民经济产生种种显而易见的后果。
While giving sympathetic consideration to those arguments, the Commission broadly agreed that the paragraph should not be deleted.委员会虽然对于这种论点给予同情的考虑,但广泛认为不应删除该款。
The Commission was reminded of the extensive debate that had taken place in the Working Group on the same matter and of the various views that had been expressed.与会者提醒委员会,工作组曾就此事项进行了广泛的讨论,已经发表了各种不同的意见。
The Commission was aware of the depth of those discussions and of the careful compromise that had been achieved with the current text of draft article 18.委员会注意到这些讨论的深度和第18条草案目前案文所达成的细致的折衷。
That compromise, the Commission felt, would be jeopardized by the proposed deletion of paragraph 3 of the draft article, a provision which in the view of many delegations was an essential piece of an equitable liability regime.委员会认为,这种折衷将会因为所提出的删除该条草案第3款而遭到破坏,许多代表团认为该款规定是公平合理赔偿责任制度中的一项基本内容。
Furthermore, it was generally felt that the objections raised to the draft paragraph resulted from a misunderstanding of its practical significance.另外,普遍认为,对该款提出的反对是因为对该款草案实际意义的误解而造成的。
The liability of carriers was generally based on fault, not on strict liability.承运人的赔偿责任一般以过失为准,而不是依赖严格的赔偿责任。
The principle that the carrier would be liable for damage to goods if the damage was proved to be the result of the carrier’s fault was not, therefore, any novelty introduced by the draft Convention.如果货物损坏经证明是承运人的过失所致,那么承运人将对损坏负赔偿责任,这项原则并不是公约草案提出的新规定。
Paragraph 3 was part of a general system of fault liability and the circumstances listed therein were typically situations where a carrier would not be at fault.第3款是一般过失责任制度中的一部分,其中所列的情形是承运人无过失的典型情形。
Even more importantly, the list in paragraph 3 was not a list of instances of absolute exoneration of liability, but merely a list of circumstances that would reverse the burden of proof and would create a rebuttable presumption that the damage was not caused by the carrier’s fault.更重要的是,第3款中列举的各项并不是一系列绝对免除赔偿责任的情形,而仅仅是一系列掉转举证责任的情形,该款设定了一种可以反驳的推定,即货物损坏并非承运人的过错所致。
The shipper still retained the possibility, under paragraphs 4 and 5 of the draft article, to prove that the fault of the carrier caused or contributed to the circumstances invoked by the carrier, or that the damage was or was probably the result of the unseaworthiness of the ship.根据该条草案第4和第5款规定,托运人仍保留加以证明的可能性,证明由于承运人的过失造成或促成了承运人所援引的情形,或者货物损坏完全是或可能是船舶不适航的结果。
Even many of those who had originally opposed the list in paragraph 3 in the Working Group were now, as a whole, satisfied of the adequacy of the liability system set forth in draft article 18.在工作组中,甚至许多当初反对第3款列表的与会者现在也总体上对第18条草案所载的赔偿制度的适当性感到满意。
Paragraphs 4, 5 and 6第4、5和6款
Another criticism that was voiced in respect of draft article 18 concerned the burden of proof, which was said to depart from previous regimes.对第18条草案提出的另一项批评是有关举证的责任,据称与历来的制度相背离。
While it was not questioned that the party having the onus of proof must produce the evidence to support its claim, it was said that it would be more difficult for shippers to discharge their burden of proof under the draft article than under existing law.虽然负有举证责任的一方必须出示证据支持其主张,这一点没有疑问,但据称与现行的法律规定相比,在该条草案的规定下托运人解除其举证责任较为困难。
It was observed that evidence about the causes of a loss of cargo was often difficult to obtain, particularly for the consignee or shipper as they would not have access to all (or any) of the relevant facts.据指出,关于货物灭失原因的证据通常难以取得,特别是对于收货人或托运人来说,因为他们没有途径获取所有(或任何)相关事实。
The burden of proof with respect to the actual causes of the loss should normally rest with the carrier, which was in a better position than the shipper to know what happened while the goods were in the carrier’s custody.关于灭失的实际原因的举证责任通常在于承运人,因为在货物处于承运人保管期间,承运人比托运人更有可能了解发生了什么情况。
If there was more than one cause of loss or damage, the carrier should have the onus of proving to what extent a proportion of the loss was due to a particular cause.如果灭失或损坏有不止一个原因,承运人应负有责任证明灭失的部分在多大程度上是因为某个特定的原因造成的。
It was argued that the shipper would have difficulty proving unseaworthiness, improper crewing, equipping or supplying, or that the holds were not fit for the purpose of carrying goods, as required by paragraph 5.有与会者争辩说,按照第5款的规定,托运人将难以证明船舶不适航或者配备船员、装备船舶和补给供应品不当,或货舱不适合载运货物。
The combined effect of paragraphs 4, 5 and 6 was to change the general rule on allocation of liability in a manner that was likely to affect a significant number of cargo claims and disadvantage shippers in cases where there was more than one cause of the loss or damage and a contributing cause was the negligently caused unseaworthiness of the vessel.第4、5和6款的综合效果是改变责任划分的一般规则,从而可能影响大量的货物索赔案件,并在灭失或损坏有不止一个原因而其中一个促成原因是疏忽所造成的船舶不适航的情况下,使托运人处于不利的地位。
In such cases, the shipper would bear the onus of proving to what extent unseaworthiness contributed to the loss.在这类情况下,托运人将负有责任证明不适航在多大程度上促成了灭失。
It was said that whenever loss or damage had resulted from unseaworthiness the burden of proving the exercise of due diligence shall be on the carrier or other person claiming exemption under the draft article, which should be amended accordingly.据指出,只要灭失或损坏是由于不适航造成的,即应当由承运人或根据该条草案主张免责的其他人负责证明已实行了应有的谨慎措施,这一规定应当作相应的修订。
Furthermore, it was proposed that paragraph 6 should be deleted, as it was feared that the concept of proportionate liability introduced therein might create evidentiary hurdles for claimants in litigation.另外,有与会者建议删除第6款,因为恐怕其中所提出的相应比例的赔偿责任概念有可能在诉讼中对索赔人形成证据上的障碍。
The Commission took note of those concerns.委员会注意到这些关切。
However, there was ample support for retaining paragraphs 4, 5 and 6 of the draft article as they currently appeared.但会上对保留该条草案目前形式的第4、5和6款有充分的支持。
The burden placed on the shipper, it was noted, was not as great as had been stated.据指出,托运人承担的举证责任并不如所说的那么大。
In fact, nothing in the draft article required the shipper to submit conclusive proof of unseaworthiness, as the burden of proof would fall back on the carrier as soon as the shipper had showed that the damage was “probably” caused by or contributed to by unseaworthiness.事实上,该条草案丝毫没有要求托运人提交关于船舶不适航的结论性证据,因为只要托运人表明货物损坏“可能”是船舶不适航所造成的或促成的,举证责任随即又落回到承运人一方。
Paragraph 6, too, had been the subject of extensive debate within the Working Group and the current text reflected a compromise that many delegations regarded as an essential piece of the overall balance of draft article 18.第6款也在工作组内作了广泛的讨论,目前的案文反映的是一种折衷方案,许多代表团将之视作第18条草案总体平衡中的一个重要部分。
Conclusions concerning the draft article就该条草案达成的结论
The Commission reverted to a general debate on draft article 18, in particular its paragraph 3, after it had reviewed paragraphs 4-6.委员会在审查了第4-6款之后回过头来继续对第18条草案特别是其中的第3款进行一般性辩论。
The Commission heard strong objections to the decision not to amend the draft article, in particular its paragraph 3 (see paras. 68-70 above).关于不再修正该条草案特别是其中第3款的决定,委员会听取了会上提出的强烈反对意见(见上文第68-70段)。
The maintenance of that paragraph, it was stated, would have a number of negative consequences, such as higher insurance premiums, resulting in higher prices of goods and consequently reduced quality of life for the final consumers, which would particularly be felt by the populations of least developed countries, landlocked developing countries and small island developing States.据指出,保留该款将会造成一系列不良后果,例如,保险费升高,从而造成货物价格升高并最终导致消费者生活品质的下降,而最不发达国家、内陆发展中国家以及小岛屿发展中国家的人民尤其会受到影响。
That outcome, it was further stated, would be contrary to a number of fundamental policy goals and principles of the United Nations, as formally adopted by the General Assembly.另外还指出,这样一种结果是与大会正式通过的一些联合国的基本政策目标和原则相违背的。
The Commission was reminded, for instance, of the Millennium Development Goals expressed in General Assembly resolution 60/1 of 16 September 2005, which adopted the 2005 World Summit Outcome.例如,与会者提醒委员会注意,在大会2005年9月16日第60/1号决议中提出《千年发展目标》并由此通过了2005年世界首脑会议成果。
Those goals called for the right to development to be made a reality for everyone.这些目标要求将发展权变成所有人的现实。
All organs and agencies of the United Nations, it was pointed out, were requested to work towards the linkage between their activities and the Millennium Development Goals in accordance with Assembly resolution 60/1.据指出,联合国的所有机关和机构都要根据大会第60/1号决议的要求,促进其活动与《千年发展目标》之间的结合。
The Commission was urged not to ignore its role in that process and to bear in mind the negative impact that its decision regarding draft article 18 would have for a number of developing and least developed countries.他们敦促委员会不要无视其在这一过程中的作用,要考虑到委员会就第18条草案作出的决定有可能对发展中国家和最不发达国家产生的不利影响。
The concern was expressed that by retaining in the text provisions that unduly favoured carriers to the detriment of shippers, the Commission might diminish the acceptability of the draft Convention in entire regions of the world.会上表达的关切是,如果在案文中保留那些有利于承运人而损害托运人的条款,委员会有可能降低公约草案在世界各个区域的可接受性。
The Commission paused to consider those concerns, including suggestions for attempting to redraft the draft article in a manner that might accommodate some of them.委员会暂时休会,审议这些关切意见,包括就试图改写该条草案,使之能够顾及其中某些关切提出的建议。
The prevailing and strongly held view, however, was that over the years of extensive negotiations the Working Group had eventually achieved a workable balance between the interests of shippers and carriers and that the draft article represented the best compromise that could be arrived at.然而,普遍持有的强烈看法是,委员会经过多年广泛谈判,最终才在托运人与承运人的利益之间取得了可以接受的平衡,该条草案是能够达成的最佳妥协方案。
It was considered that it would be highly unlikely that a better result could be achieved at such a late stage of the negotiations.据认为,谈判工作到了这么晚的阶段,要想取得更好的结果已经不大可能。
Moreover, the draft article was part of an overall balance of interests, and any changes in its substance would necessitate adjustments in other parts of the draft Convention, some of which were themselves the subject of delicate and carefully negotiated compromises.另外,该条草案是各种利益总体平衡的一部分,对其实质内容的任何改变势必牵扯到公约草案的其他部分,而其中有些部分本身就是经过慎重谈判才达成的微妙妥协。
While reiterating its sympathy for those who were not entirely satisfied with the draft article, the Commission decided to approve the substance of draft article 18 and to refer it to the drafting group.委员会再此对那些对该条草案不完全满意的代表团表示同情,但决定核准第18条草案的实质内容,将其交给起草小组处理。
In doing so, the Commission requested the drafting group to align the reference to containers in subparagraph 5 (a)(iii) with a similar reference in draft article 15, subparagraph (c), deleting the brackets around the relevant phrase.委员会同时请起草小组对5(a)(iii)目中集装箱的提法作出调整,使之与第15条草案(c)项的类似写法保持一致,同时删除有关词语前后的括号。
Draft article 19. Liability of the carrier for other persons第19条草案. 承运人为其他人负赔偿责任
The Commission approved the substance of draft article 19 and referred it to the drafting group.委员会核准了第19条草案的实质内容,将其交给起草小组处理。
Draft article 20. Liability of maritime performing parties; and draft article 1, paragraphs 6 (“performing party”) and 7 (“maritime performing party”)第20条草案. 海运履约方的赔偿责任;第1条草案第6款(“履约方”)和 第7款(“海运履约方”)
It was noted that draft article 20 made the maritime performing party subject to the same liabilities imposed on the carrier.有与会者指出,第20条草案要求海运履约方承担对承运人规定的同样赔偿责任。
According to the definition in draft article 1, paragraph 7, an inland carrier would be regarded as a maritime performing party only if it performed or undertook to perform its services exclusively within a port area.按照第1条草案第7款中的定义,内陆承运人仅在履行或者承诺履行其完全在港区范围内的服务时方被视为海运履约方。
The combined effect of those provisions was said to be inappropriate, as seaworthy packing could also be performed inland.据指出,这些条款所产生的共同效果是不好的,因为内陆运输也要履行适航包装的义务。
Furthermore, cargo companies located in seaports were more and more frequently performing services that did not fall under the obligations of the carrier.另外,设在海港的货运公司现在已经越来越频繁地履行并不属于承运人职责范围的服务。
Furthermore, there might be doubts as to whether a road or rail carrier that brought goods into the port area would qualify as a maritime performing party for its entire journey or whether it would be a mere performing party until it reached the port area and would become a maritime performing party upon entering the port area.还有一点可能产生疑问,把货物运到港区的公路承运人或铁路承运人是否变成了全程运输的海运履约方,还是说承运人在其到达港区之前只是履约方,而在进入港区之时则变成了海运履约方。
As it was in practice difficult to establish the boundaries of port areas, the practical application of those provisions would be problematic.由于实际上难以确定港区的范围,这些条款实际操作起来将非常困难。
In view of those problems, it was suggested that the draft Convention should allow for declarations whereby Contracting States could limit the scope of the Convention to carriage by sea only.考虑到这些问题,有与会者指出,公约草案应当允许作出声明,使缔约国能够将公约的范围限于全程海上的运输。
In response, it was noted that in accordance with draft article 1, paragraph 7, an inland carrier would be regarded as a maritime performing party only if it performed or undertook to perform its services exclusively within a port area.对此有与会者指出,根据第1条草案第7款,内陆承运人仅在其履行或者承诺履行其完全在港区范围内的服务时才被视为海运履约方。
That qualification was consistent with a policy decision taken by the Working Group that road carriers should generally not be equated with maritime performing parties.这一条件与工作组作出的下述政策决定是一致的,即一般不应将公路承运人与海运缔约方等同对待。
Therefore, a road carrier that brought goods from outside the port area into the port area would not be regarded as a maritime performing party, as the road carrier had not performed its obligations exclusively in the port area.因此,公路承运人把货物从港区外运到港区,会被视为海运履约方,因为公路承运人并不是完全在港区范围之内履行义务。
Furthermore, it was noted that it had become common for local authorities to define the extent of their port areas, which would in most cases provide a clear basis for the application of the draft article.另外还指出由地方当局划定港区范围,已经是很普遍的做法,在大多数情况下,这将为该条草案的适用提供明确依据。
The Working Group, it was further noted, did not consider that there was any practical need for providing a uniform definition of “port area”.再一点就是,工作组并不认为有任何实际的必要来提供“港区”的统一定义。
The Commission approved the substance of draft article 20 and of the definitions contained in draft article 1, paragraphs 6 and 7, and referred them to the drafting group.委员会核准了第20条草案以及第1条草案第6款和第7款所载定义的实质内容,将其交给起草小组处理。
Draft article 21. Joint and several liability第21条草案. 连带赔偿责任
The Commission approved the substance of draft article 21 and referred it to the drafting group.委员会核准了第21条草案的实质内容,将其交给起草小组处理。
Draft article 22. Delay第22条草案. 迟延
The view was expressed that the draft article was unsatisfactory, as it did not limit the amount recoverable for delay in delivery, leaving the issue entirely to freedom of contract.有与会者认为,该条草案不能令人满意,因为它没有对迟延交付的赔偿额度作出限制,而任由合同自由来处理这个问题。
Another criticism was that it was unclear whether under the draft article damage caused by the delay would also be recoverable in case of implied delivery deadlines or periods.另一条批评意见是,在交货期限或期间不明确的情况下,是否也可以根据该草案就迟延造成的损失获得赔偿,这一点并不明确。
It was proposed, therefore, that the draft article should be deleted and that the matter of liability for delay should be left for applicable national law.就此提出的建议是,删除该条草案,把迟延的赔偿责任问题留给适用的国内法处理。
In response, it was noted that, as currently worded, the draft article did not require an express agreement on a delivery time or period, neither did it allow the carrier to exclude its liability for delay.对此提出的看法是,从目前的措词来看,该条草案既未要求就交货时间或期间达成明确协定,也没有允许承运人排除其对迟延的赔偿责任。
The Commission approved the substance of draft article 22 and referred it to the drafting group.委员会核准了第22条草案的实质内容,将其交给起草小组处理。
Draft article 23. Calculation of compensation第23条草案. 赔偿额的计算
There was no support for a proposal to mention a determination of value of the goods by the competent courts in cases where there were no similar goods.有人提出在出现没有类似货物的情况下由管辖法院评定货物价值,但这一建议没有得到支持。
It was felt that courts generally would assess the compensation according to the local rules and that the draft Convention should not venture into offering concrete rules for exceptional situations.据认为,法院通常根据当地的规则评价赔偿额,公约草案不应贸然就特殊情形提出具体规则。
The Commission approved the substance of draft article 23 and referred it to the drafting group.委员会核准了第23条草案的实质内容,将其交给起草小组处理。
Draft article 24. Notice in case of loss, damage or delay第24条草案. 发生灭失、损坏或者迟延时的通知
The Commission approved the substance of draft article 24 and referred it to the drafting group.委员会核准了第24条草案的实质内容,将其交给起草小组处理。
Chapter 6. Additional provisions relating to particular stages of carriage第6章. 有关特殊运输阶段的补充条款
Draft article 25. Deviation第25条草案. 绕航
The Commission approved the substance of draft article 25 and referred it to the drafting group.委员会核准了第25条草案的实质内容,将其交给起草小组处理。
Draft article 26. Deck cargo on ships; and draft article 1, paragraphs 24 (“goods”), 25 (“ship”) and 26 (“container”)第26条草案. 船舶上的舱面货;第1条草案第24款(“货物”)、 第25款(“船舶”)和第24款(“集装箱”)
There was not sufficient support for a proposal to supplement the definition of the word “goods” with a reference to road and railroad cargo vehicles, as it was considered that the proposed addition would require amendments in other provisions of the draft Convention, such as draft article 61, paragraph 2, that mentioned goods, containers or road and railroad cargo vehicles.有人建议补充“货物”一词的定义,在其中提及公路和铁路货运车辆,但这项建议没有得到足够支持,据认为,如果添加所提议的词语,就必须对公约草案的其他条文作出修改,如第61条草案第2款,其中提到货物集装箱和公路铁路货运车辆。
The Commission approved the substance of draft article 26 and of the definitions contained in draft article 1, paragraphs 24, 25 and 26, and referred them to the drafting group.委员会核准了第26条草案的实质内容以及第1条草案第24、25和26款所载定义,将其交给起草小组处理。
The Commission requested the drafting group to ensure consistency throughout the draft Convention in references to “customs, usages and practices of the trade”.委员会请起草小组确保公约草案中凡是提到“行业的习惯、惯例和做法”的内容保持一致。
Draft article 27. Carriage preceding or subsequent to sea carriage第27条草案. 海上运输之前或者之后的运输
It was recalled by the Commission that, in addition to referring to other international instruments, previous versions of draft article 27 of the draft Convention had also contained a bracketed reference to “national law”.委员会回顾,公约草案第27条草案以往的版本除了提及其他国际文书之外,在括号中还提及了“国内法”。
It was further recalled that at the nineteenth and twentieth sessions of the Working Group, that reference had been deleted as part of a compromise proposal concerning several issues, including the level of the limitation of the carrier’s liability (see A/CN.9/621, paras. 189-192 and A/CN.9/642, paras. 163 and 166).进一步回顾,在工作组第十九和二十届会议上删去了这一内容,这是就承运人赔偿责任限额等若干问题提出的折衷建议的一部分(见A/CN.9/621,第189-192段,以及A/CN.9/642,第163和166段)。
A proposal was made in the Commission to reinstate the reference to “national law” in draft article 27, or to include a provision in the draft Convention allowing a Contracting State to make a declaration including its mandatory national law in draft article 27.委员会中有人建议,在第27条草案中重新提及“国内法”,或者在公约草案中列入一个条文,允许缔约国在第27条草案中添加本国的强制性国内法。
In support of that proposal, it was observed that some States had very specific national rules to deal with particular geographical areas, such as deserts, and would like to preserve those special rules once the draft Convention came into force.有与会者赞成这一建议,认为一些国家具有例如处理沙漠等特别地理区域的极为专门的国内规则,并希望在公约草案生效时保留这些特别规则。
Further, it was suggested that as the current text of draft article 27 provided a solution in the case of possible conflicts with regional unimodal transport conventions, other States that were not parties to such conventions should have their national law accorded the same status, even though their national rules did not arise as a result of international obligations.另外有与会者提出,既然第27条草案目前的案文为可能与区域性的单式运输公约发生冲突的情形提供了一种解决办法,那么未加入这种区域性公约的其他国家的国内法也应当得到同样的地位,即使其国内规则并不是因为国际义务而制定的。
In addition, it was suggested that re-establishing a reference to “national law” in draft article 27 could allow more States to ratify the Convention and thus allow for broader acceptance of the instrument by as many States as possible.此外,还有与会者建议,在第27条草案中重新提及“国内法”可能会使更多的国家批准公约,从而使该文书尽可能在更多的国家中得到更广泛的承认。
Concern was also expressed in the Commission with respect to the fact that draft article 27 applied only to loss or damage of goods that could be identified as having occurred during a particular leg of the carriage.对于第27条草案实际上仅适用于可以确定是发生在运输某一特定阶段的货物灭失或损失,委员会中有人表示关切。
It was suggested that in most cases it would be quite difficult to prove where the loss or damage had occurred and that draft article 27 was likely to have limited operability as a result.有与会者提出,在多数情形下,很难证明灭失或损失的发生地点,因此第27条草案的可操作性很可能会受到限制。
It was further suggested that in those cases in which it was possible to localize the loss or damage, it would be particularly important to give way to national law governing that particular leg of the carriage.还有与会者进一步提出,如有可能确定灭失或损失地点,则尤其应当优先适用管辖这一特定运输阶段的国内法律。
While some support and sympathy were expressed for the reinsertion of a reference to “national law” in draft article 27, reference was made to the fact that the current text of draft article 27, including the deletion of the reference to “national law”, had arisen as a result of a complex compromise that had taken shape over the course of several sessions of the Working Group.虽然有些与会者表示赞同在第27条草案中重新列入提及“国内法”的内容,但有与会者提到,实际上第27条草案目前的案文,包括删去提及“国内法”的内容,都是工作组若干届会议过程中形成的成套组合的折衷结果。
Caution was expressed that that compromise had involved a number of different and difficult issues, including the establishment of the level of limitation of the carrier’s liability, and that reinserting the reference to national law could cause that compromise to unravel.有与会者告诫说,这一折衷涉及到若干不同的棘手问题,其中包括确立承运人赔偿责任限额的问题,所以重新列入提及国内法的内容可能会导致这一折衷破裂。
The Commission was called upon to support the existing text that had been the outcome of that compromise, and there was support for that view.有与会者吁请委员会支持现有案文,因为这是该折衷的结果,这一意见得到赞同。
A number of delegations noted that they had not been completely satisfied with the outcome of the compromise, but that they continued to support it in the interests of reaching as broad a consensus on the text as possible.一些代表团表示其对该折衷结果并不完全满意,但为了尽可能就案文达到最广泛的共识,仍旧予以支持。
In further support of the text as drafted, it was observed that the inclusion of “national law” in draft article 27 was quite different from including international legal instruments.作为对该案文目前措词的进一步支持,据认为,在第27条草案中列入“国内法”与列入国际法律文书大不相同。
In the case of international instruments, the substance of the legislation could be expected to be quite well known, transparent and harmonized, thus not posing too great an obstacle to international trade.如果是国际法律文书,则可以预期其实质性的法律内容是广为周知、透明而协调的,因此不会对国际贸易造成太大的阻碍。
In contrast, national law differed dramatically from State to State, it would be much more difficult to discover the legal requirements in a particular domestic regime, and national law was much more likely to change at any time.相比之下,各国的国内法律差别很大,查明某一国内制度中的法律要求要困难得多,而且国内法随时更改的可能性也大得多。
It was suggested that those factors made the inclusion of national law in draft article 27 much more problematic and would likely result in substantially less harmonization than including international instruments in the provision.有与会者提出,由于上述因素,在第27条草案中列入国内法与列入国际文书相比,造成的问题要棘手得多,而且可能会大大降低协调程度。
There was support in the Commission for that view.委员会中有人赞同这一观点。
It was suggested that, as draft article 27 was clearly no longer a provision governing conflict of conventions, the use of the phrase “do not prevail” in its chapeau might be misconstrued.有与会者提出,既然第27条草案显然不再是管辖公约间冲突的条款,其前导段中“不得优先”一语可能会引起误解。
In its place, it was suggested that the phrase “do not apply” might be preferable.因此建议改为“不适用”可能较好。
However, it was observed that simply replacing the phrase as suggested could be problematic, as the conflicting provisions would not simply be inapplicable, but would be inapplicable only to the extent that they were in conflict with the provisions of the draft Convention.但有与会者说,按照该建议仅仅改动这一短语可能会有问题,因为相互冲突的规定不是不适用这么简单,而是仅在其与公约草案的规定相冲突的方面不适用。
Further, it was recognized that a more substantial redraft of the text of draft article 27 would probably be necessary in order to achieve the suggested result.此外,有与会者承认,要达到所建议的结果,可能需要对第27条草案的案文作更大的改动。
The Commission agreed that the current text of draft article 27 was acceptable.委员会一致认为第27条草案目前的案文是可以接受的。
After consideration, the Commission approved the substance of draft article 27 and referred it to the drafting group.委员会经审议后核准了第27条草案的实质内容,将其交给起草小组处理。
Chapter 7. Obligations of the shipper to the carrier第7章. 托运人向承运人履行的义务
Draft article 28. Delivery for carriage第28条草案. 交付运输
The Commission approved the substance of draft article 28 and referred it to the drafting group.委员会核准了第28条草案的实质内容,将其交给起草小组处理。
Draft article 29. Cooperation of the shipper and the carrier in providing information and instructions第29条草案. 托运人与承运人在提供信息和指示方面的合作
100. The Commission approved the substance of draft article 29 and referred it to the drafting group.100. 委员会核准了第29条草案的实质内容,将其交给起草小组处理。
Draft article 30. Shipper’s obligation to provide information, instructions and documents第30条草案. 托运人提供信息、指示和文件的义务
101. The Commission approved the substance of draft article 30 and referred it to the drafting group.101. 委员会核准了第30条草案的实质内容,将其交给起草小组处理。
Draft article 31. Basis of shipper’s liability to the carrier第31条草案. 托运人对承运人赔偿责任的基础
102. The Commission approved the substance of draft article 31 and referred it to the drafting group.102. 委员会核准了第31条草案的实质内容,将其交给起草小组处理。
Draft article 32. Information for compilation of contract particulars; and draft article 1, paragraph 23 (“contract particulars”)第32条草案. 拟订合同事项所需要的信息;第1条草案第23款
103. It was observed in the Commission that draft articles 32 and 33 provided for potentially unlimited liability on the part of the shipper for not fulfilling its obligations in respect of the provision of information for the contract particulars or in respect of shipping dangerous goods.(“合同事项”) 103. 委员会中有与会者指出,第32和33条草案对托运人未履行其提供合同事项方面信息或在托运危险货物方面的义务的,规定了潜在的无限赔偿责任。
Concern was expressed that the potentially unlimited liability of the shipper was in contrast with the position of the carrier, which faced only limited liability as a result of the operation of draft article 61.托运人潜在的无限责任与承运人的地位形成截然对比,由于第61条草案的作用,承运人只面临有限的赔偿责任,发言者对此表示关切。
Given other contractual freedoms permitted pursuant to the draft Convention, it was suggested that some relief in this regard could be granted to the shipper by deleting the reference to “limits” in draft article 81, paragraph 2, thereby allowing the parties to the contract of carriage to agree to limit the shipper’s liability.鉴于依照公约草案规定而允许的其他合同自由,建议可在这方面给予托运人一些救济,这就是在第81条草案第2款中删除“限制”二字,从而使运输合同的当事人可以约定限制托运人的赔偿责任。
(See the discussion of the proposed deletion of “limits” in respect of draft art. 81, para. 2, in paras. 236-241 below.(见下文第236-241段中关于建议第81条草案第2款删除“限制”二字的讨论。
) The Commission agreed that it would consider that proposal in conjunction with its review of draft article 81 of the text.)委员会商定,将在审查第81条草案案文时一并审议这一建议。
104. The Commission approved the substance of draft article 32 and of the definition contained in draft article 1, paragraph 23, and referred them to the drafting group.104. 委员会核准了第32条草案以及第1条草案第23款所载定义的实质内容,将其交给起草小组处理。
Draft article 33. Special rules on dangerous goods第33条草案. 危险货物的特别规则
105. The Commission approved the substance of draft article 33 and referred it to the drafting group.105. 委员会核准了第33条草案的实质内容,将其交给起草小组处理。
Draft article 34. Assumption of shipper’s rights and obligations by the documentary shipper; and draft article 1, paragraph 9 (“documentary shipper”)第34条草案. 单证托运人享有托运人的权利并承担其义务; 第1条草案第9款(“单证托运人”)
106. A concern was expressed that draft article 34 was too broad in subjecting the documentary shipper to all of the obligations of the shipper.106. 有与会者表示关切,认为第34条草案的要求范围太广,规定单证托运人得承担托运人的所有义务。
That view was not taken up by the Commission.对于这一观点,委员会未作讨论。
In response to a question whether the documentary shipper and the shipper could be found to be jointly and severally liable, the view was expressed that there was not intended to be joint and several liability as between the two.有与会者提问,是否可以认为单证托运人与托运人承担共同连带责任,对此,答复认为,没有关于两者之间共同连带责任的意图。
107. The Commission approved the substance of draft article 34 and of the definition contained in draft article 1, paragraph 9, and referred them to the drafting group.107. 委员会核准了第34条草案以及第1条草案第9款所载定义的实质内容,将其交给起草小组处理。
Draft article 35. Liability of the shipper for other persons第35条草案. 托运人为其他人负赔偿责任
108. The Commission approved the substance of draft article 35 and referred it to the drafting group.108. 委员会核准了第35条草案的实质内容,将其交给起草小组处理。
Draft article 36. Cessation of shipper’s liability第36条草案. 托运人赔偿责任的中止
109. Questions were raised in the Commission regarding the rationale for the inclusion of draft article 36 in the text, particularly in the light of the generally permissive approach of the draft Convention to freedom of contract.109. 关于案文中为什么列入第36条草案,特别是考虑到公约草案对于合同自由总体上的宽容做法,有些与会者在委员会中提出疑问。
While it was recalled that certain delegations in the Working Group had requested the inclusion of a provision on the cessation of the shipper’s liability, the Commission was of the general view that the provision was not necessary in the text and could be deleted.委员会回顾,工作组内某些代表团当时曾请求列入一条关于托运人赔偿责任中止的规定,委员会现在普遍认为,案文中不需要这条规定,可以删除。
110. The Commission agreed to delete article 36 from the text of the draft Convention.110. 委员会同意从公约草案案文中删除第36条。
Chapter 8. Transport documents and electronic transport records第8章. 运输单证和电子运输记录
Draft article 37. Issuance of the transport document or the electronic transport record第37条草案. 运输单证或者电子运输记录的签发
111. The Commission approved the substance of draft article 37 and referred it to the drafting group.111. 委员会核准了第37条草案的实质内容,将其交给起草小组处理。
Draft article 38. Contract particulars第38条草案. 合同事项
112. There was strong support for the view that, in its present formulation, the draft article was incomplete in that it related only to the goods and the carrier, but did not mention, in particular, other essential aspects, such as delivery and means of transport.112. 与会者强烈支持一种观点,即该条草案按目前的形式并不完整,因为其中仅涉及货物和承运人,而尤其是没有提及其他重要方面,例如交货和运输工具。
It was observed that the shipper or the consignee, as the case might be, would require additional information to enable it to take action in respect of the shipment.据指出,酌情而定,托运人或收货人将需要有更多的信息才能够就装运的货物采取行动。
Banks often required shippers to present “shipped” bills of lading, which required the shipper to name the vessel on which the goods were loaded.银行经常要求托运人提交“货已装运”的提单,而这就要求托运人指明装运货物的船舶。
By the same token, a consignee that expected goods at a certain destination should not be surprised by requests to take delivery of the goods at a different place, and the draft Convention should require the transport document to state information that the consignee could rely upon.同理,预期货物抵达某个目的地的收货人如被要求在另一个地点提取货物,也不应当感到意外,公约草案应当要求运输单证载明收货人可以依赖的信息。
The consignee should further be able, on the basis of the information contained in the transport document, to take the steps necessary for an orderly delivery of the goods, such as hiring inland transportation, and would thus need to know at least the place of destination and the expected time of arrival.根据运输单证中所载的信息,收货人还能够为货物的妥当交运而采取必要的步骤,例如雇用内陆运输,并因而需要至少知道目的地和预计的抵达时间。
It was therefore proposed that the following information should be required to be stated in the transport document, in addition to those elements already mentioned in the draft article:因此,建议除该条草案已经提及的内容之外,运输单证中还应当载有下列信息:
the name and address of the consignee; the name of the ship; the ports of loading and unloading; and the date on which the carrier or a performing party received the goods, or the approximate date of delivery.收货人姓名和地址;船名;货物装卸港口;以及承运人或履约方的收货日期或大约的交货日期。
113. Another proposal for adding new elements to the list in the draft article argued for the inclusion of the places of receipt and delivery, as those elements were necessary in order to determine the geographic scope of application of the Convention in accordance with its article 5.113. 主张该条草案清单中增列新内容的另一项建议是列入收货地和交货地,因为需要有这些内容才能根据公约草案第5条确定公约的地理适用范围。
In the absence of those elements, the parties might not know whether the Convention applied to the contract of carriage.没有这些内容,当事人可能不知道公约是否适用于其运输合同。
114. In response to those proposals, it was pointed out that the draft article was concerned only with mandatory contract particulars without which the transport could not be carried out and which were needed for the operation of other provisions in the draft Convention.114. 对于这些建议,据答复指出,该条草案仅涉及必须包括在内的合同事项,没有这些内容将不可能进行运输,这些内容也是公约草案其他条款的运作所必须的。
Nothing prevented the parties from agreeing to include other particulars that were seen as commercially desirable to be mentioned in the transport document.但概不阻止当事人商定列入那些被认为商业上所需而应在运输单证中提及的其他事项。
It was further noted, however, that the proposed addition contemplated some factual information, such as the name of the vessel, the port of loading or unloading or the approximate date of delivery, which, at the moment of issuance of the transport documents, the parties might not yet know.然而,据进一步指出,建议增加的内容设想的是一些事实信息,例如船名、装货或卸货港口或大约的交货日期,在签发运输单证时,当事人可能还不知道这些信息。
One of the primary interests of the shipper, it was said, would usually be to obtain a transport document as soon as possible, so as to be able to tender the transport document to the bank that issued the documentary credit in order to obtain payment in respect of the goods sold.据称,托运人的主要利益之一通常是关心尽快得到运输单证,以便能够向签发跟单信用证的银行提交运输单证,收取所售货物的货款。
However, the issuance of the transport document would unnecessarily be delayed if all the additional information proposed for inclusion in the draft article were to be made mandatory.但是,如果所建议列入该条草案的全部附加信息都成为必须填入的,那么运输单证的签发就会不必要地迟延。
It was explained that in the case of multimodal transport, for instance, several days might elapse between the departure of the goods from an inland location and their actual arrival at the initial port of loading.据解释,例如,在多式联运的情况下,从货物离开一个内陆地点到货物实际抵达第一个装货港口,中间可能需要几天时间。
Some more time would again pass before the goods were then carried by another vessel to a hub port, where they would be again unloaded for carriage to a final destination.货物接着由另一艘船运往中枢港口,再接着卸载装运至最终目的地,也还需要一段时间。
In such a situation, which was quite common in practice, usually only the name of the first vessel or of the feeder vessel was known at the time when the transport document was issued.这种情况在实务中非常普遍,在这种情形下,签发运输单证时通常只知道第一艘船舶或支线船舶的名称。
In addition to that, the ports of loading and unloading were often not known, as large carriers might allocate cargo among various alternative ports on the basis of financial considerations (such as terminal charges) or operational considerations (such as availability of space on seagoing vessels).另外,通常也不知道货物的装卸港口,因为大型承运人可能会根据费用(例如港站费用)或操作上的考虑(例如远洋货轮上的舱位)而将货物分别由可以选用的不同港口装运。
115. It was argued that the mention of the name of the shipper should not be made mandatory either.115. 据指出,提及托运人的名称也不应当成为必须包括的内容。
It was true, it was said, that transport documents always stated a named person as shipper. In practice, however, the named person was often only a documentary shipper and carriers often received requests for changing the named shipper.据称,虽然运输单证通常的确载明一个被指名人作为托运人,但在实务中,被指名人往往只是一个单证托运人,承运人经常收到请求,希望变更被指名的托运人。
In some cases, a shipper might even, for entirely legitimate commercial reasons, prefer to keep its name confidential.在有些情况下,完全出于正当的商业原因,托运人可能甚至更希望对其名称保密。
That practice never prevented the carriage of the goods, as carriers typically knew their clients and would know whom to charge for the freight.这种做法绝不会妨碍货物运输,因为承运人通常知道他们的客户,而且知道向谁收取运费。
Similar reasons, it was further stated, gave cause for caution in requiring the transport document to mention other elements, such as the name and address of the consignee, as in many cases goods might be sold in transit and the name of the ultimate buyer would not be known at the time when the transport document was issued.据进一步指出,出于同样的原因,在要求运输单证提及其他内容时,例如收货人姓名和地址,也必须谨慎,因为在许多情况下,货物可能在中途转卖,在签发运输单证时将不会知道最终买方的姓名。
The usual practice in many trades was simply to name the consignee as “to the order of the shipper”.许多行业的通常惯例是只将收货人称作“凭托运人指示”。
Negotiating chains in some trades meant also that even the place of delivery might be not known at the time the goods were loaded.某些行业的谈判程序还意味着甚至在装货时也可能不知道交货地点。
Shippers in the bulk oil trade originating in the Far East, for example, often described the destination of the cargo in unspecific terms (such as “West of Gibraltar”), a usage that in practice seldom caused problems but would be precluded by the proposed extension of the mandatory contract particulars.例如,来自远东的大宗石油贸易托运人常常使用不确定的词语(例如“直布罗陀以西”)来描述货物的目的地,这种做法在实践中很少造成问题,但按照所建议的那样增加必须填入的合同事项,这种习惯做法将会遭到排除。
116. Indication of the date of delivery was said to be equally unsuitable for becoming a mandatory element of the transport document, as in most cases a sea carrier might be in a position to give only an inexact estimate of the duration of the voyage.116. 有与会者说,指明交货日期同样不适于成为运输单证的一个必要内容,因为在大多数情形下,海上承运人或许只能对航程时间作粗略的估计。
Uncertainty about the date of delivery was solved, and delivery to the consignee facilitated, by the current practice of advising the carrier about the notify party.目前将提单通知人的信息告知承运人的做法解决了交货日期不确定的问题,便利了向收货人交货。
The draft Convention further improved that practice by requiring the transport document to state the name and address of the carrier, a requirement not included in the Hamburg Rules, for example.公约草案要求运输单证载明承运人的名称和地址,从而进一步完善了这一做法,《汉堡规则》等都没有规定这一要求。
The progress in information and communication technology, which was illustrated by the advanced cargo tracking system that many carriers had offered via the Internet in recent years, made it much easier for cargo interests to obtain details about the delivery of goods directly from the carrier, than it was in the time when consignees needed to rely essentially on the transport document itself for that information.信息和通信技术的进步,例如近年来许多承运人通过互联网提供先进的货物跟踪系统,使货主可直接从承运人处得到关于货物交付的详细情况,这比收货人以往基本上需要依赖运输单证本身了解这一信息要方便得多。
117. The Commission engaged in an extensive debate concerning the desirability of adding new elements to those already mentioned in draft article 38 and what the practical consequences of such addition would be.117. 关于在38条草案已经提及的内容之外增添新内容是否可取以及增添这些内容会产生何种实际后果的问题,委员会展开了广泛的辩论。
In response to a question, it was noted that the qualification of the elements listed in draft article 38 as “mandatory” contract particulars was to some extent misleading, as draft article 41 made it clear that the absence or inaccuracy of one or more of those contract particulars did not affect the legal nature and validity of the transport document.有与会者在回答一个问题时指出,将第38条草案所列的内容称为“必不可少的”合同事项,在某种程度上有误导作用,因为第41条草案明确规定,合同事项中缺少一项或数项内容,或者这些内容不准确,并不影响运输单证的法律性质或者法律效力。
Accordingly, the consignee, for example, would not be deprived of its rights to claim delivery under a transport document if draft article 38 had not been entirely or accurately complied with owing to an error or omission of the shipper or the carrier.因此,例如,如果由于托运人或承运人的失误或疏忽而没有完全或严格地遵守第38条的规定,收货人也不会失去凭运输单证提货的权利。
Similarly, the draft Convention did not affect any right that the shipper might have, under the applicable law, to obtain certain information that the carrier failed to insert in the transport document, or to rely on a certain factual assumption in the absence of information to the contrary.同样,公约草案不影响托运人根据适用法律而可能有权获得承运人未填入运输单证的某些信息,或者在无相反信息的情况下,有权依赖某种事实假设。
That did not mean, however, that it would be reasonable to expand the list endlessly, as further requirements would necessarily increase the burden on the parties.但这并不是说,无限制地扩充列出的内容是合理的,因为进一步的要求必然会加重当事人的负担。
118. The Commission was sensitive to the arguments advanced in favour of keeping the list of requirements in draft article 38 within the limits of commercial reasonableness.118. 委员会注意到为支持将第38条草案中的一系列要求局限于商业合理性的范围内,而提出的论据。
Nevertheless, there was wide agreement that some additional requirements might be appropriate in order to place the shipper and the consignee in a better position to meet the demands of banks issuing documentary credit or to make the logistical and other arrangements necessary for collecting the goods at destination.但与会者普遍一致认为,为了便于托运人和收货人满足签发跟单信用证的银行的要求,或者便于其为在目的地收货而进行必要的后勤安排和其他安排,一些补充要求可能是适当的。
It was pointed out that in view of the relationship between draft articles 38 and 41, an expanded list would not negatively affect trade usage, as the transport document could still be validly issued even without some information not yet available before the beginning of the carriage.有与会者指出,鉴于第38和41条草案之间的关系,增加要求不会对贸易惯例产生负面影响,因为即使运输之初尚缺乏某些信息,运输单证仍然会有效签发。
The Commission also recognized that some elements might necessitate some qualification as regards, for instance, their availability at the time of issuance of the transport document.委员会还承认,对于某些内容,可能有必要加以注明,例如在运输单证签发时是否已有这几项内容的相关信息。
119. A proposal was made to insert into the text of draft article 38 the following paragraph:119. 有与会者建议在第38条草案的案文中添加如下条款:
“2 bis. The contract particulars in the transport document or the electronic transport record referred to in article 37 shall furthermore include:“2之二. 第37条提及的运输单证或电子运输记录中的合同事项还应当包括以下内容:
“(a) The name and address of the consignee, if named by the shipper;“(a) 收货人的名称和地址(如果收货人已由托运人指定);
“(b) The name of a ship, if specified in the contract of carriage;“(b) 船舶名称(如果已在运输合同中指明);
“(c) The place of receipt and, if known to the carrier, the place of delivery; and“(c) 收货地和交货地(如果承运人已知道交货地);和
“(d) The port of loading and the port of discharge, if specified in the contract of carriage.”“(d) 装货港和卸货港(如果已在运输合同中指明)。 ”
120. It was noted that although most of the suggestions for inclusion in draft article 38 had been accommodated, it had not been possible to include reference to the expected date of delivery of the goods.120. 有与会者指出,虽然在第38条草案中添加内容的大多数建议都得到了接受,但不可能添加提及预期交货日期的内容。
Although efforts had been made to include that information, it was felt that such information was so closely related to draft article 22 and the liability of the carrier for delay in delivery of the goods, that it was best not to risk upsetting the approved content of those provisions.尽管为添加这一信息作出了努力,但据认为这种信息与第22条草案和承运人因延迟交付货物而承担的赔偿责任密切相关,因此最好避免干扰这些条文已经得到核准的内容。
There was broad support in the Commission for the inclusion of the new paragraph 2 bis in draft article 38.委员会内部普遍赞成在第38条草案中添加第2款之二。
121. The Commission approved the substance of draft article 38, with the addition of paragraph 2 bis, and referred it to the drafting group.121. 委员会核准了添加第2款之二后的第38条草案的实质内容,将其交给起草小组处理。
Draft article 39. Identity of the carrier第39条草案. 承运人的识别
122. The Commission took note of a statement to the effect that the policy adopted in the draft article was unsatisfactory.122. 委员会注意到一项说明,大意是该条草案所采用的政策并不令人满意。
123. The Commission approved the substance of draft article 39 and referred it to the drafting group.123. 委员会核准了第39条草案的实质内容,将其交给起草小组处理。
Draft article 40. Signature第40条草案. 签名
124. There was support for understanding that the draft article did not specify the requirements for the validity of a signature, be it a handwritten or an electronic one, which was a matter left for the applicable law.124. 有与会者支持一项谅解,即无论对手写签名还是电子签名,该条草案均未规定其应符合哪些要求方为有效,而是将这个问题留给适用法律处理。
125. The Commission approved the substance of draft article 40 and referred it to the drafting group.125. 委员会核准了第40条草案的实质内容,将其交给起草小组处理。
Draft article 41. Deficiencies in the contract particulars第41条草案. 合同事项不完备
126. Subject to terminological adjustments that might be needed in some language versions, the Commission approved the substance of draft article 41 and referred it to the drafting group.126. 除可能需要对一些语文版本中的术语进行修改之外,委员会核准了第41条草案的实质内容,将其交给起草小组处理。
Draft article 42. Qualifying the information relating to the goods in the contract particulars第42条草案. 对合同事项中货物相关信息作出保留
127. It was pointed out that, in practice, goods might be delivered for carriage in a closed road or railroad cargo vehicle, such as to limit the carrier’s ability to verify information relating to the goods.127. 有与会者指出,在实务中,货物交付运输时可能装在封闭的公路或铁路货运车辆中,从而使承运人核实货物相关信息的能力受到限制。
The Commission agreed that the references to “container” in the draft article should be expanded in order to cover those vehicles as well.委员会一致认为,该条草案中提及“集装箱”的内容应当扩大范围,将上述车辆也涵盖在内。
The Commission requested the drafting group to consider alternatives for making reference to those vehicles in a manner that avoided burdening the draft article with unnecessary repetitions and bearing in mind the use of similar references elsewhere in the text.委员会请起草小组审议提及这些车辆的各种备选案文,以避免在该条中作不必要的重复,同时记得案文其他地方提及这类车辆时的用词。
128. The Commission approved the substance of draft article 42 and referred it to the drafting group.128. 委员会核准了第42条草案的实质内容,将其交给起草小组处理。
Draft article 43. Evidentiary effect of the contract particulars第43条草案. 合同事项的证据效力
129. There was not sufficient support for a proposal to replace the words “but not” with the word “and” in subparagraph (c)(ii) of draft article 43.129. 有与会者建议将第43条草案(c)(ii)目中的“而非”改为“和”字,但没有得到足够的支持。
It was noted that, unlike the identifying numbers of containers, the identifying numbers of container seals might not be known to the carrier, as seals might be placed by parties other than the shipper or the carrier, such as customs or sanitary authorities.有与会者指出,与集装箱识别号码不同的是,集装箱封条的识别号码承运人可能并不知道,因为贴封条的可能不是托运人或承运人,而是海关或检疫部门等。
130. The Commission agreed that in the situation contemplated by subparagraph (c)(ii) of the draft article, it would not be appropriate to extend the provision in question to road or railroad cargo vehicles.130. 委员会一致认为,在该条草案(c)(ii)目所设想的情形中,不适宜将有关规定延及公路或铁路货运车辆。
131. The Commission approved the substance of draft article 43 and referred it to the drafting group.131. 委员会核准了第43条草案的实质内容,将其交给起草小组处理。
Draft article 44. “Freight prepaid”第44条草案. “预付运费”
132. The Commission approved the substance of draft article 44 and referred it to the drafting group.132. 委员会核准了第44条草案的实质内容,将其交给起草小组处理。
Draft article 1, paragraph 14 “transport document”第1条草案第14款(“运输单证”)
133. It was observed that the Working Group had agreed at its final session to delete reference to the “consignor” in the draft Convention and that, as a consequence, the definition of “transport document” had been adjusted to make subparagraphs (a) and (b) conjunctive rather than disjunctive.133. 据指出,工作组在其最后一届会议上曾商定删除公约草案中提及“发货人”的内容,因此对“运输单证”的定义也相应作了调整,把(a)和(b)项变成并列的两项,而不是非此即彼的两项。
As mere receipts were thus excluded from the definition of a “transport document”, it was proposed that the phrase “or a performing party” could be deleted from the chapeau of the definition.既然已从“运输单证”的定义中排除了单纯的收据,建议从该条定义的前导句中删除“或者履约方”。
The Commission approved that correction.委员会核准了这条更正意见。
134. An additional proposal was made that the phrase “or a person acting on its behalf” should be inserted where the previous phrase had been deleted, in order to bring the definition in line with the phrase in draft article 40, paragraph 1, on signature.134. 另一项建议是,把“或代其行事的人”加在原来被删除的地方,以便使这条定义与关于签名的第40条草案第1款中的措词保持一致。
However, it was noted that in the preparation of the draft Convention, care had been taken to avoid reference to matters of agency, which, while common relationships in commercial transport, were thought to be too complex to be brought within the scope of the Convention.但是据指出,在公约草案的拟定过程中一直注意避免提及代理事项,虽然代理关系是商业运输中的一种常见的关系,但由于过于复杂而未被纳入公约范围之内。
Further, it was observed that while there was perceived to be a need to reference acting on behalf of the carrier with respect to signature, it was thought that inserting the phrase in the definition of “transport document” would raise questions regarding its absence elsewhere in the draft Convention.另外还指出,虽然看起来有必要在涉及签名时提及代表承运人行事,但是如果把这样的词语加入“运输单证”的定义中,就会由于公约草案的其他地方没有使用这样的短语而产生问题。
The Commission supported that view, and decided against including the additional phrase.委员会支持这一看法,决定不添加这一词语。
135. It was also suggested that the following text should be inserted as a paragraph into the definition:135. 会上还提出把下面一段话作为一款加入该条定义:
“Evidences when goods are acquired by/delivered to the consignee”.“证明货物已由收货人获得或者交付给收货人。
However, it was observed that draft article 11 set out the obligation of the carrier to carry the goods to the place of destination and deliver them to the consignee, and the proposal was not taken up by the Commission.”但是据指出,第11条草案明确提出承运人的义务是将货物运至目的地并将其交付给收货人,因此委员会没有采纳这条建议。
Draft article 1, paragraphs 15 (“negotiable transport document”), 16 (“non-negotiable transport document”), 18 (“electronic transport record”), 19 (“negotiable electronic transport record”), 20 (“non-negotiable electronic transport record”), 21 (“issuance” of a negotiable electronic transport record), 22 (“transfer” of a negotiable electronic transport record) and 27 (“freight”)第1条草案第15款(“可转让运输单证”)、第16款(“不可转让运输 单证”)、第18款(“电子运输记录”)、第19款(“可转让电子 运输记录”)、第20款(“不可转让电子运输记录”)、第21款
136. After making the same correction to draft article 1, paragraph 18, as had been made to draft article 1, paragraph 14, by twice deleting the phrase “or a performing party” where it appeared in the chapeau of draft article 1, paragraph 18, the Commission approved the substance of the definitions contained in draft article 1, paragraphs 15, 16, 18, 19, 20, 21, 22 and 27, and referred them to the drafting group.(“签发”可转让电子运输记录)、第22款(“转让”可转让电子 运输记录)和第27款(“运费”) 136. 象对第1条草案第14款作出的更正一样,对第1条草案第18款作了同样的更正,删除了第1条草案第18款前导句中两处出现的“或者履约方”,在此之后,委员会核准了第1条草案第15、16、18、19、20、21、22和27款所载各条定义的实质内容,将其交给起草小组处理。
Chapter 9. Delivery of the goods第9章. 货物交付
General comment一般意见
137. A concern was expressed with respect to chapter 9 as a whole.137. 有与会者对整个第9章提出一项关切。
In general, the aim of the legal regime in chapter 9 to provide legal solutions to a number of thorny questions was applauded.总的来说,第9章所规定的法律制度的目的是为一些棘手的问题提供法律上的解决办法,这一点是值得赞许的。
However, it was thought that certain difficult questions remained, such as:但是,据认为,某些难题依然存在,例如:
when did the consignee have an obligation to accept delivery; what was the carrier’s remedy if the consignee was in breach of that obligation; and what steps were necessary on the part of the carrier to ensure that the goods were delivered to the proper person.收货人何时有义务接受交货;如果收货人违反这一义务,承运人有何补救办法;为了确保货物交到应当收货的人手中,承运人必须采取哪些步骤。
138. It was suggested that the chapter created more problems than it solved and that adoption of the chapter could negatively affect ratification of the Convention.138. 据指出,这一章所产生的问题比所解决的问题更多,如果通过这一章,会对公约的批准产生不利影响。
The Commission took note of those concerns.委员会注意到这些关切。
Draft article 45. Obligation to accept delivery第45条草案. 接受交货的义务
139. Concerns in line with the general comment expressed in respect of chapter 9 were also raised with respect to draft article 45.139. 对第45条草案也提出关切,这些关切是基于对整个第9章提出的一般意见。
While there was some support for that approach, the focus of concern in respect of the draft provision was the phrase “the consignee that exercises its rights”.虽然这种办法得到一定支持,不过对该条草案的主要关切点还是“行使其权利的收货人”这一短语。
It was suggested that that phrase was too vague in terms of setting an appropriate trigger for the assumption of obligations under the Convention.据指出,这段话太模糊,难以确定何时应当开始承担公约所规定的义务。
It was suggested that that uncertainty could be remedied by deleting the phrase at issue and substituting for it:为了消除这种不确定性,建议删除有关的词语,将其改为:
“the consignee that demands delivery of the goods”.“要求交付货物的收货人”。
There was support in the Commission for that view.委员会中有人支持这一观点。
140. In response to that position, it was observed that draft article 45 had been included in the draft Convention to deal with the specific problem of consignees that were aware that their goods had arrived but wished to avoid delivery of those goods by simply refusing to claim them.140. 针对这一立场,有与会者指出,公约草案列入第45条草案,是为了处理涉及收货人的某些具体问题,有些收货人明知货物已经到达,仍试图通过拒绝提取货物而避免货物的交付。
It was noted that carriers were regularly faced with that problem and that draft article 45 was intended as a legislative response to it.据指出,承运人经常碰到这种问题,第45条草案就是针对这一问题提出的一种法律上的对策。
It was further explained that the phrase “exercises its rights” was intended to cover situations such as when the consignee wished to examine the goods or to take samples of them prior to taking delivery, or when the consignee became involved in the carriage.为此还作出进一步解释,指出“行使其权利”这段话是为了涵盖某些情形,例如收货人希望在收取货物之前检验货物或提取货物样品,收货人参与了货物运输,等等。
It was observed that the United Nations Convention on Contracts for the International Sale of Goods (the “United Nations Sales Convention”) required that buyers that wanted to reject the goods under the contract of sale take delivery of them from the carrier, but that the buyer would do so on behalf of the seller.有与会者指出,《联合国国际货物销售合同公约》(“《联合国销售公约》”)规定,即使买方希望根据销售合同拒收货物,也必须先从承运人处提取货物,但买方这样做是代表卖方行事。
It was suggested that draft article 45 was appropriate and in keeping with that approach.据指出,第45条草案是妥当的,符合上述做法。
There was some support in the Commission for that view.这种观点也在委员会中得到一定支持。
141. After discussion, the Commission decided to adopt the amendment suggested in paragraph 139 above.141. 经过讨论,委员会决定采纳上文第139段中提出的修正意见。
With that amendment, the Commission approved the substance of draft article 45 and referred it to the drafting group.在作出这一修正之后,委员会核准了第45条草案的实质内容,将其交给起草小组处理。
Draft article 46. Obligation to acknowledge receipt第46条草案. 确认收到的义务
142. The Commission approved the substance of draft article 46 and referred it to the drafting group.142. 委员会核准了第46条草案的实质内容,将其交给起草小组处理。
Draft article 47. Delivery when no negotiable transport document or negotiable electronic transport record is issued第47条草案. 未签发可转让运输单证或者可转让电子运输记录时的交付
143. A concern was expressed that draft article 47 protected the carrier only when it had followed the required procedure set out in the provision, but that the carrier was not protected when it had not followed that procedure.143. 会上提出的一项关切是,第47条草案只在承运人遵守该条规定的程序时才对承运人给予保护,而在承运人未遵守这一程序时则不给予保护。
Further, the issue was raised that if the shipper was no longer the controlling party, it was probably because it had already transferred all of its rights in the goods to the controlling party, including the right to instruct on delivery.会上提出的另一个问题是,如果托运人不再是控制方,可能是因为托运人已将其对货物的所有权利转让给控制方,其中包括就货物交付下达指示的权利。
The Commission took note of those concerns.委员会注意到这些关切。
144. The Commission approved the substance of draft article 47 and referred it to the drafting group.144. 委员会核准了第47条草案的实质内容,将其交给起草小组处理。
(For subsequent discussion and the conclusions on this draft article, see paras. 166-168 below.)(关于此后就该条草案所作的讨论和结论,见下文第166-168段。
Draft article 48.
Delivery when a non-negotiable transport document that requires surrender is issued第48条草案. 签发必须提交的不可转让运输单证时的交付
145. The Commission approved the substance of draft article 48 and referred it to the drafting group.145. 委员会核准了第48条草案的实质内容,将其交给起草小组处理。
(For subsequent discussion and the conclusions on this draft article, see paras. 166-168 below.)(关于此后就该条草案所作的讨论和结论,见下文第166-168段。
Draft article 49.
Delivery when a negotiable transport document or negotiable electronic transport record is issued第49条草案. 签发可转让运输单证或者可转让电子运输记录时的交付
146. It was generally acknowledged that the problems faced by carriers when cargo owners appeared at the place of destination without the requisite documentation, or failed to appear at all, represented real and practical problems for carriers.146. 对于承运人遇到的问题,即货主来到目的地时未携带必要文件或者干脆不露面,普遍承认这是承运人所面临的实际问题。
However, concerns were expressed in the Commission regarding whether the text of draft article 49 was the most appropriate way to solve those problems.但是,对于第49条草案的案文是否提供了解决这些问题的最适当途径,在委员会中表达了各种关切。
In particular, the view was expressed that draft article 49 undermined the function of a negotiable transport document as a document of title by allowing carriers to seek alternative delivery instructions from the shipper or the documentary shipper and thus removing the requirement to deliver on the presentation of a bill of lading.特别是,有与会者认为,第49条草案削弱了可转让运输单证作为所有权凭证的功能,因为它准许承运人作为替代办法向托运人或者单证托运人寻求交货指示,从而取消了对出示提单后交付货物的要求。
Further concern was expressed that subparagraph (d) would increase the risk of fraud and have a negative impact on banks and others that relied on the security offered by negotiable transport documents.有与会者还担心,(d)项会增加欺诈危险,从而对银行以及其他依赖可转让运输单证所提供的担保的人造成不利影响。
One delegation emphasized that discussions with banks had indicated that draft article 49 would result in banks having additional risks to manage.一个代表团强调指出,与银行界进行的讨论表明,第49条草案将给银行带来需要加以管理的额外风险。
147. It was also suggested that the indemnity in subparagraph (f) could be problematic for cargo insurers, for example, in a CIF (cost, insurance and freight) shipment, where insurance was arranged by the seller and the policy was assigned to the buyer when the risk of shipment transferred.147. 还有与会者指出,(f)项中规定的补偿办法可能会给货物保险人带来问题,例如,在到岸价(成本、保险加运费)货运业务中,卖方安排保险,保单则在运货风险转移时转让给买方。
It was suggested that if the seller unwittingly provided an indemnity to the carrier by providing alternative delivery instructions, this could have an impact on any recovery action that an insurer might have had against the carrier.据指出,如果卖方因提供替代交货指示而无意中把补偿金付给了承运人,就会对保险人可能对承运人提起的任何追偿诉讼产生影响。
That, it was said, would result in the loss of one avenue of redress for cargo claimants seeking recovery for misdelivery.据指出,这将导致货物索赔人丧失一个就错误交货进行追偿的途径。
A further complication was said to be that the combined effect of subparagraphs (d)-(f) was that a carrier that obtained alternate delivery instructions from a shipper would be relieved of liability to the holder, but that if the shipper had given an indemnity to the carrier, the shipper would have indemnified a party that had no liability.由此产生的另一个问题是,根据(d)-(f)项的规定,承运人从托运人处取得替代交货指示,将被免除对持有人的赔偿责任,但是,如果托运人把补偿金付给了承运人,托运人就是对已没有赔偿责任的一方当事人作了赔偿。
148. As a response to some of the criticism expressed, various examples were given of how the new system envisioned under draft article 49 would reduce the current widespread possibility of fraud.148. 针对所提出的一些批评意见,有与会者提出各种例子,说明第49条草案所设想的新的制度将如何减少目前可能普遍存在的欺诈问题。
For example, current practices subject to fraud were said to involve the issuance of multiple originals of the bill of lading, forgery of bills of lading and the continued circulation and sale of bills of lading even following delivery.举例来说,目前可能产生欺诈的做法涉及签发多份提单原件、伪造提单以及甚至在交货之后提单继续流通和出售。
The regime established by draft article 49 was aimed at reducing or eliminating many of those abuses.第49条草案所建立的制度旨在减少或者根除其中许多滥用情形。
Further, it was emphasized that that regime set up a system aimed at removing risk for bankers by restoring the integrity of the bill of lading system, and that discussions with banks and commodities traders had indicated that, while they might be forced to adjust some of their practices, they considered the new regime to present less risk for them.另外还强调,这种制度旨在通过恢复单证制度的完整性来消除对银行界人士的风险,与银行和商品交易人的讨论表明,虽然他们可能不得不调整某些做法,但他们认为新的制度给他们带来的风险还是少一些。
In addition, it was noted that the current system of obtaining letters of indemnity, possibly coupled with bank guarantees, was both a costly and a slow procedure for consignees.另外还指出,目前实行的连同银行保证一起取得补偿保证书的制度,对收货人来说是一种既费钱又费时的程序。
149. It was noted that the serious problems which draft article 49 was attempting to solve were the problems not just of carriers but of the maritime transportation industry as a whole.149. 据指出,第49条草案试图解决的严重问题不仅是承运人面临的问题,也是整个海运界面临的问题。
It was further observed that the industry had grappled with the problems for some time without success, and that a legislative solution was the only viable option.还指出,一段时间以来业界一直都在努力对付这个问题,但并不成功,因此立法解决这个问题是唯一可行的办法。
While it was recognized that the approach taken in draft article 49 might not be optimal in every respect, broadly acceptable adjustments to the approach might still be possible.与会者承认,第49条草案所采取的办法虽然并非在每个方面都很理想,但对这一办法作出可获得普遍接受的调整,还是有可能做到的。
The Commission was urged to take the opportunity to adopt a provision such as draft article 49, in order to provide a legislative solution to restore the integrity of the function of negotiable transport documents in the draft Convention.与会者敦促委员会抓住机会通过一个向象第49条草案这样的条款,以便提供一种立法解决办法,在公约草案中恢复可转让运输单证的功能的完整性。
150. Some support was expressed for the concerns regarding the problems with respect to the anticipated operation of draft article 49 outlined in paragraphs 146 and 147 above, but views differed on how best to address those problems.150. 关于上文第146和147段中概述的估计会在第49条草案的适用中遇到的各种问题,有些与会者表示支持就这些问题提出的关切,但对于如何处理这些问题,看法不一致。
While some delegations favoured deletion of the provision as a whole, others favoured only the deletion of subparagraphs (d)-(f) or of subparagraphs (e) and (f), while still others were in favour of considering possible clarification of those problematic subparagraphs.有些代表团主张删去整个条款,有些代表团则主张只删去(d)-(f)项或者(e)和(f)项,有些代表团则主张考虑对这些存在问题的条款作出可能的澄清。
Some delegations supported the text of draft article 49 as drafted, without any amendment.也有些代表团支持第49条草案目前的案文,不作任何修改。
However, there was widespread acknowledgement that the problems addressed by draft article 49 were real and pressing.但是,与会者普遍承认第49条草案所处理的问题是紧迫的现实问题。
151. The Commission agreed to consider any improved text that might be presented.151. 委员会同意对任何可能提出的改进案文进行审议。
152. The Commission resumed its deliberations on the draft article after it had completed its review of the draft Convention.152. 委员会在完成了对公约草案的审查之后,接着继续对该条草案进行审议。
In the meantime, extensive consultations had been informally conducted with the participation of a large number of delegations with a view to formulating alternative language for the draft article that addressed the various concerns expressed earlier (see paras. 146 and 147 above).与此同时,在此之前进行了有许多代表团参与的广泛的非正式协商,以拟订该条草案的备选措词,解决之前所表示的各种关切(见上文,第146和147段)。
The Commission was informed of the difficulty that had been faced in attempting to find a compromise solution in the light of the extent of disagreement concerning the draft article, as many had expressed the wish to delete subparagraphs (d)-(h), while many others had insisted on retaining the draft article in its entirety.委员会得知在试图寻找一种折衷解决方案时面临困难,因为对该条草案意见分歧很大,许多代表团表示希望删除(d)-(h)项,也有许多代表团则坚持整个保留该条草案。
Nevertheless, as a result of those informal consultations, the following new version of the draft article was submitted for consideration by the Commission:尽管如此,作为上述非正式协商的成果,向委员会提交了该条草案的下述新案文供委员会审议:
“1. When a negotiable transport document or a negotiable electronic transport record has been issued:“1. 签发可转让运输单证或者可转让电子运输记录的:
“(a) The holder of the negotiable transport document or negotiable electronic transport record is entitled to claim delivery of the goods from the carrier after they have arrived at the place of destination, in which event the carrier shall deliver the goods at the time and location referred to in article 45 to the holder:“(a) 可转让运输单证或者可转让电子运输记录的持有人有权在货物到达目的地后向承运人主张提取货物,在这种情况下,下列条件之一得到满足时,承运人即应当在第45条述及的时间和地点将货物交付给该持有人:
“(i) Upon surrender of the negotiable transport document and, if the holder is one of the persons referred to in article 1, subparagraph 10 (a)(i), upon the holder properly identifying itself; or“(i) 该持有人提交了可转让运输单证,该持有人为第1条第10款(a)项(i)目述及的人的,还适当表明了其身份;或者
“(ii) Upon demonstration by the holder, in accordance with the procedures referred to in article 9, paragraph 1, that it is the holder of the negotiable electronic transport record;“(ii) 该持有人按照第9条第1款述及的程序证明其为可转让电子运输记录的持有人。
“(b) The carrier shall refuse delivery if the conditions of subparagraph (a)(i) or (a)(ii) are not met;“(b) (a)项(i)目或者(a)项(ii)目所列条件未得到满足的,承运人应当拒绝交付;
“(c) If more than one original of the negotiable transport document has been issued, and the number of originals is stated in that document, the surrender of one original will suffice and the other originals cease to have any effect or validity.“(c) 所签发可转让运输单证有一份以上正本,且该单证中注明正本份数的,提交一份正本单证即可,其余正本单证随即失去效力。
When a negotiable electronic transport record has been used, such electronic transport record ceases to have any effect or validity upon delivery to the holder in accordance with the procedures required by article 9, paragraph 1.使用可转让电子运输记录的,按照第9条第1款规定的程序一经向持有人交付货物,该电子运输记录随即失去效力;
“2. If the negotiable transport document or the negotiable electronic transport record states that the goods may be delivered without the surrender of the transport document or the electronic transport record, the following rule applies:“2. 可转让运输单证或者可转让电子运输记录载明可以在未提交运输单证或者电子运输记录的情况下交付货物的,适用下列规则:
“(a) If the goods are not deliverable because (i) the holder, after having received a notice of arrival, does not claim delivery of the goods at the time or within the time referred to in article 45 from the carrier after their arrival at the place of destination, (ii) the carrier refuses delivery because the person claiming to be a holder does not properly identify itself as one of the persons referred to in article 1, subparagraph 10 (a)(i), or (iii) the carrier is, after reasonable effort, unable to locate the holder in order to request delivery instructions, the carrier may so advise the shipper and request instructions in respect of the delivery of the goods.“(a) 货物未能交付是因为(i)持有人接到了到货通知而未在货物到达目的地后在第45条述及的时间或者期限内向承运人主张提取货物,(ii)承运人因声称是持有人的人未适当表明其为第1条第10款(a)项(i)目所述及的人之一而拒绝交货,或者(iii)承运人经合理努力无法确定持有人,请求就货物的交付发出指示的,承运人可以通知托运人,请求就货物的交付发出指示。
If, after reasonable effort, the carrier is unable to locate the shipper, the carrier may so advise the documentary shipper and request instructions in respect of the delivery of the goods;承运人经合理努力无法确定托运人的,承运人应当通知单证托运人,请求就货物的交付发出指示;
“(b) The carrier that delivers the goods upon instruction of the shipper or the documentary shipper in accordance with subparagraph (2) (a) of this article is discharged from its obligation to deliver the goods under the contract of carriage to the holder, irrespective of whether the negotiable transport document has been surrendered to it, or the person claiming delivery under a negotiable electronic transport record has demonstrated, in accordance with the procedures referred to in article 9, paragraph 1, that it is the holder;“(b) 承运人根据本条第2款(a)项按照托运人或者单证托运人的指示交付货物的,解除承运人在运输合同下向持有人交付货物的义务,而不考虑是否已向承运人提交可转让运输单证,也不考虑凭可转让电子运输记录主张提货的人是否已按照第9条第1款述及的程序证明其为持有人;
“(c) The person giving instructions under subparagraph 2 (a) of this article shall indemnify the carrier against loss arising from its being held liable to the holder under subparagraph (2) (e) of this article.“(c) 承运人根据本条第2款(e)项对持有人负赔偿责任的,根据本条第2款(a)项发出指示的人应当补偿承运人由此遭受的损失。
The carrier may refuse to follow those instructions if the person fails to provide adequate security as the carrier may reasonably request;该人未能按照承运人的合理要求提供适当担保的,承运人可以拒绝遵守这些指示;
“(d) A person that becomes a holder of the negotiable transport document or the negotiable electronic transport record after the carrier has delivered the goods pursuant to subparagraph (2) (b) of this article, but pursuant to contractual or other arrangements made before such delivery, acquires rights against the carrier under the contract of carriage other than the right to claim delivery of the goods;“(d) 一人在承运人已根据本条第2款(b)项交付货物后成为可转让运输单证或者可转让电子运输记录的持有人,仍根据此项交货前的合同安排或者其他安排取得对承运人除主张提货权以外的运输合同下的权利;
“(e) Notwithstanding subparagraphs (2) (b) and (2) (d) of this article, a holder that becomes a holder after such delivery, and that did not have and could not reasonably have had knowledge of such delivery at the time it became a holder, acquires the rights incorporated in the negotiable transport document or negotiable electronic transport record.“(e) 虽有本条第2款(b)项和第2款(d)项的规定,一持有人在此项交货后成为持有人,在其成为持有人时不知道且理应不可能知道此项交货的,取得可转让运输单证或者可转让电子运输记录所包含的权利。
When the contract particulars state the expected time of arrival of the goods, or indicate how to obtain information as to whether the goods have been delivered, it is presumed that the holder at the time that it became a holder had or could reasonably have had knowledge of the delivery of the goods.”合同事项载明预计到货时间,或者载明如何获取有关货物是否已交付的信息的,推定该持有人在其成为持有人时已知道或者理应能够知道货物的交付。 ”
153. It was explained that besides a few minor corrections to the original text, such as inserting in subparagraph 1 (a)(i) the proper cross reference to draft article 1, subparagraph 10 (a)(i), the proposed new text contained a number of substantive changes to the original text.153. 据解释,除对原案文作了一些轻微更正外,例如在1(a)(i)目中适当插入了提及第1条草案10(a)(i)目的词语,所建议的新案文载有一些对原案文的实质性改动。
The wording of subparagraph 2 (a), it was pointed out, was different from subparagraph 2 (d) of the original text in essentially two respects.据指出,2(a)项的措词主要在两个方面与原案文2(d)项不同。
First, while the original text obliged the carrier to advise that the goods had not been claimed and imposed on the controlling party or the shipper the obligation to give instructions in respect of the delivery of the goods, the new text allowed the carrier to seek instructions but imposed no obligation on the shipper to provide them.首先,原案文规定承运人有义务通知无人提取货物,并规定控制方或托运人有义务就货物的交付发出指示,而新案文则允许承运人征询指示,但并未规定托运人有义务提供指示。
That change was proposed in order to address the concern that the shipper might not always be able to give appropriate instructions to the carrier under those circumstances.提出如此改动是为了解决所表示关切的问题,这就是在这些情形下,托运人也许并不总是可以向承运人发出适当的指示。
Secondly, it was explained that the previous text required notice to be given to the holder, and in the absence of notice – be it because the holder could not be found or because the location of the holder was not known to the carrier – the remainder of the provision did not apply.其次,据解释,之前的案文要求向持有人发出通知,在无通知的情况下——无论是因为无法找到持有人还有因为承运人不知道持有人的所在地——本款规定的其余部分不适用。
In contrast, the proposed new provisions would still apply in such situations, which were found to be typical and to warrant a solution in the draft article.相比之下,建议的新条文在这种情况下仍将适用,据认为,通常情况即是如此,理当在条款草案中加以处理。
154. In addition to those changes, it was further explained, the proposed new text differed from the original text in another important aspect.154. 还解释说,除了上述修改,提议的新案文在另一个重要方面不同于原案文。
Paragraph 2 of the proposed text now subjected the rules on delivery of goods set forth in its subparagraphs (a) and (b) to the existence, in the negotiable transport document or negotiable electronic transport record, of a statement to the effect that the goods could be delivered without the surrender of the transport document or the electronic transport record.根据提议案文的第2款,现在(a)项和(b)项所载的货物交付规则须以下述条件为前提,即可转让运输单证或可转让电子运输记录中载有一个声明,指明可以在运输单证或电子运输记录未提交的情况下交付货物。
This addition, it was pointed out, represented the most contentious point in the entire proposed new draft article.据指出,该项增补是提议的整个新条文草案中最具争议之处。
The original text, it was explained, had received strong criticism based on concern about the negative impact that rules allowing delivery of goods without the surrender of negotiable transport documents might have on common trade and banking practices, as well as from the viewpoint of the legal doctrine of documents of title.据解释,原案文遭到强烈批评,是因为担心允许在未提交可转让运输单证的情况下交付货物可能对常见的行业和银行惯例产生负面影响,并且从所有权凭证法理角度来看也不应该如此。
The proposed revised text was intended to address such concern by requiring a clear warning for all parties potentially affected, in the form of an appropriate statement in the negotiable transport document, that the carrier was authorized to deliver the goods even without the surrender of the transport document, provided that the carrier followed the procedures set forth in the draft article.提议的修订案文意在处理这类担心,要求以在可转让运输单证上载有适当声明的形式明确提醒可能受影响的所有当事人,在遵循该条草案所规定程序的前提下,即使在未提交运输单证的情况下承运人也已获授权可以交付货物。
The proposed rules, it was pointed out, were meant to operate in the form of a contractual “opt-in” system:据指出,提议的规则在适用上打算采取合约式的“选择适用”法:
in order for the carrier to be discharged of its obligation to deliver by delivering the goods under instructions received from the shipper even without the surrender of the negotiable transport document, the parties must have agreed to allow the carrier to deliver the goods in such a fashion under the circumstances described in the draft article.承运人在未提交可转让运输单证的情况下根据托运人发出的指示交付货物的,各方当事人必须已事先同意允许在该条草案所述情况下以这种方式交货,承运人才能被免除交货义务。
It was observed that, if the Commission agreed to replace draft article 49 with the proposed new text, consequential changes would be needed in draft articles 47, 48 and 50.据指出,如果委员会同意用提议的新案文取代第49条草案,就需要对第47、48和50条草案作相应修改。
155. In commenting on the proposed new text for draft article 49, a number of the concerns that had been raised in regard to the original text of draft article 49 were reiterated, as were a number of the views expressed by those who supported the original text of the provision.155. 在就提议的第49条草案新案文发表意见时,重申了曾对第49条草案原案文提出的一些关切,支持条文原案文的与会者也重申了他们的观点。
There was some support for the view that the new text of draft article 49 did not solve the problems previously identified.有看法认为第49条草案的新案文并没有解决早先指出的问题,有与会者支持这种看法。
156. By way of specific comment on the proposed new text, some delegations that had expressed strong objections to the original text of the draft provision and had requested its deletion repeated that preference in respect of the proposed new text.156. 在就提议的新案文发表具体评论意见时,强烈反对并要求删除该条文草案原案文的几个代表团再次表明倾向采用提议的新案文。
At the same time, some delegations that had strongly supported the original text of draft article 49 reiterated that support, but expressed the view that the proposed new text could be an acceptable alternative.同时,强烈支持第49条草案原案文的几个代表团则重申了原来的态度,但表示提议的新案文可以作为可接受的备选案文。
157. Although views concerning the original text of the provision remained sharply divided, there was general support in the Commission for the proposed new text of draft article 49 as representing a compromise approach that could achieve broader acceptance.157. 虽然就该条文原案文表达的观点依然分歧严重,但委员会普遍支持提议的第49条草案新案文,认为新案文代表可以得到更广泛接受的妥协方案。
Supporters of the original text of draft article 49 expressed the view that while the provisions of paragraph 2 of the revised text were no longer mandatory, as they had been in the original version, they were nonetheless an improvement over the current state of affairs.第49条草案原案文的支持者认为,虽然修订的案文第2款条文不再像在原案文中那样具有强制性,但与当前状况相比还是有所改进。
158. In addition, while there was general support for the “opt-in” approach taken in the revised text as being less troubling for those with lingering concerns regarding the content of paragraph 2, some preference was still expressed for an “opt-out” or “default” approach to be taken in paragraph 2 of the new text.158. 此外,普遍支持修订的案文中采用的“选择适用”法,认为这对于始终对第2款内容心存疑虑的人来说麻烦较小些,还有与会者表示更赞同新案文第2款采取“选择不适用”或者“缺省”法。
In that regard, it was thought that the “opt-out” approach would be less likely simply to preserve the status quo.在这方面,认为“选择不适用”法不大可能只是保留现状。
Further, concern was expressed that in some jurisdictions a transport document containing a statement that the goods may be delivered without surrender of the transport document would not be considered a negotiable document at all.另有关切表示,在有些法域,一运输单证若载有可以不交单交货的声明,根本就不会被当成运输单证对待。
However, there was support for the view that the difference between an “opt-in” and an “opt-out” approach was probably not of great significance, as the three major parties involved in the commodities trade to which paragraph 2 would be most relevant (i.e. carriers, commodity traders and banks) would dictate whether or not paragraph 2 was actually used.但是,与会者支持这样的观点,即“选择适用”法和“选择不适用”法之间的差别也许没有什么大的意义,因为与第2款最相关的商品贸易所涉的三方主要当事人(即承运人、商品交易者和银行)将决定是否实际采用第2款。
It was observed that that decision would be made for commercial reasons, and would not likely rest on whether the provision was an “opt-in” or an “opt-out” one.认为将基于商业理由做出这样的决定,而不大可能依赖该条文属于“选择适用”还是“选择不适用”条文而做出决定。
It was generally thought that, regardless of the particular approach, the proposed new text of draft article 49 would provide the parties involved in the commodities trade, which was said to be highly subject to abuse in terms of delivery without presentation of the negotiable document or record, with the means to eliminate abuses of the bill of lading and its attendant problems.普遍认为不管采取哪种具体办法,提议的第49条草案新案文将为商品贸易所涉当事人提供避免滥用提单现象及其伴随问题的手段,据说在商品贸易中如果不出示可转让单证或记录即可交货,很有可能被钻空子。
159. In further support of the revised text, it was observed that the current situation was not satisfactory, as the treatment of bills of lading that included a statement that there could be delivery without their surrender varied depending on the jurisdiction.159. 为进一步支持修订的案文,指出当前情况不够令人满意,因为如何处理载有可以不交单交货的声明的提单,各个法域有所不同。
In some jurisdictions, only the statement was held to be invalid but, in others, it was held to be valid and carriers could simply deliver without surrender without following any particular rules at all.一些法域直接认为这种声明是无效的,而另一些法域则认为声明有效,承运人在提单未提交情况下交付货物即可,根本无须遵守任何特殊规则。
Further, there was a danger that such statements could appear in bills of lading, as at least one major carrier had previously introduced, and then withdrawn, such a statement in its documents.此外,还存在着这类声明是否出现在提单上的危险,因为以前至少有一个主要承运人曾在单证中采用这种声明,随后又撤消了。
In the face of such uncertainty, the revised text of draft article 49 was an improvement and could be seen as a type of guarantee that some sort of procedure would be followed, even when goods were allowed to be delivered without surrender of the negotiable document or record.面对这种不确定性,第49条草案的修订案文是一种改进,可视作一种保证,即某种程序将得到遵守,即使允许在可转让单证或记录未提交情况下交付货物。
160. There were some suggestions for adjustments to the proposed new text of draft article 49.160. 有些与会者建议对提议的第49条草案新案文作些调整。
It was suggested that as the provision would be most relevant in the commodities trade, which primarily incorporated into the transport document by reference the terms and conditions in the charterparty, the phrase “indicates either expressly or through incorporation by reference to the charterparty” should be included in the chapeau of paragraph 2 rather than the word “states”.指出由于该条文与商品贸易关系最为紧密,而商品贸易主要以提及方式将租船合同条款和条件纳入运输单证,因此应在前导句中加入“明确表明或通过以提及方式并入租船合同表明”,代替“载明”一词。
There was some support for that suggestion.此建议得到一些与会者支持。
161. However, objections were also voiced to allowing the delivery of goods without surrender of transport documents by mere incorporation by reference to the terms of a charterparty.161. 然而,对于仅仅通过以提及方式并入租船合同条款而允许在运输单证未提交情况下交付货物,也有与会者表示反对。
There was support for the suggestion that if the possibility contemplated in paragraph 2 were to be widened any further, it would be preferable to delete the paragraph altogether.有与会者支持这样的提法,即如果进一步扩大第2款所设想的可能性,还不如将本款整个删除。
An alternative proposal was made that the word “expressly” should be included before the word “states”.有与会者提出另一种建议,即在“载明”一词前添加“明确”二字。
There was support for that approach, particularly among those who had supported deletion of all or part of the original text of draft article 49.与会者对这种办法表示支持,特别是那些支持全部或部分删除第49条草案原案文的与会者。
162. A question was raised whether it might be desirable to adjust the title of draft article 49 to reflect the fact that the negotiable transport document or electronic transport record might, in some cases, not require surrender.162. 有与会者问是否可能有必要调整第49条草案的标题,以反映有些情况下可能不要求提交可转让单证或电子运输记录这一点。
In response, it was said that it would be preferable to keep the title as drafted, as the general rule under draft article 49 would still require surrender of the negotiable document or record, and that paragraph 2 was meant to be an exception to that general rule.针对这一问题,据指出,按当前措词保留该标题更为可取,因为第49条草案规定的一般规则仍将要求提交可转让单证或记录,第2款旨在列出该一般规则的例外情形。
There was support for that view.这一观点获得了支持。
163. In response to a question whether the “contractual arrangement” referred to in paragraph 2 (d) could be a verbal agreement, it was noted that the term referred to a sales contract or a letter of credit, which would typically be in writing, but that since draft article 49 was not included in the draft article 3 list of provisions with a writing requirement, it was possible that it could be a verbal agreement.163. 针对第2款(d)款提及的“合同安排”可否是口头协议的问题,据指出,该词指的是销售合同或信用证,其一般采用书面形式,但由于第49条草案不在第3条草案所载要求采用书面形式的各项条文之列,因此可以是口头协议。
164. A concern was raised with respect to whether the interrelationship between the new paragraph 2 and draft article 50 was sufficiently clear.164. 有一种关切是,新的第2款和第50条草案之间的相互关系是否足够明确。
In order to remedy that concern, the Commission agreed to insert the phrase “without prejudice to article 50, paragraph 1” at the start of paragraph 2.为消除这种关切,委员会商定在第2款起句添加“在不影响第50条第1款的情况下”一语。
165. Subject to the insertion of the words “without prejudice to article 50, paragraph 1” in the beginning of paragraph 2 and of the word “expressly” before the word “states” in that same sentence, the Commission approved the substance of the new draft article 49 and referred it to the drafting group.165. 以尚须在第2款起句添加“在不影响第50条第1款的情况下”等词语和在同一句中的“载明”之前添加“明确”二字为前提,委员会核准了新的第49条草案的实质内容,将其交给起草小组处理。
Consequential changes to draft article 47 (Delivery when no negotiable transport document or negotiable electronic transport record is issued); draft article 48 (Delivery when a non-negotiable transport document that requires surrender is issued); and draft article 50 (Goods remaining undelivered)对第47条草案(未签发可转让运输单证或者可转让电子运输记录时的交付)、第48条草案(签发必须提交的不可转让运输单证时的交付)和 第50条草案(货物仍未交付)的相应修改
166. Having decided to replace draft article 49 with the new text (see paras. 152 and 165 above), the Commission agreed that consequential changes needed to be made to draft articles 47 and 48 in order to align them with the new text.166. 在已决定用新案文取代第49条草案的情况下(见上文第152和165段),委员会一致认为需要对第47和48条草案作相应修改,使之与新的案文相一致。
The following revised texts were proposed for the relevant provisions:对有关条文提出的修订案文如下:
Article 47. Delivery when no negotiable transport document or negotiable electronic transport record is issued第47条. 未签发可转让运输单证或者可转让电子运输记录时的交付
“(c) Without prejudice to article 50, paragraph 1, if the goods are not deliverable because (i) the consignee, after having received a notice of arrival, does not claim delivery of the goods at the time or within the time referred to in article 45 from the carrier after their arrival at the place of destination, (ii) the carrier refuses delivery because the person claiming to be the consignee does not properly identify itself as the consignee, or (iii) the carrier is, after reasonable effort, unable to locate the consignee in order to request delivery instructions, the carrier may so advise the controlling party and request instructions in respect of the delivery of the goods.“(c) 在不影响第50条第1款的情况下,货物未能交付是因为: (i)收货人接到了到货通知而未在货物到达目的地后在第45条述及的时间或者期限内向承运人主张提取货物,(ii)承运人因声称是收货人的人未适当表明其为收货人而拒绝交货,或者(iii)承运人经合理努力无法确定收货人,请求就货物的交付发出指示的,承运人可以通知控制方,请求就货物的交付发出指示。
If, after reasonable effort, the carrier is unable to locate the controlling party, the carrier may so advise the shipper and request instructions in respect of the delivery of the goods.承运人经合理努力无法确定控制方的,承运人可以通知托运人,请求就货物的交付发出指示。
If, after reasonable effort, the carrier is unable to locate the shipper, the carrier may so advise the documentary shipper and request instructions in respect of the delivery of the goods;”承运人经合理努力无法确定托运人的,承运人可以通知单证托运人,请求就货物的交付发出指示;”
Article 48. Delivery when a non-negotiable transport document that requires surrender is issued第48条 签发必须提交的不可转让运输单证时的交付
“(b) Without prejudice to article 50, paragraph 1, if the goods are not deliverable because (i) the consignee, after having received a notice of arrival, does not claim delivery of the goods at the time or within the time referred to in article 45 from the carrier after their arrival at the place of destination, (ii) the carrier is, after reasonable effort, unable to locate the consignee in order to request delivery instructions, or (iii) the carrier refuses delivery because the person claiming to be the consignee does not properly identify itself as the consignee or does not surrender the document, the carrier may so advise the shipper and request instructions in respect of the delivery of the goods.“(b) 在不影响第50条第1款的情况下,货物未能交付是因为(i)收货人接到了到货通知而未在货物到达目的地后在第45条述及的时间或者期限内向承运人主张提取货物,或者(ii)承运人经合理努力无法确定收货人,请求就货物的交付发出指示的,或者(iii)因声称是收货人的人未适当表明其收货人身份或者未提交单证从而承运人拒绝交付的,承运人可以通知托运人,请求就货物的交付发出指示。
If, after reasonable effort, the carrier is unable to locate the shipper, the carrier may so advise the documentary shipper and request instructions in respect of the delivery of the goods;”.承运人经合理努力无法确定托运人的,承运人可以通知单证托运人,请求就货物的交付发出指示;”
167. It was further noted that the words “the holder” should be inserted after the words “the controlling party” in draft article 50, subparagraph 1 (b).167. 另据指出,应在第50条草案1(b)项中的“控制方”之后添加“持有人”一词。
168. The Commission approved the proposed revisions to draft articles 47, 48 and 50 and referred them to the drafting group.168. 委员会核准了对第47、48和50条草案提出的修订,将其交给起草小组处理。
Draft article 50. Goods remaining undelivered第50条. 货物仍未交付
169. The view was expressed that the remedies set out in draft article 50 were only available to a carrier facing undelivered goods after it had attempted to deliver the goods in keeping with the procedure set out in draft article 49.169. 有与会者认为,只有在承运人按照第49条草案规定的程序试图交付货物但仍未交出货物的情况下,第50条草案规定的救济措施才予适用。
However, there was support in the Commission for the alternative view that the use of the disjunctive “or” in listing the various bases on which goods would be deemed to have remained undelivered clearly indicated that an entitlement or an obligation to refuse delivery under draft article 49 constituted only one of several reasons for which goods could be deemed to have remained undelivered.但是,委员会内有与会者支持另一种观点,即使用反意连词“或者”列出视为仍未交付货物的各种依据,明确表明根据第49条拒绝接受交货的权利或义务仅构成可视为货物仍未交付的几种理由之一。
A proposal was made to make that latter intention clear through the addition of a phrase along the lines of “without regard to the provisions of articles 47, 48 or 49” after the phrase “the carrier may exercise the rights under paragraph 2 of this article” in paragraph 3, but such an addition was not found to be necessary.有与会者建议,为使后一个意图更加明确,应在第3款“承运人方可行使本条第2款规定的权利”语句之后添加“而不考虑第47、48或49条的规定”,但据认为这种添加并无必要。
170. It was noted that in some jurisdictions, the applicable law required local authorities to destroy the goods rather than allowing the carrier itself to destroy them.170. 注意到在有些法域,适用的法律要求由地方当局销毁货物,而不允许承运人自己销毁货物。
In order to accommodate those jurisdictions, a proposal was made to insert into subparagraph 2 (b) a requirement along the lines of that for the sale of goods pursuant to subparagraph 2 (c) that the destruction of the goods be carried out in accordance with the law or regulations of the place where the goods were located at the time.为了顾及这些法域,有与会者建议在第2款(b)项插入大意如下的要求,即根据第2款(c)项出售货物的,货物的销毁应当按照货物当时所在地的法律或条例进行。
There was support for that proposal and for the principle that the carrier should abide by the local laws and regulations, provided that those requirements were not so broadly interpreted as to unduly restrict the carrier’s ability to destroy the goods when that was necessary.与会者支持该建议,也支持承运人应当遵守当地法律或条例的原则,前提是这些要求不得作过于宽泛的解释,以致不适当地限制承运人在必要时销毁货物的能力。
171. Some drafting suggestions were made to improve the provision.171. 为改进条文而提出了一些起草建议。
It was observed that depending on the outcome of the discussions relating to draft article 49, a consequential change might be required to add the word “holder” to subparagraph 1 (b).认为根据第49条草案的讨论结果,可能需要作相应的修改,在第1款(b)项添加“持有人”。
It was also suggested that the logic of draft article 50 might be improved by deleting subparagraph 1 (b) as being repetitious of other subparagraphs or that the order of subparagraphs (b) and (c) of paragraph 2 should be changed, since destruction was the more drastic remedy of the two.还建议可以通过删除第1款(b)项而改进第50条草案的逻辑关系,该项重复了其他项的内容,或者应当调整第2款(b)项和(c)项的顺序,因为销毁在两种救济措施中显得更为激烈。
The Commission took note of those suggestions.委员会注意到了这些建议。
172. With the addition of a requirement in draft article 50, subparagraph 2 (b), along the lines of that of draft article 52, subparagraph 2 (c), that the destruction of the goods by the carrier be carried out in accordance with the law or regulations of the place where the goods were located at the time, the Commission approved the substance of draft article 50 and referred it to the drafting group.172. 在第50条草案第2款(b)项添加大意如第52条草案第2款(c)项的规定,即承运人销毁货物应按照货物当时所在地的法律或条例进行,在此条件下,委员会核准了第50条草案的实质内容,将其交给起草小组处理。
(For consequential changes to this draft article, see also paras. 166-168 above.)(关于该条草案的相应调整,见下文第166-168段。
Draft article 51.
Retention of goods第51条草案. 货物留置
173. The Commission approved the substance of draft article 51 and referred it to the drafting group.173. 委员会核准了第51条草案的实质内容,将其交给起草小组处理。
Draft article 1, paragraph 9 (“documentary shipper”)第1条草案第9款(“单证托运人”)
174. The Commission approved the substance of draft article 1, paragraph 9, containing the definition of “documentary shipper” and referred it to the drafting group.174. 委员会核准了载有“单证托运人”定义的第1条草案第9款的实质内容,将其交给起草小组处理。
Chapter 10. Rights of the controlling party第10章. 控制方的权利
Draft article 52. Exercise and extent of right of control第52条. 控制权的行使和范围
175. A question was raised regarding how a controlling party could exercise its right of control with respect to the matters set out in paragraph 1 when such details were not set out in the contract of carriage.175. 有与会者问及,若运输合同没有规定第1款所列事项这样的细节,控制方可如何就这些事项行使控制权。
Several examples were given in response, such as the situation where the controlling party was a seller who discovered that the buyer was bankrupt and the seller wanted to deliver the goods to another buyer, or the simple situation where a seller requested a change of temperature of the container on the ship.就此问题,举了几个例子,例如一种情形是控制方即是卖方,发现买方已经破产,想将货物交给另一买方,或者卖方要求改变船上集装箱温度的类似情形。
It was emphasized that there were safeguards written into the draft Convention to protect against potential abuses.强调公约草案已有保障条款,以防止可能的滥用。
176. The Commission approved the substance of draft article 52 and referred it to the drafting group.176. 委员会核准了第52条草案的实质内容,将其交给起草小组处理。
Draft article 53. Identity of the controlling party and transfer of the right of control第53条草案. 控制方的识别和控制权的转让
177. A correction was proposed to the text of draft article 53, paragraph 1.177. 有与会者建议更正第53条草案第1款的案文。
It was observed that when paragraph 2 of draft article 53 had been inserted in a previous version of the draft Convention, the consequential changes that ought to have been made to paragraph 1 had been overlooked.认为在公约草案前一版文本插入第53条草案第2款时,本来也应当对第1款作相应修改,但这一点被忽略了。
To remedy that situation, it was proposed that the chapeau of paragraph 1 be deleted and replaced with the words: “Except in the cases referred to in paragraphs 2, 3 and 4 of this article.为纠正这种情况,建议第1款前导句应予删除,改为“除本条第2、3和4款所述情形外“。
” Further, it was observed that the reference in subparagraph 3 (c) should be corrected to read “article 1, subparagraph 10 (a)(i)” rather than “article 1, subparagraph 11 (a)(i).还认为第3款(c)项中应将“第1条第10款(a)项(i)目”改为“第1条第11款(a)项(i)目。
” The Commission agreed with those corrections.”委员会同意这些更正。
178. Subject to the agreed corrections to paragraph 1, the Commission approved the substance of draft article 53 and referred it to the drafting group.178. 在对第1款作商定更正的前提下,委员会核准了第53条草案的实质内容,将其交给起草小组处理。
Draft article 54. Carrier’s execution of instructions第54条草案. 承运人执行指示
179. The Commission approved the substance of draft article 54 and referred it to the drafting group.179. 委员会核准了第54条草案的实质内容,将其交给起草小组处理。
Draft article 55. Deemed delivery第55条草案. 视为交货
180. The Commission approved the substance of draft article 55 and referred it to the drafting group.180. 委员会核准了第55条草案的实质内容,将其交给起草小组处理。
Draft article 56. Variations to the contract of carriage第56条草案. 运输合同的变更
181. The Commission approved the substance of draft article 56 and referred it to the drafting group.181. 委员会核准了第56条草案的实质内容,将其交给起草小组处理。
Draft article 57. Providing additional information, instructions or documents to carrier第57条草案. 向承运人提供补充信息、指示或者文件
182. The Commission approved the substance of draft article 57 and referred it to the drafting group.182. 委员会核准了第57条草案的实质内容,将其交给起草小组处理。
Draft article 58. Variation by agreement第58条草案. 协议变更
183. After deciding that it was not necessary to add a reference to draft article 53, paragraph 2, to draft article 58, the Commission approved the substance of draft article 58 and referred it to the drafting group.183.委员会认为,无须在第58条草案中添加提及第53条草案第2款的内容,随后委员会核准了第58条草案的实质内容,将其交给起草小组处理。
Draft article 1, paragraphs 12 (“right of control”) and 13 (“controlling party”)第1条草案第12款(“控制权”)和第13款(“控制方”)
184. The Commission approved the substance of draft article 1, paragraph 12, containing the definition of “right of control” and paragraph 13, containing the definition of “controlling party” and referred them to the drafting group.184. 委员会核准了第1条草案中载有“控制权”定义的第12款和载有“控制方”定义的第13款的实质内容,将其交给起草小组处理。
Chapter 11. Transfer of rights第11章. 权利转让
185. There was some support for the view that, as a whole, the draft chapter was not sufficiently developed to achieve either certainty or harmonization of national law.185. 一些与会者表示支持,认为总体来说,拟订的该章草案不足以实现国内法中的确定性或协调统一。
It was also suggested that the draft chapter contained vague language and that further clarification and modification to the draft chapter was required if it was to be of benefit to future shippers, consignees and carriers.另据指出,该章草案含有模糊的词语,需要对该草案作进一步澄清和修订,这样才能对未来的托运人、收货人和承运人具有用处。
186. It was suggested that draft articles 59 and 60 should be revised in such a way that the transfer of liabilities under the contract of carriage would coincide with the transfer of the rights under the underlying contract.186. 有与会者建议,第59和第60条草案应作修订,使运输合同下的赔偿责任转让与主合同下的权利转让一致起来。
That, however, was said to be a complex area of the law, which was ultimately better suited to being treated in a separate instrument.但是,据称,这是法律的一个复杂领域,总之,以另一部文书加以处理较为合适。
If the draft Convention were to venture into such a delicate area, it would also need to address other complex issues regarding the transfer of liabilities, such as whether a third-party holder of the document was bound and under which circumstances a transferor was relieved of its obligations.如果公约草案要涉入这样一个敏感领域,则还将需要处理关于赔偿责任转让的其他一些复杂问题,例如单证的第三方持单人是否赋有义务,以及在哪些情形下转让人解除其义务。
Those considerations, it was said, called for the deletion of the entire chapter or at least for allowing Contracting States to “opt out” of the draft chapter.据称,这些考虑因素要求删除整个一章,或至少允许缔约国“选择不适用”本章草案。
187. The Commission took note of those views but was generally favourable to retaining the draft chapter.187. 委员会注意到这些意见,但总体上赞同保留该章草案。
Draft article 59. When a negotiable transport document or negotiable electronic transport record is issued第59条草案. 签发可转让运输单证或者可转让电子运输记录的
188. The view was expressed that the draft article was not sufficiently elaborated as it did not deal, for instance, with the transfer of rights under straight bills of lading.188. 有与会者表示认为,拟订的该条草案不够充分,例如,未涉及记名提单下的权利转让。
That omission, it was said, illustrated the general inadequacy of the entire chapter.据称,这一疏漏是整个一章总体上不够充分的一个例子。
189. The Commission took note of that view, but agreed to approve the draft article and to refer it to the drafting group.189. 委员会注意到这一意见,但一致同意核准该条草案,将其交给起草小组处理。
Draft article 60. Liability of holder第60条草案. 持有人的赔偿责任
190. Concerns were expressed that under paragraph 2 of the draft article a holder might face the risk that even a trivial exercise of a right under the contract of carriage might trigger an assumption of liability.190. 有与会者表示关切,担心根据该条草案第2款,持有人可能面临风险,甚至只要行使一丁点运输合同下的权利,就有可能导致承担赔偿责任。
In practice, negotiable transport documents might be consigned to a bank without prior notice or agreement.在实务中,可转让运输单证可能托付给银行,由其代收,而无事先通知或协议。
The effect of article 60, paragraph 2, would therefore be to increase the risks on banks or other holders.因此,第60条草案第2款的后果将是增加银行或其他持有人的风险。
That was said to be a matter of particular concern for banks in some jurisdictions, where serious reservations had been expressed to paragraph 2 of the draft article.据称,在某些法域,这是令银行感到特别关切的一个问题,曾经对该条草案的第2款提出过严重的保留。
191. The Commission took note of those concerns, but was generally in favour of maintaining paragraph 2 as currently worded.191. 委员会注意到这些关切,但总体上赞成保持目前措词的第2款。
192. In connection with paragraph 3, the question was asked whether the position of the holder under draft article 60 was similar to the position of the consignee under draft article 45.192. 关于第3款,有与会者提问,持有人在第60条草案下的地位是否类似于收货人在第45条草案下的地位。
If that was the case, and in view of the Commission’s decision in respect of draft article 45 (see para. 141 above), it was suggested that the two provisions might need to be aligned, for instance by replacing the phrase “does not exercise any right under the contract of carriage” with the phrase “does not demand delivery of the goods”.如果的确如此,并且考虑到委员会关于第45条草案的决定(见上文第141段),提出这两项条款可能需要统一起来,例如,将“未行使运输合同下任何权利的”这些词语改为“未要求提取货物的”。
193. In response, it was noted that the ambit of the two provisions was different, and that paragraph 3 of the draft article was in fact broader than draft article 45.193. 对此,据答复指出,这两项条款的范围不同,该条草案的第3款事实上比第45条草案的范围更广些。
Draft article 45 was concerned with the consignee, which typically exercised rights by demanding delivery of the goods.第45条草案涉及的是收货人,其一般是通过要求提取货物而行使权利。
Draft article 60, however, was concerned with the holder of the transport document, that is, the controlling party under draft article 53, paragraphs 2 to 4.但是,第60条草案涉及的则是运输单证的持有人,也就是第53条草案第2-4款下的控制方。
Limiting the operation of paragraph 3 to cases where the holder had not claimed delivery of the goods would be tantamount to releasing a holder that exercised the right of control from any liability or obligation under the draft Convention.如果将第3款的适用范围局限于未提取货物的持单人,将无异于对已行使控制权的持单人解除其在公约草案下的任何赔偿责任或义务。
Given the extent of rights given to the controlling party by draft article 52, that result would not be acceptable.鉴于第52条草案赋予控制方的权利范围,这种结果将是不能接受的。
The only change that had become necessary in view of the Commission’s decision in respect of draft article 45 was to delete the cross reference in paragraph 3.考虑到委员会就第45条草案作出的决定,唯一需要作出的更改是删除第3款中提及该条之处。
194. Having considered the different views on the draft article, the Commission agreed to approve it and to refer it to the drafting group, with the request to delete the reference to draft article 45 in paragraph 3.194. 在审议了对该条草案的各种不同意见之后,委员会一致同意核准该条草案,将其交给起草小组处理,同时要求删除第3款中提及第45条草案之处。
Chapter 12. Limits of liability第12章. 赔偿责任限额
Draft article 61. Limits of liability第61条草案. 赔偿责任限额
195. The Commission was reminded of the prolonged debate that had taken place in the Working Group concerning the monetary limits for the carrier’s liability under the draft Convention. The Commission was reminded, in particular, that the liability limits set forth in the draft article were the result of extensive negotiations concluded at the twenty-first session of the Working Group with the support of a large number of delegations and were part of a larger compromise package that included various other aspects of the draft Convention in addition to the draft article (see A/CN.9/645, para. 197).195. 有与会者提醒委员会注意,工作组已就公约草案下的承运人赔偿责任的金钱限额进行了长时间的辩论,特别是提醒委员会注意该条草案中规定的赔偿责任限额是工作组第二十一届会议在许多代表团支持下进行广泛谈判的结果,并且是更大的一套折衷方案的一部分,这套方案包括公约草案中除该条草案之外的其他各个方面(见A/CN.645,第197段)。
Not all delegations that had participated in the deliberations of the Working Group were entirely satisfied with those limitation levels and the large number of supporters of the final compromise included both delegations that had pleaded for higher limits and delegations that had argued for limits lower than those finally arrived at.并非参与工作组审议的所有代表团都对这些限额完全满意,在最后折衷方案的许多支持中,既有要求设定更高限额的代表团,也有主张限额应低于最后所达成的限额的代表团。
196. The Commission heard expressions of concern that the proposed levels for the limitation of the carrier’s liability were too high and that there was no commercial need for such high limits, which were said to be unreasonable and unrealistic.196. 委员会听取了与会者所表达的关切,即承运人的拟议赔偿责任限额过高,据称如此高的限额既不合理也不现实,在商业上毫无必要。
There was some support for those concerns, in particular given that a number of delegations felt that the level of limitation of the Hague-Visby Rules was adequate for commercial purposes.这些关切获得了一些支持,特别是一些代表团认为,《海牙-维斯比规则》规定的限额从商业上来说已经足够。
It was said that it would have been possible for some delegations to make an effort to persuade their industry and authorities of the desirability of accepting liability limits as high as those set forth in the Hamburg Rules, as an indication of their willingness to achieve consensus.据指出,有些代表团本来可以努力说服本国业界和权力机构相信,接受像《汉堡规则》规定的那样高的赔偿责任限额是可取的,从而表明他们愿意达成共识。
It was also said, however, that the levels now provided for in the draft article were so high as to be unacceptable and they might become an impediment for ratification of the Convention by some countries, which included large trading economies.但也有人指出,该条草案中目前规定的限额太高,令人难以接受,可能会妨碍有些国家对公约的批准,包括一些大的贸易经济体。
197. The Commission took note of those concerns.197. 委员会注意到这些关切。
There was sympathy for the difficulties that existed in some countries to persuade industry and authorities to accept liability limits higher than they might have anticipated.对有些国家在说服业界和权力机构接受高于其可能预期的赔偿责任限额方面遇到的困难表示了同情。
Nevertheless, there was wide and strong support in the Commission for maintaining those limits so as not to endanger the difficult compromise that had been reached, which a large number of delegations were committed to preserving.但委员会内普遍强烈支持保留该限额,以免破坏已经艰难达成的折衷方案,许多代表团都力图保留该折衷方案。
It was noted that in some countries it had been difficult to gain support for the draft Convention, because domestic stakeholders had felt that the liability limits were lower than their expectations.据指出,在有些国家赢得对公约草案的支持非常困难,因为国内利益方认为这些赔偿责任限额比其预期的要低。
It was hoped that those who now expressed objections to the liability limits in the draft article might likewise be able to join the consensus in the future.希望现在对该条草案中所载赔偿责任限额持反对意见的代表团将来也能加入这一共识。
In the context of the draft article, however, the Commission was urged not to attempt to renegotiate the liability limits, even though they had not met the expectations of all delegations.但就该条款草案而言,与会者促请委员会不要试图就赔偿责任限额重新进行谈判,即便这些限额未能达到所有代表团的期望。
198. The Commission heard a proposal, which received some support, for attempting to broaden the consensus around the draft article by narrowing down the nature of claims to which the liability limits would apply in exchange for flexibility in respect of some matters on which differences of opinion had remained, including the applicability of the draft Convention to carriage other than sea carriage and the liability limits.198. 委员会听取了一项建议,即缩小赔偿责任限额适用的索赔范围,以便对仍然存有不同意见的某些事项灵活处理,包括将公约草案适用于海上运输以外的运输和赔偿责任限额,从而争取对该条草案达成更大共识。 该建议获得了一些支持。
The scope of the draft article, it was proposed, should be limited to “loss resulting from loss or damage to the goods, as well as loss resulting from misdelivery of the goods”.据建议,公约草案的范围应限于“货物灭失或损坏所造成的损失,以及错交货物造成的损失”。
It was said that such an amendment would help improve the balance between shipper and carrier interests, in view of the fact that the liability of the shipper was unlimited.与会者指出,这种修订将有助于实现托运人和承运人的利益平衡,因为托运人的赔偿责任是无限的。
199. The Commission did not agree to the proposed amendment to paragraph 1, which was said to touch upon an essential element of the compromise negotiated at the Working Group.199. 委员会不同意拟对第1款作出的修正,认为这会触及工作组谈判达成的折衷方案的根本内容。
The Commission noted and confirmed the wide and strong support for not altering the elements of that general compromise, as well as the expressions of hope that ways be found to broaden even further its basis of support.委员会注意到并确认了对不改变这一普遍折衷方案之内容的广泛和强烈支持,以及找到办法进一步扩大其支持范围的愿望。
200. The Commission approved the substance of draft article 61 and referred it to the drafting group.200. 委员会核准了第61条草案的实质内容,将其交给起草小组处理。
Draft article 62. Limits of liability for loss caused by delay第62条草案. 迟延造成损失的赔偿责任限额
201. In response to a question, it was pointed out that the liability limit set forth in the draft article applied only to economic or consequential loss resulting from delay and not physical loss of or damage to goods, which was subject to the limit set forth in draft article 61.201. 有与会者在回答一个问题时指出,该条草案中规定的赔偿责任限额只适用于迟延造成的经济或间接损失,而不适用于货物的实际灭失或损坏,后者适用第61条草案规定的限额。
202. The Commission approved the substance of draft article 62 and referred it to the drafting group.202. 委员会核准了第62条草案的实质内容,将其交给起草小组处理。
Draft article 63. Loss of the benefit of limitation of liability第63条草案. 赔偿责任限制权的丧失
203. The Commission approved the substance of draft article 63 and referred it to the drafting group.203. 委员会核准了第63条草案的实质内容,将其交给起草小组处理。
Chapter 13. Time for suit第13章. 时效
Draft article 64. Period of time for suit第64条草案. 时效期间
204. The Commission approved the substance of draft article 64 and referred it to the drafting group.204. 委员会核准了第64条草案的实质内容,将其交给起草小组处理。
Draft article 65. Extension of time for suit第65条草案. 时效的延长
205. A concern was expressed that it would be unfair to the claimant to allow the person against which the claim was made to control whether or not an extension of the time period would be granted.205. 有与会者关切地认为,允许被索赔人控制是否准予延长时效期间,这对索赔人不公平。
The suggestion was made that the following phrase should be deleted: “by a declaration to the claimant. This period may be further extended by another declaration or declarations.建议删除“通过向索赔人声明”和“该时效期间可以经再次声明或者多次声明进一步延长”等词语。
” However, it was observed that such extensions by declaration or agreement were mechanisms that already existed in the Hague-Visby and Hamburg Rules.但据指出,这种通过声明或约定而延长的做法是《海牙−维斯比规则》和《汉堡规则》中已经存在的机制。
206. Concern was also expressed that prohibiting the suspension or interruption of the period of time for suit would operate to the detriment of claimants by weakening their legal position vis-à-vis the person against which the claim was made.206. 还有一种关切是,禁止中止或中断时效期间会对索赔人不利,削弱他们相对于被索赔人的法律地位。
Further, it was suggested that this could elicit a negative response from insurers, since it was thought that any extension of the time for suit would depend on the goodwill of the carrier.此外,据指出,这可能会引起保险人的消极反应,因为据认为,时效的任何延长将取决于承运人的善意。
In order to alleviate that perceived problem, it was suggested that the following phrase be deleted from the draft provision: “The period provided in article 64 shall not be subject to suspension or interruption, but”.为了减轻所认识到的这个问题,与会者建议从该条草案中删除“第64条中规定的时效期间不得中止或者中断,但”一语。
There was some support for that view.该观点获得了一些支持。
207. In response to those concerns, it was observed that the provision, as drafted, intended to maintain a balance between establishing legal certainty with respect to outstanding liabilities and maintaining flexibility in allowing the claimant to seek additional time to pursue legal action or settlement, if necessary.207. 针对这些关切,有与会者指出,该条文的当前措词旨在实现两方面的平衡: 一是确立悬而未决赔偿责任方面的法律确定性,二是保持灵活性,允许索赔人争取更多时间,在必要时提起法律诉讼或加以解决。
It was noted that it was particularly important to harmonize the international rules with respect to interruption and suspension, since those matters would otherwise be governed by the applicable law, which varied widely from jurisdiction to jurisdiction.据指出,统一关于中断和中止的国际规则非常重要,因为否则这些事项将由适用法管辖,而不同法域的适用法差别很大。
It was feared that the result of such an approach would be forum shopping by claimants, a lack of transparency and an overall lack of predictability, all of which could prove costly.与会者担心这种做法将导致索赔人挑选诉讼地、缺乏透明度和总体上缺乏可预见性,所有这些都可能代价高昂。
It was also observed that the two-year period of time for suit was longer than that provided for in the Hague-Visby Rules and that it was expected to provide sufficient time for claimants to pursue their actions or for such claims to be settled without the need for suspension or interruption.据指出,两年的时效期间比《海牙−维斯比规则》规定的要长,预计会为索赔人提供充足的时间提起诉讼,或者在不必中止或中断的情况下解决此类索赔。
A number of delegations observed that the draft provision would require them to revise their national laws, but that it was felt that such a harmonizing measure was useful and appropriate in the circumstances.许多代表团指出该条草案需要他们修订本国法律,但据认为,这种协调统一措施在这种情况下是有益的、适当的。
There was support in the Commission for retention of the provision as drafted.委员会内支持按当前措词保留该条文。
208. After discussion, the Commission approved the substance of draft article 65 and referred it to the drafting group.208. 委员会经讨论后核准了第65条草案的实质内容,将其交给起草小组处理。
Draft article 66. Action for indemnity第66条草案. 追偿诉讼
209. Although a concern was expressed as to whether it should be possible for a person held liable to institute an action for indemnity after the expiration of the period of time for suit, that concern was not supported, and the Commission approved the substance of draft article 66 and referred it to the drafting group.209. 尽管有与会者对负有赔偿责任的人是否应在时效期间届满后提起追偿诉讼感到关切,但这项关切没有得到支持,委员会核准了第66条草案的实质内容,并将其交给起草小组处理。
Draft article 67. Actions against the person identified as the carrier第67条草案. 对载明为承运人的人的诉讼
210. A concern was raised that the bareboat charterer should not be included in draft article 67.210. 有一种关切是,不应将光船承租人列入第67条草案。
By way of explanation, it was noted that the bareboat charterer had been included in the draft provision so as to provide the cargo claimant with the procedural tools necessary to take legal action against the bareboat charterer when that party had been identified as the carrier pursuant to draft article 39.对此,有与会者解释说,将光船承租人列入该条草案,是为了在光船承租人根据第39条草案被查明是承运人的情况下,向货物索赔人提供对光船承租人提起法律诉讼所需的程序工具。
There was support in the Commission for that view.委员会内支持这一观点。
211. The Commission approved the substance of draft article 67 and referred it to the drafting group.211. 委员会核准了第67条草案的实质内容,将其交给起草小组处理。
Chapter 14. Jurisdiction第14章. 管辖权
General comment一般意见
212. The Commission was reminded that the Working Group had agreed that chapter 14 on jurisdiction should be subject to an “opt-in” declaration system, as set out in draft article 76, such that the chapter would apply only to Contracting States that had made a declaration to that effect.212. 有与会者提醒委员会说,工作组已经商定关于管辖权的第14章须服从于第76条草案规定的“选择适用”声明制度,因此该章只适用于没有作出此种声明的缔约国。
It was observed that as the chapter on jurisdiction did not contain a provision equivalent to draft article 77, paragraph 5, which provided that certain arbitration clauses or agreements that were inconsistent with the arbitration chapter would be held void, it was desirable that there be clarity regarding the interpretation of the “opt-in” mechanism.据指出,由于关于管辖权的一章没有载入与第77条草案第5款对等的条文——该条文规定某些仲裁条款或协议与仲裁一章不一致的,一概无效——因此应当对“选择适用”机制作出明确解释。
To that end, it was observed that the operation of the “opt-in” mechanism meant that a Contracting State that did not make such a declaration was free to regulate jurisdiction under the law applicable in that State.为此,据指出,实行“选择适用”机制是指没有作出此种声明的缔约国可以自由按照本国适用法规范管辖权。
There was support in the Commission for that interpretation of draft article 76.委员会内支持对第76条草案作出的这种解释。
In addition, it was observed that chapter 14 as a whole had been the subject of protracted discussions and represented a carefully balanced compromise, for which support was maintained.此外,据指出,整个第14章经过了漫长的讨论,是一种经过仔细平衡的折衷方案,并得到了一贯支持。
Draft article 68. Actions against the carrier; and draft article 1, paragraphs 28 (“domicile”) and 29 (“competent court”)第68条草案 对承运人的诉讼;第1条草案第28款(“住所”)和 第29款(“管辖法院”)
213. The Commission approved the substance of draft article 68 and the definitions in draft article 1, paragraphs 28 and 29, and referred them to the drafting group.213. 委员会核准了第68条草案的实质内容以及第1条草案第28款和第29款中的定义,将其交给起草小组处理。
Draft article 69. Choice of court agreements第69条草案. 法院选择协议
214. A concern was expressed that as the consignee would be the most likely claimant in a case of loss of or damage to the goods, the consignee should not be bound to an exclusive jurisdiction clause pursuant to draft article 69, subparagraph 2 (c), without it having provided its consent or agreement to be so bound.214. 有一种关切是,由于货物灭失或损坏情况下收货人最有可能是索赔人,因此,在收货人未表示同意的情况下,不应根据第69条草案2(c)项受排他性管辖条款的约束。
There was some support in the Commission for that view.委员会内对这一观点给予了一定支持。
215. However, it was again observed that Contracting States were free to refrain from exercising the “opt-in” provision in draft article 76, in which circumstances the State would simply apply its applicable law.215. 但有与会者再次指出,缔约国享有避免适用第76条草案中“选择适用”规定的自由,在这种情况下该国将直接适用其准据法。
One example given was that such a State would be free to regulate questions of jurisdiction arising out of a volume contract, including the circumstances in which a third party might be bound.所举出的一个例子是,该国将自由决定如何规范批量合同所产生的管辖权问题,其中包括第三方可能受约束的情形。
216. The Commission approved the substance of draft article 69 and referred it to the drafting group.216. 委员会核准了第69条草案的实质内容,将其交给起草小组处理。
Draft article 70. Actions against the maritime performing party第70条草案. 对海运履约方的诉讼
217. The Commission approved the substance of draft article 70 and referred it to the drafting group.217. 委员会核准了第70条草案的实质内容,将其交给起草小组处理。
Draft article 71. No additional bases of jurisdiction第71条. 不另增管辖权地
218. The Commission approved the substance of draft article 71 and referred it to the drafting group.218. 委员会核准了第71条草案的实质内容,将其交给起草小组处理。
Draft article 72. Arrest and provisional or protective measures第72条草案. 扣留以及临时措施或者保全措施
219. In reference to draft article 72, subparagraph (a), in particular with respect to fulfilling “the requirements of this chapter”, it was observed that the court granting the provisional or protective measures would make a determination regarding its jurisdiction to determine a case upon its merits in light of the provisions set out in chapter 14.219. 关于第72条草案(a)项,特别是关于符合“本章的要求”一语,有与会者称,准予临时措施或者保全措施的法院将会根据第14章所述条文确定其裁定案件实体的管辖权。
There was support in the Commission for that view.这一观点在委员会得到支持。
220. The Commission approved the substance of draft article 72 and referred it to the drafting group.220. 委员会核准了第72条草案的实质内容,将其交给起草小组处理。
Draft article 73. Consolidation and removal of actions第73条草案. 诉讼合并和移转
221. The Commission approved the substance of draft article 73 and referred it to the drafting group.221. 委员会核准了第73条草案的实质内容,将其交给起草小组处理。
Draft article 74. Agreement after dispute has arisen and jurisdiction when the defendant has entered an appearance第74条草案. 争议产生后达成的协议和被告已经应诉时的管辖权
222. The Commission approved the substance of draft article 74 and referred it to the drafting group.222. 委员会核准了第74条草案的实质内容,将其交给起草小组处理。
Draft article 75. Recognition and enforcement第75条草案. 承认和执行
223. It was observed that following the decision of the Working Group to proceed with a full “opt-in” approach as opposed to a “partial opt-in” approach to the chapter on jurisdiction (see A/CN.9/616, paras. 245-252), certain consequential changes to the draft Convention had been made.223. 有与会者指出,在工作组决定对管辖权一章采用完全“选择适用”而不是“部分选择适用”的做法以后(见A/CN.9/616,第245-252段),已随即对公约草案作了某些修改。
However, it was observed that draft article 75, subparagraph 2 (b), which had been inserted into the text to accommodate the “partial opt-in” approach, had not been deleted when that approach was not approved by the Working Group.但还有与会者指出,把第75条草案2(b)项插入案文是为了顾及“部分选择适用”的做法,但在该做法未获工作组核准后仍未将其删除。
A proposal was made to delete draft article 75, subparagraph 2 (b), in order to correct the text.有与会者建议删除第75条草案2(b)项以使案文得到纠正。
The Commission agreed with that proposal.委员会赞同该建议。
224. With that correction, the Commission approved the substance of draft article 75 and referred it to the drafting group.224. 在作了这一纠正以后,委员会核准了第75段草案的实质内容,将其交给起草小组处理。
Draft article 76. Application of chapter 14第76条草案. 第14章的适用
225. The Commission approved the substance of draft article 76 and referred it to the drafting group.225. 委员会核准了第76条草案的实质内容,将其交给起草小组处理。
Chapter 15. Arbitration第15章. 仲裁
General comment一般意见
226. The Commission was reminded that the Working Group had agreed that, like chapter 14 on jurisdiction, chapter 15 on arbitration should be subject to an “opt-in” declaration system, as set out in draft article 80, such that the chapter would only apply to Contracting States that had made a declaration to that effect.226. 委员会忆及,工作组商定,如同关于管辖权的第14章,关于仲裁的第15章应按第80条草案所述遵守“选择适用”的声明制度,因此该章将只适用于已经作出此类声明的缔约国。
Draft article 77. Arbitration agreements第77条草案. 仲裁协议
227. It was observed that there might be inconsistencies in the terminology used in the draft Convention in terms of describing the party instituting a claim, which was described variously as “the person asserting a claim against the carrier” (draft art. 77, para. 2), the “claimant” (draft arts. 18 and 50, para. 5), and the “plaintiff” (draft arts. 68 and 70).227. 据指出,公约草案中描述提起索赔的当事人时用语不尽一致,有着各种不同的表述,例如“对承运人提起索赔的人”(第77条草案第2款)、“索赔人”(第18条草案和第50条草案第5款)及“原告”(第68和70条草案)。
There was support in the Commission for the suggestion that such terms be reviewed and standardized, to the extent advisable.对这类用语加以审查并适当时予以统一的建议在委员会得到支持。
In particular, it was noted that in chapters 14 and 15 the term “person asserting a claim against the carrier” should be used rather than the term “plaintiff” or “claimant”, in order to exclude cases where a carrier had instituted a claim against a cargo owner.有与会者尤其指出,第14和15章应当使用“对承运人提起索赔的人”的用语,而不得使用“原告”一语,目的是把承运人对货主提起索赔的案件排除在外。
228. Subject to making appropriate changes to the terminology used to refer to the claimant, the Commission approved the substance of draft article 77 and referred it to the drafting group.228. 在对用以指称索赔人的术语作出适当修改的前提下,委员会核准了第77条草案的实质内容,将其交给起草小组处理。
Draft article 78. Arbitration agreement in non-liner transportation第78条草案. 非班轮运输中的仲裁协议
229. It was observed that draft article 78, paragraph 2, was unclear in that it referred to the “arbitration agreement” in the chapeau, in subparagraph 2 (a) and elsewhere throughout chapter 15, but it referred to the “arbitration clause” in subparagraph 2 (b).229. 有与会者指出,第78条草案第2款含义不清,因为该条前导句、2(a)项和第15章其他各处均使用了“仲裁协议”的提法,而2(b)项却使用了“仲裁条款”的提法。
It was also noted that some lack of clarity could result from different interpretations given to the terms “arbitration agreement” and “arbitration clause” in different jurisdictions.还有与会者称,这方面不很明确可能是由于不同的法域对“仲裁协议”和“仲裁条款”有着不同的解释。
In response, it was noted that UNCITRAL instruments attempted to maintain consistent usage of terminology, such that “arbitration agreement” referred to the agreement of the parties to arbitrate, whether prior to a dispute or thereafter, in accordance with a provision in a contract or a separate agreement, whereas the “arbitration clause” referred to a specific contractual provision that contained the arbitration agreement.对此,据答复指出,贸易法委员会各项文书均力求确保用语前后一致,“仲裁协议”是指双方当事人在争议发生的前后根据合同条款或另行约定达成仲裁协议,而“仲裁条款”是指仲裁协议中所列的具体合同条款。
230. By way of further explanation, it was observed that paragraph 1 of draft article 78 was not intended to apply to charterparties and that paragraph 2 of the provision was intended to include bills of lading into which the terms of a charterparty had been incorporated by reference.230. 有与会者进一步解释道,第78条草案第1款无意适用于租船合同,而该条第2款则意在包括已通过提及方式纳入租船合同条款的提单。
Further, the reference in draft article 78, subparagraph 2 (b), was intended to include as a condition that there be a specific arbitration clause and that reference to the general terms and conditions of the charterparty would not suffice.此外,第78条草案2(b)项的提法意在列入一个先决条件,要求必须有具体的仲裁条款,光是提及租船合同一般条款和条件还不够。
231. In order to clarify the provision, it was suggested that paragraph 2 could be redrafted along the following lines:231. 为了澄清这项条文,据建议,可以将第2款大致改拟如下:
“2. Notwithstanding paragraph 1 of this article, an arbitration agreement in a transport document or electronic transport record to which this Convention applies by reason of the application of article 7 is subject to this chapter unless such a transport document or electronic transport record:“2. 虽有本条第1款的规定,运输单证或者电子运输记录由于适用第7条而适用本公约的,其中的仲裁协议仍受本章的管辖,除非此种运输单证或者电子运输记录:
“(a) Identifies the parties to and the date of the charterparty or other contract excluded from the application of this Convention by reason of the application of article 6; and“(a) 载明了由于适用第6条而被排除在本公约适用范围之外的租船合同或其他合同的各方当事人和日期;
“(b) Incorporates by reference and specifically refers to the clause in the charterparty or other contract that contains the terms of the arbitration agreement.”“(b) 以提及方式纳入并具体指明了租船合同或其他合同中载有仲裁协议内容的条款。
232. With clarification along those lines, the Commission approved the substance of draft article 78 and referred it to the drafting group.” 232. 在作了内容大致如上的澄清之后,委员会核准了第78条草案的实质内容,将其交给起草小组处理。
Draft article 79. Agreement to arbitrate after the dispute has arisen第79条草案. 争议产生后的仲裁协定
233. A question was raised regarding how draft article 79 would be applied to a Contracting State that had opted in to the application of chapter 15 on arbitration, but had opted out of the application of chapter 14 on jurisdiction.233. 有与会者询问,对选择适用关于仲裁的第15章而同时选择不适用关于管辖权的第14章的缔约国,又将如何适用第79条草案。
In response, it was observed that the likely interpretation would be that the reference to chapter 14 would simply have no meaning, but that its inclusion in the text would not cause any harm.对此,据答复指出,可能作出的解释将是提及第14章并无任何意义,但将其列入案文也无害处。
However, it was also observed that it would be unlikely that a Contracting State would opt into chapter 15 but opt out of chapter 14, as the two chapters were intended to be complementary so that, while the arbitration provisions did not change the existing arbitration regime, they would nonetheless prevent circumvention of the jurisdiction provisions through resorting to arbitration.不过,另据指出,不可能出现缔约国选择适用第15章而又选择不适用第14章的情况,因为这两章是补充性的,仲裁条文尽管不会改变既有仲裁机制,但仍然可以经诉诸仲裁而防止绕开关于管辖权的条文。
234. The Commission approved the substance of draft article 79 and referred it to the drafting group.234. 委员会核准了第79条草案的实质内容,将其交给起草小组处理。
Draft article 80. Application of chapter 15第80条草案. 第15章的适用
235. The Commission approved the substance of draft article 80 and referred it to the drafting group.235. 委员会核准了第80条草案的实质内容,将其交给起草小组处理。
Chapter 16. Validity of contractual terms第16章. 合同条款的有效性
Draft article 81. General provisions第81条. 一般规定
236. It was observed that the liability of the shipper for breach of its obligations under the draft Convention was not subject to a monetary ceiling, unlike the carrier’s liability, which was limited to the amounts set forth in draft articles 61 and 62.236. 有与会者认为,托运人对违反公约草案下义务的赔偿责任不享受金额上限,与承运人的赔偿责任不同,第61和62条草案规定了承运人的赔偿责任限额。
In order to achieve a greater balance of rights and obligations between carriers and shippers, it was suggested that draft article 81 should at least allow the parties to the contract of carriage to agree on a limit to the liability of the shipper, which was currently not possible.为使承运人和托运人之间的权利和义务更加平衡,建议第81条草案至少应当允许运输合同的当事人商定托运人的赔偿责任限额,而商定托运人的赔偿责任限额在目前还不可能。
For that purpose, the following amendments were proposed to paragraph 2 of the draft article:为此,提议对本条草案第2款作如下修正:
“2. Unless otherwise provided in this Convention, any term in a contract of carriage is void to the extent that it:“2. 除非本公约另有规定,运输合同中的条款,凡有下列情形之一的,一概无效:
“(a) Directly or indirectly excludes, reduces or increases the obligations under this Convention of the shipper, consignee, controlling party, holder or documentary shipper; or“(a) 直接或者间接,排除、减少或者增加托运人、收货人、控制方、持有人或者单证托运人在本公约下所承担的义务;
“(b) Directly or indirectly excludes, reduces or increases the liability of the shipper, consignee, controlling party, holder or documentary shipper for breach of any of its obligations under this Convention.“(b) 直接或间接,排除、减少或者增加托运人、收货人、控制方、持有人或者单证托运人对违反本公约下任何义务所负的赔偿责任。
“The contract of carriage may, however, provide for an amount of limitation of the liability of the shipper, consignee, controlling party, holder or documentary shipper for breach of obligations, provided that the claimant does not prove that the loss resulting from the breach of obligations was attributable to a personal act or omission of the person claiming a right to limit done with the intent to cause such loss or recklessly and with knowledge that such loss would probably result.”“但是,运输合同可以就托运人、收货人、控制方、持有人或者单证托运人对违反义务所负的赔偿责任限额作出规定,前提是索偿人没有证明,违反义务所造成的损失是由于声称有权限制赔偿责任的人本人故意造成此种损失的作为或者不作为所导致的,或者是明知可能产生此种损失而轻率地作为或者不作为所导致的。
237. It was explained that during the preparation of the draft Convention, the Working Group had not been able to agree on a formula or method for limiting the liability of the shipper.” 237. 据解释说,在拟订公约草案期间,工作组未能就限制托运人赔偿责任的公式或方法达成一致。
However, because draft articles 61 and 62 provided for a limitation of the carrier’s liability, the carrier was in fact placed in a more favourable condition than the shipper.但是,由于第61和62条草案规定了承运人的赔偿责任限额,事实上承运人的境况要比托运人有利。
The proposed amendments would provide some remedy for that situation by allowing contractual limitation of the shipper’s liability.提议的修正允许以合同方式限制托运人的赔偿责任,从而在某种程度上纠正了上述情况。
The word “limits” in both subparagraph 2 (a) and subparagraph 2 (b) of draft article 81, it was suggested, should be replaced with the word “reduces” in order to better accommodate the freedom of contract envisaged by the additional subparagraph contained in that proposal.建议将第81条草案2(a)项和2(b)项中“限制”一词应改为“减少”,以便更好地顾及上述提议所载添加项中设想的合同自由。
The additional text also reproduced some language from draft article 63 in order to set forth the conditions under which a contractual limitation of the shipper’s obligations would not be enforceable, which mirrored the conditions under which the carrier would lose the benefit of limitation of liability under the draft Convention.添加的案文还转载了第63条草案的某些措辞,以便规定在什么条件下合同中对托运人义务的限制是不可执行的,这些条件与承运人将失去公约草案所规定赔偿责任限额的好处的条件相对应。
That addition, it was stated, should be sufficient to address possible concerns that exculpatory clauses to the benefit of the shipper might deprive the carrier of any redress in the event that a shipper’s reckless conduct (for instance, failure to provide information as to the dangerous nature of the goods) caused injury to persons or damage to the ship or other cargo.据指出,这种添加足以处理可能提出的关切,即在托运人的轻率行为(例如,没有提供货物危险性信息)造成人员伤害或者船舶或其他货物损失的情况下,托运人开脱责任条款可能使承运人不能得到任何救济。
238. There was support for that proposal, which was said to improve the balance of rights and obligations between carriers and shippers.238. 有与会者支持该提议,认为该提议改进了承运人和托运人之间权利和义务的平衡。
It was said that in contrast with the carrier, whose liability was always based on fault, the shipper was exposed to instances of strict liability, for instance by virtue of draft articles 32 and 33.指出承运人的赔偿责任始终以过失为基础,托运人则不然,托运人可能要承担严格的赔偿责任,例如根据第32和33条草案的规定。
The notion of unlimited strict liability, however, was said to be unusual in many legal systems.但是,有与会者指出无限严格赔偿责任的概念在许多法律制度中并不常见。
Since it had not been possible for the Working Group to establish a limitation for the shipper’s liability, the draft Convention should at least allow the parties to do so by contract.由于工作组不可能确立托运人的赔偿责任限额,公约草案至少应当允许各方当事人通过合同来确立。
That possibility, it was further said, would enable shippers to obtain liability insurance under more predictable terms.进一步指出,这种可能性将使托运人能够以更加可预见的条件获得赔偿责任保险。
239. There were however strong objections to the proposed amendments.239. 但是,也有与会者强烈反对提议的修正。
It was noted that the proper way for shippers and carriers to derogate from the provisions of the draft Convention that governed their mutual rights and obligations was by agreeing on deviations in a volume contract under draft article 82.指出托运人和承运人减损公约草案中管辖其相互义务和义务的条款的适当方式是根据第82条在批量合同中就偏离事宜达成一致。
It was noted, however, that even in the context of draft article 82, there were a number of provisions of the draft Convention from which the parties could not deviate.不过,指出即使在第82条的范围内,公约草案中有许多条款是各方当事人不能偏离的。
Those so-called “super-mandatory” provisions included, for instance, the carrier’s obligations under draft article 15 and the shipper’s obligations under draft articles 30 and 33.这些所谓的“超强制性”条款包括,例如承运人在第15条草案下的义务,托运人在第30和33条下的义务。
If freedom of contract was subject to limits even in the case of individually negotiated volume contracts, there were stronger reasons for freedom of contract to be excluded in routine cases to which the additional protection envisaged in draft article 82 did not apply.如果即使在个别谈判的批量合同中合同自由也须服从限额的话,那么在第82条草案所设想的额外保护不适用的通常情况下就更有理由将合同自由排除在外了。
240. It was also pointed out that, in practice, shippers were protected against excessive claims by the fact that their liability was limited to the amount of damage caused by their failure to fulfil their obligations under the draft Convention.240. 还有与会者指出,在实践中托运人因其赔偿责任以未能履行公约草案下的义务所造成的损害额为限而受到保护,不致遭到过多索赔。
As a matter of legislative policy, however, shippers should not be allowed to disclaim liability in those instances where the draft Convention imposed liability on shippers, since the breach of some of the shipper’s obligations, in particular where dangerous goods were involved, might cause or contribute to damage to third parties or put human life and safety in jeopardy.但是,作为一项立法政策,不应当允许托运人在公约草案规定托运人赔偿责任的情形下拒绝赔偿责任,因为违反托运人的某些义务,特别是涉及危险货物的情况下,可能造成或促成对第三方当事人的损害,或者危及人身性命和安全。
At times when most general cargo in liner transportation was delivered to the carrier in closed containers, the risks involved in improper handling of dangerous goods due to misinformation by shippers could not be overestimated.目前,班轮运输中多数杂货是装在封闭的集装箱内交给承运人的,由于托运人提供错误信息而致不当操作危险货物所涉风险必须充分估计。
The safety of shipping required strict compliance by shippers with their obligations to provide adequate information about the cargo to the carrier.运输安全要求托运人严格遵守其向承运人提供充分的货物信息的义务。
241. There was also criticism of the proposed amendment from the viewpoint of the balance of interests it purported to achieve.241. 也有与会者从提议的修正声称实现的利益平衡的角度对它提出批评。
It was also observed that it would be wrong to assume that the carrier was always in a stronger position vis-à-vis the shipper.还指出假定承运人相对于托运人总是处于强势地位是错误的。
A significant volume of shipping was nowadays arranged by large multinational corporations or intermediaries and they were often in a position to impose their terms on carriers.目前,大量运输是大型跨国公司或中间人安排的,它们经常能够将自己的条件强加于承运人。
Draft article 82 provided the mechanism for commercially acceptable deviations, subject to a number of conditions and compliance with some basic obligations as a matter of public policy.第82条草案提供了商业上可以接受的偏离机制,但须服从一些条件,并作为一项公共政策遵守一些基本义务。
There was some sympathy in respect of the search for mechanisms that might allow for some contractual relief for small shippers.有些与会者赞成找到允许小托运人通过合同得到某种救济的机制。
However, many years of discussion of possible statutory limitation of the shipper’s liability had been unsuccessful, both in the Working Group and during previous attempts, such as the negotiation of the Hamburg Rules.但是,多年来一直在讨论可能从法律上限制托运人的赔偿责任,但是都没有成功,不管是在工作组内还是以前的种种努力,如《汉堡规则》的谈判。
Offering the possibility of contractual limitation, in turn, was said to be insufficient in practice, since small shippers would seldom be in a position to obtain individually negotiated transport documents.还有与会者认为,提供在合同中加以限制的可能性在实践中是不够的,因为小托运人很少能够得到个别谈判的运输单证。
242. Having considered all the views that were expressed, the Commission decided to approve draft article 81 and refer it to the drafting group.242. 在审议上述所有意见之后,委员会决定核准第81条草案,将其交给起草小组处理。
Draft article 82. Special rules for volume contracts第82条草案. 关于批量合同的特别规则
243. Concern was expressed with respect to the provision concerning volume contracts in draft article 82.243. 有与会者对第82条草案中有关批量合同的规定表示关切。
One delegation reiterated its consistent and strong opposition to the inclusion of draft article 82 in its current from.一代表团重申其强烈反对按目前的写法纳入第82条草案的一贯立场。
In particular, it was suggested that the text, as currently drafted, allowed too broad an exemption from the mandatory regime established in the draft Convention.特别是指出,对于公约草案所确立的强制性制度,目前的草案案文所允许的豁免范围太广。
Since it was felt that a large number of contracts for the carriage of goods could fall into the definition of a volume contract, the concern was expressed that derogation from the obligations of the draft Convention would be widespread and could negatively affect smaller shippers.因为据认为,许多货物运输合同都可能属于批量合同的定义,所以担心对公约草案中的义务所作的减损范围将是广泛的,可能对较小的托运人造成不利的影响。
Further, it was thought that such a result would undermine the main goal of the draft Convention, which was to harmonize the law relating to the international carriage of goods.另据认为,这一结果将会破坏公约草案旨在协调有关国际货物运输法律的主要目标。
It was suggested that possible remedies to reduce the breadth of the provision could be to restrict the definition of “volume contract” (see para. 32 above) and to further protect weaker parties to the contract of carriage by requiring that the requirement in draft article 82, subparagraph 2 (b) that the volume contract be individually negotiated or that it prominently specify the sections of the contract containing any derogations should be amended to be conjunctive rather disjunctive.据建议,可采用的缩小规定范围的补救办法可以是限制“批量合同”的定义(见上文第32段),并进一步保护运输合同弱小当事人,办法是要求修订第82条草案2(b)项关于批量合同单独协商订立或者明确指出合同中载有任何背离内容的部分这一规定,将之改为“并联”而不是“或者”的关系。
There was some support in the Commission for that position.委员会中一些与会者对此立场表示支持。
There was also a proposal to allow States to make a reservation with respect to draft article 82.还有与会者提议允许各国对第82条草案提出保留。
244. Concern along the same lines was expressed with respect to the effect that the provision concerning volume contracts in draft article 82 could have on small liner carriers.244. 与会者也就第82条草案关于批量合同的规定可能对小型班轮承运人带来的影响表示了同样的关切。
In that respect, it was suggested that such carriers would not have sufficient bargaining power vis-à-vis large shippers and that such carriers would find themselves in the situation of having to accept very disadvantageous terms in cases where volume contracts allowed derogation from the mandatory provisions of the draft Convention.在这方面,与会者指出,这种承运人面对大型托运人将没有足够的谈判能力,这类承运人的处境将是不得不接受非常不利的条件,而在同样情况下,批量合同则允许背离公约草案的强制性规定。
245. The Commission was reminded that in addition to previous efforts that had been made in the Working Group to adjust the text of draft article 82 in order to ensure the protection of parties with weaker bargaining power, additional protection had been added to the draft text as recently as at the final session of the Working Group.245. 与会者提醒委员会,除工作组先前已作出努力调整第82条草案案文以确定对谈判能力弱小的当事人给予保护外,甚至最近还在工作组最后一届会议上就案文草案增加了保护性规定。
In particular, it was noted that delegations at the final session of the Working Group had succeeded in amending the text of the draft provision through the addition of draft subparagraphs 2 (c) and (d).特别是,据指出,出席工作组最后一届会议的代表团通过增加2(c)和(d)项而成功修订了条文草案的案文。
In doing so, it was noted that the Working Group had achieved a compromise acceptable to many of the delegations that had previously expressed their concerns regarding the protection of parties with weaker bargaining power (see A/CN.9/645, paras. 196-204).据指出,在这样做时,工作组达成了许多代表团都可以接受的折衷方案,这些代表团曾经对保护谈判能力弱小的当事人表示出关切(见A/CN.9/645,第196-204段)。
Support was expressed in the Commission that the compromise that had been reached should be maintained.委员会中有与会者表示支持应当维持所达成的折衷方案。
246. The Commission approved the substance of draft article 82 and referred it to the drafting group.246. 委员会核准了第82条草案的实质内容,将其交给起草小组处理。
Draft article 83. Special rules for live animals and certain other goods第83条. 关于活动物和某些其他货物的特别规则
247. With a view to aligning the text of the draft article with the provisions of draft article 63, paragraph 1, it was agreed that the words “done with the intent to cause such loss or damage to the goods or the loss due to the delay or” should be added before the word “recklessly” in subparagraph (a).247. 为使该条草案案文与第63条草案第1款条文相一致,会议商定在(a)项“明知”一词前添加“故意造成此种货物灭失、损坏或者迟延损失的作为或者不作为所导致的,或者是”。
248. Subject to that amendment, the Commission approved draft article 83 and referred it to the drafting group.248. 在作出上述修正的前提下,委员会核准了第83条草案,将其交给起草小组处理。
Chapter 17. Matters not governed by this Convention Draft article 84.第17章. 本公约不管辖的事项
International conventions governing the carriage of goods by other modes of transport第84条. 管辖其他运输方式货物运输的国际公约
249. It was pointed out that draft article 84 preserved only the application of international conventions that governed unimodal carriage of goods on land, on inland waterways or by air that were already in force at the time that the Convention entered into force.249. 有与会者指出,第84条草案仅允许继续适用在公约草案生效时已经实施中的管辖陆路、内河航道或航空单一方式货物运输的各项国际公约。
That solution was said to be too narrow.有与会者说这种解决办法范围过窄。
Instead, the draft Convention should expressly give way both to future amendments to existing conventions as well as to new conventions on the carriage of goods on land, on inland waterways and by air.公约草案应当明确服从于未来对现行公约的修正以及关于陆路、内河航道和航空货物运输的新公约。
It was noted, in that connection, that an additional protocol to the Convention on the Contract for the Carriage of Goods by Road (the “CMR”) dealing with consignment notes in electronic form had recently been adopted under the auspices of the Economic Commission for Europe and that such amendments were common in the area of international transport.在这方面,有与会者指出,最近在欧洲经济委员会的主持下通过了《公路货物运输合同公约》(“《公路货运公约》”)的补充议定书,其中涉及电子形式的托运单,这类修正在国际运输领域是常见的。
The Convention concerning International Carriage by Rail and Appendix B to that Convention containing the Uniform Rules concerning the Contract for International Carriage of Goods by Rail (the “CIM-COTIF”), for instance, had an amendment procedure as a result of which the 1980 Convention (“COTIF”) had been replaced with the 1999 version.例如,《国际铁路运输公约》以及载有《国际铁路货物运输合同统一规则》的该公约的附录B(“《铁路货运合同统一规则-铁路运输公约》”)就有一个修正程序,因此1980年的公约(“《铁路运输公约》”)已经由1999年的修正版取代。
Furthermore, the draft Convention should also preserve the application of any future convention on multimodal transport contracts.此外,公约草案还应当允许适用将来关于多式联运合同的任何公约。
It was said that the provisions of the draft Convention had been mainly designed with a view to sea carriage and that it was therefore advisable to leave room for further development of the law with respect to other modes of carriage.有与会者说,公约草案的各项条款主要是为海上运输制定的,因此为其他运输方式的有关法律的未来发展留出余地是明智的。
250. It was suggested that the words “in force at the time this Convention enters into force” should be deleted.250. 有与会者提出删除“公约生效时已生效的”。
There was some support for that proposal.一些与会者赞成上述建议。
Although it was said that additional protocols to existing international conventions might be seen as implicitly covered by the reference to the existing conventions they amended, the view was expressed that the draft Convention should not exclude the possibility of new instruments being developed in addition to or in replacement of the unimodal conventions contemplated by the draft article.尽管有与会者说,提及经补充议定书修正的现行国际公约可以说是暗含了这些现行公约的补充议定书,但有意见认为,公约草案不应当排除在该条草案所设想的单一方式运输公约以外制定新文书的可能性或者制定新文书取代这些公约的可能性。
That, it was proposed, should be done either by an expansion of the scope of the draft article or by way of appropriate reservations that Contracting States could be permitted to submit.有与会者建议,这样做的办法有二,一是扩大本条草案的范围,二是通过列明缔约国可获准提出的适当保留。
251. However, there were strong objections to the proposal that the draft Convention should also preserve the application of any future convention on other modes of transport that might have multimodal aspects.251. 但对于公约草案还应当保持适用关于可能具有多式运输特点的其他运输方式的未来公约这一建议,有与会者表示强烈反对。
The draft Convention had been negotiated exactly for the purpose of covering door-to-door carriage, which in most cases meant “maritime plus” carriage.所协商的公约草案的目的就是涵盖门到门运输,这在大多数情形下意味着“海运加其他方式”的运输。
The purpose of the draft Convention would be defeated if it were to give way to any future instrument covering essentially the same type of carriage.如果将来有任何文书涵盖基本上与之相同的运输类型,而公约草案也须服从,则公约草案的目的将会落空。
252. The views were divided as regards the impact of draft article 84 on future amendments to the conventions to which it referred.252. 关于第84条对其中提及的各项公约的未来修正产生的影响问题,与会者意见不一。
On the one hand, there was support for the proposition that the draft article should also encompass future amendments to existing conventions and that the draft article might need to be redrafted if that conclusion was not allowed by the current text.一方面,有与会者主张,该条草案还应当包含对现行公约的未来修正,如果目前的案文不允许,则可能需要改写本条草案。 有与会者对此表示支持。
On the other hand, it was argued that the draft Convention should not give unlimited precedence to future amendments to those conventions.而另一方面,有与会者辩称,公约草案不应当对这些公约的未来修正给予无限制的优先。
There was a risk that an amending protocol might expand the scope of application of an existing convention to such an extent that the convention in question might become applicable to multimodal carriage in circumstances other than those mentioned in draft article 84.修正议定书可能会扩大现行公约的适用范围,使有关公约可能在第84条草案所没有提及情形下适用于多式联运。
The sensitive issue of localized damages was appropriately taken care of by draft article 27, which already envisaged future amendments to unimodal conventions so as to encompass, for instance, adjustments to liability limits that might be introduced in the future.第27条草案适当处理了事发地确定的损坏这一敏感问题,其中已经设想了未来对单一方式运输公约的修正,因而包含了未来可能对赔偿责任限额作出的调整等等。
253. In view of the conflicting opinions that had been expressed on the matter, the Commission agreed to suspend its deliberations on the draft article.253. 鉴于与会者对此问题的意见相互冲突,委员会商定暂缓审议该条草案。
254. Following informal consultations, it was proposed that the following phrase be inserted into the chapeau of the draft provision, after the phrase “enters into force”:254. 经过非正式磋商,提议在该条草案前导句末尾添加以下词语:
“including any future amendment thereto”.“包括今后对此种公约的任何修正”。
Subject to the inclusion of a phrase along those lines, the Commission approved draft article 84 and referred it to the drafting group.以添加这段词语为前提,委员会核准了第84条草案,将其交给起草小组处理。
Draft article 85. Global limitation of liability第85条草案. 赔偿责任总限制
255. In response to a query as to the need for draft article 85, it was noted that the draft article aimed at solving situations where the carrier under the draft Convention was at the same time the ship owner under the 1976 Convention on Limitation of Liability for Maritime Claims (the “LLMC”), which subjected the combined amount of individual claims against the owner to a global liability limit.255. 有与会者问第85条草案是否必要,对此有与会者指出,该条草案的目的是解决下述情形: 即公约草案所规定的承运人同时也是1976年《海事索赔赔偿责任限制公约》(《海事赔偿责任公约》)所规定的船舶所有人,该公约规定对该所有人的分别索赔合计不得超过赔偿责任总限额。
Thus, for example, in cases of a major accident where the entire cargo of a ship was lost, cargo claimants might have the right to submit individual claims up to a certain amount, but their claim might be reduced if the combined value of all claims exceeded the global limitation of liability under the other applicable convention.这样,例如,如果在一次重大事故中,船上的货物全部灭失,则货物索赔人可能有权提出不超过一定额度的分别索赔,但如果全部索赔的合计价值超过了其他适用公约所规定的赔偿责任总限制,则可能要降低分别索赔额。
Global limitation of liability such as provided by the Convention on Limitation of Liability for Maritime Claims (the “LLMC”) or domestic law was an important element with a view to providing predictability in international sea carriage and should not be affected by the draft Convention.《海事索赔赔偿责任限制公约》《海事赔偿责任公约》或国内法等规定的赔偿责任总限制是一个重要因素,其目的是提供国际海上运输中的可预见性,因此不应受公约草案的影响。
256. There was some support for the view that the words “vessel owner” were unclear and possibly too restrictive, since the Convention on Limitation of Liability for Maritime Claims (the “LLMC”), for instance, also provided a global limit for claims against charterers and operators.256. 有与会者认为,“船舶所有人”一词不够明确,而且限制性可能过强,因为《海事索赔赔偿责任限制公约》《海事赔偿责任公约》等还规定了对租船人和运营人的索赔总限额,一些与会者对此表示赞成。
One proposal to clarify the text was to replace the reference to “vessel owner” with a reference to international conventions or national laws regulating global limitation of liability “for maritime claims”.有与会者提出了澄清案文的建议,即不提及“船舶所有人”,而改为提及规范“海事赔偿”责任总限制的国际公约或国内法。
Another proposal was to qualify the words “vessel owner” by the phrase “as defined by the respective instrument”.另一种建议是,以“相应文书所定义的”一语来限定“船舶所有人”。
257. However, there was not sufficient support for either proposal.257. 但上述两条建议均未得到足够的支持。
It was pointed out that the draft article merely preserved the application of other instruments, without venturing into the definition of the categories of persons to which those instruments applied.有与会者指出,该条草案仅允许继续适用其他文书,但没有贸然限定这些文书所适用的当事人的类别。
Replacing the term “vessel owners” with a reference to “maritime claims” in turn, would not be appropriate, since the draft article also preserved the application of rules on global limitation of liability of owners of inland navigation vessels and not only of seagoing vessels.将“船舶所有人”改为提及“海事赔偿”的内容也不恰当,因为该条草案还允许适用内河航运船舶所有人的赔偿责任总限制规则,而不仅仅是远洋船舶所有人的赔偿责任总限制规则。
258. The Commission approved draft article 85 and referred it to the drafting group.258. 委员会核准了第85条草案,将其交给起草小组处理。
Draft article 86. General average第86条草案. 共同海损
259. There was no support for a proposal to insert a definition of the term “general average”, but the Commission agreed that the various language versions should be reviewed to ensure appropriate translation.259. 有与会者建议添加“共同海损”一词的定义,但没有得到支持,不过委员会一致认为,应当对不同语文文本进行审查以确保译文恰当。
260. The Commission approved draft article 86 and referred it to the drafting group.260. 委员会核准了第86条草案,将其交给起草小组处理。
Draft article 87. Passengers and luggage第87条草案. 旅客和行李
261. The Commission approved the substance of draft article 87 and referred it to the drafting group.261. 委员会核准了第87条草案的实质内容,将其交给起草小组处理。
Draft article 88. Damage caused by nuclear incident第88条草案. 核事故造成的损害
262. After requesting the Secretariat to ascertain the current status of the nuclear conventions listed in the provision, the Commission approved the substance of draft article 88 and referred it to the drafting group.262. 在请秘书处查明该条所列各项核公约的现状之后,委员会核准了第88条草案的实质内容,将其交给起草小组处理。
Chapter 18. Final clauses第18章. 最后条款
Draft article 89. Depositary第89条草案. 保存人
263. The Commission approved the substance of draft article 89 and referred it to the drafting group.263. 委员会核准了第89条草案的实质内容,将其交给起草小组处理。
Draft article 90. Signature, ratification, acceptance, approval or accession第90条草案. 签署、批准、接受、核准或者加入
264. In connection with draft article 90, the attention of the Commission was drawn to an invitation from the Minister of Transport of the Netherlands, the Mayor of Rotterdam and the Executive Board of the Port of Rotterdam Authority for States to visit the port of Rotterdam in the Netherlands in September 2009 to participate in an event for the celebration of the adoption of the draft Convention (see annex II).264. 关于第90条草案,有与会者提醒委员会注意荷兰交通部长、鹿特丹市市长和鹿特丹港务管理局执行理事会联合发出的一项邀请,诚请各国于2009年9月前往鹿特丹参加为庆祝公约草案通过而举办的活动(见附件二)。
Further, if approved by the General Assembly, the Rotterdam event could include a ceremony for the signing of the draft Convention, once adopted.此外,若经联合国大会批准,这次鹿特丹活动可能包括一项公约草案签字仪式—如果公约草案获得通过的话。
The event was also envisioned to include a seminar under the auspices of UNCITRAL and the International Maritime Committee (CMI).根据设想,此次活动还包括在贸易法委员会和国际海事委员会主持下举行的一次讨论会。
The Commission was informed that the Government of the Netherlands was prepared to assume all additional costs that might be incurred by convening a signing ceremony outside the premises of the United Nations so the organization of the proposed event and the signing ceremony would not require additional resources under the United Nations budget.委员会获悉,荷兰政府准备承担在联合国办公楼区以外举行签字仪式可能花费的额外费用,因此组织拟举办的活动和签字仪式无需联合国预算提供额外资源。
265. The proposal to host such an event in Rotterdam, the Netherlands, was accepted by acclamation by the Commission.265. 委员会以鼓掌方式接受了在荷兰鹿特丹举办这项活动的提议。
The Commission expressed its gratitude for the generosity of the Government of the Netherlands and the City and Port of Rotterdam in offering to act as host for such an event.委员会对荷兰政府和鹿特丹港市慷慨表示主办这一活动表示感谢。
266. It was observed that, given the strong positive response of the Commission to the invitation to attend a signing ceremony in Rotterdam, the Netherlands, the text of draft article 90 could be adjusted to include Rotterdam as the place at which the draft Convention would be opened for signature for a short time and the instrument could then be opened for further signature for a longer period at United Nations Headquarters in New York.266. 有与会者指出,鉴于委员会对应邀出席在荷兰鹿特丹举行的签字仪式作出了强烈的积极响应,因此可以调整第90条草案的案文,将鹿特丹列为公约草案在短期内开放供签署的地点,然后可将该文书在联合国纽约总部开放更长时间供进一步签署。
There was broad support for that suggestion and the Commission agreed to delete the square brackets around the phrase “at […] from […] to […] and thereafter”, as well as the square brackets after the word “at”, and to insert “Rotterdam, the Netherlands,” after “at”.该建议获得了广泛支持,委员会同意删除“自[…]年[…]月[…]日至[…]日在[…]开放供各国签署,随后”一语外面的方括号,以及“在”字后面的方括号,并在该字后添加“荷兰鹿特丹”几个字。
267. Following the insertion of “Rotterdam, the Netherlands,” into the first blank space in the draft provision and the deletion of the square brackets as indicated above, the Commission approved the substance of draft article 90 and referred it to the drafting group.267. 在该条草案“在”字后面的空白处添加“荷兰鹿特丹”几个字并删除上文指明的方括号后,委员会核准了第90条草案的实质内容,将其交给起草小组处理。
Draft article 91. Denunciation of other conventions第91条草案. 退出其他公约
268. The Commission approved the substance of draft article 91 and referred it to the drafting group.268. 委员会核准了第91条草案的实质内容,将其交给起草小组处理。
Draft article 92. Reservations第92条草案. 保留
Proposal regarding draft article 92关于第92条草案的提议
269. A number of concerns with respect to the text of the draft Convention were reiterated.269. 与会者重申了对公约草案案文的一些关切。
The Commission was reminded that concern had been raised regarding the perceived failure of the draft Convention to address specific problems relating to transport partially performed on land, on inland waterways and by air.有与会者提醒委员会注意,曾经提出的一项关切是认识到公约草案没有处理与部分在陆上、内河航道和空中进行的运输有关的具体问题。
Some examples were given in this regard, such as the failure of draft article 18, paragraph 3, to take into account non-maritime events, such as a fire on a vehicle other than a ship, or the failure of draft article 26 to address the situation of the carriage of goods in an open, unsheeted road cargo vehicle.在这方面举出了一些例子,例如第18条草案第3款没有考虑到非海上突发事件,如船只以外的运载工具上发生的火灾,第26条草案没有述及在敞蓬公路货运车辆中运输货物的情形等。
Further, it was said that the definition of the term “volume contract” did not address the situation where the contract provided for a series of shipments by road but one single shipment by sea.此外,据指出,“批量合同”一词的定义没有涉及合同就进行多次公路运输但只有一次海上运输作出规定的情形。
270. In addition to those perceived shortcomings in dealing with non-maritime transport, it was suggested that there was no justification for applying the draft Convention to cases where the inland leg of transport was longer than the maritime leg, in particular when the liability limit of the carrier in the case of non-localized damage would be lower than the Convention on the Contract for the Carriage of Goods by Road (the “CMR”), the Convention concerning International Carriage by Rail (the “COTIF”) or the Montreal Convention.270. 除了所认识到的这些在处理非海上运输方面存在的缺陷外,与会者还指出,没有理由将公约草案适用于内陆运输段长于海上运输段的情形,特别是损坏发生地不确定的情况下承运人的赔偿责任限额低于《公路货物运输合同公约》(“《公路货运公约》”)、《国际铁路运输公约》(“《铁路运输公约》”)或《蒙特利尔公约》所规定限额的情形。
It was further suggested that draft article 27 placed an unfair burden of proof on the shipper to determine when loss or damage could be said to be localized.另据指出,第27条草案规定由托运人承担判定何时可以认为灭失或损坏发生地已经确定的举证责任,这不公平。
Concern was also raised that, where other conventions provided a time shorter than two years for suit, it would prejudice the shipper who was relying on the two-year rule in the draft Convention if the carrier could prove that the damage occurred on a land leg to which another convention with a shorter time for suit applied.还有一项关切是,在其他公约规定的时效不到两年的情况下,如果承运人可以证明发生损坏的陆上运输段适用规定时效较短的另一公约,则这对依赖公约草案所规定的两年时效规则的托运人不利。
Further concerns were expressed regarding the failure of the draft Convention to provide for a direct action against the carrier performing the carriage by road or rail and for not allowing parties to opt out of the network system and adopt a single liability regime pursuant to draft article 81.所提出的关切还有,公约草案没有规定可对进行公路或铁路运输的承运人提起直接诉讼,也不允许当事人选择不适用分段赔偿责任制度,而是根据第81条草案采用一种统一的赔偿责任制度。
In addition, it was suggested that the draft Convention would lead to a fragmentation of laws on multimodal transport contracts because of its “maritime plus” nature.此外,据指出,公约草案由于其海运加其他运输段的性质,将会导致对多式联运合同适用的法律零散不整。
271. In order to address those perceived shortcomings in the draft Convention, it was suggested that the following text should be inserted in place of draft article 92:271. 为了解决所认识到的公约草案中存在的这些缺陷,与会者建议用以下案文取代第92条草案:
“Article 92. Reservations“第92条. 保留
“1. Any State may, at the time of signature, ratification, acceptance or accession, or at any time thereafter, reserve the right to exclude the application of this Convention to contracts that provide for carriage by sea and by other modes of transport in addition to sea carriage.“1. 任何国家可以在签署、批准、接受或者加入时,或在此后的任何时间,保留对规定海上运输和海上运输加其他运输方式的合同不适用本公约的权利。
“2. No other reservation is permitted to this Convention.”“2. 不准许对本公约作出其他保留。
272. There was some support for that proposal, in particular for the purpose of introducing additional flexibility into the draft Convention so as to allow a greater number of States to ratify it.” 272. 该建议获得了一些支持,特别是为了增加公约草案的灵活性,使更多国家能够批准。
Acceptance of the proposal, it was suggested, would lead to more widespread ratification of the international legal regime in respect of maritime transport.据指出,如果接受该建议,则关于海上运输的国际法律制度将得到更广泛的批准。
This would be preferable to achieving greater uniformity of the law, but at the price of ratification by fewer States.这比以减少批准国数目为代价来实现更大程度的法律统一的做法更为可取。
Although some delegations were not in favour of the text as drafted, they nonetheless favoured the pursuit of a possible additional compromise that would attract a greater number of States to ratify the Convention.有些代表团尽管不赞成案文的当前措词,但赞成找到另一种可能的折衷办法,吸引更多国家批准公约。
273. However, strong objections to the proposal were raised.273. 但有与会者对这一建议提出强烈反对。
It was said that the door-to-door nature of the draft Convention to provide for the commercial needs of modern container transport was an essential characteristic of the regime and that to allow States to make a reservation to such an integral part of the draft Convention would be tantamount to dismantling the instrument and nullifying years of negotiation, compromise and work that had gone into its preparation.据称,公约草案的门到门性质是为了满足现代集装箱运输的商业需要,这是这一制度的一个基本特点,如果允许各国对公约草案的这种必不可少的部分作出保留,这无异于废除这一文书,使多年来为制定公约草案而进行的谈判、折衷和工作前功尽弃。
The proposed reservation was said to be an attempt to reopen the decision that had been made regarding the door-to-door nature of the draft Convention and to attempt to re-insert the concept of mandatory national law to narrow the scope of the draft Convention, an approach that had been considered and discarded by the Working Group in pursuit of broader consensus.据称,所建议的保留是试图重新讨论已经就公约草案的门到门性质所作的决定,并试图重新纳入强制性国内法的概念,从而缩小公约草案的范围,而工作组已经审议并根据较为广泛的一致意见放弃了这种办法。
Such a resort to national law was said to be a dangerous move that would be contrary to the need for harmonization of the international rules governing the transport of goods, thus resulting in fragmentation of the overall regime and creating disharmony and a lack of transparency regarding the applicable rules.据指出,管辖货物运输的国际规则需要统一,而这样诉诸国内法的举动有违这一需要,因而是危险的,会导致整个制度零散分裂,在适用规则问题上造成不协调和不透明。
Further, it was pointed out that parties to the contract of carriage always had the right to negotiate a port-to-port agreement rather than a door-to-door contract and that, in many respects, the draft Convention had left certain matters open to applicable law, thus leaving ample scope for national rules in some areas.此外,还据指出,运输合同当事人始终有权通过谈判达成港到港协议而非门到门合同,而且在许多方面,公约草案已经将某些事项留给适用法处理,因而在某些方面为国内规则留出了充分的空间。
274. In addition, it was noted that the perceived problems in the draft Convention said to have led to the proposal had been thoroughly considered by the Working Group and by the Commission and that the prevailing view did not regard the solutions adopted in those areas as unsatisfactory.274. 此外,还有与会者指出,据称提出该建议的原因是认识到公约草案中的一些问题,而这些问题已经得到工作组和委员会的细致审议,而且普遍意见并不认为在这些方面采取的解决办法不令人满意。
It was strongly felt that adopting the proposed reservation would be to act in a manner contrary to the delicate compromise that was reached by the Working Group in January 2008 (see A/CN.9/645, paras. 196-204).有与会者坚持认为,采用所建议的保留将违背工作组在2008年1月达成的微妙平衡的折衷方案(见A/CN.9/645,第196-204段)。
In that vein, a number of delegations cited their own difficulties with certain aspects of the Convention as currently drafted, including contentious provisions such as draft article 18, paragraph 3, or even requests to remove entire chapters, but noted their determination to maintain the elements of the compromise agreement, encouraging those who were more reluctant to relinquish their criticism of the draft Convention and join the broader consensus.在这方面,一些代表团也列举了目前措词下的公约在某些方面令其难以接受之处,包括第18条草案第3款等有争议的条文,有的甚至提到删去整章内容的请求,但这些代表团表示决心维持折衷协议的各项要素,并鼓励不愿放弃对公约草案的批评的代表团加入较为广泛的共识。
A strong desire was evinced to retain the various compromises resulting in the current text of the draft Convention, lest the adjustment of one or two points of agreement lead to unravelling the entire compromise and reopening the discussion on a host of related issues.有与会者强烈表示希望保留形成公约草案目前案文的各种折衷,以免对协议的一两点进行的调整会瓦解整个折衷,结果又要对许多有关问题重新展开讨论。
As such, there was strong support in the Commission for retaining the text of draft article 92 as currently drafted.因此,大多数与会者支持委员会保留第92条草案案文目前的措词。
Proposal for draft article 92 bis关于第92条之二草案的建议
275. Since a number of delegations had opposed as being too radical the proposal to seek broader approval of the draft Convention by providing for a reservation to restrict the application of the draft Convention to maritime transport, but had left open the possibility of coming to another compromise, a further proposal was made.275. 对于为使公约草案到更广泛的核准而规定可提出保留以将公约草案的适用范围仅限于海上运输这一建议,一些代表团认为这种办法过于极端,因而表示反对,但仍有可能作出另一种折衷,因此有与会者提出了另一条建议。
In an effort to enable States that had expressed concerns regarding the application of national law and the level of the carrier’s limitation on liability to ratify the text, the following new provision was proposed:一些国家对国内法的适用和承运人赔偿责任限额问题提出了关切,为使这些国家能够批准公约案文,提出了以下新条款:
“Article 92 bis. Special declarations“第92条之二. 特别声明
“A State may according to article 93 declare that:“一国可依据第93条声明:
“(a) It will apply the Convention only to maritime carriage; or“(a) 本公约仅适用于海上运输;或者
“(b) It will, for a period of time not exceeding ten years after entry into force of this Convention, substitute the amounts of limitation of liability set out in article 61, paragraph 1, by the amounts set out in article 6, paragraph 1 (a) of the United Nations Convention on Carriage of Goods by Sea, concluded at Hamburg on 31 March 1978.“(b) 在本公约生效后不超过十年期间,以1978年3月31日在汉堡订立的《联合国海上货物运输公约》第6条1(a)项规定的赔偿责任限额代替第61条第1款所规定的限额。
Such a declaration must include both amounts.”这类声明必须列明上述两种限额。
276. In support of the proposal, it was noted that subparagraph (a) of the proposed article 92 bis was intended to be more limited than the other new reservation proposal (see para. 271 above) and thus it presented a less controversial method of narrowing the scope of application of the Convention to maritime carriage.” 276. 有与会者赞成这一建议,指出拟议的第92条之二(a)项的用意是缩小所提出的保留建议(见上文第271段)的范围,以这种方式将公约的适用范围缩小到海上运输,争议性较小。
Further, it was suggested that subparagraph (b) of the proposed article 92 bis could accommodate those who had expressed concerns about the level of the limitation on a carrier’s liability currently in draft article 61, in that it offered those States the opportunity to adopt the level of limitation for the carrier’s liability in the Hamburg Rules and to phase in their adherence to the higher limits over a 10-year period.此外,有与会者表示,拟议第92条之二(b)项可顾及对第61条草案目前的承运人赔偿责任限额表示关切的国家,因为其中使这些国家有机会采用《汉堡规则》中的承运人赔偿责任限额,并且又在10期年内“逐渐过渡”到遵守较高的限额。
That approach, it was suggested, could encourage broader approval of the draft Convention.有与会者表示,这一办法可促使公约草案得到更为广泛的核准。
277. Although there was some support for the proposal, in particular for subparagraph (b) of the proposal, which was described as an innovative idea to gain broader acceptance of the text, the prevailing view in the Commission was that the compromise that had been reached among a large number of States in January 2008 (see A/CN.9/645, paras. 196-204) should be maintained, which precluded adoption of the proposal.277. 虽然有一些与会者支持该建议,特别是该建议的(b)项,认为这是为得到更广泛的接受的创新办法,但委员会普遍认为,应当维持许多国家在2008年1月达成的折衷(见A/CN.9/645,第196-204段),因而不可能采纳上述建议。
Further, concerns were reiterated regarding the need to retain the door-to-door nature of the draft Convention and the likelihood that approval of the proposal could have the undesirable effect of causing the entire compromise to unravel and lead to renewed discussion on a number of issues of concern to various delegations.此外,还有与会者再次对保留公约草案门到门性质的必要性提出关切,并认为核准该建议可能会产生所不希望的后果,造成整个折衷全盘瓦解,从而不得不重新开始讨论各个代表团所关切的若干问题。
278. The Commission decided against the inclusion of a new draft article 92 bis in the text of the Convention.278. 委员会决定不在公约案文中添加新的第92条之二草案。
Draft article 93. Procedure and effect of declarations第93条草案. 声明的程序和效力
279. There was support for the view that the second sentence of paragraph 1 of draft article 93, which required the declarations referred to therein, including the declaration contemplated in draft article 94, paragraph 1, to be made at the time of signature, ratification, acceptance, approval or accession, seemed to contradict paragraph 1 of draft article 94, which allowed a Contracting State to amend a declaration made pursuant to that article by submitting another declaration at any time.279. 第93条草案第1款的第二句要求其中所提及的声明,包括第94条草案第1款所设想的声明,应当在签署、批准、接受、核准或者加入时作出,而第94条草案第1款则允许缔约国在任何时间通过提出另一声明修改其依照该条所作的声明,据认为,因此第93条草案第1款的第二句似乎与第94条草案的第1款相矛盾,有与会者对这一看法表示支持。
It was noted that the apparent contradiction was not limited to draft article 94, paragraph 1, but also appeared to exist in respect of draft article 95, paragraph 2.据指出,显而易见的矛盾之处并不局限于第94条草案第1款,还似乎存在于第95条草案第2款。
It was pointed out that in order for the declarations envisaged in draft articles 94 and 95 to operate properly they must be capable of being amended from time to time to allow information about extensions to more territorial units or about changes in competence to be communicated to other Contracting States.据指出,为了使第94和95条草案设想的声明正常发挥效力,这些声明必须能够不定时加以修订,以便有关适用范围扩大至更多领土单位的信息或有关管辖权变更的信息能够传递给其他缔约国。
280. For the purpose of eliminating the perceived contradiction, the Commission agreed to insert the word “initial” before the word “declarations” in the second sentence of paragraph 1 of draft article 93.280. 为了消除所意识到的这种矛盾,委员会商定在第93条草案第1款第二句中的“声明”一词之前插入“初始”二字。
Subject to that amendment, the Commission approved the draft article and referred it to the drafting group.在作出这一修订的前提下,委员会核准了该条草案,将其交给起草小组处理。
Draft article 94. Effect in domestic territorial units第94条草案. 对本国领土单位的效力
281. It was pointed out that draft article 94 contained an important provision to facilitate the ratification of the draft Convention by multi-unit States where legislative competence on private law matters was shared.281. 据指出,在多领土单位国家,私法事项的立法权是分享的,因此第94条草案载有一项重要的规定,方便此等国家批准公约草案。
It was noted, in that connection, that paragraph 3 of the draft article dealt with the effect that the extension of the Convention to some but not all the territorial units of a Contracting State might have on the geographic scope of application of the Convention.为此,据指出,该条草案第3款涉及公约延及缔约国一些领土单位但并非全部领土单位时可能对公约的地理适用范围产生的影响。
282. Paragraph 3, it was further noted, was based on a similar provision in article 93, paragraph 3, of the United Nations Sales Convention.282. 据进一步指出,第3款是以《联合国销售公约》第93条第3款中一项类似的规定为基础的。
However, it was said that paragraph 3 required some additional refinement since the definition of the geographic scope of application of the draft Convention under draft article 5 was more elaborate than that of the United Nations Sales Convention and was not linked to the notion of place of business.但据称,需对第3款再作一些细微调整,因为第5条草案规定的公约草案地理适用范围的定义比《联合国销售公约》中的定义更详细,而且不与“营业地”概念相关联。
In order to address that problem, it was suggested that paragraph 3 of the draft article should be replaced with text along the following lines:为解决这一问题,建议以大致如下的案文取代该条草案的第3款:
“If, by virtue of a declaration pursuant to this article, this Convention extends to one or more but not all of the territorial units of a Contracting State, the relevant connecting factor for the purposes of articles 1, paragraph 28, 5, paragraph 1, 20, subparagraph 1 (a), and 69, subparagraph 1 (b), is considered not to be in a Contracting State, unless it is in a territorial unit to which the Convention extends.”“由于根据本条规定提出声明,本公约适用于缔约国的一个或数个领土单位而不是全部领土单位的,为第1条第28款、第5条第1款、第20第1款(a)项和第69条第1款(b)项之目的,除非相关的关联因素位于适用本公约的一领土单位之内,否则该关联因素视为不在缔约国之内。
283. The Commission generally recognized the need for addressing the problem that had been identified, but was of the view that it might be preferable to avoid references to connecting factors in specific provisions of the draft Convention, since, at least as far as draft article 5 was concerned, not all of the connecting factors needed to be located in one and the same Contracting State in order to trigger the application of the draft Convention.” 283. 委员会普遍承认需要解决所发现的问题,但认为,也许最好避免在公约草案的具体条文中提及关联因素,因为至少就第5条草案而言,并不需要所有关联因素都在同一缔约国内才能导致适用公约草案。
284. The Commission approved the substance of draft article 94 and referred it to the drafting group, with a request to propose an alternative text to draft paragraph 3 to reflect its deliberations.284. 委员会核准了第94条草案的实质内容,将其交给起草小组处理,但要求其根据审议情况提出对第3款草案的一项备选案文。
Draft article 95. Participation by regional economic integration organizations第95条草案. 区域经济一体化组织的参与
285. The view was expressed that paragraph 3 of draft article 95, which stated that reference to a “Contracting State” or “Contracting States” in the Convention applied equally to a regional economic integration organization when the context so required, seemed to contradict the last sentence of paragraph 1, which provided that when the number of Contracting States was relevant in the draft Convention, the regional economic integration organization did not count as a Contracting State in addition to its member States that were Contracting States.285. 第95条草案第3款指出,公约中对“一缔约国”或者“缔约国”的任何提及,必要时同等适用于区域经济一体化组织,有与会者表示认为,这款规定似乎与第1款的最后一句相矛盾,该句行文是,当涉及本公约下缔约国数目时,区域经济一体化组织内的成员国为本公约缔约国的,该区域经济一体化组织不能另外算作一个缔约国。
286. In response, it was observed that the interpretative provision in paragraph 3 was useful since international organizations were not generally regarded as equals to States under public international law and would not therefore be necessarily regarded as being covered by references to “Contracting States” in the Convention.286. 对此,据答复指出,第3款中的解释性条文十分有用,因为在国际公法下,国际组织一般不被视作等同于国家,因而不一定被认为已被公约中提及的“缔约国”这几个字所涵盖。
To the extent, however, that they joined the Convention in their own right, it would be appropriate to extend to them, as appropriate, some of the provisions that applied to Contracting States, such as, for example, draft article 93 on the procedure and effect of declarations.但是,只要这些组织本身加入了公约,则似宜酌情对其适用对缔约国所适用的其中一些规定,例如,关于声明的程序和效力的第93条草案。
The last sentence of paragraph 1, in turn, made it clear that a regional economic integration organization would not count as a “State” where the number of Contracting States was relevant, for instance in connection with the minimum number of ratifications for the entry into force of the Convention under article 96, paragraph 1.第1款的最后一句接着表明,当涉及缔约国数目时,区域经济一体化组织不算作“国家”,例如在第96条第1款下,就公约生效所需批准书的最低限度份数而言。
It was further noted that provisions along the lines of the draft article had become customary in many international conventions.据进一步指出,类似于该条草案的规定已成为许多国际公约的惯例。
287. The Commission approved draft article 95 and referred it to the drafting group.287. 委员会核准了第95条草案,将其交给起草小组处理。
Draft article 96. Entry into force第96条草案. 生效
288. The Commission approved draft article 96 and referred it to the drafting group.288. 委员会核准了第96条草案,将其交给起草小组处理。
Draft article 97. Revision and amendment第97条草案. 修订和修正
289. The Commission approved draft article 97 and referred it to the drafting group.289. 委员会核准了第97条草案,将其交给起草小组处理。
Draft article 98. Denunciation of this Convention第98条草案. 退出本公约
290. The Commission approved draft article 98 and referred it to the drafting group.290. 委员会核准了第98条草案,将其交给起草小组处理。
Signature clause签署条款
291. The text of the draft signature clause was as follows:291. 签署条款草案案文如下:
“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,阿拉伯文、中文、英文、法文、俄文和西班牙文文本同为作准文本。
“IN WITNESS WHEREOF the undersigned plenipotentiaries, being duly authorized by their respective Governments, have signed this Convention.”“兹由经各国政府正式授权的下列署名全权代表签署本公约,以昭信守。 ”
292. The Commission approved the substance of the signature clause.292. 委员会核准了签署条款的实质内容。
Title of the convention公约的标题
293. The Commission approved the title “Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea” for the draft Convention.293. 委员会核准了公约草案的标题“全程或者部分海上国际货物运输合同公约”。
Preamble序言
294. The Commission considered a proposal to insert the following text as a draft preamble:294. 委员会审议了关于插入下述案文作为序言草案的提议:
“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,“重申相信在平等互利基础上发展国际贸易是促进各国之间友好关系的一个重要因素,
“Convinced that the progressive harmonization and unification of international trade law, in reducing or removing legal obstacles to the flow of international trade, significantly contributes to universal economic cooperation among all States on a basis of equality, equity and common interest and to the well-being of all peoples,“深信通过逐渐协调统一国际贸易法,减少、消除国际贸易流通法律障碍,将大大促进所有国家在平等、公平和共同利益基础上的普遍经济合作,造福于各国人民,
“Recognizing the significant contribution of the International Convention for the Unification of Certain Rules of Law relating to Bills of Lading, signed in Brussels on 25 August 1924, and its amending Protocols, and of the United Nations Convention on the Carriage of Goods by Sea, signed in Hamburg on 31 March 1978, to the harmonization of the law governing the carriage of goods by sea,“承认1924年8月25日在布鲁塞尔签署的《统一提单的若干法律规则的国际公约》及其各项修正议定书以及1978年3月31日在汉堡签署的《联合国海上货物运输公约》对协调海上货物运输法律的显著贡献,
“Mindful of the technological and commercial developments that have taken place since the adoption of those conventions and of the need to modernize and consolidate them,“考虑到自两项公约通过以来的技术和商业发展以及对两项公约进行更新和整合的必要性,
“Noting that shippers and carriers do not have the benefit of a binding universal regime to support the operation of contracts of carriage involving various modes of transport,“注意到托运人和承运人无法利用一个普遍、有约束力的制度,为涉及各种运输方式的运输合同的运作提供支助,
“Believing that the adoption of uniform rules to govern international contracts of carriage wholly or partly by sea will promote legal certainty, improve the efficiency of international carriage of goods and facilitate new access opportunities for previously remote parties and markets, thus playing a fundamental role in promoting trade and economic development, both domestically and internationally,“相信采用统一规则,对全程或者部分海上国际运输合同进行规范,将促进法律确定性,提高国际货物运输效率,便利过去相距遥远的当事人和市场获得新的准入机会,从而对促进国内、国际贸易和经济发展发挥极其重要的作用,
“Have agreed as follows:”“兹商定如下:
295. The Commission agreed to delete the word “amending” before the word “Protocols” in the third paragraph of the draft preamble.295. 委员会商定删除序言草案第三段中“议定书”之前的“修正”一词。
The Commission also agreed to reverse the order of the words “modernize and consolidate” in the fourth paragraph.委员会还同意将第四段中“更新和整合”两词的顺序相互颠倒。
The Commission further agreed to insert the word “maritime” before the word “carriage” in the fifth paragraph and to replace the word “various” with the word “other” in the same paragraph.委员会进一步商定在第五段中的“运输”一词之前插入“海上”一词,并将同一段中的“各种”改为“其他”。
296. Subject to those amendments, the Commission approved the substance of the draft preamble and referred it to the drafting group.296. 在作出上述修正的前提下,委员会核准了序言草案的实质内容,将其交给起草小组处理。
Report of the drafting group起草小组报告
297. 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.297. 委员会请秘书处设立的起草小组对决议草案进行审查,以确保各种语文文本的一致性。
At the close of its deliberations on the draft Convention, the Commission considered the report of the drafting group and approved the draft Convention.委员会在结束对决议草案的审议之后审议了起草小组报告,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.委员会请秘书处在大会通过公约草案的案文之前,从纯语言和编辑的角度对其进行审查。
Decision of the Commission and recommendation to the General Assembly委员会的决议和对大会的建议
298. At its 887th meeting, on 3 July 2008, the Commission adopted by consensus the following decision and recommendation to the General Assembly:298. 委员会在2008年7月3日第887次会议上以协商一致方式通过了下述决定和对大会的建议:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Recalling that at its thirty-fourth and thirty-fifth sessions, in 2001 and 2002, it entrusted its Working Group III (Transport Law) with the preparation of an international legislative instrument governing door-to-door transport operations that involve a sea leg,“回顾委员会在其2001年和2002年第三十四届和第三十五届会议上曾委托第三工作组(运输法)编拟一份关于涉及海运段的门到门运输业务的国际法律文书,
“Noting that the Working Group devoted thirteen sessions, held from 2002 to 2008, to the preparation of a draft convention on the carriage of goods wholly or partly by sea,“注意到工作组从2002年到2008年召开了十三届会议专门拟订全程或者部分海上货物运输公约草案,
“Having considered the articles of the draft Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea at its forty-first session, in 2008,“在其2008年第四十一届会议上审议了全程或者部分海上国际货物运输合同公约草案的条款,
“Noting 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 forty-first session of the Commission, either as a member or as an observer, with a full opportunity to speak,“注意到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四十一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的充分机会,
“Also noting that the text of the draft Convention was circulated for comment before the forty-first session of the Commission to all Governments and intergovernmental 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 forty-first session (A/CN.9/658 and Add.1-14),“还注意到公约草案的案文已在委员会第四十一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征求意见,而且这些意见已提交委员会第四十一届会议(A/CN.9/658和Add.1-14),
“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,
“Conscious of the large and growing number of situations where transport, in particular transport of containerized goods, is operated under door-to-door contracts,“注意到在门到门合同下实施运输特别是集装箱化货物运输的情形很多并且在不断增多,
“Convinced that the modernization and harmonization of rules governing door-to-door transport operations that involve a sea leg would reduce legal obstacles to the flow of international trade, promote trade among all States on a basis of equality, equity and common interest, and thereby significantly contribute to the development of harmonious international economic relations and the well-being of all peoples,“深信涉及海上航程的门到门运输业务规则的现代化和协调,将减少国际贸易流通的法律障碍,促进所有国家在平等、公平和共同利益的基础上开展贸易,从而大大有助于和谐国际经济关系的建立,造福各国人民,
“Expressing its appreciation to the Comité Maritime International for the advice it provided during the preparation of the draft Convention,“表示赞赏国际海事委员会在公约草案编拟期间提出的建议,
“1. Submits to the General Assembly the draft Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea, as set forth in annex I to the present report;“1. 向大会提交本报告附件一所载全程或者部分海上国际货物运输合同公约草案;
“2. Recommends that the General Assembly, taking into account the extensive consideration given to the draft Convention by the Commission and its Working Group III (Transport Law), consider the draft Convention with a view to adopting, at its sixty-third session, on the basis of the draft Convention approved by the Commission, a United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea and authorizing a signing ceremony to be held [as soon as practicable in 2009] in Rotterdam, the Netherlands, upon which the Convention would be open for signature by States.”“2. 建议大会结合委员会及其第三工作组(运输法)对公约草案进行的广泛审议情况审议公约草案,以期在其第六十三届会议上根据委员会核准的公约草案通过一项联合国全程或者部分海上国际货物运输合同公约,并批准[于2009年尽早]在荷兰鹿特丹举行签署仪式,届时公约将开放供各国签署。
Procurement:” 四. 采购:
progress report of Working Group I第一工作组进度报告
299. At its thirty-sixth and thirty-seventh sessions, in 2003 and 2004, the Commission considered the possible updating of the UNCITRAL Model Law on Procurement of Goods, Construction and Services with Guide to Enactment on the basis of notes by the Secretariat (A/CN.9/539 and Add.1 and A/CN.9/553).299. 委员会在其分别于2003和2004年举行的第三十六届和第三十七届会议上,根据秘书处的说明(A/CN.9/539和Add.1以及A/CN.9/553)审议了对《贸易法委员会货物、工程和服务采购示范法》及其《颁布指南》的可能增补问题。
At its thirty-seventh session, the Commission agreed that the Model Law would benefit from being updated to reflect new practices, in particular those which resulted from the use of electronic communications in public procurement, and the experience gained in the use of the Model Law as a basis for law reform in public procurement as well as possible additional issues.委员会第三十七届会议一致认为,增订《示范法》大有好处,可反映新的惯例,特别是由于在公共采购中使用电子通信而形成的惯例,以及在利用《示范法》作为基础进行公共采购法律改革方面所取得的经验和其他可能的问题。
The Commission decided to entrust the preparation of proposals for the revision of the Model Law to its Working Group I (Procurement) and gave the Working Group a flexible mandate to identify the issues to be addressed in its deliberations.委员会决定将起草《示范法》修订建议的工作交给其第一工作组(采购)进行,并请工作组在履行任务时灵活从事,以便确定拟在其审议中予以处理的问题。
The Commission noted that, in updating the Model Law, care should be taken not to depart from the basic principles of the Model Law and not to modify the provisions whose usefulness had been proven.委员会指出,在增订《示范法》时应当谨慎从事,以免背离《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。
300. The Working Group commenced its work pursuant to that mandate at its sixth session (Vienna, 30 August-3 September 2004).300. 工作组在其第六届会议(2004年8月30日至9月3日,维也纳)上依照上述任务授权开始了其工作。
At that session, it decided to proceed with the in-depth consideration of the topics suggested in the notes by the Secretariat (A/CN.9/WG.I/WP.31 and A/CN.9/WG.I/WP.32) in sequence at its future sessions (A/CN.9/568, para. 10).工作组在该届会议上决定在其今后的届会上按顺序继续深入审议秘书处的说明(A/CN.9/WG.I/WP.31和A/CN.9/WG.I/WP.32)中建议的各项议题(A/CN.9/568,第10段)。
301. At its thirty-eighth and thirty-ninth sessions, in 2005 and 2006, the Commission took note of the reports of the sixth (Vienna, 30 August-3 September 2004), seventh (New York, 4-8 April 2005), eighth (Vienna, 7-11 November 2005) and ninth (New York, 24-28 April 2006) sessions of Working Group I (A/CN.9/568, A/CN.9/575, A/CN.9/590 and A/CN.9/595).301. 委员会于2005和2006年举行的第三十八届和第三十九届会议注意到工作组第六届会议(2004年8月30日至9月3日,维也纳)、第七届会议(2005年4月4日至8日,纽约)、第八届会议(2005年11月7日至11日,维也纳)和第九届会议(2006年4月24日至28日,纽约)的报告(A/CN.9/568、A/CN.9/575、A/CN.9/590和A/CN.9/595)。
At its thirty-ninth session, the Commission recommended that the Working Group, in updating the Model Law and the Guide, should take into account the question of conflicts of interest and consider whether any specific provisions addressing that question in the Model Law would be warranted.委员会第三十九届会议建议工作组在增订《示范法》和《指南》时,应顾及利益冲突问题,并考虑是否应在《示范法》中拟订有关这一问题的任何具体条文。
302. At its fortieth session, the Commission had before it the reports of the tenth (Vienna, 25-29 September 2006) and eleventh (New York, 21-25 May 2007) sessions of the Working Group (A/CN.9/615 and A/CN.9/623).302. 委员会第四十届会议收到了工作组第十届会议(2006年9月25日至29日,维也纳)和第十一届会议(2007年5月21日至25日,纽约)的报告(A/CN.9/615和A/CN.9/623)。
The Commission was informed that the Working Group had continued to consider the following topics:委员会获悉,工作组继续审议了以下议题:
the use of electronic means of communication in the procurement process; (b) aspects of the publication of procurement-related information, including revisions to article 5 of the Model Law and the publication of forthcoming procurement opportunities; (c) the procurement technique known as the electronic reverse auction; (d) abnormally low tenders; and (e) the method of contracting known as the framework agreement.(a)电子通信手段在采购过程中的使用;(b)采购相关信息发布的各个方面,包括对《示范法》第5条的修订和近期采购机会的发布;(c)称作电子逆向拍卖的采购手段;(d)异常低价竞标;(e)称作框架协议的订约方法。
303. At its current session, the Commission took note of the reports of the twelfth (Vienna, 3-7 September 2007) and thirteenth (New York, 7-11 April 2008) sessions of the Working Group (A/CN.9/640 and A/CN.9/648).303. 委员会本届会议注意到工作组第十二届会议(2007年9月3日至7日,维也纳)和第十三届会议(2008年4月7日至11日,纽约)的报告(A/CN.9/640和A/CN.9/648)。
304. At its twelfth session, the Working Group adopted the timeline for its deliberations, later modified at its thirteenth session (A/CN.9/648, annex), and agreed to bring an updated timeline to the attention of the Commission on a regular basis.304. 工作组在第十二届会议上通过了其审议工作时间表,后来在第十三届会议上对该时间表作了修订(A/CN.9/648,附件),并一致同意定期提请委员会注意最新的时间表。
305. At its thirteenth session, the Working Group held an in-depth consideration of the issue of framework agreements on the basis of drafting materials contained in notes by the Secretariat (A/CN.9/WG.I/WP.52 and Add.1 and A/CN.9/WG.I/WP.56) and agreed to combine the two approaches proposed in those documents, so that the Model Law, where appropriate, would address common features applicable to all types of framework agreement together, in order to avoid, inter alia, unnecessary repetition, while addressing distinct features applicable to each type of framework agreement separately.305. 工作组第十三届会议根据秘书处的说明(A/CN.9/WG.I/WP.52和Add.1以及A/CN.9/WG.I/WP.56)中所载的起草材料,深入审议了框架协议问题,并商定将这些文件中提议的两种办法加以结合,以便《示范法》在分别述及每一种框架协议独特特点的同时,酌情述及各种框架协议的共同特点,从而除其他外避免不必要的重复。
306. At that session, the Working Group also discussed the issue of suppliers’ lists, the consideration of which was based on a summary of the prior deliberations of the Working Group on the subject (A/CN.9/568, paras. 55-68, and A/CN.9/WG.I/WP.45 and Add.1) and decided that the topic would not be addressed in the Model Law, for reasons that would be set out in the Guide to Enactment.306. 在该届会议上,工作组还讨论了供应商名单问题,对这个问题的审议以工作组以往关于这一主题的审议概要为基础(A/CN.9/568,第55-68段,A/CN.9/WG.I/WP.45和Add.1)。 工作组决定,《示范法》将不涉及这个议题,原因将在《颁布指南》中加以说明。
307. The Commission commended the Working Group and the Secretariat for the progress made in its work and reaffirmed its support for the review being undertaken and for the inclusion of novel procurement practices and techniques in the Model Law.307. 委员会赞扬工作组和秘书处在工作组工作中取得的进展,重申支持正在进行的审查并支持在《示范法》中列入新的采购做法和手段。
The Working Group was invited to proceed expeditiously with the completion of the project, with a view to permitting the finalization and adoption of the revised Model Law, together with its Guide to Enactment, within a reasonable time.委员会请工作组快速完成这项工作,以便能够在合理时间内对经修订的《示范法》及其《颁布指南》进行最后审定和通过。
(For the forthcoming two sessions of the Working Group, see paras. 397 and 398 below.)(关于工作组今后两届会议的情况,见下文第397和398段。
Arbitration and conciliation:) 五. 仲裁和调解:
progress report of Working Group II第二工作组进度报告
308. The Commission recalled that at its thirty-ninth session, in 2006, it had agreed that Working Group II (Arbitration and Conciliation) should undertake a revision of the Arbitration Rules of the United Nations Commission on International Trade Law (the UNCITRAL Arbitration Rules).308. 委员会回顾,其2006年第三十九届会议商定第二工作组(仲裁和调解)应当对《联合国国际贸易法委员会仲裁规则》(《贸易法委员会仲裁规则》进行修订。
309. At that session, the Commission noted that, as one of the early instruments developed by UNCITRAL in the field of arbitration, the UNCITRAL Arbitration Rules were widely recognized as a very successful text, having been adopted by many arbitration centres and used in many different instances, for example in investor-State disputes.309. 委员会该届会议注意到,作为贸易法委员会在仲裁领域拟定的一份早期文书,《贸易法委员会仲裁规则》被广泛公认为一份十分成功的文本,获得了许多仲裁中心的采纳,并被用于多种情况,例如投资人与国家的纠纷。
In recognition of the success and status of the UNCITRAL Arbitration Rules, the Commission was generally of the view that any revision of the Rules should not alter the structure of the text, its spirit or its drafting style and should respect the flexibility of the text rather than make it more complex.考虑到《贸易法委员会仲裁规则》已经取得的成功和地位,委员会普遍认为,对《规则》所作的任何修订都不应改变该文本的行文结构、其精神和文体,并且应尊重该文本的灵活性,而不是令其更为复杂。
It was suggested that the Working Group should undertake to define carefully the list of topics that might need to be addressed in a revised version of the UNCITRAL Arbitration Rules.有与会者建议,工作组应当认真确定《贸易法委员会仲裁规则》修订稿需要论及的议题清单。
310. At its fortieth session, in 2007, the Commission noted that the UNCITRAL Arbitration Rules had not been amended since their adoption in 1976 and that the review should seek to modernize the Rules and to promote greater efficiency in arbitral proceedings.310. 委员会在2007年第四十届会议上注意到,《贸易法委员会仲裁规则》自1976年通过以来从未进行过修订,审查工作应力求使《规则》符合时代的要求,提高仲裁工作的效率。
The Commission generally agreed that the mandate of the Working Group to maintain the original structure and spirit of the UNCITRAL Arbitration Rules had provided useful guidance to the Working Group in its deliberations to date and should continue to be a guiding principle for its work.委员会普遍认为,工作组以保持《贸易法委员会仲裁规则》原有行文结构和精神不变为己任给工作组迄今的审议工作提供了有益的指导,并应当继续成为工作组工作的指导原则。
311. At that session, the Commission noted that broad support had been expressed in the Working Group for a generic approach that sought to identify common denominators that applied to all types of arbitration irrespective of the subject matter of the dispute, in preference to dealing with specific situations.311. 在该届会议上,委员会注意到,同按具体情况分别处理的做法相比,工作组广泛支持力求确定适用于各类仲裁的共同标准而不论纠纷标的的通用做法。
However, the Commission noted that the extent to which the revised UNCITRAL Arbitration Rules should include more detailed provisions concerning investor-State dispute settlement or administered arbitration remained to be considered by the Working Group at future sessions.但委员会也注意到,关于经修订的《贸易法委员会仲裁规则》应当在多大程度上包括关于投资人与国家之间的纠纷解决或常设机构仲裁的更具体条文的问题,仍有待工作组在今后的届会上审议。
312. At its current session, the Commission had before it the reports of the forty-seventh (Vienna, 10-14 September 2007) and forty-eighth (New York, 4-8 February 2008) sessions of the Working Group (A/CN.9/641 and A/CN.9/646).312. 委员会本届会议收到了工作组第四十七届会议(2007年9月10日至14日,维也纳)和第四十八届会议(2008年2月4日至8日,纽约)的报告(A/CN.9/641和A/CN.9/646)。
The Commission commended the Working Group for the progress made regarding the revision of the UNCITRAL Arbitration Rules and the Secretariat for the quality of the documentation prepared for the Working Group.委员会赞扬工作组在修订《贸易法委员会仲裁规则》方面取得的进展,并赞扬秘书处为工作组编写的高质量文件。
313. The Commission noted that the Working Group had discussed at its forty-eighth session the extent to which the revised UNCITRAL Arbitration Rules should include more detailed provisions concerning investor-State dispute settlement or administered arbitration.313. 委员会注意到工作组第四十八届会议讨论了经修订的《贸易法委员会仲裁规则》应在多大程度上顾及投资人与国家之间的纠纷解决或常设机构仲裁的问题。
The Commission noted that the Working Group had decided to proceed with its work on the revision of the UNCITRAL Arbitration Rules in their generic form and to seek guidance from the Commission on whether, after completion of its current work on the Rules, the Working Group should consider in further depth the specificity of treaty-based arbitration and, if so, which form that work should take (A/CN.9/646, para. 69).委员会注意到工作组决定继续进行其关于修订通用形式的《贸易法委员会仲裁规则》的工作,并请委员会指明工作组在完成其目前关于《规则》的工作之后是否应当更深入地审议以条约为基础的仲裁的特殊性,以及如果应当审议的话,该项工作应当采取什么形式(A/CN.9/646,第69段)。
314. After discussion, the Commission agreed that it would not be desirable to include specific provisions on treaty-based arbitration in the UNCITRAL Arbitration Rules themselves and that any work on investor-State disputes that the Working Group might have to undertake in the future should not delay the completion of the revision of the UNCITRAL Arbitration Rules in their generic form.314. 委员会经讨论后一致认为,《贸易法委员会仲裁规则》本身列入关于以条约为基础的仲裁的特定条文是不可取的,工作组今后可能不得不就投资人和国家之间的纠纷所进行的任何工作不应耽误通用形式的《贸易法委员会仲裁规则》修订工作的完成。
As to timing, the Commission agreed that the topic of transparency in treaty-based investor-State arbitration was worthy of future consideration and should be dealt with as a matter of priority immediately after completion of the current revision of the UNCITRAL Arbitration Rules.关于时间安排,委员会一致认为,投资人与国家之间以条约为基础的仲裁透明度问题值得在今后加以审议,并应在目前修订《贸易法委员会仲裁规则》的工作完成之后立即作为一个优先事项进行。
As to the scope of such future work, the Commission agreed by consensus on the importance of ensuring transparency in investor-State dispute resolution.关于今后这类工作的范围,委员会以协商一致方式就确保投资人与国家之间纠纷解决透明度问题的重要性达成共识。
Written observations regarding that issue were presented by one delegation (A/CN.9/662) and a statement was also made on behalf of the Special Representative of the Secretary-General on human rights and transnational corporations and other business enterprises.有一个代表团提交了关于这一问题的书面意见(A/CN.9/662),此外还有人代表秘书长人权和跨国公司及其他商业企业问题特别代表作了发言。
The Commission was of the view that, as noted by the Working Group at its forty-eighth session (A/CN.9/646, para. 57), the issue of transparency as a desirable objective in investor-State arbitration should be addressed by future work.委员会认为,如工作组第四十八届会议所指出的(A/CN.9/646,第57段),透明度问题作为投资人与国家之间仲裁的一个可取目标,应在今后的工作中加以处理。
As to the form that any future work product might take, the Commission noted that various possibilities had been envisaged by the Working Group (ibid., para. 69) in the field of treaty-based arbitration, including the preparation of instruments such as model clauses, specific rules or guidelines, an annex to the UNCITRAL Arbitration Rules in their generic form, separate arbitration rules or optional clauses for adoption in specific treaties.关于今后的任何工作成果可能采取的形式,委员会注意到工作组在以条约为基础的仲裁领域设想了各种可能性(同上,第69段),包括编拟示范条款、特定规则或准则、通用形式的《贸易法委员会仲裁规则》附件、单独的仲裁规则或供在特定条约中采用的任择条款等文书。
The Commission decided that it was too early to make a decision on the form of a future instrument on treaty-based arbitration and that broad discretion should be left to the Working Group in that respect.委员会认为就以条约为基础的仲裁方面未来文书的形式作出决定还为时过早,并认为在这方面应留给工作组广泛的酌处权。
With a view to facilitating consideration of the issues of transparency in treaty-based arbitration by the Working Group at a future session, the Commission requested the Secretariat, resources permitting, to undertake preliminary research and compile information regarding current practices.为了便利工作组在今后届会上审议以条约为基础的仲裁透明度问题,委员会请秘书处在资源允许的情况下开展初步研究,并汇编关于当前做法的资料。
The Commission urged member States to contribute broad information to the Secretariat regarding their practices with respect to transparency in investor-State arbitration.委员会促请成员国向秘书处提供广泛信息,介绍各自在投资人与国家之间仲裁透明度方面的做法。
It was emphasized that, when composing delegations to the Working Group sessions that would be devoted to that project, member States and observers should seek to achieve the highest level of expertise in treaty law and treaty-based investor-State arbitration.据强调指出,在组成参加专门讨论这一工作的工作组届会的代表团时,成员国和观察员应力求在条约法和投资人和国家之间以条约为基础的仲裁方面达到最高专业水准。
315. The Commission expressed the hope that the Working Group would complete its work on the revision of the UNCITRAL Arbitration Rules in their generic form, so that the final review and adoption of the revised Rules would take place at the forty-second session of the Commission, in 2009.315. 委员会希望工作组完成修订通用形式的《贸易法委员会仲裁规则》的工作,以便可在2009年委员会第四十二届会议上最后审查并通过经修订的《规则》。
316. With respect to future work in the field of settlement of commercial disputes, the Commission recalled that the issue of arbitrability and online dispute resolution should be maintained by the Working Group on its agenda, as decided by the Commission at its thirty-ninth session.316. 关于今后在解决商业纠纷领域开展的工作,委员会回顾,工作组应当根据委员会第三十九届会议的决定,在其议程上保留可否仲裁问题和网上解决纠纷问题。
(For the forthcoming two sessions of the Working Group, see paras. 397 and 398 below.)(关于工作组今后两届会议的情况,见下文第397和398段)。
Insolvency law六. 破产法
Progress report of Working Group V第五工作组进度报告
317. The Commission recalled that at its thirty-ninth session, in 2006, it had agreed that:317. 委员会回顾,在2006年第三十九届会议上,委员会一致认为:
the topic of the treatment of corporate groups in insolvency was sufficiently developed for referral to Working Group V (Insolvency Law) for consideration in 2006 and that the Working Group should be given the flexibility to make appropriate recommendations to the Commission regarding the scope of its future work and the form it should take, depending on the substance of the proposed solutions to the problems that the Working Group would identify under that topic; and (b) post-commencement finance should initially be considered as a component of the work to be undertaken on insolvency of corporate groups, with the Working Group being given sufficient flexibility to consider any proposals for work on additional aspects of the topic.(a)在对待破产集团公司的专题上已取得充分进展,完全可以交给第五工作组(破产法)在2006年审议,应使该工作组在就其今后工作范围和应采取的形式向委员会提出适当建议方面具有灵活性,但将视对工作组就该专题下查明的问题所提出解决办法的实质内容而定;(b)启动后融资一开始就应视为就集团公司破产开展工作的一个组成部分,应使工作组在审议关于该专题其他方面工作的任何建议方面具有充分的灵活性。
318. The Commission noted with appreciation the progress of the Working Group regarding consideration of the treatment of corporate groups in insolvency as reflected in the reports on its thirty-third (Vienna, 5-9 November 2007) and thirty-fourth (New York, 3-7 March 2008) sessions (A/CN.9/643 and A/CN.9/647) and commended the Secretariat for the working papers and reports prepared for those sessions.318. 委员会赞赏地注意到,如工作组第三十三届会议(2007年11月5日至9日,维也纳)和第三十四届会议(2008年3月3日至7日,纽约)的报告(A/CN.9/643和A/CN.9/647号文件)所反映,工作组在审议对待破产集团公司问题上取得了进展,委员会称赞秘书处为这些会议编写的工作文件和报告。
Facilitation of cooperation and coordination in cross-border insolvency proceedings促进跨国界破产程序中的合作和协调
319. The Commission recalled that at its thirty-ninth session, in 2006, it had agreed that initial work to compile information on practical experience with negotiating and using cross-border insolvency agreements should be facilitated informally through consultation with judges and insolvency practitioners and that a preliminary progress report on that work should be presented to the Commission for further consideration at its fortieth session, in 2007.319. 委员会回顾,在2006年第三十九届会议上,委员会一致认为应当与法官和破产从业人员进行协商,以非正式方式推动初步开展将关于跨国界破产协议谈判和使用方面实际经验的资料汇编成册的工作,并将这项工作的初步进度报告提交委员会2007年第四十届会议进一步审议。
At the first part of its fortieth session (Vienna, 25 June-12 July 2007) the Commission considered a preliminary report reflecting experience with respect to negotiating and using cross-border insolvency protocols (A/CN.9/629) and emphasized the practical importance of facilitating cross-border cooperation in insolvency cases.委员会第四十届会议第一部分会议(2007年6月25日至7月12日,维也纳)审议了反映跨国界破产协议谈判和使用方面经验的初步报告(A/CN.9/629),并强调了促进破产案件中的跨国界合作的切实重要性。
It expressed its satisfaction with respect to the progress made on the work of compiling practical experience with negotiating and using cross-border insolvency agreements and reaffirmed that that work should continue to be developed informally by the Secretariat in consultation with judges, practitioners and other experts.委员会对跨国界协议破产协议谈判和使用方面实际经验汇编工作取得的进展表示满意,并重申应通过同法官、从业人员和其他专家协商,继续非正式地开展这项工作。
320. At its present session, the Commission had before it a note by the Secretariat reporting on further progress with respect to that work (A/CN.9/654).320. 在本届会议上,委员会收到了秘书处的一份说明,其中报告了这项工作的进一步进展情况(A/CN.9/654)。
The Commission noted that further consultations had been held with judges and insolvency practitioners and a compilation of practical experience, organized around the outline of contents annexed to the previous report to the Commission (A/CN.9/629), had been prepared by the Secretariat.委员会注意到,已与法官和破产从业人员进行进一步协商,秘书处编写了一套实际经验汇编,其行文结构是围绕提交委员会的上一份报告附件中所列的内容提纲编排的(A/CN.9/629)。
Because of timing and translation constraints, that compilation could not be submitted to the present session of the Commission.由于时间和翻译上的局限,该汇编未能提交给委员会本届会议。
321. The Commission expressed its satisfaction with respect to the progress made on the work of compiling practical experience with negotiating and using cross-border insolvency agreements.321. 委员会对跨国界破产协议谈判和使用方面实际经验汇编工作取得的进展表示满意。
It decided that the compilation should be presented as a working paper to Working Group V (Insolvency Law) at its thirty-fifth session (Vienna, 17-21 November 2008) for an initial discussion.委员会决定该汇编应作为工作文件,提交第五工作组(破产法)第三十五届会议(2008年11月17日至21日,维也纳)供初步讨论。
Working Group V could then decide to continue discussing the compilation at its thirty-sixth session in April and May of 2009 and make its recommendations to the forty-second session of the Commission, in 2009, bearing in mind that coordination and cooperation based on cross-border insolvency agreements were likely to be of considerable importance in searching for solutions in the international treatment of enterprise groups in insolvency.然后,第五工作组可以决定在2009年4月和5月其第三十六届会议上继续讨论该汇编,并向委员会2009年第四十二届会议提出建议,同时牢记基于跨国界破产协议的协调与合作对于寻求国际上对待破产企业集团的解决办法可能具有非常重要的意义。
The Commission decided to plan the work at its forty-second session, in 2009, to allow it to devote, if necessary, time to discussing recommendations of Working Group V. (For the decision on the length of the forty-second session of the Commission, see para. 395 below.委员会决定制订2009年第四十二届会议工作计划,以便使其能够在必要时专门花时间讨论第五工作组的建议。 (关于委员会第四十二届会议会期的决定,见下文第395段。
) (For the conclusions of the Commission regarding insolvency matters that are of concern to Working Group VI (Security Interests), see para. 326 below.))(关于委员会就第四工作组(担保权益)关心的破产事项所作的结论,见下文第326段)。
Security interests:七. 担保权益:
progress report of Working Group VI第六工作组进度报告
322. At the first part of its fortieth session (Vienna, 25 June-12 July 2007), the Commission considered a note by the Secretariat entitled “Possible future work on security rights in intellectual property” (A/CN.9/632).322. 在其第四十届会议第一部分会议(2007年6月25日至7月12日,维也纳)上,委员会审议了秘书处题为“今后就知识产权担保权而可能开展的工作”的说明(A/CN.9/632)。
The note took into account the conclusions reached at a colloquium on security rights in intellectual property (Vienna, 18 and 19 January 2007), which had been organized by the Secretariat in cooperation with the World Intellectual Property Organization and during which several suggestions were made with respect to adjustments that would need to be made to the draft Legislative Guide on Secured Transactions (“the draft Legislative Guide”) to address issues specific to intellectual property financing.该说明顾及知识产权担保权专题讨论会(2007年1月18日和19日,维也纳)达成的结论,该专题讨论会由秘书处与世界知识产权组织合作举办,在讨论会期间,有些与会者就为解决知识产权融资特定问题而对担保交易立法指南草案(“指南草案”)的必要调整提出了一些建议。
323. At that session, the Commission noted that a significant part of corporate wealth was included in intellectual property.323. 在该届会议上,委员会注意到,公司财富中有相当一部分为知识产权。
It was also noted that coordination between secured transactions law and intellectual property law under the regimes existing in many States was not sufficiently developed to accommodate financing practices in the context of which credit was extended with intellectual property being used as security.委员会还注意到,许多国家根据其既有制度而对担保交易法和知识产权法所作的协调不够完备,无法照顾到将知识产权用作信贷担保的融资做法。
In addition, it was noted that the draft Legislative Guide did not provide sufficient guidance to States as to the adjustments that would need to be made to address the needs of financing practices relating to intellectual property.此外,有与会者指出,对于为满足知识产权相关融资做法的需求而必须作出的调整,立法指南草案没有向各国提供充分的指导。
Moreover, it was noted that work should be undertaken as expeditiously as possible to ensure that the draft Legislative Guide gave complete and comprehensive guidance in that regard.而且,有与会者称,为确保立法指南草案在这方面提供完备详尽的指导,应当尽快开展这项工作。
In order to provide sufficient guidance to States as to the adjustments that they might need to make in their laws to avoid inconsistencies between secured financing law and intellectual property law, the Commission decided to entrust Working Group VI (Security Interests) with the preparation of an annex to the draft Legislative Guide specifically dealing with security rights in intellectual property (“the Annex to the Legislative Guide”).为充分指导各国对本国法律作出必要调整以避免担保融资法和知识产权法之间出现任何不一致之处,委员会决定委托第六工作组(担保权益)编写一份立法指南草案中专门针对知识产权担保权的附件(“指南附件”)。
324. At its resumed fortieth session (Vienna, 10-14 December 2007), the Commission finalized and adopted the UNCITRAL Legislative Guide on Secured Transactions on the understanding that the annex to the Guide would be prepared subsequently.324. 在其第四十届会议续会(2007年12月10日至14日,维也纳)上,委员会本着将随后编写指南附件的谅解最后审定并通过了《贸易法委员会担保交易立法指南》。
325. At its current session, the Commission had before it the report (A/CN.9/649) of Working Group VI on the work of its thirteenth session (New York, 19-23 May 2008).325. 在其本届会议上,委员会收到了第六工作组关于其第十三届会议(2008年5月19日至23日,纽约)工作情况的报告(A/CN.9/649)。
The Commission noted with satisfaction the good progress made during the initial discussions at that session, based on the note by the Secretariat entitled “Security rights in intellectual property rights” (A/CN.9/WG.VI/WP.33 and Add.1), which had enabled the Working Group to request the Secretariat to prepare a first draft of the annex to the Guide dealing with security rights in intellectual property (A/CN.9/649, para. 13).委员会满意地注意到,该届会议以秘书处题为“知识产权担保权”的说明(A/CN.9/WG.VI/WP.33和Add.1)为基础在初步讨论期间取得良好进展,从而使工作组得以请秘书处编写《指南》关于知识产权担保权的附件草案初稿(A/CN.9/649,第13段)。
326. The Commission also noted that Working Group VI was not able to reach agreement as to whether certain matters related to the impact of insolvency on a security right in intellectual property (see A/CN.9/649, paras. 98-102) were sufficiently linked with secured transactions law in order to justify their discussion in the annex to the Guide.326. 委员会还注意到,对于破产对知识产权担保权的影响所涉某些事项(见A/CN.9/649,第98-102段)是否与担保交易法有着充分的联系而应在《指南》附件中加以载述这一问题,第六工作组未能取得一致意见。
Working Group VI had decided to revisit those matters at a future meeting and to recommend that Working Group V (Insolvency Law) be requested to consider them.第六工作组决定在今后的一次会议上再次讨论这些事项,并建议请第五工作组(破产法)审议这些事项。
The Commission decided that Working Group V should be informed and invited to express any preliminary opinion at its next session.委员会决定应在下届会议上向第五工作组介绍这方面的情况并邀请其发表初步看法。
It was also decided that, should any remaining issue require joint consideration by the two Working Groups after that session, the Secretariat should have the discretion to organize, after consulting with the chairpersons of the two Working Groups, a joint discussion of the impact of insolvency on a security right in intellectual property when the two Working Groups meet back to back in the Spring of 2009.委员会还决定,如果该届会议后仍有一些问题需要两个工作组联合审议,秘书处应有权在与两个工作组的主席磋商后,决定在两个工作组于2009年春季举行背靠背会晤时组织一次关于破产对知识产权担保权的影响问题的联合讨论。
(For the subsequent two sessions of Working Group VI and of Working Group V, see paras. 397 and 398 below.)(关于第六工作组今后两届会议和第五工作组的情况,见下文第397和398段)。
Possible future work in the area of electronic commerce八. 今后可能在电子商务领域开展的工作
327. In 2004, having completed its work on the Convention on the Use of Electronic Communications in International Contracts, Working Group IV (Electronic Commerce) requested the Secretariat to continue monitoring various issues related to electronic commerce, including issues related to cross-border recognition of electronic signatures, and to publish the results of its research with a view to making recommendations to the Commission as to whether future work in those areas would be possible (see A/CN.9/571, para. 12).327. 在2004年完成了其有关《国际合同使用电子通信公约》的工作以后,第四工作组(电子商务)请秘书处继续跟踪与电子商务有关的各种问题,包括与电子签名的跨国界承认有关的问题,并发表其研究结果,以便就今后是否有可能在这些领域开展工作向委员会提出建议(见A/CN.9/571,第12段)。
328. In 2005, the Commission took note of the work undertaken by other organizations in various areas related to electronic commerce and requested the Secretariat to prepare a more detailed study, which should include proposals as to the form and nature of a comprehensive reference document discussing the various elements required to establish a favourable legal framework for electronic commerce, which the Commission might in the future consider preparing with a view to assisting legislators and policymakers around the world.328. 2005年,委员会注意到其他组织在与电子商务有关的各个领域开展的工作,请秘书处编写一份更为详细的研究报告,其中应列入就综合参考文件的形式和性质提出的各种建议,综合参考文件讨论的是确定有利于电子商务的法律框架所需各个要件,因此委员会今后似宜考虑编写一份综合参考文件,以便向世界各国的立法机关和决策机关提供帮助。
329. In 2006, UNCITRAL considered a note prepared by the Secretariat pursuant to that request (A/CN.9/604).329. 2006年,贸易法委员会审议了其秘书处依照该请求编写的一份说明(A/CN.9/604)。
The note identified the following areas as possible components of a comprehensive reference document:该说明将以下方面列作综合参考文件可能包括的内容:
authentication and cross-border recognition of electronic signatures; (b) liability and standards of conduct for information-services providers; (c) electronic invoicing and legal issues related to supply chains in electronic commerce; (d) transfer of rights in tangible goods and other rights through electronic communications; (e) unfair competition and deceptive trade practices in electronic commerce; and (f) privacy and data protection in electronic commerce.(a)对电子签名的认证和跨国界承认;(b)信息服务提供者的赔偿责任和行为准则;(c)电子发票和与电子商务供应链有关的法律问题;(d)有形货物上的权利和其他权利通过电子通信进行的转让;(e)电子商务中的不公平竞争和欺骗性贸易做法;(f)电子商务中的隐私和数据保护。
The note also identified other issues that could be included in such a document, although in a more summary fashion:该说明还列举了其他可以列入这一文件的问题:
protection of intellectual property rights; (b) unsolicited electronic communications (spam); and (c) cybercrime.(a)知识产权保护;(b)未经请求的电子通信(垃圾邮件);(c)网络犯罪。
330. At that session, there was support for the view that the task of legislators and policymakers, in particular in developing countries, might be greatly facilitated if the Commission were to formulate a comprehensive reference document dealing with the topics identified by the Secretariat.330. 在该届会议上,有与会者支持这样一种观点,即如果委员会拟定一份综合参考文件,论及秘书处列举的各项专题,将会给各国,尤其是给发展中国家立法机关和决策机关的工作提供极大的便利。
Such a document, it was also said, might also assist the Commission to identify areas in which it might itself undertake future harmonization work.另据认为,这样一份文件还将有助于委员会确定今后可以在哪些方面开展协调统一工作。
However, there were also concerns that the range of issues identified was too wide and that the scope of the comprehensive reference document might need to be reduced.但也有人担心,所列举的问题范围过大,可能需要缩小综合参考文件的范围。
The Commission eventually agreed to ask its secretariat to prepare a sample portion of the comprehensive reference document dealing specifically with issues related to authentication and cross-border recognition of electronic signatures, for review at its fortieth session, in 2007.委员会最后商定,请其秘书处编拟综合参考文件的样本部分,专门论及与对电子签名的认证和跨国界承认有关的问题,供委员会2007年第四十届会议审查。
331. The sample chapter that the Secretariat prepared pursuant to that request (A/CN.9/630 and Add.1-5) was submitted to the Commission at its fortieth session.331. 秘书处依照上述请求编写的样章(A/CN.9/630和Add.1-5)已提交委员会第四十届会议。
The Commission commended the Secretariat for the preparation of the sample chapter and requested the Secretariat to publish it as a stand-alone publication.委员会赞扬了秘书处编写样章的工作,并请秘书处将其作为单独的出版物出版。
Although the Commission was not in favour of requesting the Secretariat to undertake a similar work in other areas with a view to preparing a comprehensive reference document, the Commission agreed to request the Secretariat to continue to follow legal developments in the relevant areas closely, with a view to making appropriate suggestions in due course.尽管委员会不赞成请秘书处在其他领域进行与编写综合参考文件相类似的工作,但是委员会商定,请秘书处继续密切跟踪相关领域的法律动向,以便在适当的时候提出相关建议。
332. The Secretariat has continued to follow technological developments and new business models in the area of electronic commerce that may have an impact on international trade.332. 秘书处继续跟踪电子商务领域中可能影响国际贸易的技术发展情况和新的商务模式。
One area that the Secretariat has examined closely concerns legal issues arising out of the use of single windows in international trade.秘书处进行细致研究的一个领域涉及国际贸易中单一窗口的使用所产生的法律问题。
The Secretariat had been invited by the World Customs Organization (WCO) and the United Nations Centre for Trade Facilitation and Electronic Business (UN/CEFACT), to consider possible topics of cooperation with those organizations in that area.世界海关组织(海关组织)及联合国贸易便利和电子商务中心(联合国电子商务中心)已邀请秘书处考虑在该领域与之进行合作的可能专题。
333. At the current session, the Commission had before it a note by the Secretariat (A/CN.9/655) setting out policy considerations and legal issues in the implementation and operation of single windows and submitting proposals for possible future work in cooperation with other international organizations.333. 委员会本届会议收到了秘书处的一份说明(A/CN.9/655),列出了单一窗口的实施和运作中的政策考虑因素和法律问题,并就今后可能与其他国际组织合作开展的工作提出了建议。
The note also summarized the proposal by WCO for joint work (ibid., paras. 35-39).该说明还概述了海关组织关于联合开展工作的建议(同上,第35-39段)。
334. The Commission was informed that single windows could enhance the availability and handling of information, expedite and simplify information flows between traders and Governments and result in a greater harmonization and sharing of the relevant data across governmental systems, bringing meaningful gains to all parties involved in cross-border trade.334. 委员会获悉,单一窗口可增进信息的提供和处理,加速并简化贸易界和政府之间的信息流,并可使政府各系统之间实现更好的协调并共享有关数据,对跨国界贸易的所有参与方都有实际益处。
The Commission noted that the use of single windows could result in improved efficiency and effectiveness of official controls and could reduce costs for both Governments and traders as a result of better use of resources.委员会注意到,利用这种设施可提高官方管理的效率并增强其效力,还可改善资源利用,从而降低政府和贸易商的费用。
At the same time, the Commission also noted that the implementation and operation of single windows gave rise to a number of legal issues including, for example, the legislative authority to operate single windows; identification, authentication and authorization to exchange documents and messages through single windows; data protection; liability of operators of single windows; and legal validity of documents exchanged in electronic form.同时,委员会还注意到,单一窗口的实施和运作产生了一系列的法律问题,例如包括: 运作单一窗口的立法授权;通过单一窗口交换文件和信息方面的鉴定、认证和授权;数据保护;单一窗口运作机构的责任;以及以电子形式交换的文件的法律效力。
335. The Commission also heard a proposal for the Commission to undertake a project to identify the basic issues and define the fundamental principles that must be addressed to develop workable international legal systems for electronic transferable records and to assist States in developing domestic systems that affect international commerce.335. 委员会还听取了一项建议,该建议请贸易法委员会开展一个项目,以查明建立可行的电子可转让记录国际法律制度必须处理的基本问题,界定为此必须处理的基本原则,并帮助各国建立影响国际商务的国内制度。
Such work, it was proposed, would likely focus to some extent on the use of electronic registries, but should recognize that specific solutions would vary based on sector and application requirements.据建议,这项工作可能会在某种程度上注重电子登记处的使用,但应当承认,具体解决办法将因各个行业部门和各种应用的要求而异。
The proposed project would include a clear set of high-level principles that could be incorporated into any international system for transferable records.所建议的该项目将包括可以纳入任何可转让记录国际制度的一套范围明确的一般原则。
It was suggested that additional guidance could be provided to assist States, international organizations and industries to assess the legal risks and the options available to them and to help them through the process of crafting approaches to transferability best suited to their needs and the needs of global commerce.据指出,可以提供额外的指导,帮助各国、国际组织和业界评估法律风险和可以利用的选择,并通过设计最适合其需要和全球商务需要的可转让性处理办法为它们提供帮助。
If appropriate, following that phase, consideration could then be given to the possible need for and feasibility of elaborating additional instruments that could promote commerce and trade by boosting the effectiveness of electronic records.如果合适的话,在本阶段之后,可以考虑拟订额外文书的可能必要性和可行性,通过提高电子记录的效力来促进商务和贸易。
336. The Commission agreed that it would be worthwhile to study the legal aspects involved in implementing a cross-border single window facility with a view to formulating a comprehensive international reference document to which legislators, Government policymakers, single window operators and other stakeholders could refer for advice on legal aspects of creating and managing a single window designed to handle cross-border transactions.336. 委员会一致认为,就实施跨国界单一窗口设施所涉法律问题开展研究是一项值得一做的工作,它有利于拟定综合性的国际参考文件,在创设和管理用于处理跨国界交易的单一窗口所涉的法律问题方面,为立法机构、政府决策机构、单一窗口运作机构和其他利益方提供参考意见。
The Commission’s involvement in such a project in cooperation with WCO and other organizations would have several benefits, including:委员会与海关组织和其他组织合作参与这一项目将有若干益处,其中包括:
better coordination of work between the Commission, WCO and UN/CEFACT; (b) being able to influence the content of a trade-facilitation text that may contain significant legislative aspects; and (c) promoting the use of UNCITRAL standards in the countries using the future reference document.(a)更好地协调委员会、海关组织和联合国电子商务中心之间的工作;(b)能够影响到可能包含重大立法问题的贸易便利化法规的内容;以及(c)在使用这一未来参考文件的国家中促进贸易法委员会各项标准的使用。
337. The Commission also agreed that it would be worthwhile for the Secretariat to keep under examination legal issues related to electronic equivalents to negotiable documents and other electronic systems for the negotiation and transfer of rights in goods, securities and other rights in electronic form.337. 委员会还一致认为,秘书处应不断审查与可转让单证的电子对等物以及以电子形式谈判和转让货物和证券上的权利及其他权利的其他电子制度有关的法律问题。
It was also stated that such work might reveal elements of commonality between single windows and electronic equivalents to negotiable documents.另据指出,这类工作可能会揭示单一窗口和可转让单证电子对等物之间的共同点。
The Commission was cautioned, however, that at present the project was not ripe for an intergovernmental working group as it had not yet been determined whether there was a need for any additional legislative work on the issues of negotiability in an electronic environment.但有与会者警告委员会说,目前该项目还未成熟到由政府间工作组开展的程度,因为还没有确定是否需要就电子环境下的可转让性问题开展额外立法工作。
It was also suggested that the organization of a colloquium by the Secretariat might help to identify specific areas in which the Commission might usefully undertake work in the future.另据指出,秘书处举办一次座谈会可能会有助于确定委员会可在今后开展有益工作的特定领域。
338. The Commission requested the Secretariat, at an initial stage, to engage actively, in cooperation with WCO and with the involvement of experts, in respect of the single window project and to report to the Commission on the progress of that work at its next session.338. 委员会请秘书处在初期阶段在在专家参与下,与海关组织合作积极开展单一窗口项目,并向委员会下届会议报告工作进展情况。
The Commission agreed to authorize holding a Working Group session in the spring of 2009, after full consultation with States, should this be warranted by the progress of work done in cooperation with WCO.委员会商定,如果与海关组织合作开展工作所取得的进展表明有必要的话,在与各国充分协商后,将授权在2009年春季举行工作组届会。
Possible future work in the area of commercial fraud九. 今后可能在商业欺诈领域开展的工作
Work on indicators of commercial fraud关于商业欺诈指标的工作
339. It was recalled that the Commission at its thirty-fifth to fortieth sessions, from 2002 to 2007, had considered possible future work on commercial fraud.339. 与会者回顾,委员会在2002年第三十五届会议至2007年第四十届会议上审议了今后可能在贸易欺诈领域开展的工作。
It was in particular recalled that at its thirty-seventh session, in 2004, with a view towards education, training and prevention, the Commission had agreed that the preparation of lists of common features present in typical fraudulent schemes could be useful as educational material for participants in international trade and other potential targets of perpetrators of fraud to the extent that such lists would help potential targets protect themselves and avoid becoming victims of fraudulent schemes.有与会者尤其回顾,委员会在2004年第三十七届会议上,一致认为可以从教育、培训和预防着眼,编拟一些关于典型欺诈做法共同特征的清单,作为参与国际贸易人员和有可能成为欺诈者目标的其他人的有用教材,此类清单应有助于这些人自我保护,避免成为欺诈做法的受害人。
While it was not proposed that the Commission itself or its intergovernmental working groups should be directly involved in that activity, it was agreed that the Secretariat should consider preparing, in close consultation with experts, such materials listing common features present in typical fraudulent schemes and that the Secretariat would keep the Commission informed of progress in that regard.虽然并未建议委员会或其各政府间工作组直接参与这项工作,但一致认为秘书处应考虑与专家密切协商,编拟列明典型欺诈做法共同特征的此类材料,并随时向委员会通报这方面的进展情况。
340. At its fortieth session (Vienna, 25 June-12 July and 10-14 December 2007) the Commission was informed that the Secretariat had, as requested, continued its work in conjunction with experts and other interested organizations with respect to identifying common features of fraudulent schemes in order to prepare materials of an educational nature for the purpose of preventing the success of fraudulent schemes.340. 委员会在第四十届会议(2007年6月25日至7月12日和12月10日至14日,维也纳)上获悉,秘书处按照要求,继续在查明欺诈做法的共同特征方面与专家和其他有关组织合作,以编写具有教育性质的材料,目的是防止欺诈做法得逞。
The results of that work were reflected in a note by the Secretariat entitled “Indicators of commercial fraud” (A/CN.9/624 and Add.1 and 2).该项工作的成果反映在秘书处题为“商业欺诈指标”的一份说明(A/CN.9/624及Add.1和2)中。
The Commission at that session commended the Secretariat, the experts and other interested organizations that had collaborated on the preparation of the indicators of commercial fraud for their work on the difficult task of identifying the issues and in drafting materials that could be of great educational and preventive benefit.委员会在该届会议上赞扬了合作编拟商业欺诈指标的秘书处、各位专家和其他有关组织,赞扬他们就查明问题和编拟材料这项艰巨任务所做的工作,这些材料可能具有很大的教育和预防意义。
At its fortieth session, the Commission requested the Secretariat to circulate the materials on indicators of commercial fraud for comment prior to the forty-first session of the Commission.在第四十届会议上,委员会请秘书处在委员会下届会议之前分发有关商业欺诈指标的材料以征求意见。
341. By a note verbale dated 8 August 2007 and a letter dated 20 September 2007, the draft text of the indicators of commercial fraud was circulated for comment to States and to intergovernmental and international non-governmental organizations that were invited to attend the meetings of the Commission and its working groups as observers.341. 通过2007年8月8日的一份普通照会和2007年9月20日的一封信函,将商业欺诈指标草案分发给各国和受邀以观察员身份出席委员会及其工作组会议的政府间组织和国际非政府组织征求意见。
342. At its current session, the Commission had before it the comments of States and organizations on the indicators of commercial fraud submitted to the Secretariat (A/CN.9/659 and Add.1 and 2) and the text of the indicators that had been circulated (A/CN.9/624 and Add.1 and 2).342. 委员会本届会议收到了提交给秘书处的各国和各组织就商业欺诈指标发表的意见(A/CN.9/659及Add.1和2),以及所分发的指标案文(A/CN.9/624及Add.1和2)。
Following its consideration of the comments of Governments and international organizations, the Commission reiterated its support for the preparation and dissemination of the indicators of commercial fraud, which were said to represent an extremely useful approach to a difficult problem.委员会在审议了各国政府和国际组织的意见之后,重申其支持编拟和分发商业欺诈指标的工作,据认为,这些指标是对一个棘手问题采取的极其有益的办法。
The indicators, it was said, would be an important and credible addition to the arsenal of weapons available in the battle against fraudulent practices, which were so detrimental to the commercial world.据指出,欺诈做法对商业界造成了巨大危害,除了目前可用于打击这些做法的手段外,这些指标是另一种重要而可靠的手段。
343. The Commission considered how best to proceed with respect to completing the work on the indicators of commercial fraud.343. 委员会审议了如何以最佳方式完成商业欺诈指标方面的工作。
Given the technical nature of the comments received and bearing in mind that such treatment should keep separate any criminal law aspects of commercial fraud, the Secretariat was requested to make such adjustments and additions as were advisable to improve the materials and then to publish the materials as a Secretariat informational note for educational purposes and fraud prevention.鉴于所收到的意见具有技术性,并且考虑到应分开处理商业欺诈的任何刑法方面,委员会请秘书处作出适当的调整和增补,以改进这些材料,并作为秘书处用于教育目的和防范欺诈的资料性说明出版这些资料。
The Commission was of the view that the materials could be incorporated by the Secretariat as a component of its broader technical assistance work, which could include dissemination and explanation to Governments and international organizations intended to enhance the educational and preventive advantages of the materials.委员会认为,秘书处可将这些资料作为一个组成部分纳入其更为广泛的技术援助工作,其中可包括向各国政府和国际组织分发和解释资料以增强资料的教育和预防作用。
Further, Governments and international organizations could be encouraged in turn to publicize the materials and make use of them in whatever manner was appropriate, including tailoring them to meet the needs of various audiences or industries.此外,可鼓励各国政府和国际组织反过来宣传这些资料并加以适当利用,包括对其进行修改以满足各种受众或行业的需要。
344. In terms of additional future work in the area of commercial fraud, one possible topic that was suggested was the creation of recommendations regarding fraud prevention.344. 关于今后在商业欺诈领域开展的工作,据建议,一个可能的专题是拟定关于如何预防欺诈的建议。
The Commission agreed that the publication of the indicators on commercial fraud and their incorporation into technical assistance work were very useful steps to be taken in the fight against such fraudulent schemes, leaving open the question of future work in the area to be considered by the Secretariat, which could make appropriate recommendations to the Commission.委员会一致认为,出版商业欺诈指标并将其纳入技术援助工作是打击这类欺诈做法的一个非常有益的步骤,并将今后在该领域开展工作的问题留给秘书处审议。 秘书处可向委员会提出适当建议。
Collaboration with the United Nations Office on Drugs and Crime with respect to commercial and economic fraud在商业和经济欺诈问题上与联合国毒品和犯罪问题办公室的合作
345. At its thirty-eighth session, in 2005, the Commission’s attention was drawn to Economic and Social Council resolution 2004/26 of 21 July 2004, pursuant to which an intergovernmental expert group would prepare a study on fraud and the criminal misuse and falsification of identity and develop on the basis of such a study relevant practices, guidelines or other materials, taking into account in particular the relevant work of UNCITRAL.345. 在委员会2005年第三十八届会议上,提请委员会注意经济及社会理事会2004年7月21日第2004/26号决议。 根据该决议,将由一个政府间专家组编写一份关于欺诈和非法滥用及伪造身份资料问题的研究报告,并根据这份研究报告拟定相应的做法、准则或其他资料,同时特别考虑到贸易法委员会的相关工作。
The resolution also recommended that the United Nations Office on Drugs and Crime (UNODC) serve as secretariat for the intergovernmental expert group, in consultation with the secretariat of UNCITRAL.该决议还建议秘书长与贸易法委员会秘书处协商后指定联合国毒品和犯罪问题办公室(毒品和犯罪问题办公室)担任该政府间专家组的秘书处。
346. At its thirty-ninth session, in 2006, and at its fortieth session, in 2007, the Commission had been informed that two meetings of the intergovernmental expert group convened by UNODC had taken place (in March 2005 and January 2007), with participation by the UNCITRAL secretariat, and that the expert group had completed its work on the Study on Fraud and the Criminal Misuse and Falsification of Identity (E/CN.15/2007/8 and Add.1-3).346. 委员会在2006年第三十九届会议和2007年第四十届会议上获悉,毒品和犯罪问题办公室召集了两次政府间专家组会议(2005年3月和2007年1月),贸易法委员会秘书处出席了这些会议;并获悉专家组已经完成了编拟关于欺诈和非法滥用及伪造身份资料问题研究报告的工作(E/CN.15/2007/8和Add.1-3)。
The Commission was informed at its fortieth session that the Commission on Crime Prevention and Criminal Justice had considered the study at its sixteenth session (Vienna, 23-27 April 2007) and had proposed a draft resolution for the Economic and Social Council with a number of recommendations, including encouraging the promotion of mutual understanding and cooperation between public- and private-sector entities through initiatives aimed at bringing together various stakeholders and facilitating the exchange of views and information among them and requesting UNODC to facilitate such cooperation in consultation with the UNCITRAL secretariat, pursuant to Council resolution 2004/26.委员会在第四十届会议上获悉,预防犯罪和刑事司法委员会第十六届会议(2007年4月23日至27日,维也纳)审议了这份研究报告,并提出一份决议草案供经济及社会理事会通过,其中载有一些建议,包括鼓励采取举措,使各利益相关方汇聚在一起并促进他们交流观点和信息,从而促进公共部门和私营部门实体之间的相互理解与合作,以及请毒品和犯罪问题办公室根据经济及社会理事会第2004/26号决议,与贸易法委员会秘书处协商促进这种合作。
The Council subsequently adopted, as resolution 2007/20 of 26 July 2007, the draft resolution proposed by the Crime Commission.经社理事会随后通过了预防犯罪委员会提出的这份决议草案,将其作为2007年7月26日第2007/20号决议。
347. At its current session, the Commission was advised that the UNODC secretariat had continued its work in pursuing various aspects of fraud, including work on identity fraud.347. 委员会本届会议获悉,毒品和犯罪问题办公室秘书处继续开展工作处理欺诈问题的各个方面,包括有关身份欺诈的工作。
In keeping with the request of the Commission at its previous session, the UNCITRAL secretariat had cooperated with UNODC in order to provide appropriate private sector and commercial expertise.贸易法委员会秘书处根据委员会上届会议提出的要求,与毒品和犯罪问题办公室进行了合作,以提供适当的私营部门和商业方面的专门知识。
The Commission noted that information with interest and requested its secretariat to continue to cooperate with and to assist UNODC in its work with respect to commercial and economic fraud and to report to the Commission regarding any developments in that respect.委员会感兴趣地注意到这一信息,请秘书处继续与毒品和犯罪问题办公室合作,协助其开展有关商业和经济欺诈问题的工作,并向委员会报告这方面的任何进展。
Fiftieth anniversary of the New York Convention十. 《纽约公约》五十周年
348. The General Assembly adopted on 6 December 2007 resolution 62/65 in which it recognized the value of arbitration as a method of settling disputes in international commercial relations in a manner that contributed to harmonious commercial relations, stimulated international trade and development and promoted the rule of law at the international and national levels.348. 大会于2007年12月6日通过了第62/65号决议,其中承认仲裁作为国际商业关系中解决争端的一个办法很有价值,有助于形成和谐的商业关系,推动国际贸易和发展,并在国际和国家一级促进法治。
The Assembly expressed its conviction that the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York on 10 June 1958 (the “New York Convention”), strengthened respect for binding commitments, inspired confidence in the rule of law and ensured fair treatment in the resolution of disputes arising over contractual rights and obligations.大会深信,1958年6月10日在纽约通过的《承认和执行外国仲裁裁决公约》(“《纽约公约》”)增强了对具约束力的承诺的尊重,激发对法治的信心,并确保在解决涉及合同权利和义务的争端时处事公平。
349. The General Assembly emphasized the necessity for further national efforts to achieve universal adherence to the Convention (which then had 142 States parties), together with its uniform interpretation and effective implementation.349. 大会强调各国必须作出进一步努力力求《公约》得到普遍加入(当时有142个缔约国),同时对其作出统一的解释并加以有效执行。
The Assembly expressed its hope that States that were not yet parties to the Convention would soon become parties to it, which would ensure that the legal certainty afforded by the Convention was universally enjoyed, decrease the level of risk and transactional costs associated with doing business and thus promote international trade.大会希望,尚未加入《公约》的国家不久就会加入,从而确保《公约》赋予的法律确定性能得到普遍共享,减少商业风险及相关的交易费用,并由此促进国际贸易。
In that context, the Assembly welcomed the initiatives being undertaken by various organs and agencies within and outside the United Nations system to organize conferences and other similar events to celebrate the fiftieth anniversary of the Convention and encouraged the use of those events for the promotion of wider adherence to the Convention and greater understanding of its provisions and their uniform interpretation and effective implementation.大会就此欢迎联合国系统内外各个机关和机构主动组织会议和其他类似活动来庆祝《公约》通过五十周年,鼓励利用这些活动推动更为广泛地加入《公约》和加深对其条文的了解,推动对其作出统一的解释并加以有效执行。
The Assembly requested the Secretary-General to increase efforts to promote wider adherence to the Convention and its uniform interpretation and effective implementation.大会请秘书长加强努力,推动更广泛地加入《公约》,对其作出统一的解释并加以有效执行。
350. At its current session, the Commission was informed that a one-day conference, organized jointly by the United Nations and the International Bar Association, was held in New York on 1 February 2008.350. 在其本届会议上,委员会获知,由联合国和国际律师协会联合组办于2008年2月1日在纽约举行了为期一天的会议。
More than 600 people from 50 countries participated in the event.来自50个国家的600多人参加了这项活动。
Leading arbitration experts from more than 20 different States gave reports on matters such as the history and significance of the Convention, practical perspectives on the enforcement of arbitration agreements and arbitral awards, the interplay between the Convention and other international texts and national legislation on arbitration, the recommendation regarding the interpretation of article II, paragraph 2, and article VII, paragraph 1, of the New York Convention, the procedural framework in which the New York Convention operated and opportunities and challenges for the future.20多个国家的研究仲裁问题的主要专家报告了若干事项的情况,其中包括《公约》的历史和意义、对仲裁协议和仲裁裁决执行情况的实际看法、《公约》与其他国际文书及各国仲裁立法之间的相互关系、关于解释《纽约公约》第二条第2款和第七条第1款的建议、《纽约公约》基本运作程序及今后面临的机遇和挑战。
The New York Convention was praised as one of the most important and successful United Nations treaties in the area of international trade law and as a landmark instrument for the legal effectiveness of international arbitration.与会者称赞《纽约公约》为联合国在国际贸易法方面的一项极为重要而且极为成功的条约,是对国际仲裁的法律效力具有里程碑意义的一项文书。
Interventions underlined the importance of pursuing efforts to promote the Convention and to disseminate information on its interpretation, including by organizing judicial colloquiums.发言均强调必须努力倡导《公约》,使用组织举办司法专题讨论会等形式传播如何对《公约》加以解释的信息。
351. The Commission was also informed that a conference to celebrate the anniversary of the New York Convention had been organized on 13 and 14 March 2008 in Vienna under the auspices of UNCITRAL and the International Arbitral Centre of the Austrian Federal Economic Chamber.351. 委员会还获知,2008年3月13日和14日在贸易法委员会及奥地利联邦商会国际仲裁中心的主持下组织举办了《纽约公约》周年庆祝大会。
Furthermore, part of the conference held by the International Council for Commercial Arbitration (Dublin, 8-10 June 2008) had been dedicated to celebrating and discussing the Convention.此外,由国际商事仲裁理事会(商事仲裁理事会)举行的一次会议(2008年6月8日至10日,都柏林)将用部分时间专门庆祝和讨论《公约》。
Other conferences dedicated to the Convention were being planned in Kuala Lumpur and Cairo.还计划在吉隆坡和开罗举办专门以《公约》为内容的其他会议。
352. The Commission expressed its appreciation to the organizers of the conferences and requested the Secretariat to continue monitoring such events and encouraged it to participate actively in initiatives for the promotion of the New York Convention.352. 委员会对这些会议的组织者表示感谢,请秘书处继续跟踪这类活动,并鼓励其积极参与以倡导《纽约公约》为目的的各项举措。
In that respect, the Commission also noted the importance of the project on monitoring the legislative implementation of the Convention (see paras. 353-360 below) as one that would assist States in ensuring the proper legislative implementation of the Convention and provide welcome advice to States considering becoming party to the Convention.委员会还就此表示,跟踪从立法角度落实《公约》情况的项目具有重要意义(见下文第353-360段),将能协助各国确保从立法角度适当落实《公约》,给考虑加入《公约》的国家提供有益的咨询意见。
It was recognized that information gathered in the context of the project on the procedural framework in which the Convention operated would enable the Commission to consider any further action it might take to improve the functioning of the Convention.人们承认,配合该项目而收集的关于《公约》基本运作程序的信息将能使委员会得以考虑为改进《公约》执行情况而应采取的任何其他行动。
Monitoring implementation of the New York Convention十一. 监测《纽约公约》的执行情况
353. The Commission recalled that, at its twenty-eighth session, in 1995, it had approved a project, undertaken jointly with Committee D (now known as the Arbitration Committee) of the International Bar Association, aimed at monitoring the legislative implementation of the New York Convention and at considering procedural mechanisms that States had adopted for the recognition and enforcement of arbitral awards under the New York Convention.353. 委员会回顾曾在1995年第二十八届会议上核准一个与国际律师协会D委员会(现为仲裁委员会)共同实施的项目,目的是监测《纽约公约》的立法执行情况,并考虑各国为承认和执行《纽约公约》下的仲裁裁决而实行的程序机制。
A questionnaire had been circulated to States with the purpose of identifying how the New York Convention had been incorporated into national legal systems and how it was interpreted and applied.向各国分发了一份调查表,目的是查明《纽约公约》如何纳入国内法律制度,以及如何解释和适用。
One of the central issues to be considered under that project was whether States parties had included additional requirements for recognition and enforcement of arbitral awards that were not provided for in the New York Convention.该项目下考虑的核心问题之一,是各缔约国是否增加了《纽约公约》所没有规定的承认和执行仲裁裁决的其他要求。
It was also recalled that the Secretariat had presented an interim report to the Commission at its thirty-eighth session, in 2005, which set out the issues raised by the replies received in response to the questionnaire circulated in connection with the project (A/CN.9/585).还据回顾,秘书处向委员会2005年第三十八届会议呈交了一份临时报告(A/CN.9/585),其中阐述了与该项目有关分发调查问卷之后从各份答复中发现的回题。
At its fortieth session, in 2007, the Commission was informed that a written report was intended to be presented at its forty-first session.委员会2007年第四十届会议获悉,有意在其第四十一届会议上提交一份书面报告。
354. At its current session, the Commission considered a written report in respect of the project, covering implementation of the New York Convention by States, its interpretation and application, and the requirements and procedures put in place by States for enforcing an award under the New York Convention, based on replies sent by 108 States parties to the New York Convention (A/CN.9/656 and Add.1).354. 委员会本届会议审议了有关该项目的书面报告,报告以《纽约公约》108个缔约国提交的答复为基础,介绍了各国执行《纽约公约》的情况,《纽约公约》的解释和适用,各国实施的执行《纽约公约》裁决的要求和程序(A/CN.9/656和Add.1)。
The Commission expressed its appreciation to those States parties which had provided replies as well as to the Arbitration Committee of the International Bar Association for its assistance to the Secretariat in gathering the information required to prepare the report.委员会表示感谢缔约国提供答复,并感谢国际律师协会仲裁委员会协助秘书处收集编写该报告所需的信息。
355. The Commission welcomed the recommendations and conclusions contained in the report, noting that they highlighted areas where additional work might need to be undertaken to enhance uniform interpretation and effective implementation of the New York Convention.355. 委员会欢迎该报告所载的建议和结论,注意到其中强调需要开展额外工作以加强《纽约公约》的统一解释和有效执行的领域。
It was noted that the application of national rules of procedure to matters on which the New York Convention was silent had given rise to diverging solutions to the many different procedural requirements that governed the recognition and enforcement of awards under the Convention, including on questions such as the requirements applicable to a request for enforcement, the correction of defects in applications, the time period for applying for recognition and enforcement of an award, and the procedures and competent courts for recourse against a decision granting or refusing enforcement of an award under the Convention.据指出,有关《纽约公约》未处理事项的国内程序规则的适用,已导致对关于承认和执行公约裁决的许多不同程序要求采取不同的解决办法,包括执行申请所适用的要求、申请中瑕疵的纠正、申请承认和执行一项裁决的期限、以及就一项准许或拒绝执行公约裁决的决定提出追诉的程序和主管法院等问题。
The Commission agreed that work should be undertaken to eliminate or limit the effect of legal disharmony in that field.委员会同意应当开展工作,以消除或限制这方面法律不一致所造成的影响。
The Commission was generally of the view that the outcome of the project should consist in the development of a guide to enactment of the New York Convention, with a view to promoting a uniform interpretation and application of the Convention, thus avoiding uncertainty resulting from its imperfect or partial implementation and limiting the risk that practices of States diverge from the spirit of the Convention.委员会普遍认为,该项目的成果应当包括拟订一部《纽约公约》颁布指南,以促进公约的统一解释和适用,从而避免执行不力或部分执行导致的不确定性,并限制各国的做法偏离公约精神的风险。
The Commission requested the Secretariat to study the feasibility of preparing such a guide.委员会请秘书处研究拟订这样的指南是否可行。
356. The Commission considered whether the replies to the questionnaire sent by States in the context of the project should be made publicly available by the Secretariat.356. 委员会考虑了秘书处是否应当公布各国在该项目中提交的对调查表的答复的问题。
It was recognized that the information on the procedural framework in which the Convention operated would enable the Commission to consider any further action it might take to improve the functioning of the Convention and would contribute to increasing awareness of its application.认识到有关公约运作的程序框架的信息将使委员会能够审议可为改进公约的运作采取哪些进一步行动,并有助于提高对公约适用的认识。
It was noted that replies to the questionnaire were provided by a number of States at the beginning of the project and that these were, in certain instances, outdated.注意到一些国家对调查表的答复是在项目开始时提交的,因此在某些情况下可能已经过时。
After discussion, the Commission requested the Secretariat to publish on the UNCITRAL website the information collected during the project implementation, in the language in which it was received, and urged States to provide the Secretariat with accurate information to ensure that the data published on the UNCITRAL website remained up to date.经过讨论,委员会请秘书处在贸易法委员会网站上以所收到信息的语文公布项目执行期间收集的信息,并促请各国向秘书处提供准确的信息,以确保在贸易法委员会网站上公布的数据始终是最新的。
357. The Commission recalled that the Commission on Arbitration of the International Chamber of Commerce had created a task force to examine the national rules of procedure for recognition and enforcement of foreign arbitral awards on a country-by-country basis.357. 委员会回顾,国际商会仲裁委员会设立了一个特别工作组,以逐个国家审查各国承认和执行外国仲裁裁决的程序规则。
The Commission expressed its appreciation to the Commission on Arbitration of the International Chamber of Commerce and commended the Secretariat for maintaining close collaboration between the two institutions.委员会对国际商会仲裁委员会表示感谢,并赞赏秘书处在两个机构之间保持密切协作。
It was noted that the cooperation between the Secretariat and the Commission on Arbitration of the International Chamber of Commerce would be helpful to identify information that might need to be updated.据指出,秘书处和国际商会仲裁委员会的合作将有助于查明可能需要更新的信息。
In view of the common features identified in the work of the Commission and the International Chamber of Commerce for the promotion of the New York Convention, the Commission expressed the wish that more opportunities for joint activities would be identified in the future.鉴于已查明委员会和国际商会在促进《纽约公约》方面的工作具有共同特征,委员会表示希望将来查明开展共同活动的更多机会。
The Secretariat was encouraged to develop new initiatives in that respect.鼓励秘书处拟订这方面的新举措。
358. The Commission was informed that conferences were expected to be organized to discuss the outcome of the project on monitoring the implementation of the New York Convention.358. 委员会获悉,预期将举行会议,讨论关于监测《纽约公约》的执行情况的项目的成果。
Conferences were being planned to be organized under the auspices of the International Bar Association and the International Chamber of Commerce.计划在国际律师协会和国际商会主持下举行会议。
The Secretariat was requested to monitor and seek active participation in such events.请秘书处监测并寻求积极参与这些活动。
359. The Commission noted that the recommendation adopted by the Commission at its thirty-ninth session, in 2006, regarding the interpretation of article II, paragraph 2, and article VII, paragraph 1, of the New York Convention had been circulated to States in order to seek comments as to the impact of that recommendation in their jurisdictions.359. 委员会注意到,2006年委员会第三十九届会议通过的关于《纽约公约》第二条第2款和第七条第1款的解释的建议已发给各国,以征求该建议在其法域有何影响的意见。
It was noted that States generally supported the recommendation as a means to promote a uniform and flexible interpretation, in different jurisdictions, of the writing requirement for arbitration agreements under article II, paragraph 2, of the New York Convention.据指出,各国普遍支持该建议,认为该建议有助于促进不同法域统一和灵活地解释《纽约公约》第二条第2款下仲裁协议的书面要求。
The recommendation was considered to be a means to encourage the development of rules favouring the validity of arbitration agreements and, despite its non-binding nature, it was said to be of particular importance in achieving a uniform interpretation of the Convention.认为该建议是鼓励拟订有利于仲裁协议有效性的规则的手段,并认为尽管没有约束力,该建议对于实现公约的统一解释仍然特别重要。
States considered that the recommendation might be of assistance to national courts in interpreting the requirement that an arbitration agreement be in writing in a more liberal manner.各国认为,该建议也许有助于各国内法院更加自由地解释仲裁协议须为书面形式的要求。
A large number of delegations considered that the recommendation encouraged enforcement of awards in the greatest number of cases as possible through article VII, paragraph 1, of the New York Convention allowing the application of national provisions that contained more favourable conditions to a party seeking to enforce an award.许多代表团认为,该建议通过使《纽约公约》第七条第1款允许适用载有对寻求执行一项裁决的当事人更有利条件的国内条款,鼓励在尽可能广泛的情况下执行裁决。
After discussion, the Commission agreed that any further comments received by the Secretariat from States on the recommendation be made part of the project on monitoring the implementation of the New York Convention.经过讨论,委员会同意秘书处从各国收到的有关该建议的进一步评论将作为监测《纽约公约》执行情况的项目的组成部分。
360. In addition, the Commission agreed that, resources permitting, the activities of the Secretariat in the context of its technical assistance programme could usefully include dissemination of information on the judicial interpretation of the New York Convention, which would usefully complement other activities in support of the Convention.360. 此外,委员会同意,若资源允许,秘书处在技术援助方案范围内开展的活动可以包括传播关于公约司法解释的信息,这项工作很有益处,将对旨在支持公约的其他活动起到有益的补充作用。
Technical assistance to law reform十二. 对法律改革的技术援助
Technical cooperation and assistance activities技术合作与援助活动
361. The Commission had before it a note by the Secretariat (A/CN.9/652) describing the technical cooperation and assistance activities undertaken subsequent to the date of the note on that topic submitted to the Commission at its fortieth session, in 2007 (A/CN.9/627).361. 委员会收到了秘书处的一份说明(A/CN.9/652),其中介绍了在向委员会2007年第四十届会议提交有关这一议题的说明(A/CN.9/627)之日后开展的技术合作与援助活动。
The Commission emphasized the importance of such technical cooperation and expressed its appreciation for the activities undertaken by the Secretariat referred to in document A/CN.9/652, paragraphs 7-27.委员会强调了此种技术合作的重要性,并对A/CN.9/652号文件第7-27段中所述秘书处开展的活动表示赞赏。
It was emphasized that legislative technical assistance, in particular to developing countries, was an activity that was not less important than the formulation of uniform rules itself.强调特别是对发展中国家的法律技术援助,这项活动的重要性不亚于拟订统一规则本身。
For that reason, the Secretariat was encouraged to continue to provide such assistance to the broadest extent possible.为此,鼓励秘书处继续尽可能广泛地提供这类援助。
Regional events that were a source of technical assistance were pointed out as particularly useful.指出作为技术援助来源的区域活动特别有用。
362. The Commission noted that the continuing ability to participate in technical cooperation and assistance activities in response to specific requests of States was dependent upon the availability of funds to meet associated UNCITRAL costs.362. 委员会注意到,能否继续根据各国的具体要求参加技术合作与援助活动取决于是否有资金负担贸易法委员会的相关费用。
The Commission in particular noted that, despite efforts by the Secretariat to solicit new donations, funds available in the UNCITRAL Trust Fund for Symposia were very limited.委员会尤其注意到,尽管秘书处努力争取新的捐款,贸易法委员会专题讨论会信托基金可用的资金仍然很有限。
Accordingly, requests for technical assistance activities had to be very carefully considered and the number of such activities limited.因此,不得不非常谨慎地考虑技术援助活动请求,并限制这类活动的数量。
Particular emphasis was being placed on regional activities involving several countries.特别强调了涉及几个国家的区域活动。
Beyond the end of 2008, requests for technical cooperation and assistance involving the expenditure of funds for travel or to meet other associated costs would have to be declined unless new donations to the Trust Fund were received or other alternative sources of funds could be found.到2008年底之后,技术合作和援助请求凡涉及旅费开支或其他相关费用的,将不得不加以拒绝,除非信托基金得到新的捐款或找到其他替代资金来源。
363. The Commission reiterated its appeal to all States, international organizations and other interested entities to consider making contributions to the UNCITRAL Trust Fund for Symposia, if possible in the form of multi-year contributions, or as specific-purpose contributions, in order to facilitate planning and enable the Secretariat to meet the increasing requests from developing countries and countries with economies in transition for technical assistance and cooperation activities.363. 委员会再次吁请所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金捐款,可能的话以多年捐款或专门用途捐款的形式捐款,以便利制订计划并使秘书处能够满足发展中国家和经济转型期国家提出的不断增加的技术援助与合作活动请求。
The Commission expressed its appreciation to Mexico and Singapore for contributing to the Trust Fund since the Commission’s fortieth session and to organizations that had contributed to the programme by providing funds or by hosting seminars.委员会对墨西哥和新加坡自委员会第四十届会议以来向该基金提供捐款以及一些组织通过提供经费或主办研讨会对该方案作出的贡献表示感谢。
The Commission also expressed its appreciation to France and the Republic of Korea, which had funded junior professional officers to work in the Secretariat.委员会还感谢法国和大韩民国为一些初级专业人员在秘书处工作提供了资金。
364. The Commission also 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.364. 委员会还吁请联合国系统相关机构、各组织、机构和个人提供自愿捐款,资助为向属于委员会成员国的发展中国家提供旅行补助而设立的信托基金。
The Commission also expressed its appreciation to Austria for contributing to the Trust Fund for Travel Assistance since the Commission’s fortieth session.委员会还感谢奥地利自委员会第四十届会议以来为旅行补助信托基金捐款。
Technical assistance resources技术援助资源
365. The Commission noted with appreciation the continuing work under the system established for the collection and dissemination of case law on UNCITRAL texts (CLOUT).365. 委员会赞赏地注意到在为搜集和传播贸易法委员会法规的判例法(法规判例法)而设立的系统下继续开展的工作。
As at 8 April 2008, 726 issues of compiled case-law abstracts from the CLOUT system had been prepared for publication, dealing with 761 cases relating mainly to the United Nations Sales Convention and the UNCITRAL Model Law on International Commercial Arbitration, but including some cases on the UNCITRAL Model Law on Cross-Border Insolvency.截至2008年4月8日,根据法规判例法系统已经编写了726期判例法摘要汇编以供发表,涉及761个案例,主要与《联合国销售公约》和《贸易法委员会国际商事仲裁示范法》有关,但也包括关于《贸易法委员会跨边界破产示范法》的一些案例。
366. It was widely agreed that the CLOUT system continued to be an important aspect of the overall technical assistance activities undertaken by UNCITRAL and that its broad dissemination in all six official languages of the United Nations promoted the uniform interpretation and application of UNCITRAL texts.366. 普遍认为,法规判例法系统仍然是贸易法委员会开展的全面技术援助活动的一个重要方面,而且以联合国全部六种正式语文广泛传播法规判例法推动了对贸易法委员会法规的统一解释和适用。
The Commission expressed its appreciation to the national correspondents and other contributors for their work in developing the CLOUT system.委员会对国家通信员和其他撰稿者在发展法规判例法系统方面所做的工作表示感谢。
The Secretariat was encouraged to take initiatives to extend the composition and vitality of the network of contributors to the CLOUT system.鼓励秘书处采取主动行动,扩大法规判例法系统撰稿者网络的组成和有效性。
367. The Commission noted that the digest of case law on the United Nations Sales Convention was currently being published and that a quarterly bulletin and an information brochure on the CLOUT system had been developed to facilitate dissemination of information on the system.367. 委员会注意到《联合国销售公约》判例法摘要目前正在出版当中,并且每季度编写《法规判例法公报》和法规判例法系统宣传册以促进该系统信息的传播。
368. The Commission also noted developments with respect to the UNCITRAL website (www.uncitral.org), emphasizing its importance as a component of the overall UNCITRAL programme of information and technical assistance activities.368. 委员会还注意到贸易法委员会网站(www.uncitral.org)的开发情况,强调该网站作为贸易法委员会宣传和技术援助活动总体方案的组成部分所具有的重要性。
The Commission expressed its appreciation for the availability of the website in the six official languages of the United Nations and encouraged the Secretariat to maintain and further upgrade the website in accordance with existing guidelines.委员会对于网站使用联合国六种正式语文表示赞赏,并鼓励秘书处根据现行准则对该网站加以维护并进一步升级换代。
It was noted with particular appreciation that, since the holding of the fortieth session of the Commission, the website had received over one million visits.特别赞赏地注意到,自委员会四十届会议举行以来,该网站受访次数超过了100万。
369. The Commission took note with appreciation of developments regarding the UNCITRAL Law Library and UNCITRAL publications, including the note of the Secretariat containing the bibliography of recent writings related to the work of UNCITRAL (A/CN.9/650).369. 委员会赞赏地注意到有关贸易法委员会法律图书馆和贸易法委员会出版物的动态,包括秘书处关于与贸易法委员会工作有关的最新著作目录的说明(A/CN.9/650)。
Status and promotion of UNCITRAL legal texts十三. 贸易法委员会法规的现状和促进
370. The Commission considered the status of the conventions and model laws emanating from its work and the status of the New York Convention, on the basis of a note by the Secretariat (A/CN.9/651) and updated information available on the UNCITRAL website.370. 委员会根据秘书处的一份说明(A/CN.9/651)和贸易法委员会网站上提供的最新资料,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。
With respect to model laws and legislative guides elaborated by it, the Commission noted that their use in, and influence on, the legislative work of States and intergovernmental organizations was considerably greater than suggested by the limited information available to the Secretariat and reflected in the note.关于由其拟订的示范法和立法指南,委员会注意到这些文书在各国和政府间组织立法工作中的利用及其影响远远超过向秘书处提供的以及该说明中反映的有限信息所表明的程度。
The Commission noted with appreciation the information on the following legislative actions of jurisdictions received since its fortieth session regarding the following instruments:委员会赞赏地注意到自其第四十届会议以来收到的关于有些法域就下列文书采取的以下立法行动的信息:
United Nations Convention on the Carriage of Goods by Sea, 1978 (Hamburg):《联合国海上货物运输公约》,1978年(汉堡):
new action by the Dominican Republic (2007) and Kazakhstan (2008); 34 States parties;采取新行动的国家为多米尼加共和国(2007年)和哈萨克斯坦(2008年);34个缔约国;
United Nations Convention on the Use of Electronic Communications in International Contracts (2005):《联合国国际合同使用电子通信公约》(2005年):
signatures by Colombia, Honduras, Iran (Islamic Republic of), Montenegro, Panama, the Philippines, the Republic of Korea and Saudi Arabia;新签署国为哥伦比亚、洪都拉斯、伊朗伊斯兰共和国、黑山、巴拿马、菲律宾、大韩民国和沙特阿拉伯;
UNCITRAL Model Law on International Commercial Arbitration (1985):《贸易法委员会国际商事仲裁示范法》(1985年):
legislation based on the Model Law enacted by Armenia (2006) and Slovenia (2008);根据示范法颁布法规的国家为亚美尼亚(2006年)和斯洛文尼亚(2008年);
UNCITRAL Model Law on Procurement of Goods, Construction and Services (1994):《贸易法委员会货物、工程和服务采购示范法》(1994年):
legislation based on the Model Law enacted by Nigeria (2007);根据示范法颁布法规的国家为尼日利亚(2007年);
UNCITRAL Model Law on Electronic Commerce (1996):《贸易法委员会电子商务示范法》(1996年):
legislation based on the Model Law enacted by Canada, including the territory of Nunavut (2004);根据示范法颁布法规的为加拿大,包括努纳武特地区(2004年);
UNCITRAL Model Law on Cross-Border Insolvency (1997):《贸易法委员会跨国界破产示范法》(1997年):
legislation based on the Model Law enacted by Australia (2008) and the Republic of Korea (2006);根据示范法颁布法规的国家为澳大利亚(2008年)和大韩民国(2006年);
UNCITRAL Model Law on International Commercial Conciliation (2002):《贸依法委员会国际商事调解示范法》(2002年):
legislation based on the Model Law enacted by Slovenia (2008).根据示范法颁布法规的国家为斯洛文尼亚(2008年)。
371. The Commission was informed, and noted with appreciation, that Japan had adopted legislation that would enable it to accede to the United Nations Sales Convention and that the instrument of accession would be deposited with the Secretary-General in due course.371. 委员会获悉并且赞赏地注意到,日本通过了将使其能够加入《联合国销售公约》的立法,加入书将在适当时间内交由秘书长保存。
372. The Commission heard that the United Nations Convention on the Use of Electronic Communications in International Contracts would be highlighted at the treaty event to be held from 23 to 25 and from 29 to 30 September 2008.372. 委员会获悉,将于2008年9月23日至25日及29日至30日举办条约活动期间,重点介绍《联合国国际合同使用电子通信公约》。
States were invited to consider participating in the treaty event by undertaking appropriate treaty actions relating to the Convention.请各国考虑通过采取与该公约有关的适当条约行动,参加上述条约活动。
It was recalled that the Convention had closed for signature on 16 January 2008.据回顾,该条约已于2008年1月16日结束签署。
Working methods of UNCITRAL十四. 贸易法委员会工作方法
373. At the first part of its fortieth session (Vienna, 25 June-12 July 2007), the Commission had before it observations and proposals by France on the working methods of the Commission (A/CN.9/635) and engaged in a preliminary exchange of views on those observations and proposals.373. 委员会第四十届会议第一部分(2007年6月25日至7月12日,维也纳)收到了法国对委员会工作方法的意见和建议(A/CN.9/635),并就这些意见和建议初步交换了看法。
It was agreed at that session that the issue of working methods would be placed as a specific item on the agenda of the Commission at its resumed fortieth session (Vienna, 10-14 December 2007).在该届会议上,与会者一致认为,应当将工作方法问题列作委员会第四十届会议续会(2007年12月10日至14日,维也纳)议程上的一个特别议题。
In order to facilitate informal consultations among all interested States, the Secretariat was requested to prepare a compilation of procedural rules and practices established by UNCITRAL itself or by the General Assembly in its resolutions regarding the work of the Commission.为方便所有相关国家进行非正式磋商,委员会请秘书处把由贸易法委员会自身所确定的或由大会关于委员会工作的决议所确定的各种议事规则和做法汇编成册。
The Secretariat was also requested to make the necessary arrangements, as resources permitted, for representatives of all interested States to meet on the day prior to the opening of the resumed fortieth session of the Commission and, if possible, during the resumed session.委员会还请秘书处在资源允许的情况下作出必要安排,以便所有相关国家的代表得以在委员会第四十届会议续会开幕前一天会面,而且如有可能还可在续会期间会面。
374. At its resumed fortieth session, the Commission considered the issue of the working methods of the Commission on the basis of observations and proposals by France (A/CN.9/635), observations by the United States (A/CN.9/639) and the requested note by the Secretariat on the rules of procedure and methods of work of the Commission (A/CN.9/638 and Add.1-6).374. 委员会第四十届会议续会以法国的意见和建议(A/CN.9/635)、美国的意见(A/CN.9/639)以及秘书处根据要求而提供的关于委员会议事规则和工作方法的说明(A/CN.9/638和Add.1-6)为基础,审议了委员会的工作方法问题。
The Commission was informed about the informal consultations held on 7 December 2007 among representatives of all interested States on the rules of procedure and methods of work of the Commission.委员会获知,所有相关国家的代表于2007年12月7日就委员会的议事规则和工作方法进行了非正式协商。
At that session, the Commission agreed that any future review should be based on the previous deliberations on the subject in the Commission, the observations by France and the United States (A/CN.9/635 and A/CN.9/639) and the note by the Secretariat (A/CN.9/638 and Add.1-6), which was considered as providing a particularly important historical overview of the establishment and evolution of the UNCITRAL rules of procedure and methods of work.在该届会议上,委员会商定,今后进行审查,应以委员会此前对该事项的审议情况、法国和美国的意见(A/CN.9/635和A/CN.9/639)及秘书处的说明(A/CN.9/638和Add.1-6)作为审查的基础,据认为,秘书处的说明从历史角度回顾了贸易法委员会议事规则及其工作方法的制定和演变过程,具有特别重要的意义。
The Commission also agreed that the Secretariat should be entrusted with the preparation of a working document describing current practices of the Commission based on the application of its rules of procedure and methods of work, in particular as regards decision-making and participation of non-State entities in the work of UNCITRAL, distilling the relevant information from its previous note (A/CN.9/638 and Add.1-6).委员会还商定,应当委托秘书处编写一份工作文件,根据其此前说明(A/CN.9/638和Add.1-6)所提供的有关资料,介绍委员会对适用议事规则和工作方法,特别是对决策和非国家实体参加贸易法委员会工作的现行做法。
That working document would be used for future deliberations on the subject in the Commission in formal and informal settings.该工作文件将在委员会今后就此事项进行正式和非正式审议时使用。
It was understood that, where appropriate, the Secretariat should indicate its observations on the rules of procedure and methods of work for consideration by the Commission.按照所达成的理解,秘书处应酌情就议事规则和工作方法提出意见供委员会审议。
The Commission further agreed that the Secretariat should circulate the working document to all States for comment and subsequently compile any comments it might receive, that informal consultations among all interested States might be held, if possible, before the forty-first session of the Commission and that the working document might be discussed at the Commission’s forty-first session, time permitting.委员会还商定,秘书处应当将该工作文件分发给所有国家征求意见,然后汇总可能收到的任何意见;如有可能,所有相关国家可在委员会第四十一届会议之前举行非正式协商;如时间允许,可在委员会第四十一届会议上讨论该工作文件。
375. At its current session, the Commission had before it a note by the Secretariat describing current practices of the Commission as regards decision-making, the status of observers in UNCITRAL and the preparatory work undertaken by the Secretariat, and outlining observations by the Secretariat on working methods (A/CN.9/653).375. 委员会本届会议收到一份秘书处的说明,其中对委员会关于决策的现行做法、观察员在贸易法委员会中的地位及秘书处所做的准备工作作了介绍,同时扼要说明了秘书处对工作方法的意见(A/CN.9/653)。
That note had been circulated for comments.该说明已分发征求意见。
The Commission also had before it a note by the Secretariat compiling the comments received prior to the current session (A/CN.9/660 and Add.1-4).委员会还收到一份汇总本届会议之前收到的意见的秘书处说明(A/CN.9/ 660和Add.1-4)。
376. The Commission expressed particular appreciation for document A/CN.9/653 and generally agreed that the document provided a sound basis for developing a text of a more normative nature.376. 委员会对A/CN.9/653号文件尤表赞赏,普遍认为该文件为拟订更规范的案文奠定了坚实的基础。
The Commission had a preliminary exchange of views on the three main items discussed in the document, namely, decision-making, the role of observers and the preparatory work undertaken by the Secretariat, as well as on the appropriateness of convening a working group on working methods.委员会就该文件所述三个主要议题初步交换了看法,这三个议题是决策、观察员的作用和秘书处所做的准备工作,另外还就是否应当召集一个关于工作方法的工作组交换了看法。
377. With respect to decision-making, there was general agreement that consensus should remain the preferred method.377. 关于决策问题,会上普遍认为,仍然应当把协商一致作为首选方法。
As to the exact meaning of “consensus”, the Commission took note of the view expressed at its fortieth session that it should exercise utmost caution in entering areas such as the possible definition of consensus, where its decisions might have an impact on the work of other bodies of the General Assembly.关于“协商一致”的确切含义,委员会注意到在第四十届会议上所发表的看法,即委员会应当尽量谨慎行事,避免涉足某些方面,例如对协商一致下定义,委员会在这方面作出决定会影响到大会其他机构。
At its current session, there was broad support in the Commission to avoid entering into efforts to arrive at a definition of “consensus”.在委员会本届会议上,普遍支持避免试图对协商一致下定义。
However, general support was expressed for clarifying the manner in which consensus operated in practice.但普遍支持对协商一致方法的实际运作方法加以澄清。
Support was also expressed for clarifying that voting as a right of member States under the Charter of the United Nations was fully recognized by the Commission.还有与会者支持作出如下澄清,即表决权是《联合国宪章》赋予会员国的一项权利,委员会已对此予以充分承认。
On those two points, the Commission agreed with the substance of the explanations provided in paragraphs 9 to 11 and 13 to 18 of the note by the Secretariat (A/CN.9/653).对于这两点,委员会赞同秘书处说明第9至11段和第13至18段中所载解释的实质内容(A/CN.9/653)。
378. As to the role of observers, the Commission was generally of the view that its approach should continue to be based on flexibility and inclusiveness.378. 关于观察员的作用问题,委员会普遍认为,委员会应当继续在灵活和包容的基础上对待这一问题。
The broad openness of the Commission and its subsidiary bodies to observers from State and non-State entities was widely recognized as a key element in maintaining the high quality and the practical relevance of the work of the Commission.委员会及其附属机构对国家和非国家实体的观察员持普遍开放态度,这已得到人们的普遍承认,被视为得以确保委员会的工作质量高而且切实有效的一个关键要素。
The participation of observers in the deliberations of the Commission (including through their election as members of the Bureau of the Commission or a working group in a personal capacity, as appropriate) and the possibility for them to circulate documents (subject to the authority of the presiding officer as mentioned in para. 47 of the note by the Secretariat) were generally welcomed.人们普遍欢迎观察员参与委员会审议工作(包括酌情以个人身份当选委员会或工作组主席团成员)并且享有分发文件的可能性(如秘书处说明第47段所述,分发文件须征得会议主席的同意)。
As to decision-making, it was widely felt that only States members of the Commission should be called upon to vote.关于决策问题,普遍认为只有委员会的成员国有表决权。
When no formal voting was involved, the Commission noted that under existing practice States not members of the Commission would typically participate in the formation of a consensus, although some delegations were of the view that only States members of the Commission should be considered for the purposes of establishing a consensus.委员会注意到,根据现行做法,在不涉及正式表决时,委员会非成员国通常也可参与形成协商一致的过程,不过有些代表团认为,为了达成协商一致,只应考虑委员会的成员国。
The current practice, which was generally regarded as having led to good results in the past, was found to be consistent with the Commission’s aspiration to achieve universal acceptability of its standards.普遍认为,目前的做法以往取得了良好效果,而且与委员会希望其所定准则得到普遍接受的愿望是一致的。
However, it was noted that a number of theoretical problems might result from that practice and that the issue might need to be further discussed at a future session.但有与会者注意到,该做法或许会造成一些理论上的问题,可能需要在今后的一届会议上加以进一步讨论。
Regarding the possible distinction to be drawn between different categories of non-governmental entities depending upon their working relationships with the Commission, the Commission welcomed the proposals contained in paragraphs 29 to 36 of the note by the Secretariat and decided that more detailed consideration should be given to those issues at a later stage.关于可否根据各类非政府实体与委员会之间的工作关系而对其加以区分的问题,委员会欢迎秘书处说明第29至36段所载建议,决定以后应更为详细地审议这些问题。
There was agreement that non-State entities should not participate in decision-making.一致认为,非国家实体不应参与决策。
379. With respect to the working methods of the Secretariat, the Commission expressed its general satisfaction with the substance of paragraphs 53 to 61 of the note by the Secretariat (A/CN.9/653).379. 关于秘书处的工作方法,委员会对秘书处说明第53至61段的实质内容普遍表示满意(A/CN.9/653)。
Transparency was recognized as a desirable objective.会上承认应当力求工作具有透明度。
It was generally agreed that it was particularly important for the Secretariat to preserve the flexibility necessary to organize its work efficiently, including through recourse to external expertise.与会者普遍认为,为了保证工作安排的效率,秘书处尤其应当保持必要的灵活性,包括可以采取聘用外部专家的做法。
A widely held view was that efforts should be made, within existing resources, to increase the availability of working drafts and other preparatory materials used by the Secretariat in the two working languages and possibly in other official languages.普遍持有的一种看法认为,对于秘书处使用的暂定稿和其他准备材料,应当争取在现有资源的范围内更多地以两种工作语文提供,可能的话还要以其他正式语文提供。
Along the same lines, it was stated that every effort should be made to provide simultaneous interpretation at expert group meetings convened by the Secretariat.本着同样的思路,有与会者称,应当尽一切努力为秘书处召集的专家组会议配备同声传译。
380. With respect to the question of further work, a proposal was made to establish a working group.380. 关于下一步工作问题,建议设立一个工作组。
There was support for holding informal consultations instead.也有人支持举行非正式协商。
It was agreed that a meeting of such an informal group would take place in connection with the next session of the Commission.会议商定,应当配合委员会下届会议举行这种非正式小组会议。
381. After discussion, the Commission requested the Secretariat to prepare a first draft of a reference document, based on the note by the Secretariat (A/CN.9/653), for use by chairpersons, delegates and observers and by the Secretariat itself.381. 经讨论后,委员会请秘书处在其说明(A/CN.9/653)的基础上编写参考文件初稿,供会议主席、与会代表和观察员及秘书处自己使用。
It was understood that the reference document should be somewhat more normative in nature than document A/CN.9/653.有一项理解是,较之于A/CN.9/653号文件,这份参考文件的规范性应略强一些。
While the term “guidelines” was most often used to describe the future reference document, no decision was made as to its final form.关于今后的这份参考文件,虽然使用最多的描述语是“准则”,但最终采用什么形式,尚未作出决定。
The Secretariat was requested to circulate the draft reference document for comments by States and interested international organizations and to prepare a compilation of those comments for consideration by the Commission at its forty-second session.委员会请秘书处分发该参考文件草稿,请各国和相关国际组织发表意见,然后汇总这些意见交委员会第四十二届会议审议。
Without prejudice to other forms of consultation, the Commission decided that two days should be set aside for informal meetings to take place, with interpretation in the six official languages of the United Nations, at the beginning of the forty-second session of the Commission to discuss the draft reference document.在不影响其他协商方式的情况下,委员会决定,在委员会第四十二届会议开始时,应当拨出两天时间举行配备联合国六种正式语文口译服务的非正式会议,专门讨论该参考文件草稿。
(For the decision on the dates of the forty-second session of the Commission, see para. 395 below.)(关于委员会第四十二届会议会期的决定,见下文第395段。
Coordination and cooperation) 十五. 协调与合作
382. The Commission had before it a note by the Secretariat (A/CN.9/657 and Add.1 and 2) providing a brief survey of the work of international organizations related to the harmonization of international trade law, focusing upon substantive legislative work.382. 委员会收到了秘书处的说明(A/CN.9/657及Add.1和2),其中介绍了对各国际组织与协调国际贸易法有关工作的简要调查结果,特别侧重于实质性立法工作。
The Commission commended the Secretariat for the preparation of the document, recognizing its value to coordination of the activities of international organizations in the field of international trade law, and welcomed the announced change from publication of the survey on an annual basis to the anticipated future publication of more numerous instalments of the survey as issues arose throughout the year.委员会称赞秘书处编写这份文件,承认该报告对于协调各国际组织在国际贸易法领域的活动非常重要,并欢迎如宣布的那样,将每年公布调查结果,改为预期将来随着问题的产生,在全年多次分批公布调查结果。
383. It was recalled that the Commission at its thirty-seventh session, in 2004, had agreed that it should adopt a more proactive attitude, through its secretariat, to fulfilling its coordination role.383. 会议回顾,委员会2004年第三十七届会议商定,委员会应通过其秘书处,积极主动地履行协调职责。
Recalling the endorsement by the General Assembly, most recently in its resolution 62/64 of 6 December 2007, paragraph 4, of UNCITRAL efforts and initiatives towards coordination of activities of international organizations in the field of international trade law, the Commission noted with appreciation that the Secretariat was taking steps to engage in a dialogue, on both legislative and technical assistance activities, with a number of organizations, including the Hague Conference on Private International Law, the Organization for Economic Cooperation and Development, the Organization of American States, the International Institute for the Unification of Private Law (Unidroit), the World Bank and the World Trade Organization.委员会回顾,大会曾在最近的2007年12月6日第62/64号决议第4段核可了贸易法委员会为协调各国际组织在国际贸易法领域的活动而作出的努力和采取的举措,委员会赞赏地注意到,秘书处正在采取各种步骤,就立法活动和技术援助活动与一些组织进行对话,这些组织包括海牙国际私法会议、经济合作及发展组织、美洲国家组织、国际统一私法协会(统法协会)、世界银行和世界贸易组织。
The Commission noted that that work often involved travel to meetings of those organizations and the expenditure of funds allocated for official travel.委员会注意到,这方面的工作通常涉及出差去参加这些组织的会议以及为公务旅行拨出的经费支出。
The Commission reiterated the importance of coordination work being undertaken by UNCITRAL as the core legal body in the United Nations system in the field of international trade law and supported the use of travel funds for that purpose.委员会重申贸易法委员会作为联合国系统在国际贸易法领域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。
384. By way of example of current efforts at coordination, the Commission was advised of coordination meetings having taken place in September 2007 in Rome and in May 2008 in New York among the secretariats of the Hague Conference on Private International Law, Unidroit and UNCITRAL.384. 通过当前协调工作举例,委员会获悉,2007年9月在罗马以及2008年5月在纽约,海牙国际私法会议、统法协会和贸易法委员会的秘书处举行了协调会议。
The main topic discussed at those meetings was the interrelationship among the texts on security interests prepared by the Hague Conference on Private International Law, Unidroit and UNCITRAL respectively, and ways in which States could adopt those texts to establish a modern comprehensive and consistent legislative regime on secured transactions.协调会议讨论的主要议题是由海牙国际私法会议、统法协会和贸易法委员会分别编拟的担保权益案文之间的相互关系,以及各国如何能够采纳这些案文从而建立全面和一致的现代担保交易法律制度。
In particular, the Commission was advised that it was recognized that policymakers in States might have difficulty determining how the various instruments adopted by the three organizations in the field of security interests fit together, which ones would best serve the policy goals of the State and whether implementing one instrument would preclude the implementation of another.特别是,委员会获悉,协调会议承认各国决策者可能难以确定三个组织通过的担保交易领域的不同文书如何做到协调无间,哪一部文书最符合本国的政策目标,以及执行一部文书是否妨碍执行另一部文书。
The Commission was advised that the three organizations were, therefore, preparing a paper aimed at assisting policymakers by summarizing the scope and application of those instruments, showing how they worked together and providing a comparative understanding of the coverage and basic themes of each instrument.委员会获悉,三个组织因此正在编写一份文件,目的是概述这些文书的范围和适用问题,说明这些文书如何共同发挥作用,并以比较方式说明如何认识每份文书的覆盖范围和基本思路。
It was suggested that the paper could be published as one of the future instalments of the ongoing survey of the work of international organizations related to the harmonization of international trade law. There were strong expressions of support in the Commission for those efforts.建议该文件可予公布,作为未来分批公布对各国际组织与协调国际贸易法有关工作的持续调查的活动之一。
Role of UNCITRAL in promoting the rule of law at the national and international levels十六. 委员会在促进国内和国际法治方面的作用
385. The Commission recalled General Assembly resolutions 61/39 of 4 December 2006 and 62/70 of 6 December 2007, both dealing with the rule of law at the national and international levels.385. 委员会回顾了大会2006年12月4日第61/39号决议和2007年12月6日第62/70号决议,这两份决议都涉及国内和国际法治。
The Commission was informed that pursuant to Assembly resolution 62/70, an inventory of activities devoted to the promotion of the rule of law at the national and international levels would be submitted to the Assembly at its sixty-third session, along with an inventory of activities of other organs and offices within the United Nations system devoted to the promotion of the rule of law at the national and international levels.委员会获悉,根据大会第62/70号决议,将向大会第六十三届会议提交专门为促进国内和国际法治而开展的活动清单,以及联合国系统内其他机关和办事处专门为促进国内和国际法治而开展的活动清单。
Furthermore, the Commission noted that the Assembly had requested the Secretary-General to submit, at its sixty-third session, a report identifying ways and means for strengthening and coordinating the activities listed in the inventory, with special regard to the effectiveness of assistance that might be requested by States in building capacity for the promotion of the rule of law at the national and international levels.委员会还注意到,大会请秘书长向大会第六十三届会议提交一份报告,指出可用于加强和协调清单所列活动的办法,报告应特别注意各国为促进国内和国际法治而可能需要的能力建设援助的效力。
In addition, the Commission noted with appreciation the invitation of the Assembly addressed to the Commission (and the International Court of Justice and the International Law Commission) to comment, in their respective reports to the General Assembly, on their current roles in promoting the rule of law.另外,委员会赞赏地注意到,大会邀请委员会(以及国际法院和国际法委员会)在各自提交大会的报告中对其目前促进法治的作用发表评论。
(For further consideration of relevant General Assembly resolutions, see below, paras. 388 and 389.)(关于大会有关决议的进一步审议情况,见下文第388和389段。
386. The Commission welcomed and expressed its full support for the initiative of the General Assembly regarding the strengthening of the rule of law.) 386. 委员会欢迎大会关于加强法治的倡议,并对此表示充分支持。
The Commission expressed its conviction that the implementation and effective use of modern private law standards on international trade in a manner that was acceptable to States with different legal, social and economic systems were essential in advancing good governance, sustained economic development and the eradication of poverty and hunger.委员会坚信,以具有不同的法律、社会和经济制度的国家可接受的方式执行和有效利用关于国际贸易的现代司法标准,对于促进善政、可持续的经济发展以及消除贫困和饥饿非常重要。
The work of the Commission was thus indispensable in promoting the well-being of all peoples and peaceful coexistence and cooperation among States.因此委员会的工作在促进各民族福祉和国家之间的和平共处与合作方面,是不可或缺的。
The Commission therefore expressed its conviction that promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the Assembly and the Secretary-General to promote the rule of law at the national and international levels, including through the Rule of Law Coordination and Resource Group, supported by the rule of law unit in the Executive Office of the Secretary-General.故此,委员会坚信,促进商业关系中的法治应当是大会和秘书长促进国内和国际法治广泛议程的一个组成部分,包括通过法治协调和资源小组,在秘书长办公厅法治部门支持下开展这一工作。
The Commission was looking forward to being part of strengthened and coordinated activities of the Organization and saw its role in particular as providing assistance to States that sought to promote the rule of law in the area of international and domestic trade and investment.委员会期待着参加联合国得到加强和协调的活动,并特别在向寻求在国际和国内贸易与投资领域促进法治的国家提供援助方面发挥作用。
Willem C. Vis International Commercial Arbitration Moot competition十七. 维斯国际商事模拟仲裁辩论赛
387. It was noted that the Association for the Organization and Promotion of the Willem C. Vis International Commercial Arbitration Moot had organized the Fifteenth Moot in Vienna from 14 to 20 March 2008.387. 会议注意到,2008年3月14日至20日,举办和推广维斯国际商事模拟仲裁辩论赛协会在维也纳举办了第十五届辩论赛。
As in previous years, the Moot had been co-sponsored by the Commission.与往年一样,此次辩论赛由委员会协办。
It was noted that legal issues dealt with by the teams of students participating in the Fifteenth Moot had been based on the United Nations Sales Convention, the Judicial Arbitration and Media Services JAMS International Arbitration Rules, the Arbitration Model Law and the New York Convention.注意到参加第十五届辩论赛的各学生队所讨论的法律问题都以《联合国销售公约》、《司法仲裁和调解服务公司(JAMS)国际仲裁规则》、《仲裁示范法》和《纽约公约》为基础。
A total of 203 teams from law schools in 52 countries had participated in the Fifteenth Moot.来自52个国家的法学院的总共203支赛队参加了第十五届辩论赛。
The best team in oral arguments was that of Carlos III University of Madrid.口头辩论优胜队是马德里的卡洛斯三世大学队。
The Sixteenth Willem C. Vis International Commercial Arbitration Moot would be held in Vienna from 2 to 9 April 2009.第十六届维斯国际商事模拟仲裁辩论赛将于2009年4月2日至9日在维也纳举行。
Relevant General Assembly resolutions十八. 大会有关决议
388. The Commission took note with appreciation of General Assembly resolution 62/64 on the report of the Commission on the work of its fortieth session.388. 委员会赞赏地注意到大会关于委员会第四十届会议工作报告的第62/64号决议。
The Commission noted in particular the appreciation expressed to the Commission by the Assembly for its work on the draft UNCITRAL Legislative Guide on Secured Transactions, for the progress achieved in the ongoing projects of the Commission, for the discussion by the Commission of its working methods and for the holding of the Congress “Modern Law for Global Commerce” in Vienna from 9 to 12 July 2007.委员会尤其注意到大会就以下方面向委员会表示的感谢: 委员会编写贸易法委员会担保交易立法指南草案的工作;委员会现有项目取得的进展;委员会就其工作方法举行的讨论以及2007年7月9日至12日在维也纳举行的“全球商务现代法”大会。
The Commission also took note with appreciation of Assembly resolution 62/65 of 6 December 2007 on the Fiftieth anniversary of the New York Convention, and welcomed the emphasis placed on the need to promote wider adherence to the Convention and greater understanding of its provisions and their uniform interpretation and effective implementation.委员会还赞赏地注意到大会2007年12月6日关于《纽约公约》五十周年的第62/65号决议,欢迎大会强调必须推动更广泛地加入该公约,加深对公约条文的理解并对其进行统一解释和有效执行。
389. The Commission was apprised of the pertinent statements made by the Vice-Chairperson of the Commission at its fortieth session, Kathryn Sabo, when she presented the annual report of the Commission to the Sixth Committee of the General Assembly on 22 October 2007 and at the conclusion of the Committee’s consideration of the item on 23 October 2007.389. 委员会了解到,委员会第四十届会议副主席Kathryn Sabo在2007年10月22日向大会第六委员会提交委员会年度报告时并在委员会于2007年10月23日结束该项目的审议时作了中肯发言。
The Vice-Chairperson in her opening statement welcomed the consideration in a comprehensive and coherent manner by the Assembly of ways and means to promote the rule of law at the national and international levels.副主席在其开幕式发言中欢迎大会以一种全面而一致的方式审议了促进国内和国际法治的方式方法问题。
She noted current sporadic and fragmented approaches within the United Nations in that regard.她注意到目前联合国内部在这方面采取的零敲碎打的做法。
With the primary focus on criminal justice, transitional justice and judicial reform, these approaches, she stated, often overlooked the economic dimension of the rule of law, including the need for commercial law reforms as an essential foundation for long-term stability, development, empowerment and good governance.关于初步将重点放在刑事司法、过渡性司法和司法改革方面,她说,这些做法往往忽略法治的经济层面,包括需要进行商法改革,为长期稳定、发展、提高能力和善政奠定必要的基础。
She further stated that, as United Nations experience in various areas of its operation had shown, approaches to building and promoting the rule of law had to be comprehensive and coherent in order to achieve sustained results.她进一步指出,联合国运作的各方面经验表明,建立和促进法治,必须采取全面一致的做法才能取得持续的成果。
(For the discussion of the role of the Commission in promoting the rule of law at the national and international levels, see paras. 385 and 386 above.)(关于委员会在促进国内和国际法治方面作用的讨论,见上文第385和386段。 )
Other business十九. 其他事项
Internship programme实习方案
390. An oral report was presented on the internship programme at the UNCITRAL secretariat.390. 会上就贸易法委员会秘书处的实习方案作了口头报告。
Although general appreciation was expressed for the programme, which is designed to give young lawyers the opportunity to become familiar with the work of UNCITRAL and to increase their knowledge of specific areas in the field of international trade law, it was observed that only a small proportion of interns were nationals of developing countries.虽然普遍对该方案表示赞赏—该方案的目的是向年轻律师提供熟悉贸易法委员会工作的机会,加深他们对国际贸易法领域特定方面的了解,但有与会者称,实习生中只有一小部分为发展中国家的国民。
A suggestion was made that consideration should be given to establishing the financial means of supporting wider participation by young lawyers from developing countries.有与会者建议,应考虑确定支助发展中国家年轻律师更广泛参与的经济手段。
That suggestion was supported.该建议得到了支持。
Proposed strategic framework for the period 2010-20112010-2011年期间拟议战略框架
391. The Commission had before it a document entitled “Proposed strategic framework for the period 2010-2011” (A/63/6 (Prog. 6)) and was invited to review the proposed biennial programme plan for “the progressive harmonization, modernization and unification of the law of international trade” (subprogramme 5 of the Office of Legal Affairs).391. 委员会收到了题为“2010-2011年期间拟议战略框架”的文件(A/63/6 (Prog. 6)),该文件请委员会审查拟议的“国际贸易法的逐渐协调、现代化和统一”两年期方案计划(法律事务厅次级方案5)。
The Commission noted that the proposed plan had been reviewed by the Committee for Programme and Coordination at its forty-eighth session and would be transmitted to the General Assembly at its sixty-third session.委员会注意到该拟议计划已经方案和协调委员会第四十八届会议审查,并将转交大会第六十三届会议。
While the Commission noted with satisfaction that the objectives and expected accomplishments of the Secretariat and the overall strategy for subprogramme 5 as reflected in the document were in line with the general policy of the Commission, grave concerns were expressed that the resources allotted to the Secretariat under subprogramme 5 were insufficient for it to meet, in particular, the increased and pressing demand for technical assistance from developing countries and countries whose economies were in transition to meet their urgent need for law reform in the field of commercial law.委员会满意地注意到,该文件所反映的次级方案5的目标、秘书处预期成绩和总体战略与委员会的总体政策是一致的,同时严重关切的是,在次级方案5下拨给秘书处的资源,不足以满足特别是迫切需要在商法领域进行法律改革的发展中国家和经济转型期国家已经增加的对技术援助的急迫需求。
The Commission urged the Secretary-General to take steps to ensure that the comparatively small amount of additional resources necessary to meet a demand so crucial to development be made promptly available.委员会促请秘书长采取步骤,确保及时提供为满足这一对发展至关重要的需求所需的数额相对较少的追加资源。
(For the discussion of the role of the Commission in promoting the rule of law at the national and international levels, see paras. 385 and 386 above.)(关于委员会在促进国内和国际法治方面的作用的讨论,见上文第385和386段。 )
Evaluation of the role of the Secretariat in facilitating the work of the Commission评价秘书处在促进委员会工作方面发挥的作用
392. As indicated to the Commission at its fortieth session, it was recalled that the programme budget for the biennium 2008-2009 listed among the “expected accomplishments of the Secretariat” its contribution to facilitating the work of UNCITRAL.392. 如向委员会第四十届会议指出的那样,回顾2008-2009两年期方案预算在“秘书处预期成绩”下列入了秘书处对促进贸易法委员会工作所作的贡献。
The performance measure of that expected accomplishment was the level of satisfaction of UNCITRAL with the services provided, as evidenced by a rating on a scale ranging from 1 to 5 (5 being the highest rating).该预期成绩的业绩计量为贸易法委员会对所提供服务的满意度,以评分表示,评分等级从1到5(5分为最高评分)。
The Commission agreed to provide feedback to the Secretariat.委员会同意向秘书处提供反馈意见。
It was recalled that a similar question regarding the level of satisfaction of UNCITRAL with the services provided by the Secretariat had been asked at the close of the fortieth session of the Commission.回顾在委员会第四十届会议结束时曾就贸易法委员会对秘书处所提供服务的满意度提出类似问题。
It had elicited replies from 20 delegations, with an average rating of 4.3.已得到20个代表团的答复,平均评分为4.3。
Retirement of the Secretary of the Commission委员会秘书退休
393. The Commission noted that its Secretary, Jernej Sekolec, was to retire on 31 July 2008.393. 委员会注意到其秘书Jernej Sekolec将于2008年7月31日退休。
Mr. Sekolec had served as a member of the Secretariat since 1982 and as Secretary of the Commission since 2001.Sekolec先生自1982年起供职于秘书处,2001年起担任委员会秘书。
It was widely recognized that the time during which Mr. Sekolec had served as Secretary of the Commission had been a most productive one and that the secretariat of the Commission under the leadership of Mr. Sekolec had made an excellent contribution to that work despite the limited resources available to it.与会者普遍承认,Sekolec先生担任委员会秘书期间委员会取得了丰硕成果,在Sekolec先生领导下,委员会秘书处为委员会的工作作出了非凡的贡献,尽管可用资源非常有限。
The Commission expressed its appreciation to Mr. Sekolec for his outstanding contribution to the process of unification and harmonization of international trade law in general and to UNCITRAL in particular.委员会感谢Sekolec先生为整个国际贸易法统一和协调工作特别是为贸易法委员会作出的突出贡献。
394. At its 885th meeting, on 30 June 2008, the Commission adopted the following declaration:394. 委员会在2008年6月30日第885次会议上通过了下述声明:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Being informed that Mr. Jernej Sekolec, Secretary, United Nations Commission on International Trade Law (UNCITRAL) and Director, International Trade Law Division, Office of Legal Affairs, having reached the age of retirement, would leave the United Nations Secretariat on 31 July 2008,“获悉联合国国际贸易法委员会(贸易法委员会)秘书兼法律事务厅国际贸易法司司长Jernej Sekolec先生已届退休年龄,将于2008年7月31日告别联合国秘书处,
“Expresses its deep appreciation for his more than 25 years of exemplary United Nations service,“表示深切感谢他二十五年多来堪作表率的联合国生涯,
“Salutes his major contributions to achieving the goals of UNCITRAL, which the General Assembly has described as the “core legal body within the United Nations system in the field of international law, [with a mandate] to coordinate legal activities in this field in order to avoid duplication of effort and to promote efficiency, consistency, and coherence in the unification and harmonization of international trade law”.“赞扬他为实现贸易法委员会的目标所作的重大贡献,大会称贸易法委员会是“联合国系统在国际贸易法领域的核心法律机构,[其任务]是协调这个领域的法律活动,以避免工作重复,促进国际贸易法统一和协调方面的效率、一致性和连贯性”。
He has strongly supported the work of the Commission and has built enduring foundations for our ongoing projects and future endeavours.他为委员会的工作提供了强有力的支持,并为我们正在进行的项目和今后的工作奠定了历久不衰的基础。
He has inspired and led the highly productive Commission secretariat.他激励和领导着一个效率极高的委员会秘书处。
In these and other ways he has strengthened the efforts to achieve world peace,凡此种种,他加强了为实现世界和平所作的努力。
“Recognizes his courage to stand up and speak, as well as to sit down and listen.“认识到他拥有站出来讲话和坐下来倾听的勇气。
The Commission has benefited because he has followed the precepts to keep his eyes on the stars and his feet on the ground.委员会受益于他是因为他遵循眼望星空、脚踩大地的理念。
He has been a warm friend and a good companion,他是一位热心的朋友,不错的伙伴。
“Requests that this declaration expressing the Commission’s profound thanks be set forth in its report to the General Assembly and thereby be recorded in the permanent history of the United Nations.”“请将表达委员会深刻感谢的本声明载于委员会提交大会的报告中,并因此而永载联合国史册。 ”
Date and place of future meetings二十. 今后会议的日期和地点
Forty-second session of the Commission委员会第四十二届会议
395. The Commission approved the holding of its forty-second session in Vienna from 29 June to 17 July 2009.395. 委员会同意于2009年6月29日至7月17日在维也纳举行第四十二届会议。
It was noted that the duration of the session might be modified, should a shorter session become advisable in light of the progress of work in Working Group II (Arbitration and Conciliation) and Working Group V (Insolvency Law).据指出,如果根据第二工作组(仲裁和调解)和第五工作组(破产法)工作的进展情况应当缩短届会时间,可能会对会期作出修改。
Sessions of working groups up to the forty-second session of the Commission各工作组在委员会第四十二届会议之前的届会
396. At its thirty-sixth session, in 2003, the Commission agreed that:396. 委员会在2003年第三十六届会议上曾商定如下:
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 arrangement would not result in an 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 resulted in an increase in 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.(a)正常情况下各工作组应当每年举行两次会期一周的会议;(b)如果需要额外时间,可以从其他工作组未使用的会议服务时间权限中分配,条件是这种安排不能造成目前分配给委员会所有六个工作组届会的总共12周会议服务时间的增加;(c)如果工作组对额外时间的请求导致12周分配时间的增加,则应由委员会审查这种请求,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。
397. The Commission approved the following schedule of meetings for its working groups:397. 委员会批准了各工作组的下述会议时间安排:
Working Group I (Procurement) would hold its fourteenth session in Vienna from 8 to 12 September 2008 and its fifteenth session in New York from 2 to 6 February 2009;第一工作组(采购)将于2008年9月8日至12日在维也纳举行第十四届会议,2009年2月2日至6日在纽约举行第十五届会议;
Working Group II (Arbitration and Conciliation) would hold its forty-ninth session in Vienna from 15 to 19 September 2008 and its fiftieth session in New York from 9 to 13 February 2009;第二工作组(仲裁和调解)将于2008年9月15日至19日在维也纳举行第四十九届会议,2009年2月9日至13日在纽约举行第五十届会议;
Working Group IV (Electronic Commerce) would be authorized to hold its forty-fifth session in New York from 26 to 29 May 2009, should this be warranted by the progress of work done in cooperation with the World Customs Organization (see para. 338 above); (a four day session is scheduled, since 25 May will be an official holiday in New York.)第四工作组(电子商务)将被授权于2009年5月26日至29日在纽约举行第四十五届会议—如果与世界海关组织合作开展工作取得的进展表明有必要的话(见上文第338段);(会议定为四天,因为5月25日是纽约的法定节假日。 )
Working Group V (Insolvency Law) would hold its thirty-fifth session in Vienna from 17 to 21 November 2008 and its thirty-sixth session in New York from 18 to 22 May 2009;第五工作组(破产法)将于2008年11月17日至21日在维也纳举行第三十五届会议,2009年5月18日至22日在纽约举行第三十六届会议;
Working Group VI (Security Interests) would hold its fourteenth session in Vienna from 20 to 24 October 2008 and its fifteenth session in New York from 27 April to 1 May 2009.第六工作组(担保权益)将于2008年10月20日至24日在维也纳举行第十四届会议,2009年4月27日至5月1日在纽约举行第十五届会议。
Sessions of working groups in 2009 after the forty-second session of the Commission各工作组2009在委员会第四十二届会议之后的届会
398. The Commission noted that tentative arrangements had been made for working group meetings in 2009 after its forty-second session (the arrangements were subject to the approval of the Commission at its forty-second session):398. 委员会注意到已经为2009年期间在其第四十二届会议之后举行的各工作组会议作出临时安排(有关安排需经委员会第四十二届会议批准):
Working Group I (Procurement) would hold its sixteenth session in Vienna from 7 to 11 September 2009;第一工作组(采购)将于2009年9月7日至11日在维也纳举行第十六届会议;
Working Group II (Arbitration and Conciliation) would hold its fifty-first session in Vienna from 14 to 18 September 2009;第二工作组(仲裁和调解)将于2009年9月14日至18日在维也纳举行第五十一届会议;
Working Group IV (Electronic Commerce) would hold its forty-sixth session in Vienna from 28 September to 2 October 2009;第四工作组(电子商务)将于2009年9月28日至10月2日在维也纳举行第四十六届会议;
Working Group V (Insolvency Law) would hold its thirty-seventh session in Vienna from 5 to 9 October 2009;第五工作组(破产法)将于2009年10月5日至9日在维也纳举行第三十七届会议;
Working Group VI (Security Interests) would hold its sixteenth session in Vienna from 7 to 11 December 2009.第六工作组(担保权益)将于2009年12月7日至11日在维也纳举行第十六届会议。
Annex I附件一
Draft Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea全程或者部分海上国际货物运输合同公约草案
The States Parties to this Convention,本公约缔约国,
Reaffirming their belief that international trade on the basis of equality and mutual benefit is an important element in promoting friendly relations among States,重申相信在平等互利基础上发展国际贸易是促进各国之间友好关系的一个重要因素,
Convinced that the progressive harmonization and unification of international trade law, in reducing or removing legal obstacles to the flow of international trade, significantly contributes to universal economic cooperation among all States on a basis of equality, equity and common interest, and to the well-being of all peoples,深信通过逐步协调统一国际贸易法,减少、消除国际贸易流通法律障碍,将大大促进所有国家在平等、公平和共同利益基础上的普遍经济合作,造福于各国人民,
Recognizing the significant contribution of the International Convention for the Unification of Certain Rules of Law relating to Bills of Lading, signed in Brussels on 25 August 1924, and its Protocols, and of the United Nations Convention on the Carriage of Goods by Sea, signed in Hamburg on 31 March 1978, to the harmonization of the law governing the carriage of goods by sea,承认1924年8月25日在布鲁塞尔签署的《统一提单若干法律规则国际公约》及其各项议定书以及1978年3月31日在汉堡签署的《联合国海上货物运输公约》对协调海上货物运输法律的显著贡献,
Mindful of the technological and commercial developments that have taken place since the adoption of those conventions and of the need to consolidate and modernize them,考虑到自两项公约通过以来的技术和商业发展以及对两项公约进行整合和更新的必要性,
Noting that shippers and carriers do not have the benefit of a binding universal regime to support the operation of contracts of maritime carriage involving other modes of transport,注意到托运人和承运人无法利用一个普遍、有约束力的制度,为涉及其他运输方式的海上运输合同的运作提供支助,
Believing that the adoption of uniform rules to govern international contracts of carriage wholly or partly by sea will promote legal certainty, improve the efficiency of international carriage of goods and facilitate new access opportunities for previously remote parties and markets, thus playing a fundamental role in promoting trade and economic development, both domestically and internationally,相信采用统一规则,对全程或者部分海上国际运输合同进行规范,将促进法律确定性,提高国际货物运输效率,便利过去相距遥远的当事人和市场获得新的准入机会,从而对促进国内、国际贸易和经济发展发挥极其重要的作用,
Have agreed as follows: CHAPTER 1.兹商定如下:
GENERAL PROVISIONS第1章 总则
Article 1. Definitions第1条 定义
For the purposes of this Convention:在本公约中:
“Contract of carriage” means a contract in which a carrier, against the payment of freight, undertakes to carry goods from one place to another.“运输合同”是指承运人收取运费,承诺将货物从一地运至另一地的合同。
The contract shall provide for carriage by sea and may provide for carriage by other modes of transport in addition to the sea carriage.此种合同应当就海上运输作出约定,且可以对海上运输以外的其他运输方式作出约定。
“Volume contract” means a contract of carriage that provides for the carriage of a specified quantity of goods in a series of shipments during an agreed period of time.“批量合同”是指在约定期间内分批装运约定总量货物的运输合同。
The specification of the quantity may include a minimum, a maximum or a certain range.货物总量可以是最低数量、最高数量或者一定范围的数量。
“Liner transportation” means a transportation service that is offered to the public through publication or similar means and includes transportation by ships operating on a regular schedule between specified ports in accordance with publicly available timetables of sailing dates.“班轮运输”是指通过公告或者类似方式向公众提供的,按照公布船期表使用船舶在特定港口之间定期运营的运输服务。
“Non-liner transportation” means any transportation that is not liner transportation.“非班轮运输”是指不属于班轮运输的任何运输。
“Carrier” means a person that enters into a contract of carriage with a shipper.“承运人”是指与托运人订立运输合同的人。
(a) “Performing party” means a person other than the carrier that performs or undertakes to perform any of the carrier’s obligations under a contract of carriage with respect to the receipt, loading, handling, stowage, carriage, care, unloading or delivery of the goods, to the extent that such person acts, either directly or indirectly, at the carrier’s request or under the carrier’s supervision or control.(a) “履约方”是指承运人以外的,履行或者承诺履行承运人在运输合同下有关货物接收、装载、操作、积载、运输、照料、卸载或者交付的任何义务的人,以该人直接或者间接在承运人的要求、监督或者控制下行事为限。
“Performing party” does not include any person that is retained, directly or indirectly, by a shipper, by a documentary shipper, by the controlling party or by the consignee instead of by the carrier.“履约方”不包括不由承运人,而由托运人、单证托运人、控制方或者收货人直接或者间接委托的任何人。
“Maritime performing party” means a performing party to the extent that it performs or undertakes to perform any of the carrier’s obligations during the period between the arrival of the goods at the port of loading of a ship and their departure from the port of discharge of a ship.“海运履约方”是指凡在货物到达船舶装货港至货物离开船舶卸货港期间履行或者承诺履行承运人任何义务的履约方。
An inland carrier is a maritime performing party only if it performs or undertakes to perform its services exclusively within a port area.内陆承运人仅在履行或者承诺履行其完全在港区范围内的服务时方为海运履约方。
“Shipper” means a person that enters into a contract of carriage with a carrier.“托运人”是指与承运人订立运输合同的人。
“Documentary shipper” means a person, other than the shipper, that accepts to be named as “shipper” in the transport document or electronic transport record.“单证托运人”是指托运人以外的,同意在运输单证或者电子运输记录中记名为“托运人”的人。
“Holder” means:“持有人”是指:
A person that is in possession of a negotiable transport document; and (i) if the document is an order document, is identified in it as the shipper or the consignee, or is the person to which the document is duly endorsed; or (ii) if the document is a blank endorsed order document or bearer document, is the bearer thereof; or可转让运输单证的占有人;并且(i)单证为指示单证的,该单证所载明的托运人或者收货人,或者该单证的正式被背书人;或者(ii)单证为空白背书的指示单证或者不记名单证的,该单证的持单人;或者
The person to which a negotiable electronic transport record has been issued or transferred in accordance with the procedures referred to in article 9, paragraph 1.根据第9条第1款述及的程序,可转让电子运输记录的被签发人或者受让人。
“Consignee” means a person entitled to delivery of the goods under a contract of carriage or a transport document or electronic transport record.“收货人”是指根据运输合同或者根据运输单证或者电子运输记录有提货权的人。
“Right of control” of the goods means the right under the contract of carriage to give the carrier instructions in respect of the goods in accordance with chapter 10.货物“控制权”是指根据第10章在运输合同下向承运人发出有关货物的指示的权利。
“Controlling party” means the person that pursuant to article 51 is entitled to exercise the right of control.“控制方”是指根据第51条有权行使控制权的人。
“Transport document” means a document issued under a contract of carriage by the carrier that:“运输单证”是指承运人在运输合同下签发的单证,该单证:
Evidences the carrier’s or a performing party’s receipt of goods under a contract of carriage; and证明承运人或者履约方收到了运输合同下的货物;并且
Evidences or contains a contract of carriage.证明或者包含一项运输合同。
“Negotiable transport document” means a transport document that indicates, by wording such as “to order” or “negotiable” or other appropriate wording recognized as having the same effect by the law applicable to the document, that the goods have been consigned to the order of the shipper, to the order of the consignee, or to bearer, and is not explicitly stated as being “non-negotiable” or “not negotiable”.“可转让运输单证”是指通过“凭指示”或者“可转让”之类的措词,或者通过该单证所适用的法律承认具有同等效力的其他适当措词,表明货物已交运且应按照托运人的指示或者收货人的指示交付,或者应交付给持单人,且未明确声明其为“不可转让”或者“不得转让”的运输单证。
“Non-negotiable transport document” means a transport document that is not a negotiable transport document.“不可转让运输单证”是指不是可转让运输单证的运输单证。
“Electronic communication” means information generated, sent, received or stored by electronic, optical, digital or similar means with the result that the information communicated is accessible so as to be usable for subsequent reference.“电子通信”是指以电子、光学、数字或者类似方式生成、发送、接收或者存储信息,因而可以获取通信内容,供此后援引使用。
“Electronic transport record” means information in one or more messages issued by electronic communication under a contract of carriage by a carrier, including information logically associated with the electronic transport record by attachments or otherwise linked to the electronic transport record contemporaneously with or subsequent to its issue by the carrier, so as to become part of the electronic transport record, that:“电子运输记录”是指承运人在运输合同下以电子通信方式发出的一条或者数条电文中的信息,包括作为附件与电子运输记录有着逻辑联系,或者在承运人签发电子运输记录的同时或者之后以其他方式与之链接,从而成为电子运输记录一部分的信息,该信息:
Evidences the carrier’s or a performing party’s receipt of goods under a contract of carriage; and证明承运人或者履约方收到了运输合同下的货物;并且
Evidences or contains a contract of carriage.证明或者包含一项运输合同。
“Negotiable electronic transport record” means an electronic transport record:“可转让电子运输记录”是指:
That indicates, by wording such as “to order”, or “negotiable”, or other appropriate wording recognized as having the same effect by the law applicable to the record, that the goods have been consigned to the order of the shipper or to the order of the consignee, and is not explicitly stated as being “non-negotiable” or “not negotiable”; and通过“凭指示”或者“可转让”之类的措词,或者通过该记录所适用的法律承认具有同等效力的其他适当措词,表明货物已交运且应按照托运人的指示或者收货人的指示交付,且未明确声明其为“不可转让”或者“不得转让”,并且
The use of which meets the requirements of article 9, paragraph 1.其使用符合第9条第1款要求的电子运输记录。
“Non-negotiable electronic transport record” means an electronic transport record that is not a negotiable electronic transport record.“不可转让电子运输记录”是指不是可转让电子运输记录的电子运输记录。
The “issuance” of a negotiable electronic transport record means the issuance of the record in accordance with procedures that ensure that the record is subject to exclusive control from its creation until it ceases to have any effect or validity.“签发”可转让电子运输记录,是指按照确保该记录自生成至失去效力处于排他性控制之下的程序签发该记录。
The “transfer” of a negotiable electronic transport record means the transfer of exclusive control over the record.“转让”可转让电子运输记录,是指转让对该记录的排他性控制。
“Contract particulars” means any information relating to the contract of carriage or to the goods (including terms, notations, signatures and endorsements) that is in a transport document or an electronic transport record.“合同事项”是指运输单证或者电子运输记录中载明的与运输合同或者与货物有关的任何信息(包括条款、批注、签名和背书)。
“Goods” means the wares, merchandise, and articles of every kind whatsoever that a carrier undertakes to carry under a contract of carriage and includes the packing and any equipment and container not supplied by or on behalf of the carrier.“货物”是指承运人根据运输合同承运的任何种类的制品、商品和物件,包括不是由承运人或者不是以承运人名义提供的包装以及任何设备和集装箱。
“Ship” means any vessel used to carry goods by sea.“船舶”是指用于海上货物运输的任何船只。
“Container” means any type of container, transportable tank or flat, swapbody, or any similar unit load used to consolidate goods, and any equipment ancillary to such unit load.“集装箱”是指任何型号的集装箱、运输罐柜或者板架、交换式车厢、或者拼装货物的任何类似货载单元及其附加设备。
“Vehicle” means a road or railroad cargo vehicle.“车辆”是指公路或者铁路货运车辆。
“Freight” means the remuneration payable to the carrier for the carriage of goods under a contract of carriage.“运费”是指应向承运人支付的,根据运输合同运输货物的报酬。
“Domicile” means (a) a place where a company or other legal person or association of natural or legal persons has its (i) statutory seat or place of incorporation or central registered office, whichever is applicable, (ii) central administration or (iii) principal place of business, and (b) the habitual residence of a natural person.“住所”是指(a)公司、其他法人、自然人社团或者法人社团的下列所在地: (i)法定处所或者组建地,或者主要注册办事处,以适用者为准,(ii)主要行政管理机构,或者(iii)主营业地;和(b)自然人的惯常居住地。
“Competent court” means a court in a Contracting State that, according to the rules on the internal allocation of jurisdiction among the courts of that State, may exercise jurisdiction over the dispute.“管辖法院”是指一缔约国内,根据本国法院之间管辖权内部划分规则可以对某一争议行使管辖权的法院。
Article 2. Interpretation of this Convention第2条 本公约的解释
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.在解释本公约时,应当考虑到本公约的国际性,考虑到促进统一适用本公约和在国际贸易中遵守诚信的需要。
Article 3. Form requirements第3条 形式要求
The notices, confirmation, consent, agreement, declaration and other communications referred to in articles 19, paragraph 2; 23, paragraphs 1 to 4; 36, subparagraphs 1 (b), (c) and (d); 40, subparagraph 4 (b); 44; 48, paragraph 3; 51, subparagraph 1 (b); 59, paragraph 1; 63; 66; 67, paragraph 2; 75, paragraph 4; and 80, paragraphs 2 and 5, shall be in writing. Electronic communications may be used for these purposes, provided that the use of such means is with the consent of the person by which it is communicated and of the person to which it is communicated.第19条第2款、第23条第1款至第4款、第36条第1款(b)项、(c)项和(d)项、第40条第4款(b)项、第44条、第48条第3款、第51条第1款(b)项、第59条第1款、第63条、第66条、第67条第2款、第75条第4款以及第80条第2款和第5款述及的通知、确认、同意、约定、声明和其他通信应当采用书面形式。 经收发人同意的,可以为此目的使用电子通信。
Article 4. Applicability of defences and limits of liability第4条 抗辩和赔偿责任限制的适用
Any provision of this Convention that may provide a defence for, or limit the liability of, the carrier applies in any judicial or arbitral proceeding, whether founded in contract, in tort, or otherwise, that is instituted in respect of loss of, damage to, or delay in delivery of goods covered by a contract of carriage or for the breach of any other obligation under this Convention against:本公约的规定,凡可为承运人提供抗辩或者限制其赔偿责任的,适用于以合同、侵权行为或者其他理由为依据,就运输合同所涉货物的灭失、损坏或者迟延交付,或者就违反本公约规定的其他任何义务,对下列人提起的任何司法程序或者仲裁程序:
The carrier or a maritime performing party;承运人或者海运履约方;
The master, crew or any other person that performs services on board the ship; or船长、船员或者在船上履行服务的其他任何人;或者
Employees of the carrier or a maritime performing party.承运人或者海运履约方的受雇人。
Any provision of this Convention that may provide a defence for the shipper or the documentary shipper applies in any judicial or arbitral proceeding, whether founded in contract, in tort, or otherwise, that is instituted against the shipper, the documentary shipper, or their subcontractors, agents or employees.本公约的规定,凡可为托运人或者单证托运人提供抗辩的,适用于以合同、侵权行为或者其他理由为依据,对托运人、单证托运人或者其分合同人、代理人或者受雇人提起的任何司法程序或者仲裁程序。
CHAPTER 2. SCOPE OF APPLICATION第2章 适用范围
Article 5. General scope of application第5条 一般适用范围
Subject to article 6, this Convention applies to contracts of carriage in which the place of receipt and the place of delivery are in different States, and the port of loading of a sea carriage and the port of discharge of the same sea carriage are in different States, if, according to the contract of carriage, any one of the following places is located in a Contracting State:除第6条另有规定外,本公约适用于收货地和交货地位于不同国家,且海上运输装货港和同一海上运输卸货港位于不同国家的运输合同,条件是运输合同约定以下地点之一位于一缔约国:
The place of receipt;收货地;
The port of loading;装货港;
The place of delivery; or交货地;或者
The port of discharge.卸货港。
This Convention applies without regard to the nationality of the vessel, the carrier, the performing parties, the shipper, the consignee, or any other interested parties.本公约的适用不考虑船舶、承运人、履约方、托运人、收货人或者其他任何利益方的国籍。
Article 6. Specific exclusions第6条 特定除外情形
This Convention does not apply to the following contracts in liner transportation:本公约不适用于班轮运输中的下列合同:
Charterparties; and租船合同;和
Other contracts for the use of a ship or of any space thereon.使用船舶或者其中任何舱位的其他合同。
This Convention does not apply to contracts of carriage in non-liner transportation except when:本公约不适用于非班轮运输中的运输合同,但下列情形除外:
There is no charterparty or other contract between the parties for the use of a ship or of any space thereon; and当事人之间不存在使用船舶或者其中任何舱位的租船合同或者其他合同;并且
A transport document or an electronic transport record is issued.签发了运输单证或者电子运输记录。
Article 7. Application to certain parties第7条 对某些当事人的适用
Notwithstanding article 6, this Convention applies as between the carrier and the consignee, controlling party or holder that is not an original party to the charterparty or other contract of carriage excluded from the application of this Convention.虽有第6条的规定,如果收货人、控制方或者持有人不是被排除在本公约适用范围之外的租船合同或者其他运输合同的原始当事人,本公约仍然在承运人与此等当事人之间适用。
However, this Convention does not apply as between the original parties to a contract of carriage excluded pursuant to article 6.但是,如果当事人是根据第6条被排除在外的运输合同的原始当事人,本公约在此等原始当事人之间不适用。
CHAPTER 3. ELECTRONIC TRANSPORT RECORDS第3章 电子运输记录
Article 8. Use and effect of electronic transport records第8条 电子运输记录的使用和效力
Subject to the requirements set out in this Convention:在不违反本公约所述要求的情况下:
Anything that is to be in or on a transport document under this Convention may be recorded in an electronic transport record, provided the issuance and subsequent use of an electronic transport record is with the consent of the carrier and the shipper; and凡根据本公约应在运输单证上载明的内容,均可在电子运输记录中加以记载,但电子运输记录的签发和随后的使用须得到承运人和托运人的同意;并且
The issuance, exclusive control, or transfer of an electronic transport record has the same effect as the issuance, possession, or transfer of a transport document.电子运输记录的签发、排他性控制或者转让,与运输单证的签发、占有或者转让具有同等效力。
Article 9. Procedures for use of negotiable electronic transport records第9条 可转让电子运输记录的使用程序
The use of a negotiable electronic transport record shall be subject to procedures that provide for:使用可转让电子运输记录,应当遵守包含以下内容的程序:
The method for the issuance and the transfer of that record to an intended holder;向预期持有人签发和转让可转让电子运输记录的方法;
An assurance that the negotiable electronic transport record retains its integrity;可转让电子运输记录保持完整性的保证;
The manner in which the holder is able to demonstrate that it is the holder; and持有人能够证明其持有人身份的方式;和
The manner of providing confirmation that delivery to the holder has been effected, or that, pursuant to articles 10, paragraph 2, or 47, subparagraphs 1 (a)(ii) and (c), the electronic transport record has ceased to have any effect or validity.已向持有人交付货物的确认方式,或者根据第10条第2款或者第47条第1款(a)项(ii)目和(c)项,可转让电子运输记录已失去效力的确认方式。
The procedures in paragraph 1 of this article shall be referred to in the contract particulars and be readily ascertainable.本条第1款中的程序应当在合同事项中载明且易于查明。
Article 10. Replacement of negotiable transport document or negotiable electronic transport record第10条 可转让运输单证或者可转让电子运输记录的替换
If a negotiable transport document has been issued and the carrier and the holder agree to replace that document by a negotiable electronic transport record:已签发可转让运输单证,且承运人与持有人约定以可转让电子运输记录替换该运输单证的:
The holder shall surrender the negotiable transport document, or all of them if more than one has been issued, to the carrier;持有人应当向承运人提交该运输单证,签发一份以上单证的,应当提交所有单证;
The carrier shall issue to the holder a negotiable electronic transport record that includes a statement that it replaces the negotiable transport document; and承运人应当向持有人签发一份可转让电子运输纪录,其中应包括一项替换该运输单证的声明;并且
The negotiable transport document ceases thereafter to have any effect or validity.该运输单证随即失去效力。
If a negotiable electronic transport record has been issued and the carrier and the holder agree to replace that electronic transport record by a negotiable transport document:已签发可转让电子运输记录,且承运人与持有人约定以可转让运输单证替换该电子运输记录的:
The carrier shall issue to the holder, in place of the electronic transport record, a negotiable transport document that includes a statement that it replaces the negotiable electronic transport record; and承运人应当向持有人签发一份替换该电子运输记录的可转让运输单证,其中应包括一项替换该电子运输记录的声明;并且
The electronic transport record ceases thereafter to have any effect or validity.该电子运输记录随即失去效力。
CHAPTER 4. OBLIGATIONS OF THE CARRIER第4章 承运人的义务
Article 11. Carriage and delivery of the goods第11条 货物的运输和交付
The carrier shall, subject to this Convention and in accordance with the terms of the contract of carriage, carry the goods to the place of destination and deliver them to the consignee.承运人应当根据本公约,按照运输合同的条款将货物运至目的地并交给收货人。
Article 12. Period of responsibility of the carrier第12条 承运人的责任期间
The period of responsibility of the carrier for the goods under this Convention begins when the carrier or a performing party receives the goods for carriage and ends when the goods are delivered.承运人根据本公约对货物的责任期间,自承运人或者履约方为运输而接收货物时开始,至货物交付时终止。
(a) If the law or regulations of the place of receipt require the goods to be handed over to an authority or other third party from which the carrier may collect them, the period of responsibility of the carrier begins when the carrier collects the goods from the authority or other third party.(a) 收货地的法律或者条例要求将货物交给某当局或者其他第三方,承运人可以从该当局或者该其他第三方提取货物的,承运人的责任期间自承运人从该当局或者从该其他第三方提取货物时开始。
If the law or regulations of the place of delivery require the carrier to hand over the goods to an authority or other third party from which the consignee may collect them, the period of responsibility of the carrier ends when the carrier hands the goods over to the authority or other third party.交货地的法律或者条例要求将货物交给某当局或者其他第三方,收货人可以从该当局或者该其他第三方提取货物的,承运人的责任期间至承运人将货物交给该当局或者该其他第三方时终止。
For the purpose of determining the carrier’s period of responsibility, the parties may agree on the time and location of receipt and delivery of the goods, but a provision in a contract of carriage is void to the extent that it provides that:为确定承运人的责任期间,各方当事人可以约定接收和交付货物的时间和地点,但运输合同条款作下述规定的即为无效:
The time of receipt of the goods is subsequent to the beginning of their initial loading under the contract of carriage; or接收货物的时间是在根据运输合同开始最初装货之后;或者
The time of delivery of the goods is prior to the completion of their final unloading under the contract of carriage.交付货物的时间是在根据运输合同完成最后卸货之前。
Article 13. Specific obligations第13条 具体义务
The carrier shall during the period of its responsibility as defined in article 12, and subject to article 26, properly and carefully receive, load, handle, stow, carry, keep, care for, unload and deliver the goods.在第12条规定的责任期间内,除第26条另有规定外,承运人应当妥善而谨慎地接收、装载、操作、积载、运输、保管、照料、卸载并交付货物。
Notwithstanding paragraph 1 of this article, and without prejudice to the other provisions in chapter 4 and to chapters 5 to 7, the carrier and the shipper may agree that the loading, handling, stowing or unloading of the goods is to be performed by the shipper, the documentary shipper or the consignee.虽有本条第1款规定,在不影响第4章其他规定以及第5章至第7章规定的情况下,承运人与托运人可以约定由托运人、单证托运人或者收货人装载、操作、积载或者卸载货物。
Such an agreement shall be referred to in the contract particulars.此种约定应当在合同事项中载明。
Article 14. Specific obligations applicable to the voyage by sea第14条 特别适用于海上航程的义务
The carrier is bound before, at the beginning of, and during the voyage by sea to exercise due diligence to:承运人必须在开航前、开航当时和海上航程中谨慎处理:
Make and keep the ship seaworthy;使船舶处于且保持适航状态;
Properly crew, equip and supply the ship and keep the ship so crewed, equipped and supplied throughout the voyage; and妥善配备船员、装备船舶和补给供应品,且在整个航程中保持此种配备、装备和补给;并且
Make and keep the holds and all other parts of the ship in which the goods are carried, and any containers supplied by the carrier in or upon which the goods are carried, fit and safe for their reception, carriage and preservation.使货舱、船舶所有其他载货处所和由承运人提供的载货集装箱适于且能安全接收、运输和保管货物,且保持此种状态。
Article 15. Goods that may become a danger第15条 可能形成危险的货物
Notwithstanding articles 11 and 13, the carrier or a performing party may decline to receive or to load, and may take such other measures as are reasonable, including unloading, destroying, or rendering goods harmless, if the goods are, or reasonably appear likely to become during the carrier’s period of responsibility, an actual danger to persons, property or the environment.虽有第11条和第13条规定,如果货物已对人身、财产或者环境形成实际危险,或者适度显现有可能在承运人责任期间内形成此种危险,承运人或者履约方可以拒绝接收或者装载货物,且可以采取包括将货物卸下、销毁或者使之不能致害等其他合理措施。
Article 16. Sacrifice of the goods during the voyage by sea第16条 海上航程期间牺牲货物
Notwithstanding articles 11, 13, and 14, the carrier or a performing party may sacrifice goods at sea when the sacrifice is reasonably made for the common safety or for the purpose of preserving from peril human life or other property involved in the common adventure.虽有第11条、第13条和第14条规定,承运人或者履约方仍可以在海上牺牲货物,但应是为了共同安全,或者是为了保全同一航程中人命或者其他财产,使之免遭危险而合理作出此种牺牲。
CHAPTER 5. LIABILITY OF THE CARRIER FOR LOSS, DAMAGE OR DELAY第5章 承运人对灭失、损坏或者
Article 17.迟延所负的赔偿责任
Basis of liability第17条 赔偿责任基础
The carrier is liable for loss of or damage to the goods, as well as for delay in delivery, if the claimant proves that the loss, damage, or delay, or the event or circumstance that caused or contributed to it took place during the period of the carrier’s responsibility as defined in chapter 4.如果索赔人证明,货物灭失、损坏或者迟延交付,或者造成、促成了灭失、损坏或者迟延交付的事件或者情形是在第4章规定的承运人责任期间内发生的,承运人应当对货物灭失、损坏和迟延交付负赔偿责任。
The carrier is relieved of all or part of its liability pursuant to paragraph 1 of this article if it proves that the cause or one of the causes of the loss, damage, or delay is not attributable to its fault or to the fault of any person referred to in article 18.如果承运人证明,灭失、损坏或者迟延交付的原因或者原因之一不能归责于承运人本人的过失或者第18条述及的任何人的过失,可免除承运人根据本条第1款所负的全部或者部分赔偿责任。
The carrier is also relieved of all or part of its liability pursuant to paragraph 1 of this article if, alternatively to proving the absence of fault as provided in paragraph 2 of this article, it proves that one or more of the following events or circumstances caused or contributed to the loss, damage, or delay:除证明不存在本条第2款规定的过失之外,如果承运人证明下列一种或者数种事件或者情形造成、促成了灭失、损坏或者迟延交付,也可免除承运人根据本条第1款规定所负的全部或者部分赔偿责任:
Act of God;天灾;
Perils, dangers, and accidents of the sea or other navigable waters;海上或者其他通航水域的风险、危险和事故;
War, hostilities, armed conflict, piracy, terrorism, riots, and civil commotions;战争、敌对行动、武装冲突、海盗、恐怖活动、暴乱和民变;
Quarantine restrictions; interference by or impediments created by governments, public authorities, rulers, or people including detention, arrest, or seizure not attributable to the carrier or any person referred to in article 18;检疫限制;政府、公共当局、统治者或者人民的干涉或者造成的障碍,包括非由承运人或者第18条述及的任何人所造成的滞留、扣留或者扣押;
Strikes, lockouts, stoppages, or restraints of labour;罢工、关厂、停工或者劳动受限;
Fire on the ship;船上发生火灾;
Latent defects not discoverable by due diligence;通过合理的谨慎无法发现的潜在缺陷;
Act or omission of the shipper, the documentary shipper, the controlling party, or any other person for whose acts the shipper or the documentary shipper is liable pursuant to article 33 or 34;托运人、单证托运人、控制方或者根据第33条或者第34条托运人或者单证托运人对其作为承担责任的其他任何人的作为或者不作为;
Loading, handling, stowing, or unloading of the goods performed pursuant to an agreement in accordance with article 13, paragraph 2, unless the carrier or a performing party performs such activity on behalf of the shipper, the documentary shipper or the consignee;按照第13条第2款所述及的约定进行的货物装载、操作、积载或者卸载,除非承运人或者履约方代表托运人、单证托运人或者收货人实施此项活动;
Wastage in bulk or weight or any other loss or damage arising from inherent defect, quality, or vice of the goods;由于货物固有缺陷、品质或者瑕疵而造成的数量或者重量损耗或者其他任何灭失或者损坏;
Insufficiency or defective condition of packing or marking not performed by or on behalf of the carrier;非由承运人或者代其行事的人所做包装不良或者标志欠缺、不清;
Saving or attempting to save life at sea;海上救助或者试图救助人命;
Reasonable measures to save or attempt to save property at sea;海上救助或者试图救助财产的合理措施;
Reasonable measures to avoid or attempt to avoid damage to the environment; or避免或者试图避免对环境造成危害的合理措施;或者
Acts of the carrier in pursuance of the powers conferred by articles 15 and 16.承运人根据第15条和第16条所赋权利的作为。
Notwithstanding paragraph 3 of this article, the carrier is liable for all or part of the loss, damage, or delay:虽有本条第3款规定,有下列情形之一的,承运人仍应当对灭失、损坏或者迟延交付的全部或者部分负赔偿责任:
If the claimant proves that the fault of the carrier or of a person referred to in article 18 caused or contributed to the event or circumstance on which the carrier relies; or索赔人证明,承运人或者第18条述及的人的过失造成、促成了承运人所依据的事件或者情形;或者
If the claimant proves that an event or circumstance not listed in paragraph 3 of this article contributed to the loss, damage, or delay, and the carrier cannot prove that this event or circumstance is not attributable to its fault or to the fault of any person referred to in article 18.索赔人证明,本条第3款所列事件或者情形以外的事件或者情形促成了灭失、损坏或者迟延交付,且承运人无法证明,该事件或者情形既不能归责于其本人的过失,也不能归责于第18条述及的任何人的过失。
The carrier is also liable, notwithstanding paragraph 3 of this article, for all or part of the loss, damage, or delay if:虽有本条第3款规定,在下列情况下,承运人还应当对灭失、损坏或者迟延交付的全部或者部分负赔偿责任:
The claimant proves that the loss, damage, or delay was or was probably caused by or contributed to by (i) the unseaworthiness of the ship; (ii) the improper crewing, equipping, and supplying of the ship; or (iii) the fact that the holds or other parts of the ship in which the goods are carried, or any containers supplied by the carrier in or upon which the goods are carried, were not fit and safe for reception, carriage, and preservation of the goods; and索赔人证明,造成或者可能造成,促成或者可能促成灭失、损坏或者迟延交付的原因是: (i)船舶不适航;(ii)配备船员、装备船舶和补给供应品不当;或者(iii)货舱、船舶其他载货处所或者由承运人提供的载货集装箱不适于且不能安全接收、运输和保管货物;并且
The carrier is unable to prove either that:承运人既无法证明:
none of the events or circumstances referred to in subparagraph 5 (a) of this article caused the loss, damage, or delay; or (ii) that it complied with its obligation to exercise due diligence pursuant to article 14.(i)本条第5款(a)项述及的任何事件或者情形未造成灭失、损坏或者迟延交付,也无法证明: (ii)承运人遵守了第14条所规定的合理谨慎义务。
When the carrier is relieved of part of its liability pursuant to this article, the carrier is liable only for that part of the loss, damage or delay that is attributable to the event or circumstance for which it is liable pursuant to this article.承运人根据本条规定被免除部分赔偿责任的,承运人仅对根据本条应由其负赔偿责任的事件或者情形所造成的那部分灭失、损坏或者迟延交付负赔偿责任。
Article 18. Liability of the carrier for other persons第18条 承运人为其他人负赔偿责任
The carrier is liable for the breach of its obligations under this Convention caused by the acts or omissions of:下列人的作为或者不作为违反本公约对承运人规定的义务,承运人应当负赔偿责任:
Any performing party;任何履约方;
The master or crew of the ship;船长或者船员;
Employees of the carrier or a performing party; or承运人的受雇人或者履约方的受雇人;或者
Any other person that performs or undertakes to perform any of the carrier’s obligations under the contract of carriage, to the extent that the person acts, either directly or indirectly, at the carrier’s request or under the carrier’s supervision or control.履行或者承诺履行运输合同规定的承运人义务的其他任何人,以该人按照承运人的要求,或者在承运人的监督或者控制下直接或者间接作为为限。
Article 19. Liability of maritime performing parties第19条 海运履约方的赔偿责任
A maritime performing party is subject to the obligations and liabilities imposed on the carrier under this Convention and is entitled to the carrier’s defences and limits of liability as provided for in this Convention if:符合下列条件的,海运履约方必须承担本公约对承运人规定的义务和赔偿责任,且有权享有本公约对承运人规定的抗辩和赔偿责任限制:
The maritime performing party received the goods for carriage in a Contracting State, or delivered them in a Contracting State, or performed its activities with respect to the goods in a port in a Contracting State; and海运履约方在一缔约国为运输而接收了货物或者在一缔约国交付了货物,或者在一缔约国某一港口履行了与货物有关的各种活动;并且
The occurrence that caused the loss, damage or delay took place:造成灭失、损坏或者迟延交付的事件发生在:
during the period between the arrival of the goods at the port of loading of the ship and their departure from the port of discharge from the ship; (ii) while the maritime performing party had custody of the goods; or (iii) at any other time to the extent that it was participating in the performance of any of the activities contemplated by the contract of carriage.(i)货物到达船舶装货港至货物离开船舶卸货港的期间内;(ii)货物在海运履约方掌管期间内;或者(iii)海运履约方参与履行运输合同所载列任何活动的其他任何时间内。
If the carrier agrees to assume obligations other than those imposed on the carrier under this Convention, or agrees that the limits of its liability are higher than the limits specified under this Convention, a maritime performing party is not bound by this agreement unless it expressly agrees to accept such obligations or such higher limits.承运人约定在本公约对其规定的义务范围之外承担义务的,或者约定其赔偿责任限额高于本公约所规定的限额的,海运履约方不受该约定的约束,除非海运履约方明确约定接受该义务或者该更高限额。
A maritime performing party is liable for the breach of its obligations under this Convention caused by the acts or omissions of any person to which it has entrusted the performance of any of the carrier’s obligations under the contract of carriage under the conditions set out in paragraph 1 of this article.符合本条第1款所列条件的,对于受海运履约方委托,履行运输合同约定的承运人义务的人违反本公约对海运履约方规定的义务的作为或者不作为,海运履约方负赔偿责任。
Nothing in this Convention imposes liability on the master or crew of the ship or on an employee of the carrier or of a maritime performing party.本公约规定概不要求船长或者船员、承运人的受雇人或者海运履约方的受雇人负赔偿责任。
Article 20. Joint and several liability第20条 连带赔偿责任
If the carrier and one or more maritime performing parties are liable for the loss of, damage to, or delay in delivery of the goods, their liability is joint and several but only up to the limits provided for under this Convention.对于货物灭失、损坏或者迟延交付,承运人和一个或者数个海运履约方均负有赔偿责任的,其赔偿责任为连带责任,但仅限于本公约所规定的限额。
Without prejudice to article 61, the aggregate liability of all such persons shall not exceed the overall limits of liability under this Convention.在不影响第61条的情况下,上述所有人的累计赔偿责任不得超过本公约所规定的赔偿责任总限额。
Article 21. Delay第21条 迟延
Delay in delivery occurs when the goods are not delivered at the place of destination provided for in the contract of carriage within the time agreed.未在约定时间内在运输合同约定的目的地交付货物,为迟延交付。
Article 22. Calculation of compensation第22条 赔偿额的计算
Subject to article 59, the compensation payable by the carrier for loss of or damage to the goods is calculated by reference to the value of such goods at the place and time of delivery established in accordance with article 43.除第59条另有规定外,承运人对货物灭失或者损坏应支付的赔偿额,参照货物在根据第43条确定的交货地和交货时间的价值计算。
The value of the goods is fixed according to the commodity exchange price or, if there is no such price, according to their market price or, if there is no commodity exchange price or market price, by reference to the normal value of the goods of the same kind and quality at the place of delivery.货物的价值根据商品交易价格确定,无此种价格的,根据其市场价格确定,既无商品交易价格又无市场价格的,参照交货地同种类和同品质货物的通常价值确定。
In case of loss of or damage to the goods, the carrier is not liable for payment of any compensation beyond what is provided for in paragraphs 1 and 2 of this article except when the carrier and the shipper have agreed to calculate compensation in a different manner within the limits of chapter 16.货物发生灭失或者损坏的,承运人对超出本条第1款和第2款所规定的赔偿额不负任何赔偿责任,除非承运人与托运人在第16章的限度内约定了赔偿额的不同计算方法。
Article 23. Notice in case of loss, damage or delay第23条 发生灭失、损坏或者迟延时的通知
The carrier is presumed, in absence of proof to the contrary, to have delivered the goods according to their description in the contract particulars unless notice of loss of or damage to the goods, indicating the general nature of such loss or damage, was given to the carrier or the performing party that delivered the goods before or at the time of the delivery, or, if the loss or damage is not apparent, within seven working days at the place of delivery after the delivery of the goods.除非已在交货前或者交货时,或者在灭失或者损坏不明显的情况下,在交货后交货地的七个工作日内向承运人或者向实际交付货物的履约方提交了表明此种灭失或者损坏一般性质的货物灭失或者损坏通知,否则,在无相反证据的情况下,推定承运人已按照合同事项中有关货物的记载交付了货物。
Failure to provide the notice referred to in this article to the carrier or the performing party shall not affect the right to claim compensation for loss of or damage to the goods under this Convention, nor shall it affect the allocation of the burden of proof set out in article 17.未向承运人或者履约方提交本条述及的通知,不得影响根据本公约对货物灭失或者损坏索赔的权利,也不得影响第17条所规定的举证责任分担。
The notice referred to in this article is not required in respect of loss or damage that is ascertained in a joint inspection of the goods by the person to which they have been delivered and the carrier or the maritime performing party against which liability is being asserted.被交付货物的人与承运人或者与当时被要求承担赔偿责任的海运履约方对货物进行了联合检验的,无须就联合检验所查明的灭失或者损坏提交本条述及的通知。
No compensation in respect of delay is payable unless notice of loss due to delay was given to the carrier within twenty-one consecutive days of delivery of the goods.除非在交货后二十一个连续日内向承运人提交了迟延造成损失的通知,否则无须就迟延支付任何赔偿金。
When the notice referred to in this article is given to the performing party that delivered the goods, it has the same effect as if that notice was given to the carrier, and notice given to the carrier has the same effect as a notice given to a maritime performing party.向实际交付货物的履约方提交本条述及的通知,与向承运人提交该通知具有同等效力;向承运人提交通知,与向海运履约方提交通知具有同等效力。
In the case of any actual or apprehended loss or damage, the parties to the dispute shall give all reasonable facilities to each other for inspecting and tallying the goods and shall provide access to records and documents relevant to the carriage of the goods.对于任何实际发生的或者预想发生的灭失或者损坏,争议各方当事人应当为检验和清点货物相互提供一切合理便利,且应当为查询有关货物运输的记录和单证提供机会。
CHAPTER 6. ADDITIONAL PROVISIONS RELATING TO PARTICULAR STAGES OF CARRIAGE第6章 有关特定运输阶段的补充条款
Article 24. Deviation第24条 绕航
When pursuant to applicable law a deviation constitutes a breach of the carrier’s obligations, such deviation of itself shall not deprive the carrier or a maritime performing party of any defence or limitation of this Convention, except to the extent provided in article 61.绕航根据准据法构成违反承运人义务的,此种绕航本身不得剥夺本公约为承运人或者海运履约方提供的任何抗辩或者赔偿责任限制,但第61条规定的情形除外。
Article 25. Deck cargo on ships第25条 船舶上的舱面货
Goods may be carried on the deck of a ship only if:在船舶舱面上载运货物,只能限于下列情形:
Such carriage is required by law;根据法律的要求进行此种运输;
They are carried in or on containers or vehicles that are fit for deck carriage, and the decks are specially fitted to carry such containers or vehicles; or货物载于适合舱面运输的集装箱内或者车辆内,而舱面专门适于载运此类集装箱或者车辆;或者
The carriage on deck is in accordance with the contract of carriage, or the customs, usages or practices of the trade in question.舱面运输符合运输合同或者相关行业的习惯、惯例或者做法。
The provisions of this Convention relating to the liability of the carrier apply to the loss of, damage to or delay in the delivery of goods carried on deck pursuant to paragraph 1 of this article, but the carrier is not liable for loss of or damage to such goods, or delay in their delivery, caused by the special risks involved in their carriage on deck when the goods are carried in accordance with subparagraphs 1 (a) or (c) of this article.本公约有关承运人赔偿责任的规定,适用于根据本条第1款在舱面上载运的货物的灭失、损坏或者迟延交付,但根据本条第1款(a)项或者(c)项载运货物的,对于舱面载运货物涉及的特殊风险所造成的货物灭失、损坏或者迟延交付,承运人不负赔偿责任。
If the goods have been carried on deck in cases other than those permitted pursuant to paragraph 1 of this article, the carrier is liable for loss of or damage to the goods or delay in their delivery that is exclusively caused by their carriage on deck, and is not entitled to the defences provided for in article 17.在舱面上载运货物,不是本条第1款所准许的情形的,对于完全由于舱面载运货物所造成的货物灭失、损坏或者迟延交付,承运人负赔偿责任,且无权享有第17条规定的抗辩。
The carrier is not entitled to invoke subparagraph 1 (c) of this article against a third party that has acquired a negotiable transport document or a negotiable electronic transport record in good faith, unless the contract particulars state that the goods may be carried on deck.第三方已善意取得可转让运输单证或者可转让电子运输记录的,承运人无权对其援用本条第1款(c)项的规定,除非合同事项载明可以在舱面上载运货物。
If the carrier and shipper expressly agreed that the goods would be carried under deck, the carrier is not entitled to the benefit of the limitation of liability for any loss of, damage to or delay in the delivery of the goods to the extent that such loss, damage, or delay resulted from their carriage on deck.承运人与托运人明确约定货物将载于舱内的,如果货物载于舱面造成任何灭失、损坏或者迟延交付,对于此种灭失、损坏或者迟延交付,承运人无权享有限制赔偿责任的利益。
Article 26. Carriage preceding or subsequent to sea carriage第26条 海上运输之前或者之后的运输
When loss of or damage to goods, or an event or circumstance causing a delay in their delivery, occurs during the carrier’s period of responsibility but solely before their loading onto the ship or solely after their discharge from the ship, the provisions of this Convention do not prevail over those provisions of another international instrument that, at the time of such loss, damage or event or circumstance causing delay:如果货物灭失、损坏或者造成迟延交付的事件或者情形发生在承运人的责任期间内,但发生的时间仅在货物装上船舶之前或者仅在货物卸离船舶之后,本公约的规定不得优先于其他国际文书的下述条文,在此种灭失、损坏或者造成迟延交付的事件或者情形发生时:
Pursuant to the provisions of such international instrument would have applied to all or any of the carrier’s activities if the shipper had made a separate and direct contract with the carrier in respect of the particular stage of carriage where the loss of, or damage to goods, or an event or circumstance causing delay in their delivery occurred;根据该国际文书的规定,如果托运人已就发生货物灭失、损坏或者造成货物迟延交付的事件或者情形的特定运输阶段与承运人订有单独和直接的合同,本应适用于承运人全部活动或者任何活动的条文;
Specifically provide for the carrier’s liability, limitation of liability, or time for suit; and就承运人的赔偿责任、赔偿责任限制或者时效作了具体规定的条文;和
Cannot be departed from by contract either at all or to the detriment of the shipper under that instrument.根据该文书,完全不能通过订立合同加以背离的条文,或者不能在损害托运人利益的情况下通过订立合同加以背离的条文。
CHAPTER 7. OBLIGATIONS OF THE SHIPPER TO THE CARRIER第7章 托运人向承运人履行的义务
Article 27. Delivery for carriage第27条 交付运输
Unless otherwise agreed in the contract of carriage, the shipper shall deliver the goods ready for carriage.除非运输合同另有约定,否则托运人应当交付备妥待运的货物。
In any event, the shipper shall deliver the goods in such condition that they will withstand the intended carriage, including their loading, handling, stowing, lashing and securing, and unloading, and that they will not cause harm to persons or property.在任何情况下,托运人交付的货物应当处于能够承受住预定运输的状态,包括货物的装载、操作、积载、绑扎、加固和卸载,且不会对人身或者财产造成损害。
The shipper shall properly and carefully perform any obligation assumed under an agreement made pursuant to article 13, paragraph 2.根据第13条第2款订有约定的,托运人应当妥善而谨慎地履行根据该约定承担的任何义务。
When a container is packed or a vehicle is loaded by the shipper, the shipper shall properly and carefully stow, lash and secure the contents in or on the container or vehicle, and in such a way that they will not cause harm to persons or property.集装箱或者车辆由托运人装载的,托运人应当妥善而谨慎地积载、绑扎和加固集装箱内或者车辆内的货物,使之不会对人身或者财产造成损害。
Article 28. Cooperation of the shipper and the carrier in providing information and instructions第28条 托运人与承运人在提供信息和指示方面的合作
The carrier and the shipper shall respond to requests from each other to provide information and instructions required for the proper handling and carriage of the goods if the information is in the requested party’s possession or the instructions are within the requested party’s reasonable ability to provide and they are not otherwise reasonably available to the requesting party.如果有关货物正确操作和运输的信息处于被请求方的占有之下,或者有关货物正确操作和运输的指示是在被请求方能够合理提供的范围之内,且请求方无法以其他合理方式获取此种信息和指示,承运人和托运人应当就对方提出的提供此种信息和指示的请求作出响应。
Article 29. Shipper’s obligation to provide information, instructions and documents第29条 托运人提供信息、指示和文件的义务
The shipper shall provide to the carrier in a timely manner such information, instructions and documents relating to the goods that are not otherwise reasonably available to the carrier, and that are reasonably necessary:托运人应当及时向承运人提供承运人无法以其他合理方式获取,且是为下述目的而合理需要的有关货物的信息、指示和文件:
For the proper handling and carriage of the goods, including precautions to be taken by the carrier or a performing party; and为了正确操作和运输货物,包括由承运人或者履约方采取预防措施;并且
For the carrier to comply with law, regulations or other requirements of public authorities in connection with the intended carriage, provided that the carrier notifies the shipper in a timely manner of the information, instructions and documents it requires.为了使承运人遵守公共当局有关预定运输的法律、条例或者其他要求,但承运人须及时将其需要信息、指示和文件事宜通知托运人。
Nothing in this article affects any specific obligation to provide certain information, instructions and documents related to the goods pursuant to law, regulations or other requirements of public authorities in connection with the intended carriage.本条规定概不影响根据公共当局有关预定运输的法律、条例或者其他要求,提供有关货物的某些信息、指示和文件的任何特定义务。
Article 30. Basis of shipper’s liability to the carrier第30条 托运人对承运人赔偿责任的基础
The shipper is liable for loss or damage sustained by the carrier if the carrier proves that such loss or damage was caused by a breach of the shipper’s obligations under this Convention.对于承运人遭受的灭失或者损坏,如果承运人证明,此种灭失或者损坏是由于违反本公约规定的托运人义务而造成的,托运人应当负赔偿责任。
Except in respect of loss or damage caused by a breach by the shipper of its obligations pursuant to articles 31, paragraph 2, and 32, the shipper is relieved of all or part of its liability if the cause or one of the causes of the loss or damage is not attributable to its fault or to the fault of any person referred to in article 34.灭失或者损坏的原因或者原因之一不能归责于托运人本人的过失或者第34条述及的任何人的过失的,免除托运人的全部或者部分赔偿责任,但托运人违反第31条第2款和第32条对其规定的义务所造成的灭失或者损坏,不在此列。
When the shipper is relieved of part of its liability pursuant to this article, the shipper is liable only for that part of the loss or damage that is attributable to its fault or to the fault of any person referred to in article 34.托运人根据本条被免除部分赔偿责任的,托运人仅对因其本人的过失或者第34条述及的任何人的过失所造成的那部分灭失或者损坏负赔偿责任。
Article 31. Information for compilation of contract particulars第31条 拟定合同事项所需要的信息
The shipper shall provide to the carrier, in a timely manner, accurate information required for the compilation of the contract particulars and the issuance of the transport documents or electronic transport records, including the particulars referred to in article 36, paragraph 1; the name of the party to be identified as the shipper in the contract particulars; the name of the consignee, if any; and the name of the person to whose order the transport document or electronic transport record is to be issued, if any.托运人应当及时向承运人提供拟定合同事项以及签发运输单证或者电子运输记录所需要的准确信息,包括第36条第1款所述及的事项;合同事项中拟载明为托运人的当事人名称;有收货人的,收货人名称;须凭指示签发运输单证或者电子运输记录的,指示人名称。
The shipper is deemed to have guaranteed the accuracy at the time of receipt by the carrier of the information that is provided according to paragraph 1 of this article.承运人收到根据本条第1款提供的信息时,理当认为托运人已对信息的准确性给予保证。
The shipper shall indemnify the carrier against loss or damage resulting from the inaccuracy of such information.托运人应当就此种信息不准确所导致的灭失或者损坏向承运人作出赔偿。
Article 32. Special rules on dangerous goods第32条 危险货物特别规则
When goods by their nature or character are, or reasonably appear likely to become, a danger to persons, property or the environment:当货物因本身性质或者特性而已对人身、财产或者环境形成危险,或者适度显现有可能形成此种危险时:
The shipper shall inform the carrier of the dangerous nature or character of the goods in a timely manner before they are delivered to the carrier or a performing party.托运人应当在货物交付给承运人或者履约方之前,及时将货物的危险性质或者特性通知承运人。
If the shipper fails to do so and the carrier or performing party does not otherwise have knowledge of their dangerous nature or character, the shipper is liable to the carrier for loss or damage resulting from such failure to inform; and托运人未履行此项义务,且承运人或者履约方无法以其他方式知道货物危险性质或者特性的,托运人应当就未发通知所导致的灭失或者损坏向承运人负赔偿责任;
The shipper shall mark or label dangerous goods in accordance with any law, regulations or other requirements of public authorities that apply during any stage of the intended carriage of the goods.托运人应当根据货物预定运输任何阶段所适用的公共当局的法律、条例或者其他要求,对危险货物加标志或者标签。
If the shipper fails to do so, it is liable to the carrier for loss or damage resulting from such failure.托运人未履行此项义务的,托运人应当就由此导致的灭失或者损坏向承运人负赔偿责任。
Article 33. Assumption of shipper’s rights and obligations by the documentary shipper第33条 单证托运人享有托运人的权利并承担其义务
A documentary shipper is subject to the obligations and liabilities imposed on the shipper pursuant to this chapter and pursuant to article 55, and is entitled to the shipper’s rights and defences provided by this chapter and by chapter 13.单证托运人必须承担本章和第55条对托运人规定的义务和赔偿责任,且有权享有本章和第13章为托运人提供的权利和抗辩。
Paragraph 1 of this article does not affect the obligations, liabilities, rights or defences of the shipper.本条第1款规定不影响托运人的义务、赔偿责任、权利或者抗辩。
Article 34. Liability of the shipper for other persons第34条 托运人为其他人负赔偿责任
The shipper is liable for the breach of its obligations under this Convention caused by the acts or omissions of any person, including employees, agents and subcontractors, to which it has entrusted the performance of any of its obligations, but the shipper is not liable for acts or omissions of the carrier or a performing party acting on behalf of the carrier, to which the shipper has entrusted the performance of its obligations.托运人委托包括受雇人、代理人和分合同人在内的任何人履行托运人任何义务的,对于此等人的作为或者不作为造成违反本公约规定的托运人义务,托运人负赔偿责任,但托运人委托承运人或者代表承运人行事的履约方履行托运人义务的,对于此等人的作为或者不作为,托运人不负赔偿责任。
CHAPTER 8. TRANSPORT DOCUMENTS AND ELECTRONIC TRANSPORT RECORDS第8章 运输单证和电子运输记录
Article 35. Issuance of the transport document or the electronic transport record第35条 运输单证或者电子运输记录的签发
Unless the shipper and the carrier have agreed not to use a transport document or an electronic transport record, or it is the custom, usage or practice of the trade not to use one, upon delivery of the goods for carriage to the carrier or performing party, the shipper or, if the shipper consents, the documentary shipper, is entitled to obtain from the carrier, at the shipper’s option:除非托运人与承运人已约定不使用运输单证或者电子运输记录,或者不使用运输单证或者电子运输记录是行业习惯、惯例或者做法,否则,货物一经向承运人或者履约方交付运输,托运人,或者经托运人同意的单证托运人,有权按照托运人的选择,从承运人处获得:
A non-negotiable transport document or, subject to article 8, subparagraph (a), a non-negotiable electronic transport record; or不可转让运输单证,或者,符合第8条(a)项规定的,不可转让电子运输记录;或者
An appropriate negotiable transport document or, subject to article 8, subparagraph (a), a negotiable electronic transport record, unless the shipper and the carrier have agreed not to use a negotiable transport document or negotiable electronic transport record, or it is the custom, usage or practice of the trade not to use one.适当的可转让运输单证,或者,符合第8条(a)项规定的,可转让电子运输记录,除非托运人与承运人已约定不使用可转让运输单证或者可转让电子运输记录,或者不使用可转让运输单证或者可转让电子运输记录是行业习惯、惯例或者做法。
Article 36. Contract particulars第36条 合同事项
The contract particulars in the transport document or electronic transport record referred to in article 35 shall include the following information, as furnished by the shipper:第35条述及的运输单证或者电子运输记录中的合同事项应当包括由托运人提供的下列信息:
A description of the goods as appropriate for the transport;适合于运输的货名;
The leading marks necessary for identification of the goods;识别货物所必需的主标志;
The number of packages or pieces, or the quantity of goods; and货物包数、件数或者数量;和
The weight of the goods, if furnished by the shipper.货物重量(如果已由托运人提供)。
The contract particulars in the transport document or electronic transport record referred to in article 35 shall also include:第35条述及的运输单证或者电子运输记录中的合同事项还应当包括:
A statement of the apparent order and condition of the goods at the time the carrier or a performing party receives them for carriage;承运人或者履约方收到待运货物时货物表面状况的说明;
The name and address of the carrier;承运人名称和地址;
The date on which the carrier or a performing party received the goods, or on which the goods were loaded on board the ship, or on which the transport document or electronic transport record was issued; and承运人或者履约方收到货物日期、货物装船日期或者运输单证或者电子运输记录签发日期;和
If the transport document is negotiable, the number of originals of the negotiable transport document, when more than one original is issued.运输单证可转让,且签发一份以上正本的,可转让运输单证的正本份数。
The contract particulars in the transport document or electronic transport record referred to in article 35 shall further include:第35条述及的运输单证或者电子运输记录中的合同事项还应当包括:
The name and address of the consignee, if named by the shipper;收货人的名称和地址(如果收货人已由托运人指定);
The name of a ship, if specified in the contract of carriage;船舶名称(如果已在运输合同中指明);
The place of receipt and, if known to the carrier, the place of delivery; and收货地和交货地(如果承运人已知道交货地);和
The port of loading and the port of discharge, if specified in the contract of carriage.装货港和卸货港(如果已在运输合同中指明)。
For the purposes of this article, the phrase “apparent order and condition of the goods” in subparagraph 2 (a) of this article refers to the order and condition of the goods based on:就本条而言,本条第2款(a)项中“货物表面状况”一词是指在下述基础上确定的货物状况:
A reasonable external inspection of the goods as packaged at the time the shipper delivers them to the carrier or a performing party; and货物由托运人交付给承运人或者履约方时对所装载货物进行的合理外部检验;和
Any additional inspection that the carrier or a performing party actually performs before issuing the transport document or electronic transport record.承运人或者履约方在签发运输单证或者电子运输记录之前实际进行的任何进一步检验。
Article 37. Identity of the carrier第37条 承运人的识别
If a carrier is identified by name in the contract particulars, any other information in the transport document or electronic transport record relating to the identity of the carrier shall have no effect to the extent that it is inconsistent with that identification.合同事项中载明承运人名称的,运输单证或者电子运输记录中凡是与此不一致的有关承运人身份的其他信息一概无效。
If no person is identified in the contract particulars as the carrier as required pursuant to article 36, subparagraph 2 (b), but the contract particulars indicate that the goods have been loaded on board a named ship, the registered owner of that ship is presumed to be the carrier, unless it proves that the ship was under a bareboat charter at the time of the carriage and it identifies this bareboat charterer and indicates its address, in which case this bareboat charterer is presumed to be the carrier.合同事项中未按第36条第2款(b)项载明任何人为承运人,但合同事项载明货物已装上指定船舶的,推定该船舶的登记所有人为承运人,除非该登记所有人能够证明运输货物时该船舶处于光船租用之中,且能够指出该光船承租人及其地址,在这种情况下,推定该光船承租人为承运人。
Alternatively, the registered owner may rebut the presumption of being the carrier by identifying the carrier and indicating its address.或者,船舶登记所有人可以通过指出承运人及其地址,推翻将其当作承运人的推定。
The bareboat charterer may rebut any presumption of being the carrier in the same manner.光船承租人可以按照同样方式推翻将其当作承运人的任何推定。
Nothing in this article prevents the claimant from proving that any person other than a person identified in the contract particulars or pursuant to paragraph 2 of this article is the carrier.本条规定概不妨碍索赔人证明,承运人是合同事项所载明的人以外的人,或者是根据本条第2款所识别的人以外的人。
Article 38. Signature第38条 签名
A transport document shall be signed by the carrier or a person acting on its behalf.运输单证应当由承运人或者代其行事的人签名。
An electronic transport record shall include the electronic signature of the carrier or a person acting on its behalf.电子运输记录应当包含承运人或者代其行事的人的电子签名。
Such electronic signature shall identify the signatory in relation to the electronic transport record and indicate the carrier’s authorization of the electronic transport record.凭借此种电子签名,应当能够识别与该电子运输记录有关的签名人,且表明承运人对该电子运输记录的授权。
Article 39. Deficiencies in the contract particulars第39条 合同事项不完备
The absence or inaccuracy of one or more of the contract particulars referred to in article 36, paragraphs 1, 2 or 3, does not of itself affect the legal character or validity of the transport document or of the electronic transport record.合同事项中缺少第36条第1款、第2款或者第3款述及的一项或者数项内容,或者这些内容不准确,本身不影响运输单证或者电子运输记录的法律性质或者法律效力。
If the contract particulars include the date but fail to indicate its significance, the date is deemed to be:合同事项包含日期而未载明其含义的:
The date on which all of the goods indicated in the transport document or electronic transport record were loaded on board the ship, if the contract particulars indicate that the goods have been loaded on board a ship; or如果合同事项载明货物已装船,该日期视为运输单证或者电子运输记录中载明的全部货物的装船日期;或者
The date on which the carrier or a performing party received the goods, if the contract particulars do not indicate that the goods have been loaded on board a ship.如果合同事项未载明货物已装船,该日期视为承运人或者履约方收到货物的日期。
If the contract particulars fail to state the apparent order and condition of the goods at the time the carrier or a performing party receives them, the contract particulars are deemed to have stated that the goods were in apparent good order and condition at the time the carrier or a performing party received them.合同事项未载明承运人或者履约方收到货物时货物表面状况的,该合同事项视为已载明承运人或者履约方收到货物时货物表面状况良好。
Article 40. Qualifying the information relating to the goods in the contract particulars第40条 对合同事项中货物相关信息作出保留
The carrier shall qualify the information referred to in article 36, paragraph 1, to indicate that the carrier does not assume responsibility for the accuracy of the information furnished by the shipper if:在下列条件下,承运人应当对第36条第1款中述及的信息作出保留,指出承运人对于托运人所提供信息的准确性不负责任:
The carrier has actual knowledge that any material statement in the transport document or electronic transport record is false or misleading; or承运人实际知道运输单证或者电子运输记录中的任何重要声明有虚假或者误导内容;或者
The carrier has reasonable grounds to believe that a material statement in the transport document or electronic transport record is false or misleading.承运人有合理的理由认为运输单证或者电子运输记录中的任何重要声明有虚假或者误导内容。
Without prejudice to paragraph 1 of this article, the carrier may qualify the information referred to in article 36, paragraph 1, in the circumstances and in the manner set out in paragraphs 3 and 4 of this article to indicate that the carrier does not assume responsibility for the accuracy of the information furnished by the shipper.在不影响本条第1款的情况下,承运人可以按照本条第3款和第4款规定的情形和方式,对第36条第1款中述及的信息作出保留,指出承运人对于托运人所提供信息的准确性不负责任。
When the goods are not delivered for carriage to the carrier or a performing party in a closed container or vehicle, or when they are delivered in a closed container or vehicle and the carrier or a performing party actually inspects them, the carrier may qualify the information referred to in article 36, paragraph 1, if:货物不放在封闭集装箱内或者封闭车辆内交付给承运人或者履约方运输,或者货物放在封闭集装箱内或者封闭车辆内交付且承运人或者履约方实际检验了货物的,在下述条件下,承运人可以对第36条第1款中述及的信息作出保留:
The carrier had no physically practicable or commercially reasonable means of checking the information furnished by the shipper, in which case it may indicate which information it was unable to check; or承运人无实际可行或者商业上合理的方式核对托运人提供的信息,在这种情况下,承运人可以注明其无法核对的信息;或者
The carrier has reasonable grounds to believe the information furnished by the shipper to be inaccurate, in which case it may include a clause providing what it reasonably considers accurate information.承运人有合理的理由认为托运人所提供的信息不准确,在这种情况下,承运人可以列入一个条款,提供其合理认为准确的信息。
When the goods are delivered for carriage to the carrier or a performing party in a closed container or vehicle, the carrier may qualify the information referred to in:货物放在封闭集装箱内或者封闭车辆内交付给承运人或者履约方运输的,承运人可以就下列条款中述及的信息作出保留:
Article 36, subparagraphs 1 (a), (b), or (c), if:第36条第1款(a)项、(b)项或者(c)项,条件是:
The goods inside the container or vehicle have not actually been inspected by the carrier or a performing party; and集装箱内或者车辆内货物未经过承运人或者履约方实际检验;并且
Neither the carrier nor a performing party otherwise has actual knowledge of its contents before issuing the transport document or the electronic transport record; and无论承运人还是履约方均未在签发运输单证或者电子运输记录之前以其他方式实际知道集装箱内或者车辆内货物的情况;和
Article 36, subparagraph 1 (d), if:第36条第1款(d)项,条件是:
Neither the carrier nor a performing party weighed the container or vehicle, and the shipper and the carrier had not agreed prior to the shipment that the container or vehicle would be weighed and the weight would be included in the contract particulars; or无论承运人还是履约方均未对集装箱或者车辆称重,且托运人和承运人均未在装运货物之前约定对集装箱或者车辆称重并将其重量记载在合同事项中;或者
There was no physically practicable or commercially reasonable means of checking the weight of the container or vehicle.无实际可行或者商业上合理的方式核对集装箱或者车辆重量。
Article 41. Evidentiary effect of the contract particulars第41条 合同事项的证据效力
Except to the extent that the contract particulars have been qualified in the circumstances and in the manner set out in article 40:除合同事项已按照第40条规定的情形和方式作了保留外:
A transport document or an electronic transport record is prima facie evidence of the carrier’s receipt of the goods as stated in the contract particulars;运输单证或者电子运输记录是承运人收到合同事项中所记载货物的初步证据;
Proof to the contrary by the carrier in respect of any contract particulars shall not be admissible, when such contract particulars are included in:在下列情况下,承运人就任何合同事项提出的相反证据不予接受:
A negotiable transport document or a negotiable electronic transport record that is transferred to a third party acting in good faith; or此种合同事项载于已转让给善意行事第三方的可转让运输单证或者可转让电子运输记录,或者
A non-negotiable transport document that indicates that it must be surrendered in order to obtain delivery of the goods and is transferred to the consignee acting in good faith;此种合同事项载于载明必须交单提货,且已转让给善意行事收货人的不可转让运输单证。
Proof to the contrary by the carrier shall not be admissible against a consignee that in good faith has acted in reliance on any of the following contract particulars included in a non-negotiable transport document or a non-negotiable electronic transport record:承运人提出的针对善意行事收货人的相反证据,在该收货人依赖载于不可转让运输单证或者不可转让电子运输记录中的下述任何合同事项时,不予接受:
The contract particulars referred to in article 36, paragraph 1, when such contract particulars are furnished by the carrier;第36条第1款中述及的合同事项,此种合同事项由承运人提供;
The number, type and identifying numbers of the containers, but not the identifying numbers of the container seals; and集装箱的号码、型号和识别号,而非集装箱封条的识别号;和
The contract particulars referred to in article 36, paragraph 2.第36条第2款中述及的合同事项。
Article 42. “Freight prepaid”第42条 “预付运费”
If the contract particulars contain the statement “freight prepaid” or a statement of a similar nature, the carrier cannot assert against the holder or the consignee the fact that the freight has not been paid.合同事项载有“预付运费”声明或者类似性质声明的,承运人不能以运费尚未支付这一主张对抗持有人或者收货人。
This article does not apply if the holder or the consignee is also the shipper.持有人或者收货人也是托运人的,本条不适用。
CHAPTER 9. DELIVERY OF THE GOODS第9章 货物交付
Article 43. Obligation to accept delivery第43条 接受交货的义务
When the goods have arrived at their destination, the consignee that demands delivery of the goods under the contract of carriage shall accept delivery of the goods at the time or within the time period and at the location agreed in the contract of carriage or, failing such agreement, at the time and location at which, having regard to the terms of the contract, the customs, usages or practices of the trade and the circumstances of the carriage, delivery could reasonably be expected.当货物到达目的地时,要求交付货物的收货人应当在运输合同约定的时间或者期限内,在运输合同约定的地点接受交货,无此种约定的,应当在考虑到合同条款和行业习惯、惯例或者做法以及运输情形,能够合理预期的交货时间和地点接受交货。
Article 44. Obligation to acknowledge receipt第44条 确认收到的义务
On request of the carrier or the performing party that delivers the goods, the consignee shall acknowledge receipt of the goods from the carrier or the performing party in the manner that is customary at the place of delivery.收货人应当按照交付货物的承运人或者履约方的要求,以交货地的习惯方式确认从承运人或者履约方收到了货物。
The carrier may refuse delivery if the consignee refuses to acknowledge such receipt.收货人拒绝确认收到货物的,承运人可以拒绝交付。
Article 45. Delivery when no negotiable transport document or negotiable electronic transport record is issued第45条 未签发可转让运输单证或者 可转让电子运输记录时的交付
When neither a negotiable transport document nor a negotiable electronic transport record has been issued:未签发可转让运输单证或者可转让电子运输记录的:
The carrier shall deliver the goods to the consignee at the time and location referred to in article 43.承运人应当在第43条述及的时间和地点将货物交付给收货人。
The carrier may refuse delivery if the person claiming to be the consignee does not properly identify itself as the consignee on the request of the carrier;声称是收货人的人未按照承运人的要求适当表明其为收货人的,承运人可以拒绝交付;
If the name and address of the consignee are not referred to in the contract particulars, the controlling party shall prior to or upon the arrival of the goods at the place of destination advise the carrier of such name and address;收货人的名称和地址未在合同事项中载明的,控制方应当在货物到达目的地前或者在货物到达目的地时,将收货人的名称和地址告知承运人;
Without prejudice to article 48, paragraph 1, if the goods are not deliverable because (i) the consignee, after having received a notice of arrival, does not, at the time or within the time period referred to in article 43, claim delivery of the goods from the carrier after their arrival at the place of destination, (ii) the carrier refuses delivery because the person claiming to be the consignee does not properly identify itself as the consignee, or (iii) the carrier is, after reasonable effort, unable to locate the consignee in order to request delivery instructions, the carrier may so advise the controlling party and request instructions in respect of the delivery of the goods.在不影响第48条第1款的情况下,如果货物未能交付是因为(i)收货人接到了到货通知而未在第43条述及的时间或者期限内在货物到达目的地后向承运人主张提取货物,(ii)承运人因声称是收货人的人未适当表明其为收货人而拒绝交货,或者(iii)承运人经合理努力无法确定收货人,请求就货物的交付发出指示,则承运人可以通知控制方,请求就货物的交付发出指示。
If, after reasonable effort, the carrier is unable to locate the controlling party, the carrier may so advise the shipper and request instructions in respect of the delivery of the goods.承运人经合理努力无法确定控制方的,承运人可以通知托运人,请求就货物的交付发出指示。
If, after reasonable effort, the carrier is unable to locate the shipper, the carrier may so advise the documentary shipper and request instructions in respect of the delivery of the goods;承运人经合理努力无法确定控制方或者托运人的,承运人可以通知单证托运人,请求就货物的交付发出指示;
The carrier that delivers the goods upon instruction of the controlling party, the shipper or the documentary shipper pursuant to subparagraph (c) of this article is discharged from its obligations to deliver the goods under the contract of carriage.承运人根据本条(c)项按照控制方、托运人或者单证托运人的指示交付货物的,解除承运人在运输合同下交付货物的义务。
Article 46. Delivery when a non-negotiable transport document that requires surrender is issued第46条 签发必须提交的不可转让运输单证时的交付
When a non-negotiable transport document has been issued that indicates that it shall be surrendered in order to obtain delivery of the goods:签发不可转让运输单证,其中载明必须交单提货的:
The carrier shall deliver the goods at the time and location referred to in article 43 to the consignee upon the consignee properly identifying itself on the request of the carrier and surrender of the non-negotiable document.承运人应当在收货人按照承运人的要求适当表明其为收货人并提交不可转让单证时,在第43条述及的时间和地点将货物交付给收货人。
The carrier may refuse delivery if the person claiming to be the consignee fails to properly identify itself on the request of the carrier, and shall refuse delivery if the non-negotiable document is not surrendered.声称是收货人的人不能按照承运人的要求适当表明其为收货人的,承运人可以拒绝交付,未提交不可转让单证的,承运人应当拒绝交付。
If more than one original of the non-negotiable document has been issued, the surrender of one original will suffice and the other originals cease to have any effect or validity;所签发不可转让单证有一份以上正本的,提交一份正本单证即可,其余正本单证随即失去效力;
Without prejudice to article 48, paragraph 1, if the goods are not deliverable because (i) the consignee, after having received a notice of arrival, does not, at the time or within the time period referred to in article 43, claim delivery of the goods from the carrier after their arrival at the place of destination, (ii) the carrier refuses delivery because the person claiming to be the consignee does not properly identify itself as the consignee or does not surrender the document, or (iii) the carrier is, after reasonable effort, unable to locate the consignee in order to request delivery instructions, the carrier may so advise the shipper and request instructions in respect of the delivery of the goods.在不影响第48条第1款的情况下,如果货物未能交付是因为(i)收货人接到了到货通知而未在第43条述及的时间或者期限内在货物到达目的地后向承运人主张提取货物,(ii)承运人因声称是收货人的人未适当表明其为收货人或者未提交单证而拒绝交货,或者(iii)承运人经合理努力无法确定收货人,请求就货物的交付发出指示,则承运人可以通知托运人,请求就货物的交付发出指示。
If, after reasonable effort, the carrier is unable to locate the shipper, the carrier may so advise the documentary shipper and request instructions in respect of the delivery of the goods;承运人经合理努力无法确定托运人的,承运人应当通知单证托运人,请求就货物的交付发出指示;
The carrier that delivers the goods upon instruction of the shipper or the documentary shipper pursuant to subparagraph (b) of this article is discharged from its obligation to deliver the goods under the contract of carriage, irrespective of whether the non-negotiable transport document has been surrendered to it.承运人根据本条(b)项按照托运人或者单证托运人的指示交付货物的,解除承运人在运输合同下交付货物的义务,而不考虑是否已向承运人提交不可转让运输单证。
Article 47. Delivery when a negotiable transport document or negotiable electronic transport record is issued第47条 签发可转让运输单证或者 可转让电子运输记录时的交付
When a negotiable transport document or a negotiable electronic transport record has been issued:签发可转让运输单证或者可转让电子运输记录的:
The holder of the negotiable transport document or negotiable electronic transport record is entitled to claim delivery of the goods from the carrier after they have arrived at the place of destination, in which event the carrier shall deliver the goods at the time and location referred to in article 43 to the holder:可转让运输单证或者可转让电子运输记录的持有人有权在货物到达目的地后向承运人主张提取货物,在这种情况下,下列要求之一得到满足时,承运人即应当在第43条述及的时间和地点将货物交付给该持有人:
Upon surrender of the negotiable transport document and, if the holder is one of the persons referred to in article 1, subparagraph 10 (a)(i), upon the holder properly identifying itself; or该持有人提交了可转让运输单证,该持有人为第1条第10款(a)项(i)目述及的人的,还适当表明了其身份;或者
Upon demonstration by the holder, in accordance with the procedures referred to in article 9, paragraph 1, that it is the holder of the negotiable electronic transport record;该持有人按照第9条第1款述及的程序证明其为可转让电子运输记录的持有人。
The carrier shall refuse delivery if the requirements of subparagraph (a)(i) or (a)(ii) of this paragraph are not met;本款(a)项(i)目或者(a)项(ii)目所列要求未得到满足的,承运人应当拒绝交付;
If more than one original of the negotiable transport document has been issued, and the number of originals is stated in that document, the surrender of one original will suffice and the other originals cease to have any effect or validity.所签发可转让运输单证有一份以上正本,且该单证中注明正本份数的,提交一份正本单证即可,其余正本单证随即失去效力。
When a negotiable electronic transport record has been used, such electronic transport record ceases to have any effect or validity upon delivery to the holder in accordance with the procedures required by article 9, paragraph 1.使用可转让电子运输记录的,按照第9条第1款规定的程序一经向持有人交付货物,该电子运输记录随即失去效力;
Without prejudice to article 48, paragraph 1, if the negotiable transport document or the negotiable electronic transport record expressly states that the goods may be delivered without the surrender of the transport document or the electronic transport record, the following rules apply:在不影响第48条第1款的情况下,可转让运输单证或者可转让电子运输记录明确规定可以不提交运输单证或者电子运输记录交付货物的,适用下列规则:
If the goods are not deliverable because (i) the holder, after having received a notice of arrival, does not, at the time or within the time period referred to in article 43, claim delivery of the goods from the carrier after their arrival at the place of destination, (ii) the carrier refuses delivery because the person claiming to be a holder does not properly identify itself as one of the persons referred to in article 1, subparagraph 10 (a)(i), or (iii) the carrier is, after reasonable effort, unable to locate the holder in order to request delivery instructions, the carrier may so advise the shipper and request instructions in respect of the delivery of the goods.如果货物未能交付是因为(i)持有人接到了到货通知而未在第43条述及的时间或者期限内在货物到达目的地后向承运人主张提取货物,(ii)承运人因声称是持有人的人未适当表明其为第1条第10款(a)项(i)目所述及的人之一而拒绝交货,或者(iii)承运人经合理努力无法确定持有人,请求就货物的交付发出指示,则承运人可以通知托运人,请求就货物的交付发出指示。
If, after reasonable effort, the carrier is unable to locate the shipper, the carrier may so advise the documentary shipper and request instructions in respect of the delivery of the goods;承运人经合理努力无法确定托运人的,承运人应当通知单证托运人,请求就货物的交付发出指示;
The carrier that delivers the goods upon instruction of the shipper or the documentary shipper in accordance with subparagraph 2 (a) of this article is discharged from its obligation to deliver the goods under the contract of carriage to the holder, irrespective of whether the negotiable transport document has been surrendered to it, or the person claiming delivery under a negotiable electronic transport record has demonstrated, in accordance with the procedures referred to in article 9, paragraph 1, that it is the holder;承运人根据本条第2款(a)项按照托运人或者单证托运人的指示交付货物的,解除承运人在运输合同下向持有人交付货物的义务,而不考虑是否已向承运人提交可转让运输单证,也不考虑凭可转让电子运输记录主张提货的人是否已按照第9条第1款述及的程序证明其为持有人;
The person giving instructions under subparagraph 2 (a) of this article shall indemnify the carrier against loss arising from its being held liable to the holder under subparagraph 2 (e) of this article.承运人根据本条第2款(e)项对持有人负赔偿责任的,根据本条第2款(a)项发出指示的人应当补偿承运人由此遭受的损失。
The carrier may refuse to follow those instructions if the person fails to provide adequate security as the carrier may reasonably request;该人未能按照承运人的合理要求提供适当担保的,承运人可以拒绝遵守这些指示;
A person that becomes a holder of the negotiable transport document or the negotiable electronic transport record after the carrier has delivered the goods pursuant to subparagraph 2 (b) of this article, but pursuant to contractual or other arrangements made before such delivery acquires rights against the carrier under the contract of carriage, other than the right to claim delivery of the goods;一人在承运人已根据本条第2款(b)项交付货物后成为可转让运输单证或者可转让电子运输记录的持有人,仍根据此项交货前的合同安排或者其他安排取得对承运人除主张提货权以外的运输合同下的权利;
Notwithstanding subparagraphs 2 (b) and 2 (d) of this article, a holder that becomes a holder after such delivery, and that did not have and could not reasonably have had knowledge of such delivery at the time it became a holder, acquires the rights incorporated in the negotiable transport document or negotiable electronic transport record.虽有本条第2款(b)项和第2款(d)项的规定,一持有人在此项交货后成为持有人,在其成为持有人时不知道且理应不可能知道此项交货的,取得可转让运输单证或者可转让电子运输记录所包含的权利。
When the contract particulars state the expected time of arrival of the goods, or indicate how to obtain information as to whether the goods have been delivered, it is presumed that the holder at the time that it became a holder had or could reasonably have had knowledge of the delivery of the goods.合同事项载明预计到货时间,或者载明如何获取有关货物是否已交付的信息的,推定该持有人在其成为持有人时已知道或者理应能够知道货物的交付。
Article 48. Goods remaining undelivered第48条 货物仍未交付
For the purposes of this article, goods shall be deemed to have remained undelivered only if, after their arrival at the place of destination:在本条中,只有在下列情形下,货物到达目的地后应当被视为仍未交付:
The consignee does not accept delivery of the goods pursuant to this chapter at the time and location referred to in article 43;收货人未根据本章的规定,在第43条述及的时间和地点接受交货;
The controlling party, the holder, the shipper or the documentary shipper cannot be found or does not give the carrier adequate instructions pursuant to articles 45, 46 and 47;控制方、持有人、托运人或者单证托运人无法被找到,或者未根据第45条、第46条和第47条向承运人发出适当指示;
The carrier is entitled or required to refuse delivery pursuant to articles 44, 45, 46 and 47;根据第44条、第45条、第46条和第47条,承运人有权或者必须拒绝交付货物;
The carrier is not allowed to deliver the goods to the consignee pursuant to the law or regulations of the place at which delivery is requested; or根据请求交货地的法律条例,不允许承运人向收货人交付货物;或者
The goods are otherwise undeliverable by the carrier.承运人无法交付货物的其他情形。
Without prejudice to any other rights that the carrier may have against the shipper, controlling party or consignee, if the goods have remained undelivered, the carrier may, at the risk and expense of the person entitled to the goods, take such action in respect of the goods as circumstances may reasonably require, including:在不影响承运人可以向托运人、控制方或者收货人主张其他任何权利的情况下,货物仍未交付的,由有权提取货物的人承担风险和费用,承运人可以根据情况的合理要求就货物采取行动,其中包括:
To store the goods at any suitable place;将货物存放在任何合适地方;
To unpack the goods if they are packed in containers or vehicles, or to act otherwise in respect of the goods, including by moving them; and货物载于集装箱内或者车辆内的,打开包装,或者就货物采取其他行动,包括转移货物;并且
To cause the goods to be sold or destroyed in accordance with the practices or pursuant to the law or regulations of the place where the goods are located at the time.按照惯例,或者根据货物当时所在地的法律条例,将货物出售或者销毁。
The carrier may exercise the rights under paragraph 2 of this article only after it has given reasonable notice of the intended action under paragraph 2 of this article to the person stated in the contract particulars as the person, if any, to be notified of the arrival of the goods at the place of destination, and to one of the following persons in the order indicated, if known to the carrier: the consignee, the controlling party or the shipper.只有在承运人已就本条第2款所设想的行动,向合同事项中载明的货物到达目的地时可能存在的任何被通知人,并向承运人知道的收货人、控制方或者托运人这三种人之一,按照所列顺序发出合理通知之后,承运人方可行使本条第2款规定的权利。
If the goods are sold pursuant to subparagraph 2 (c) of this article, the carrier shall hold the proceeds of the sale for the benefit of the person entitled to the goods, subject to the deduction of any costs incurred by the carrier and any other amounts that are due to the carrier in connection with the carriage of those goods.货物根据本条第2款(c)项出售的,承运人应当为有权提取货物的人的利益代为保管出售货物的价款,但可从中扣除承运人承担的任何费用和应付给承运人的与运输这些货物有关的其他任何款项。
The carrier shall not be liable for loss of or damage to goods that occurs during the time that they remain undelivered pursuant to this article unless the claimant proves that such loss or damage resulted from the failure by the carrier to take steps that would have been reasonable in the circumstances to preserve the goods and that the carrier knew or ought to have known that the loss or damage to the goods would result from its failure to take such steps.对于在本条所规定的货物仍未交付期间内发生的货物灭失或者损坏,承运人不负赔偿责任,除非索赔人证明,此种灭失或者损坏是由于承运人未能在当时的情况下采取应有的合理步骤保存货物所致,且承运人已知道或者本应知道不采取此种步骤将给货物造成的灭失或者损坏。
Article 49. Retention of goods第49条 货物留置
Nothing in this Convention affects a right of the carrier or a performing party that may exist pursuant to the contract of carriage or the applicable law to retain the goods to secure the payment of sums due.本公约的规定概不影响承运人或者履约方可以根据运输合同或者准据法留置货物,为应付款的偿付获得担保的权利。
CHAPTER 10. RIGHTS OF THE CONTROLLING PARTY第10章 控制方的权利
Article 50. Exercise and extent of right of control第50条 控制权的行使和范围
The right of control may be exercised only by the controlling party and is limited to:控制权只能由控制方行使,且仅限于:
The right to give or modify instructions in respect of the goods that do not constitute a variation of the contract of carriage;就货物发出指示或者修改指示的权利,此种指示不构成对运输合同的变更;
The right to obtain delivery of the goods at a scheduled port of call or, in respect of inland carriage, any place en route; and在计划挂靠港,或者在内陆运输情况下在运输途中的任何地点提取货物的权利;和
The right to replace the consignee by any other person including the controlling party.由包括控制方在内的其他任何人取代收货人的权利。
The right of control exists during the entire period of responsibility of the carrier, as provided in article 12, and ceases when that period expires.控制权存在于第12条规定的整个承运人责任期间,该责任期间届满时即告终止。
Article 51. Identity of the controlling party and transfer of the right of control第51条 控制方的识别和控制权的转让
Except in the cases referred to in paragraphs 2, 3 and 4 of this article:除本条第2款、第3款和第4款述及的情形外,
The shipper is the controlling party unless the shipper, when the contract of carriage is concluded, designates the consignee, the documentary shipper or another person as the controlling party;托运人为控制方,除非托运人在订立运输合同时指定收货人、单证托运人或者其他人为控制方;
The controlling party is entitled to transfer the right of control to another person.控制方有权将控制权转让给其他人。
The transfer becomes effective with respect to the carrier upon its notification of the transfer by the transferor, and the transferee becomes the controlling party; and此种转让在转让人向承运人发出转让通知时对承运人产生效力,受让人于是成为控制方;并且
The controlling party shall properly identify itself when it exercises the right of control.控制方行使控制权时,应当适当表明其身份。
When a non-negotiable transport document has been issued that indicates that it shall be surrendered in order to obtain delivery of the goods:已签发不可转让运输单证,其中载明必须交单提货的:
The shipper is the controlling party and may transfer the right of control to the consignee named in the transport document by transferring the document to that person without endorsement.托运人为控制方,且可以将控制权转让给运输单证中指定的收货人,该运输单证可不经背书转让给该人。
If more than one original of the document was issued, all originals shall be transferred in order to effect a transfer of the right of control; and所签发单证有一份以上正本的,应当转让所有正本单证,方可实现控制权的转让;并且
In order to exercise its right of control, the controlling party shall produce the document and properly identify itself.为了行使控制权,控制方应当提交单证且适当表明其身份。
If more than one original of the document was issued, all originals shall be produced, failing which the right of control cannot be exercised.所签发单证有一份以上正本的,应当提交所有正本单证,否则不能行使控制权。
When a negotiable transport document is issued:签发可转让运输单证的:
The holder or, if more than one original of the negotiable transport document is issued, the holder of all originals is the controlling party;持有人为控制方,所签发可转让运输单证有一份以上正本的,持有人得到所有正本单证,方可成为控制方;
The holder may transfer the right of control by transferring the negotiable transport document to another person in accordance with article 57.持有人可以根据第57条,通过将可转让运输单证转让给其他人而转让控制权。
If more than one original of that document was issued, all originals shall be transferred to that person in order to effect a transfer of the right of control; and所签发单证有一份以上正本的,应当向该人转让所有正本单证,方可实现控制权的转让;并且
In order to exercise the right of control, the holder shall produce the negotiable transport document to the carrier, and if the holder is one of the persons referred to in article 1, subparagraph 10 (a)(i), the holder shall properly identify itself.为了行使控制权,持有人应当向承运人提交可转让运输单证,持有人是第1条第10款(a)项(i)目述及的其中一种人的,应当适当表明其身份。
If more than one original of the document was issued, all originals shall be produced, failing which the right of control cannot be exercised.所签发单证有一份以上正本的,应当提交所有正本单证,否则不能行使控制权。
When a negotiable electronic transport record is issued:签发可转让电子运输记录的:
The holder is the controlling party;持有人为控制方;
The holder may transfer the right of control to another person by transferring the negotiable electronic transport record in accordance with the procedures referred to in article 9, paragraph 1; and持有人可以按照第9条第1款述及的程序,通过转让可转让电子运输记录,将控制权转让给其他人;并且
In order to exercise the right of control, the holder shall demonstrate, in accordance with the procedures referred to in article 9, paragraph 1, that it is the holder.为了行使控制权,持有人应当按照第9条第1款述及的程序证明其为持有人。
Article 52. Carrier’s execution of instructions第52条 承运人执行指示
Subject to paragraphs 2 and 3 of this article, the carrier shall execute the instructions referred to in article 50 if:除本条第2款和第3款另有规定外,在下列条件下,承运人应当执行第50条述及的指示:
The person giving such instructions is entitled to exercise the right of control;发出此种指示的人有权行使控制权;
The instructions can reasonably be executed according to their terms at the moment that they reach the carrier; and该指示送达承运人时即能按照其中的条件合理地执行;并且
The instructions will not interfere with the normal operations of the carrier, including its delivery practices.该指示不会干扰承运人的正常营运,包括其交付作业。
In any event, the controlling party shall reimburse the carrier for any reasonable additional expense that the carrier may incur and shall indemnify the carrier against loss or damage that the carrier may suffer as a result of diligently executing any instruction pursuant to this article, including compensation that the carrier may become liable to pay for loss of or damage to other goods being carried.在任何情况下,控制方均应当偿还承运人根据本条勤勉执行任何指示而可能承担的合理的额外费用,且应当补偿承运人可能由于此种执行而遭受的灭失或者损坏,包括为承运人可能赔付其他所载运货物的灭失或者损坏而作出赔偿。
The carrier is entitled to obtain security from the controlling party for the amount of additional expense, loss or damage that the carrier reasonably expects will arise in connection with the execution of an instruction pursuant to this article.按照承运人的合理预计,根据本条执行指示将产生额外费用、灭失或者损坏的,承运人有权从控制方处获得与之数额相当的担保。
The carrier may refuse to carry out the instructions if no such security is provided.未提供此种担保的,承运人可以拒绝执行指示。
The carrier’s liability for loss of or damage to the goods or for delay in delivery resulting from its failure to comply with the instructions of the controlling party in breach of its obligation pursuant to paragraph 1 of this article shall be subject to articles 17 to 23, and the amount of the compensation payable by the carrier shall be subject to articles 59 to 61.承运人违反本条第1款对其规定的义务,未遵守控制方指示而造成货物灭失、损坏或者迟延交付的,承运人所负的赔偿责任应当根据第17条至第23条确定,承运人应付的赔偿额应当根据第59条至第61条确定。
Article 53. Deemed delivery第53条 视为交货
Goods that are delivered pursuant to an instruction in accordance with article 52, paragraph 1, are deemed to be delivered at the place of destination, and the provisions of chapter 9 relating to such delivery apply to such goods.根据第52条第1款按照指示交付货物,视为在目的地交货,第9章中有关此种交货的规定适用于此种货物。
Article 54. Variations to the contract of carriage第54条 运输合同的变更
The controlling party is the only person that may agree with the carrier to variations to the contract of carriage other than those referred to in article 50, subparagraphs 1 (b) and (c).控制方是唯一可以与承运人约定对运输合同的变更的人,但第50条第1款(b)项和(c)项述及的内容除外。
Variations to the contract of carriage, including those referred to in article 50, subparagraphs 1 (b) and (c), shall be stated in a negotiable transport document or in a non-negotiable transport document that requires surrender, or incorporated in a negotiable electronic transport record, or, upon the request of the controlling party, shall be stated in a non-negotiable transport document or incorporated in a non-negotiable electronic transport record.对运输合同的变更,包括第50条第1款(b)项和(c)项述及的内容,应当在可转让运输单证或者必须提交的不可转让运输单证上记载或者并入可转让电子运输记录,或者在控制方提出要求时,应当在不可转让运输单证上记载或者并入不可转让电子运输记录。
If so stated or incorporated, such variations shall be signed in accordance with article 38.凡作此种记载或者并入的变更,均应当根据第38条签名。
Article 55. Providing additional information, instructions or documents to carrier第55条 向承运人提供补充信息、指示或者文件
The controlling party, on request of the carrier or a performing party, shall provide in a timely manner information, instructions or documents relating to the goods not yet provided by the shipper and not otherwise reasonably available to the carrier that the carrier may reasonably need to perform its obligations under the contract of carriage.控制方应当按照承运人或者履约方的要求,及时提供承运人履行其在运输合同下义务而可能合理需要的有关货物的信息、指示或者文件,此种信息、指示或者文件尚未由托运人提供,且承运人无法以其他方式合理获得。
If the carrier, after reasonable effort, is unable to locate the controlling party or the controlling party is unable to provide adequate information, instructions or documents to the carrier, the shipper shall provide them.承运人经合理努力无法确定控制方,或者控制方无法向承运人提供适当信息、指示或者文件的,应当由托运人提供此种信息、指示或者文件。
If the carrier, after reasonable effort, is unable to locate the shipper, the documentary shipper shall provide such information, instructions or documents.承运人经合理努力无法确定托运人的,应当由单证托运人提供此种信息、指示或者文件。
Article 56. Variation by agreement第56条 协议变更
The parties to the contract of carriage may vary the effect of articles 50, subparagraphs 1 (b) and (c), 50, paragraph 2, and 52.运输合同当事人可以协议变更第50条第1款(b)项和(c)项、第50条第2款和第52条的效力。
The parties may also restrict or exclude the transferability of the right of control referred to in article 51, subparagraph 1 (b).当事人还可以限制或者排除第51条第1款(b)项所述及的控制权的可转让性。
CHAPTER 11. TRANSFER OF RIGHTS第11章 权利转让
Article 57. When a negotiable transport document or negotiable electronic transport record is issued第57条 签发可转让运输单证或者可转让电子运输记录的
When a negotiable transport document is issued, the holder may transfer the rights incorporated in the document by transferring it to another person:签发可转让运输单证的,其持有人可以通过向其他人转让该运输单证而转让其中包含的各项权利:
Duly endorsed either to such other person or in blank, if an order document; or (b) Without endorsement, if:是指示单证的,须正式背书给该其他人,或者须空白背书;或者
a bearer document or a blank endorsed document; or (ii) a document made out to the order of a named person and the transfer is between the first holder and the named person.是(i)不记名单证或者空白背书单证的,或者是(ii)凭记名人指示开出的单证,且转让发生在第一持有人与该记名人之间的,无须背书。
When a negotiable electronic transport record is issued, its holder may transfer the rights incorporated in it, whether it be made out to order or to the order of a named person, by transferring the electronic transport record in accordance with the procedures referred to in article 9, paragraph 1.签发可转让电子运输记录的,不论该电子运输记录是凭指示开出还是凭记名人指示开出,其持有人均可以按照第9条第1款述及的程序,通过转让该电子运输记录,转让其中包含的各项权利。
Article 58. Liability of holder第58条 持有人的赔偿责任
Without prejudice to article 55, a holder that is not the shipper and that does not exercise any right under the contract of carriage does not assume any liability under the contract of carriage solely by reason of being a holder.在不影响第55条的情况下,非托运人的持有人,未行使运输合同下任何权利的,不能只因为是持有人而负有运输合同下的任何赔偿责任。
A holder that is not the shipper and that exercises any right under the contract of carriage assumes any liabilities imposed on it under the contract of carriage to the extent that such liabilities are incorporated in or ascertainable from the negotiable transport document or the negotiable electronic transport record.非托运人的持有人,行使运输合同下任何权利的,负有运输合同对其规定的任何赔偿责任,但此种赔偿责任须载入可转让运输单证或者可转让电子运输记录,或者可以从其中查明。
For the purposes of paragraphs 1 and 2 of this article, a holder that is not the shipper does not exercise any right under the contract of carriage solely because:就本条第1款和第2款而言,非托运人的持有人不能只因为下列作为而被视为行使运输合同下的任何权利:
It agrees with the carrier, pursuant to article 10, to replace a negotiable transport document by a negotiable electronic transport record or to replace a negotiable electronic transport record by a negotiable transport document; or该持有人根据第10条与承运人约定,以可转让电子运输记录替换可转让运输单证,或者以可转让运输单证替换可转让电子运输记录;或者
It transfers its rights pursuant to article 57.该持有人根据第57条转让其权利。
CHAPTER 12. LIMITS OF LIABILITY第12章 赔偿责任限额
Article 59. Limits of liability第59条 赔偿责任限额
Subject to articles 60 and 61, paragraph 1, the carrier’s liability for breaches of its obligations under this Convention is limited to 875 units of account per package or other shipping unit, or 3 units of account per kilogram of the gross weight of the goods that are the subject of the claim or dispute, whichever amount is the higher, except when the value of the goods has been declared by the shipper and included in the contract particulars, or when a higher amount than the amount of limitation of liability set out in this article has been agreed upon between the carrier and the shipper.除第60条以及第61条第1款另有规定外,承运人对于违反本公约对其规定的义务所负赔偿责任的限额,按照索赔或者争议所涉货物的件数或者其他货运单位计算,每件或者每个其他货运单位875个计算单位,或者按照索赔或者争议所涉货物的毛重计算,每公斤3个计算单位,以两者中较高限额为准,但货物价值已由托运人申报且在合同事项中载明的,或者承运人与托运人已另行约定高于本条所规定的赔偿责任限额的,不在此列。
When goods are carried in or on a container, pallet or similar article of transport used to consolidate goods, or in or on a vehicle, the packages or shipping units enumerated in the contract particulars as packed in or on such article of transport or vehicle are deemed packages or shipping units.货物载于集装箱、货盘或者拼装货物的类似装运器具内,或者载于车辆内运输的,合同事项中载列的载于此种装运器具内或者车辆内的货物件数或者货运单位数,视为货物件数或者货运单位数。
If not so enumerated, the goods in or on such article of transport or vehicle are deemed one shipping unit.未载列的,载于此种装运器具内或者车辆内的货物视为一个货运单位。
The unit of account referred to in this article is the Special Drawing Right as defined by the International Monetary Fund.本条述及的计算单位,是国际货币基金组织定义的特别提款权。
The amounts referred to in this article are to be converted into the national currency of a State according to the value of such currency at the date of judgement or award or the date agreed upon by the parties.本条述及的限额,须按照一国国家货币在判决日或者裁决日,或者在当事人约定日的币值折算成该国货币。
The value of a national currency, in terms of the Special Drawing Right, of a Contracting State that is a member of the International Monetary Fund is to be calculated in accordance with the method of valuation applied by the International Monetary Fund in effect at the date in question for its operations and transactions.一缔约国是国际货币基金组织成员国的,该国货币对特别提款权的比价,须按照国际货币基金组织当日对其业务和交易实行的计价换算方法计算。
The value of a national currency, in terms of the Special Drawing Right, of a Contracting State that is not a member of the International Monetary Fund is to be calculated in a manner to be determined by that State.一缔约国不是国际货币基金组织成员国的,该国货币对特别提款权的比价,须按照该国确定的方式计算。
Article 60. Limits of liability for loss caused by delay第60条 迟延造成损失的赔偿责任限额
Subject to article 61, paragraph 2, compensation for loss of or damage to the goods due to delay shall be calculated in accordance with article 22 and liability for economic loss due to delay is limited to an amount equivalent to two and one-half times the freight payable on the goods delayed.除第61条第2款另有规定外,对迟延造成货物灭失或者损坏的赔偿额,应当按照第22条计算,对迟延造成经济损失的赔偿责任限额,是相当于迟交货物应付运费两倍半的数额。
The total amount payable pursuant to this article and article 59, paragraph 1, may not exceed the limit that would be established pursuant to article 59, paragraph 1, in respect of the total loss of the goods concerned.根据本条以及第59条第1款确定的赔付总额,不得超过所涉货物全损时根据第59条第1款确定的限额。
Article 61. Loss of the benefit of limitation of liability第61条 赔偿责任限制权的丧失
Neither the carrier nor any of the persons referred to in article 18 is entitled to the benefit of the limitation of liability as provided in article 59, or as provided in the contract of carriage, if the claimant proves that the loss resulting from the breach of the carrier’s obligation under this Convention was attributable to a personal act or omission of the person claiming a right to limit done with the intent to cause such loss or recklessly and with knowledge that such loss would probably result.如果索赔人证明,违反本公约规定的承运人义务所造成的损失,是由于声称有权限制赔偿责任的人本人故意造成此种损失的作为或者不作为所导致的,或者是明知可能产生此种损失而轻率地作为或者不作为所导致的,则承运人或者第18条述及的任何人,无权根据第59条的规定或者按照运输合同的约定享有限制赔偿责任的利益。
Neither the carrier nor any of the persons mentioned in article 18 is entitled to the benefit of the limitation of liability as provided in article 60 if the claimant proves that the delay in delivery resulted from a personal act or omission of the person claiming a right to limit done with the intent to cause the loss due to delay or recklessly and with knowledge that such loss would probably result. CHAPTER 13. TIME FOR SUIT如果索赔人证明,迟延交付是由于声称有权限制赔偿责任的人本人故意造成迟延损失的作为或者不作为所导致的,或者是明知可能产生此种损失而轻率地作为或者不作为所导致的,则承运人或者第18条述及的任何人,无权根据第60条的规定享有限制赔偿责任的利益。
Article 62.第13章 时效
Period of time for suit第62条 时效期间
No judicial or arbitral proceedings in respect of claims or disputes arising from a breach of an obligation under this Convention may be instituted after the expiration of a period of two years.两年时效期间期满后,不得就违反本公约下的一项义务所产生的索赔或者争议提起司法程序或者仲裁程序。
The period referred to in paragraph 1 of this article commences on the day on which the carrier has delivered the goods or, in cases in which no goods have been delivered or only part of the goods have been delivered, on the last day on which the goods should have been delivered.本条第1款述及的时效期间,自承运人交付货物之日起算,未交付货物或者只交付了部分货物的,自本应交付货物最后之日起算。
The day on which the period commences is not included in the period.时效期间的起算日不包括在该期间内。
Notwithstanding the expiration of the period set out in paragraph 1 of this article, one party may rely on its claim as a defence or for the purpose of set-off against a claim asserted by the other party.即使本条第1款规定的时效期间期满,一方当事人仍然可以提出索赔作为抗辩,或者以此抵消对方当事人提出的索赔。
Article 63. Extension of time for suit第63条 时效的延长
The period provided in article 62 shall not be subject to suspension or interruption, but the person against which a claim is made may at any time during the running of the period extend that period by a declaration to the claimant.第62条规定的时效期间不得中止或者中断,但被索赔人可以在时效期间内的任何时间,通过向索赔人声明而延长该时效期间。
This period may be further extended by another declaration or declarations.该时效期间可以经再次声明或者多次声明进一步延长。
Article 64. Action for indemnity第64条 追偿诉讼
An action for indemnity by a person held liable may be instituted after the expiration of the period provided in article 62 if the indemnity action is instituted within the later of:被认定负有责任的人,可以在第62条规定的时效期间期满后提起追偿诉讼,提起该追偿诉讼的时效期间以下列较晚者为准:
The time allowed by the applicable law in the jurisdiction where proceedings are instituted; or提起程序的管辖地准据法所允许的时效期间内;或者
Ninety days commencing from the day when the person instituting the action for indemnity has either settled the claim or been served with process in the action against itself, whichever is earlier.自追偿诉讼提起人解决原索赔之日起,或者自收到向其本人送达的起诉文书之日(以较早者为准)起九十日内。
Article 65. Actions against the person identified as the carrier第65条 对被识别为承运人的人的诉讼
An action against the bareboat charterer or the person identified as the carrier pursuant to article 37, paragraph 2, may be instituted after the expiration of the period provided in article 62 if the action is instituted within the later of:对光船承租人或者对根据第37条第2款被识别为承运人的人的诉讼,可以在第62条规定的时效期间期满后提起,提起该诉讼的时效期间以下列较晚者为准:
The time allowed by the applicable law in the jurisdiction where proceedings are instituted; or提起程序的管辖地准据法所允许的时效期间内;或者
Ninety days commencing from the day when the carrier has been identified, or the registered owner or bareboat charterer has rebutted the presumption that it is the carrier, pursuant to article 37, paragraph 2.自识别承运人之日起,或者自船舶登记所有人或者光船承租人根据第37条第2款推翻其为承运人的推定之日起九十日内。
CHAPTER 14. JURISDICTION第14章 管辖权
Article 66. Actions against the carrier第66条 对承运人的诉讼
Unless the contract of carriage contains an exclusive choice of court agreement that complies with article 67 or 72, the plaintiff has the right to institute judicial proceedings under this Convention against the carrier:除非运输合同载有一项符合第67条或者第72条的排他性法院选择协议,否则原告有权根据本公约在下列管辖法院之一对承运人提起司法程序:
In a competent court within the jurisdiction of which is situated one of the following places:对下列地点之一拥有管辖权的一管辖法院:
The domicile of the carrier;承运人的住所;
The place of receipt agreed in the contract of carriage;运输合同约定的收货地;
The place of delivery agreed in the contract of carriage; or运输合同约定的交货地;或者
The port where the goods are initially loaded on a ship or the port where the goods are finally discharged from a ship; or货物的最初装船港或者货物的最终卸船港;或者
In a competent court or courts designated by an agreement between the shipper and the carrier for the purpose of deciding claims against the carrier that may arise under this Convention.为裁定本公约下可能产生的向承运人索赔事项,托运人与承运人在协议中指定的一个或者数个管辖法院。
Article 67. Choice of court agreements第67条 法院选择协议
The jurisdiction of a court chosen in accordance with article 66, paragraph (b), is exclusive for disputes between the parties to the contract only if the parties so agree and the agreement conferring jurisdiction:根据第66条(b)项选择的法院,只有经合同当事人协议约定,且只有授予管辖权协议满足下列各项条件,方能对合同当事人之间的争议具有排他性管辖权:
Is contained in a volume contract that clearly states the names and addresses of the parties and either (i) is individually negotiated or (ii) contains a prominent statement that there is an exclusive choice of court agreement and specifies the sections of the volume contract containing that agreement; and该协议载于清楚载明各方当事人名称和地址的批量合同,此种批量合同或者(i)是单独协商订立,或者(ii)载有一则存在一项排他性法院选择协议的明确声明,且指出批量合同中载有该协议的部分;并且
Clearly designates the courts of one Contracting State or one or more specific courts of one Contracting State.该协议清楚指定某一缔约国的数个法院或者某一缔约国的一个或者数个特定法院。
A person that is not a party to the volume contract is bound by an exclusive choice of court agreement concluded in accordance with paragraph 1 of this article only if:根据本条第1款订立的排他性法院选择协议,只有满足下列各项条件,方能对不是批量合同当事人的人具有约束力:
The court is in one of the places designated in article 66, paragraph (a);该法院位于第66条(a)项所指定的地点之一;
That agreement is contained in the transport document or electronic transport record;该协议载于运输单证或者电子运输记录;
That person is given timely and adequate notice of the court where the action shall be brought and that the jurisdiction of that court is exclusive; and关于诉讼提起地法院以及该法院拥有排他性管辖权的通知已及时、正确地发给该人;并且
The law of the court seized recognizes that that person may be bound by the exclusive choice of court agreement.受案法院的法律承认该排他性法院选择协议对该人具有约束力。
Article 68. Actions against the maritime performing party第68条 对海运履约方的诉讼
The plaintiff has the right to institute judicial proceedings under this Convention against the maritime performing party in a competent court within the jurisdiction of which is situated one of the following places:原告有权在对下列地点之一拥有管辖权的管辖法院,根据本公约对海运履约方提起司法程序:
The domicile of the maritime performing party; or海运履约方的住所;或者
The port where the goods are received by the maritime performing party, the port where the goods are delivered by the maritime performing party or the port in which the maritime performing party performs its activities with respect to the goods.海运履约方接收货物的港口或者海运履约方交付货物的港口,或者海运履约方执行与货物有关的各种活动的港口。
Article 69. No additional bases of jurisdiction第69条 不另增管辖权地
Subject to articles 71 and 72, no judicial proceedings under this Convention against the carrier or a maritime performing party may be instituted in a court not designated pursuant to articles 66 or 68.除第71条和第72条另有规定外,不得在不是根据第66条或者第68条指定的法院,根据本公约对承运人或者海运履约方提起司法程序。
Article 70. Arrest and provisional or protective measures第70条 扣留以及临时措施或者保全措施
Nothing in this Convention affects jurisdiction with regard to provisional or protective measures, including arrest.本公约的规定概不影响对临时措施或者保全措施,包括对扣留的管辖权。
A court in a State in which a provisional or protective measure was taken does not have jurisdiction to determine the case upon its merits unless:除非符合下列条件,否则临时措施或者保全措施执行地所在国的法院不享有裁定案件实体的管辖权:
The requirements of this chapter are fulfilled; or符合本章的要求;或者
An international convention that applies in that State so provides.一项国际公约在该国适用的,该国际公约作此规定。
Article 71. Consolidation and removal of actions第71条 诉讼合并和移转
Except when there is an exclusive choice of court agreement that is binding pursuant to articles 67 or 72, if a single action is brought against both the carrier and the maritime performing party arising out of a single occurrence, the action may be instituted only in a court designated pursuant to both article 66 and article 68.除非根据第67条或者第72条存在一项具有约束力的排他性法院选择协议,就同一事件同时对承运人和海运履约方提起一项共同诉讼的,只能在同时根据第66条和第68条指定的一法院提起该诉讼。
If there is no such court, such action may be instituted in a court designated pursuant to article 68, subparagraph (b), if there is such a court.无上述这类法院的,可以在根据第68条(b)项指定的一法院,在其存在的情况下提起该诉讼。
Except when there is an exclusive choice of court agreement that is binding pursuant to articles 67 or 72, a carrier or a maritime performing party that institutes an action seeking a declaration of non-liability or any other action that would deprive a person of its right to select the forum pursuant to article 66 or 68 shall, at the request of the defendant, withdraw that action once the defendant has chosen a court designated pursuant to article 66 or 68, whichever is applicable, where the action may be recommenced.除非根据第67条或者第72条存在一项具有约束力的排他性法院选择协议,承运人或者海运履约方提起的诉讼寻求一项不承担赔偿责任声明的,或者提起的其他任何诉讼将剥夺一人根据第66条或者第68条选择诉讼地的权利的,该承运人或者海运履约方应当在被告已选择根据第66条或者第68条(两者以适用者为准)所指定的法院的情况下,根据被告的要求撤回该诉讼,然后可以在该法院重新提起诉讼。
Article 72. Agreement after a dispute has arisen and jurisdiction when the defendant has entered an appearance第72条 争议产生后的协议和被告应诉时的管辖权
After a dispute has arisen, the parties to the dispute may agree to resolve it in any competent court.争议产生后,争议各方当事人可以协议约定在任何管辖法院解决争议。
A competent court before which a defendant appears, without contesting jurisdiction in accordance with the rules of that court, has jurisdiction.被告在一管辖法院应诉,未根据该法院的规则提出管辖权异议的,该法院拥有管辖权。
Article 73. Recognition and enforcement第73条 承认和执行
A decision made in one Contracting State by a court having jurisdiction under this Convention shall be recognized and enforced in another Contracting State in accordance with the law of such latter Contracting State when both States have made a declaration in accordance with article 74.根据本公约拥有管辖权的一法院在一缔约国作出的裁决,应当在另一缔约国根据该另一缔约国的法律得到承认和执行,但两国须已根据第74条作出声明。
A court may refuse recognition and enforcement based on the grounds for the refusal of recognition and enforcement available pursuant to its law.一法院可以以其法律所提供的拒绝承认和执行的理由为根据,拒绝给予承认和执行。
This chapter shall not affect the application of the rules of a regional economic integration organization that is a party to this Convention, as concerns the recognition or enforcement of judgements as between member States of the regional economic integration organization, whether adopted before or after this Convention.本章不得影响加入本公约的区域经济一体化组织对其成员国彼此承认或者执行判决适用本组织的规则,不论这些规则的通过时间是在本公约之前还是之后。
Article 74. Application of chapter 14第74条 第14章的适用
The provisions of this chapter shall bind only Contracting States that declare in accordance with article 91 that they will be bound by them.本章的规定只能对根据第91条声明其将受本章规定约束的缔约国具有约束力。
CHAPTER 15. ARBITRATION第15章 仲裁
Article 75. Arbitration agreements第75条 仲裁协议
Subject to this chapter, parties may agree that any dispute that may arise relating to the carriage of goods under this Convention shall be referred to arbitration.除本章另有规定外,当事人可以协议约定,任何根据本公约运输货物可能产生的争议均应当提交仲裁。
The arbitration proceedings shall, at the option of the person asserting a claim against the carrier, take place at:仲裁程序应当按照对承运人提起索赔的人的选择:
Any place designated for that purpose in the arbitration agreement; or在仲裁协议为此目的指定的任何地点进行;或者
Any other place situated in a State where any of the following places is located:在一国的其他任何地点进行,下列任何地点位于该国即可:
The domicile of the carrier;承运人的住所;
The place of receipt agreed in the contract of carriage;运输合同约定的收货地;
The place of delivery agreed in the contract of carriage; or运输合同约定的交货地;或者
The port where the goods are initially loaded on a ship or the port where the goods are finally discharged from a ship.货物的最初装船港或者货物的最终卸船港。
The designation of the place of arbitration in the agreement is binding for disputes between the parties to the agreement if the agreement is contained in a volume contract that clearly states the names and addresses of the parties and either:仲裁协议指定的仲裁地对仲裁协议当事人之间的争议具有约束力,条件是,载有该仲裁协议的批量合同清楚载明各方当事人的名称和地址,且该批量合同属于下列情况之一:
Is individually negotiated; or是单独协商订立的;或者
Contains a prominent statement that there is an arbitration agreement and specifies the sections of the volume contract containing the arbitration agreement.载有一则存在一项仲裁协议的明确声明,且指出批量合同中载有该仲裁协议的部分。
When an arbitration agreement has been concluded in accordance with paragraph 3 of this article, a person that is not a party to the volume contract is bound by the designation of the place of arbitration in that agreement only if:仲裁协议已根据本条第3款订立的,该协议指定的仲裁地,只有满足下列条件,方能对不是批量合同当事人的人具有约束力:
The place of arbitration designated in the agreement is situated in one of the places referred to in subparagraph 2 (b) of this article;该协议指定的仲裁地位于本条第2款(b)项述及的地点之一;
The agreement is contained in the transport document or electronic transport record;该协议载于运输单证或者电子运输记录;
The person to be bound is given timely and adequate notice of the place of arbitration; and仲裁地通知已及时、正确地发给受仲裁协议约束的人;并且
Applicable law permits that person to be bound by the arbitration agreement.准据法准许该人受该仲裁协议的约束。
The provisions of paragraphs 1, 2, 3 and 4 of this article are deemed to be part of every arbitration clause or agreement, and any term of such clause or agreement to the extent that it is inconsistent therewith is void.本条第1款、第2款、第3款和第4款的规定,视为每一仲裁条款或者仲裁协议的一部分,此种条款或者协议的规定,凡与其不一致的,一概无效。
Article 76. Arbitration agreement in non-liner transportation第76条 非班轮运输中的仲裁协议
Nothing in this Convention affects the enforceability of an arbitration agreement in a contract of carriage in non-liner transportation to which this Convention or the provisions of this Convention apply by reason of:非班轮运输的运输合同由于下列原因而适用本公约或者本公约规定的,本公约的规定概不影响该运输合同中仲裁协议的可执行性:
The application of article 7; or适用第7条;或者
The parties’ voluntary incorporation of this Convention in a contract of carriage that would not otherwise be subject to this Convention.各方当事人自愿在本来不受本公约管辖的运输合同中纳入本公约。
Notwithstanding paragraph 1 of this article, an arbitration agreement in a transport document or electronic transport record to which this Convention applies by reason of the application of article 7 is subject to this chapter unless such a transport document or electronic transport record:虽有本条第1款规定,运输单证或者电子运输记录由于适用第7条而适用本公约的,其中的仲裁协议仍受本章的管辖,除非此种运输单证或者电子运输记录:
Identifies the parties to and the date of the charterparty or other contract excluded from the application of this Convention by reason of the application of article 6; and载明了因适用第6条而被排除在本公约适用范围之外的租船合同或者其他合同的各方当事人和日期;并且
Incorporates by specific reference the clause in the charterparty or other contract that contains the terms of the arbitration agreement.以具体提及方式纳入了租船合同或者其他合同中载有仲裁协议规定的条款。
Article 77. Agreement to arbitrate after a dispute has arisen第77条 争议产生后的仲裁协议
Notwithstanding the provisions of this chapter and chapter 14, after a dispute has arisen the parties to the dispute may agree to resolve it by arbitration in any place.虽有本章和第14章的规定,争议产生后,争议各方当事人仍可以协议约定在任何地点以仲裁方式解决争议。
Article 78. Application of chapter 15第78条 第15章的适用
The provisions of this chapter shall bind only Contracting States that declare in accordance with article 91 that they will be bound by them.本章的规定只能对根据第91条声明其将受本章规定约束的缔约国具有约束力。
CHAPTER 16. VALIDITY OF CONTRACTUAL TERMS第16章 合同条款的有效性
Article 79. General provisions第79条 一般规定
Unless otherwise provided in this Convention, any term in a contract of carriage is void to the extent that it:除非本公约另有规定,运输合同中的条款,凡有下列情形之一的,一概无效:
Directly or indirectly excludes or limits the obligations of the carrier or a maritime performing party under this Convention;直接或者间接,排除或者限制承运人或者海运履约方在本公约下所承担的义务;
Directly or indirectly excludes or limits the liability of the carrier or a maritime performing party for breach of an obligation under this Convention; or直接或者间接,排除或者限制承运人或者海运履约方对违反本公约下的义务所负的赔偿责任;或者
Assigns a benefit of insurance of the goods in favour of the carrier or a person referred to in article 18.将货物的保险利益转让给承运人或者第18条述及的人。
Unless otherwise provided in this Convention, any term in a contract of carriage is void to the extent that it:除非本公约另有规定,运输合同中的条款,凡有下列情形之一的,一概无效:
Directly or indirectly excludes, limits or increases the obligations under this Convention of the shipper, consignee, controlling party, holder or documentary shipper; or直接或者间接,排除、限制或者增加托运人、收货人、控制方、持有人或者单证托运人在本公约下所承担的义务;或者
Directly or indirectly excludes, limits or increases the liability of the shipper, consignee, controlling party, holder or documentary shipper for breach of any of its obligations under this Convention.直接或者间接,排除、限制或者增加托运人、收货人、控制方、持有人或者单证托运人对违反本公约下任何义务所负的赔偿责任。
Article 80. Special rules for volume contracts第80条 批量合同特别规则
Notwithstanding article 79, as between the carrier and the shipper, a volume contract to which this Convention applies may provide for greater or lesser rights, obligations and liabilities than those imposed by this Convention.虽有第79条的规定,在承运人与托运人之间,本公约所适用的批量合同可以约定增加或者减少本公约中规定的权利、义务和赔偿责任。
A derogation pursuant to paragraph 1 of this article is binding only when:根据本条第1款作出的背离,仅在下列情况下具有约束力:
The volume contract contains a prominent statement that it derogates from this Convention;批量合同载有一则该批量合同背离本公约的明确声明;
The volume contract is (i) individually negotiated or (ii) prominently specifies the sections of the volume contract containing the derogations;批量合同(i)是单独协商订立的,或者(ii)明确指出批量合同中载有背离内容的部分;
The shipper is given an opportunity and notice of the opportunity to conclude a contract of carriage on terms and conditions that comply with this Convention without any derogation under this article; and给予了托运人按照符合本公约的条款和条件订立运输合同,而不根据本条作出任何背离的机会,且向托运人通知了此种机会;并且
The derogation is neither (i) incorporated by reference from another document nor (ii) included in a contract of adhesion that is not subject to negotiation.背离既不是(i)以提及方式从另一文件并入,也不是(ii)包含在不经协商的附合合同中。
A carrier’s public schedule of prices and services, transport document, electronic transport record or similar document is not a volume contract pursuant to paragraph 1 of this article, but a volume contract may incorporate such documents by reference as terms of the contract.承运人的公开运价表和服务表、运输单证、电子运输记录或者类似文件不是本条第1款所指的批量合同,但批量合同可以通过提及方式并入此类文件,将其作为合同条款。
Paragraph 1 of this article does not apply to rights and obligations provided in articles 14, subparagraphs (a) and (b), 29 and 32 or to liability arising from the breach thereof, nor does it apply to any liability arising from an act or omission referred to in article 61.本条第1款既不适用于第14条(a)项和(b)项、第29条和第32条中规定的权利和义务或者因违反这些规定而产生的赔偿责任,也不适用于因第61条述及的作为或者不作为而产生的任何赔偿责任。
The terms of the volume contract that derogate from this Convention, if the volume contract satisfies the requirements of paragraph 2 of this article, apply between the carrier and any person other than the shipper provided that:批量合同满足本条第2款要求的,其中背离本公约的条款,须满足下列条件,方能在承运人与非托运人的其他任何人之间适用:
Such person received information that prominently states that the volume contract derogates from this Convention and gave its express consent to be bound by such derogations; and该人已收到明确记载该批量合同背离本公约的信息,且已明确同意受此种背离的约束;并且
Such consent is not solely set forth in a carrier’s public schedule of prices and services, transport document or electronic transport record.此种同意不单在承运人的公开运价表和服务表、运输单证或者电子运输记录上载明。
The party claiming the benefit of the derogation bears the burden of proof that the conditions for derogation have been fulfilled.一方当事人对背离本公约主张利益的,负有证明背离本公约的各项条件已得到满足的举证责任。
Article 81. Special rules for live animals and certain other goods第81条 活动物和某些其他货物特别规则
Notwithstanding article 79 and without prejudice to article 80, the contract of carriage may exclude or limit the obligations or the liability of both the carrier and a maritime performing party if:虽有第79条的规定,在不影响第80条的情况下,运输合同可以排除或者限制承运人和海运履约方的义务或者赔偿责任,条件是:
The goods are live animals, but any such exclusion or limitation will not be effective if the claimant proves that the loss of or damage to the goods, or delay in delivery, resulted from an act or omission of the carrier or of a person referred to in article 18, done with the intent to cause such loss of or damage to the goods or such loss due to delay or done recklessly and with knowledge that such loss or damage or such loss due to delay would probably result; or货物是活动物,但如果索赔人证明,货物灭失、损坏或者迟延交付,是由于承运人或者第18条述及的人故意造成此种货物灭失、损坏或者此种迟延损失的作为或者不作为所导致的,或者是明知可能产生此种灭失、损坏或者此种迟延损失而轻率地作为或者不作为所导致的,则任何此种排除或者限制均属无效;或者
The character or condition of the goods or the circumstances and terms and conditions under which the carriage is to be performed are such as reasonably to justify a special agreement, provided that such contract of carriage is not related to ordinary commercial shipments made in the ordinary course of trade and that no negotiable transport document or negotiable electronic transport record is issued for the carriage of the goods.货物的性质或者状况,或者进行运输的情况和条件,使得有合理的理由达成一项特别协议,但此种运输合同不能涉及正常贸易过程中所进行的正常商业货运,且此种货物运输未签发可转让运输单证或者可转让电子运输记录。
CHAPTER 17. MATTERS NOT GOVERNED BY THIS CONVENTION第17章 本公约不管辖的事项
Article 82. International conventions governing the carriage of goods by other modes of transport第82条 管辖其他运输方式货物运输的国际公约
Nothing in this Convention affects the application of any of the following international conventions in force at the time this Convention enters into force, including any future amendment to such conventions, that regulate the liability of the carrier for loss of or damage to the goods:本公约的规定概不影响适用在本公约生效时已生效的,规范承运人对货物灭失或者损坏的赔偿责任的下列国际公约,包括今后对此种公约的任何修正:
Any convention governing the carriage of goods by air to the extent that such convention according to its provisions applies to any part of the contract of carriage;任何管辖航空货物运输的公约,此种公约根据其规定适用于运输合同的任何部分;
Any convention governing the carriage of goods by road to the extent that such convention according to its provisions applies to the carriage of goods that remain loaded on a road cargo vehicle carried on board a ship;任何管辖公路货物运输的公约,此种公约根据其规定适用于船载车辆不卸货的货物运输;
Any convention governing the carriage of goods by rail to the extent that such convention according to its provisions applies to carriage of goods by sea as a supplement to the carriage by rail; or任何管辖铁路货物运输的公约,此种公约根据其规定适用于补充铁路运输的海上货物运输;或者
Any convention governing the carriage of goods by inland waterways to the extent that such convention according to its provisions applies to a carriage of goods without trans-shipment both by inland waterways and sea.任何管辖内河航道货物运输的公约,此种公约根据其规定适用于不在内河航道和海上转船的货物运输。
Article 83. Global limitation of liability第83条 赔偿责任总限制
Nothing in this Convention affects the application of any international convention or national law regulating the global limitation of liability of vessel owners.本公约的规定概不影响适用任何规范船舶所有人赔偿责任总限制的国际公约或者国内法。
Article 84. General average第84条 共同海损
Nothing in this Convention affects the application of terms in the contract of carriage or provisions of national law regarding the adjustment of general average.本公约的规定概不影响适用有关共同海损理算的运输合同条款或者国内法规定。
Article 85. Passengers and luggage第85条 旅客和行李
This Convention does not apply to a contract of carriage for passengers and their luggage.本公约不适用于旅客及其行李的运输合同。
Article 86. Damage caused by nuclear incident第86条 核事故造成的损害
No liability arises under this Convention for damage caused by a nuclear incident if the operator of a nuclear installation is liable for such damage:对于核事故造成的损害,根据下列文书应由核设施经营人负赔偿责任的,不产生本公约下的任何赔偿责任:
Under the Paris Convention on Third Party Liability in the Field of Nuclear Energy of 29 July 1960 as amended by the Additional Protocol of 28 January 1964 and by the Protocols of 16 November 1982 and 12 February 2004, the Vienna Convention on Civil Liability for Nuclear Damage of 21 May 1963 as amended by the Joint Protocol Relating to the Application of the Vienna Convention and the Paris Convention of 21 September 1988 and as amended by the Protocol to Amend the 1963 Vienna Convention on Civil Liability for Nuclear Damage of 12 September 1997, or the Convention on Supplementary Compensation for Nuclear Damage of 12 September 1997, including any amendment to these conventions and any future convention in respect of the liability of the operator of a nuclear installation for damage caused by a nuclear incident; or经1964年1月28日附加议定书以及1982年11月16日和2004年2月12日议定书修正的1960年7月29日《关于核能领域第三方责任巴黎公约》、经1988年9月21日《关于适用维也纳公约和巴黎公约的联合议定书》修正并经1997年9月12日《修正1963年核损害民事责任维也纳公约的议定书》修正的1963年5月21日《核损害民事责任维也纳公约》、或者1997年9月12日《关于核损害补充赔偿公约》,包括就核设施经营人对核事故造成损害的赔偿责任对这些公约的任何修正以及这方面的任何新公约;或者
Under national law applicable to the liability for such damage, provided that such law is in all respects as favourable to persons that may suffer damage as either the Paris or Vienna Conventions or the Convention on Supplementary Compensation for Nuclear Damage.适用于此类损害赔偿责任的国内法,条件是此种国内法在各方面同《巴黎公约》、《维也纳公约》或者《关于核损害补充赔偿公约》一样有利于可能遭受损害的人。
CHAPTER 18. FINAL CLAUSES第18章 最后条款
Article 87. Depositary第87条 保存人
The Secretary-General of the United Nations is hereby designated as the depositary of this Convention.兹指定联合国秘书长为本公约保存人。
Article 88. Signature, ratification, acceptance, approval or accession第88条 签署、批准、接受、核准或者加入
This Convention is open for signature by all States at [Rotterdam, the Netherlands] from […] to […] and thereafter at the Headquarters of the United Nations in New York from […] to [… ].本公约自[…]年[…]月[…]日至[…]日在[荷兰鹿特丹]开放供各国签署,随后自[…]年[…]月[…]日至[…]日在纽约联合国总部开放供各国签署。
This Convention is subject to ratification, acceptance or approval by the signatory States.本公约须经签署国批准、接受或者核准。
This Convention is open for accession by all States that are not signatory States as from the date it is open for signature.本公约自开放供签署之日起对所有未签署国开放供加入。
Instruments of ratification, acceptance, approval and accession are to be deposited with the Secretary-General of the United Nations.批准书、接受书、核准书和加入书应当交存联合国秘书长。
Article 89. Denunciation of other conventions第89条 退出其他公约
A State that ratifies, accepts, approves or accedes to this Convention and is a party to the International Convention for the Unification of certain Rules relating to Bills of Lading signed at Brussels on 25 August 1924; to the Protocol signed on 23 February 1968 to amend the International Convention for the Unification of certain Rules relating to Bills of Lading signed at Brussels on 25 August 1924; or to the Protocol to amend the International Convention for the Unification of certain Rules relating to Bills of Lading as Modified by the Amending Protocol of 23 February 1968, signed at Brussels on 21 December 1979 shall at the same time denounce that Convention and the protocol or protocols thereto to which it is a party by notifying the Government of Belgium to that effect, with a declaration that the denunciation is to take effect as from the date when this Convention enters into force in respect of that State.1924年8月25日在布鲁塞尔签署的《统一提单若干法律规则国际公约》、1968年2月23日签署的修正1924年8月25日在布鲁塞尔签署的《统一提单若干法律规则国际公约》的议定书、或者1979年12月21日在布鲁塞尔签署的修正经由1968年2月23日修正议定书修正的《统一提单若干法律规则国际公约》的议定书的缔约国,应当在批准、接受、核准或者加入本公约的同时,通过向比利时政府提供相应的通知,退出已是其缔约国的该公约及其议定书,同时声明退约自本公约对该国生效之日起生效。
A State that ratifies, accepts, approves or accedes to this Convention and is a party to the United Nations Convention on the Carriage of Goods by Sea concluded at Hamburg on 31 March 1978 shall at the same time denounce that Convention by notifying the Secretary-General of the United Nations to that effect, with a declaration that the denunciation is to take effect as from the date when this Convention enters into force in respect of that State.1978年3月31日在汉堡缔结的《联合国海上货物运输公约》的缔约国,应当在批准、接受、核准或者加入本公约的同时,通过向联合国秘书长提供相应的通知,退出该公约,同时声明退约自本公约对该国生效之日起生效。
For the purposes of this article, ratifications, acceptances, approvals and accessions in respect of this Convention by States parties to the instruments listed in paragraphs 1 and 2 of this article that are notified to the depositary after this Convention has entered into force are not effective until such denunciations as may be required on the part of those States in respect of these instruments have become effective.就本条而言,本条第1款和第2款所列文书的缔约国对本公约的批准、接受、核准和加入,凡在本公约生效之后通知保存人的,只有在这些国家按照要求对这些文书的退出生效之后方可生效。
The depositary of this Convention shall consult with the Government of Belgium, as the depositary of the instruments referred to in paragraph 1 of this article, so as to ensure necessary coordination in this respect.本公约保存人应当与作为本条第1款所列文书保存人的比利时政府协商,确保这方面的必要协调。
Article 90. Reservations第90条 保留
No reservation is permitted to this Convention.不准许对本公约作出保留。
Article 91. Procedure and effect of declarations第91条 声明的程序和效力
The declarations permitted by articles 74 and 78 may be made at any time.第74条和第78条所准许的声明,可以在任何时间作出。
The initial declarations permitted by article 92, paragraph 1, and article 93, paragraph 2, shall be made at the time of signature, ratification, acceptance, approval or accession.第92条第1款和第93条第2款所准许的初步声明,应当在签署、批准、接受、核准或者加入时作出。
No other declaration is permitted under this Convention.其他声明,本公约一概不予准许。
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,必须在批准、接受或者核准时加以确认。
Declarations and their confirmations are to be in writing and to be formally notified to the depositary.声明及其确认,应以书面形式作出,且应正式通知保存人。
A declaration takes effect simultaneously with the entry into force of this Convention in respect of the State concerned.声明在本公约对有关国家生效时同时生效。
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,保存人于本公约生效后收到正式通知的声明,应于保存人收到该声明之日起六个月期满后的下一个月第一日生效。
Any State that makes a declaration under this Convention may withdraw it at any time by a formal notification in writing addressed to the depositary.根据本公约作出声明的任何国家,可以在任何时间以书面形式正式通知保存人撤回该声明。
The withdrawal of a declaration, or its modification where permitted by this Convention, takes 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.声明的撤回,或者在本公约准许情况下对声明的更改,于保存人收到该通知之日起六个月期满后的下一个月第一日生效。
Article 92. Effect in domestic territorial units第92条 对本国领土单位的效力
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.一缔约国拥有两个或者多个领土单位,各领土单位对本公约所涉事项适用不同法律制度的,可以在签署、批准、接受、核准或者加入时声明本公约适用于本国的全部领土单位或者仅适用于其中的一个或者数个领土单位,且可以在任何时间通过提出另一声明修改其所作的声明。
These declarations are to be notified to the depositary and are to state expressly the territorial units to which the Convention extends.此种声明应通知保存人,且明确指出适用本公约的领土单位。
When a Contracting State has declared pursuant to this article that this Convention extends to one or more but not all of its territorial units, a place located in a territorial unit to which this Convention does not extend is not considered to be in a Contracting State for the purposes of this Convention.一缔约国根据本条声明本公约适用于该国的一个或者数个领土单位而不是全部领土单位的,一地点位于不适用本公约的领土单位,为本公约之目的,视为不在缔约国内。
If a Contracting State makes no declaration pursuant to paragraph 1 of this article, the Convention is to extend to all territorial units of that State.一缔约国未根据本条第1款提出声明的,本公约适用于该国的全部领土单位。
Article 93. Participation by regional economic integration organizations第93条 区域经济一体化组织的参与
A regional economic integration organization that is constituted by sovereign States and has competence over certain matters governed by this Convention may similarly sign, ratify, accept, approve or accede to this Convention.由主权国家组成,且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、核准或者加入本公约。
The regional economic integration organization shall in that case have the rights and obligations of a Contracting State, to the extent that that organization has competence over matters governed by this Convention.在这种情况下,区域经济一体化组织享有的权利和承担的义务应当与缔约国相同,但仅限于该组织对本公约所管辖事项拥有管辖权的范围。
When the number of Contracting States is relevant in this Convention, the regional economic integration organization does not count as a Contracting State in addition to its member States which are Contracting States.当涉及本公约下缔约国数目时,区域经济一体化组织内的成员国为本公约缔约国的,该区域经济一体化组织不能算作一个缔约国。
The regional economic integration organization shall, at the time of signature, ratification, acceptance, approval or accession, make a declaration to the depositary specifying the matters governed by this Convention in respect of which competence has been transferred to that organization by its member States.区域经济一体化组织应当在签署、批准、接受、核准或者加入时向保存人提出声明,指出对本公约所管辖的哪些事项的管辖权已由其成员国转移给该组织。
The regional economic integration organization shall promptly notify the depositary of any changes to the distribution of competence, including new transfers of competence, specified in the declaration pursuant to this paragraph.根据本款提出声明后,如果管辖权分配发生任何变化,包括管辖权新的转移,区域经济一体化组织应当迅速通知保存人。
Any reference to a “Contracting State” or “Contracting States” in this Convention applies equally to a regional economic integration organization when the context so requires.本公约中,对“一缔约国”或者“缔约国”的任何提及,必要时同等适用于区域经济一体化组织。
Article 94. Entry into force第94条 生效
This Convention enters into force on the first day of the month following the expiration of one year after the date of deposit of the twentieth instrument of ratification, acceptance, approval or accession.本公约于第二十份批准书、接受书、核准书或者加入书交存之日起一年期满后的下一个月第一日生效。
For each State that becomes a Contracting State to this Convention after the date of the deposit of the twentieth instrument of ratification, acceptance, approval or accession, this Convention enters into force on the first day of the month following the expiration of one year after the deposit of the appropriate instrument on behalf of that State.一国在第二十份批准书、接受书、核准书或者加入书交存日之后成为本公约缔约国的,本公约于交存该国的相应文书一年期满后的下一个月第一日对该国生效。
Each Contracting State shall apply this Convention to contracts of carriage concluded on or after the date of the entry into force of this Convention in respect of that State.运输合同于本公约对一缔约国生效之日或者生效之后订立的,该缔约国应当对其适用本公约。
Article 95. Revision and amendment第95条 修订和修正
At the request of not less than one third of the Contracting States to this Convention, the depositary shall convene a conference of the Contracting States for revising or amending it.在不少于三分之一本公约缔约国的请求下,保存人应当召开缔约国会议修订或者修正本公约。
Any instrument of ratification, acceptance, approval or accession deposited after the entry into force of an amendment to this Convention is deemed to apply to the Convention as amended.本公约修正案生效后交存的任何批准书、接受书、核准书或者加入书,视为适用于经修正的公约。
Article 96. Denunciation of this Convention第96条 退出本公约
A Contracting State may denounce this Convention at any time by means of a notification in writing addressed to the depositary.缔约国可以通过向保存人发出书面通知,于任何时间退出本公约。
The denunciation takes effect on the first day of the month following the expiration of one year after the notification is received by the depositary.退约于保存人收到通知一年期满后的下一个月第一日生效。
If a longer period is specified in the notification, the denunciation takes effect upon the expiration of such longer period after the notification is received by the depositary.通知中指明更长期限的,退约于保存人收到通知后该更长期限期满时生效。
DONE at [Rotterdam, the Netherlands], 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[荷兰鹿特丹],正本一份,阿拉伯文、中文、英文、法文、俄文和西班牙文文本同为作准文本。
IN WITNESS WHEREOF the undersigned plenipotentiaries, being duly authorized by their respective Governments, have signed this Convention.兹由经各国政府正式授权的下列署名全权代表签署本公约,以昭信守。
Appendix附录
Renumbering of articles of the draft Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea全程或者部分海上国际货物运输合同公约草案条款的重新编号
Current number (annex I to the present document)现条款号 (本文件附件一)
Former article number (A/CN.9/645)原条款号 (A/CN.9/645)
11
11
22
22
33
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44
44
55
55
66
66
77
77
88
88
99
99
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1111
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1212
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1313
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2020
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3636
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4646
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5252
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6464
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6666
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7070
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7171
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8080
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9292
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9393
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9494
9696
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9797
9696
9898
Annex II附件二
Letter dated 5 June 2008 from the Minister of Transport of the Netherlands, the Mayor of Rotterdam and the Executive Board of the Port of Rotterdam Authority addressed to the delegates at the forty-first session of the United Nations Commission on International Trade Lawa荷兰交通大臣、鹿特丹市长和鹿特丹港口当局执行局 2008年6月5日致联合国国际贸易法委员会 第四十一届会议代表信函a
After many years of hard work in Working Group III, during this session of UNCITRAL it is expected that the text of the new convention on maritime transport of goods will be finalized and approved.经过第三工作组多年的努力工作,海上货物运输新公约的案文预计将在贸易法委员会本届会议期间最后定稿并得到核准。
Most likely, at the end of the session, many of you will breathe a sigh of relief, while hoping that all your efforts will have resulted in a future unification and modernization of maritime law to the benefit of all parties interested in worldwide trade and transport.本届会议结束时,许多代表大概会松一口气,并希望海商法将来会因为你们的所有努力而得到统一和现代化,惠及世界贸易和运输的有关各方。
The Netherlands and many of its major maritime interests under which the Municipality and Port of Rotterdam have highly appreciated the initiative of UNCITRAL and fully supported the work of all participating delegations over the years.荷兰及其许多主要海运企业,包括鹿特丹城市和港口,极为赞赏贸易法委员会的这一举措,多年来对参与的所有代表团的工作给予了全力支持。
Now that this task will finally be concluded, it would be an honour for the undersigned, The Netherlands Minister of Transport, The Mayor of Rotterdam and the Executive Board of the Port of Rotterdam Authority to invite all of you to come to the port of Rotterdam and to participate in an event for the celebration of the adoption of the Convention.在这项工作即将完成之际,本函签名人荷兰交通大臣、鹿特丹市长和鹿特丹港口当局执行局谨邀请所有代表光临鹿特丹港,参加公约通过的庆祝活动。
If the General Assembly of the UN would decide so, this event could include a signing ceremony of the new Convention.如果联合国大会作出决定,这次活动可能包括新公约的签字仪式。
A preliminary program could be along the following lines:初步方案如下:
Monday 14 September 20092009年9月14日星期一
Seminar to be held under the auspices of UNCITRAL and CMI with eminent speakers from all over the world on the subjects of the convention.将举行贸易法委员会和国际海事委员会赞助的研讨会,演讲者为世界各地研究本公约各项主题的杰出人士。
Tuesday 15 September 20092009年9月15日星期二
This day could be primarily devoted to port excursions and other practical matters of convenience.这一天主要游览港口并进行其他适当可行的活动。
Wednesday 16 September 20092009年9月16日星期三
A special session of the UN General Assembly could be held during which delegates will have the opportunity to express their policy view on the future of the convention, including the possibility to formally sign the Convention.可能举行联合国大会特别会议,其间各国代表将有机会就公约的前景发表各自的政策见解,并有可能正式签署公约。
Afterwards, the UNCITRAL Secretary could address the press.随后,贸易法委员会秘书可能向新闻界发表讲话。
At present, we are in an advanced stage of negotiations with the owners of the famous s.s. “Rotterdam”, a former Holland-America Line passenger steamer, to host the larger part of the event on board of this ship.目前,我们与著名的“鹿特丹号”轮船业主的谈判已经进行到后期阶段,这艘船以前是荷兰——美国航线的客运轮船,大部分活动将在这艘船上举办。
We would be very delighted if you would accept our invitation.各位若能接受邀请,我们将十分欣慰。
You may be assured that we will do our utmost to host you during the above three days in view of your hard and laborious work on the convention over the past years.几年来各位为了公约不辞辛苦,我们定当尽心竭力,在这三天期间款待各位。
Yours sincerely,致以诚挚敬意,
[Signed][签名]
Camiel EurlingsCamiel Eurlings
The Minister of Transport, Public Works and Water Management运输、公共工程与水管理大臣
[Signed][签名]
Ivo OpsteltenIvo Opstelten
The Mayor of Rotterdam鹿特丹市长
[Signed][签名]
Hans SmitsHans Smits
The Executive Board of the Port of Rotterdam Authority鹿特丹港口当局执行局
Annex III附件三
List of documents before the Commission at its forty-first session委员会第四十一届会议收到的文件一览表
Symbol文号
Title or description标题或说明
A/CN.9/640A/CN.9/640
Report of Working Group I (Procurement) on the work of its twelfth session (Vienna, 3-7 September 2007)第一工作组(采购)第十二届会议工作报告(2007年9月3日至7日,维也纳)
A/CN.9/641A/CN.9/641
Report of the Working Group on Arbitration and Conciliation on the work of its forty-seventh session (Vienna, 10-14 September 2007)仲裁和调解工作组第四十七届会议工作报告(2007年9月10日至14日,维也纳)
A/CN.9/642A/CN.9/642
Report of Working Group III (Transport Law) on the work of its twentieth session (Vienna, 15-25 October 2007)第三工作组(运输法)第二十届会议工作报告(2007年10月15日至25日,维也纳)
A/CN.9/643A/CN.9/643
Report of Working Group V (Insolvency Law) on the work of its thirty-third session (Vienna, 5-9 November 2007)第五工作组(破产法)第三十三届会议工作报告(2007年11月5日至9日,维也纳)
A/CN.9/644A/CN.9/644
Provisional agenda, annotations thereto and scheduling of meetings of the forty-first session第四十一届会议临时议程、临时议程说明和会议时间安排
A/CN.9/645A/CN.9/645
Report of Working Group III (Transport Law) on the work of its twenty-first session (Vienna, 14-25 January 2008)第三工作组(运输法)第二十一届会议工作报告草稿(2008年1月14日至25日,维也纳)
A/CN.9/646A/CN.9/646
Report of the Working Group on Arbitration and Conciliation on the work of its forty-eighth session (New York, 4-8 February 2008)仲裁和调解工作组第四十八届会议工作报告(2008年2月4日至8日,纽约)
A/CN.9/647A/CN.9/647
Report of Working Group V (Insolvency Law) on the work of its thirty-fourth session (New York, 3-7 March 2008)第五工作组(破产法)第三十四届会议工作报告(2008年3月3日至7日,纽约)
A/CN.9/648A/CN.9/648
Report of Working Group I (Procurement) on the work of its thirteenth session (New York, 7-11 April 2008)第一工作组(采购)第十三届会议工作报告(2008年4月7日至11日,纽约)
A/CN.9/649A/CN.9/649
Report of Working Group VI (Security Interests) on the work of its thirteenth session (New York, 19-23 May 2008)第六工作组(担保权益)第十三届会议工作报告(2008年5月19日至23日,纽约)
A/CN.9/650A/CN.9/650
Bibliography of recent writings related to the work of UNCITRAL与贸易法委员会工作有关的最新著作目录
A/CN.9/651A/CN.9/651
Note by the Secretariat on status of conventions and model laws秘书处关于各公约和示范法现状的说明
A/CN.9/652A/CN.9/652
Note by the Secretariat on technical cooperation and assistance秘书处关于技术合作与援助的说明
A/CN.9/653A/CN.9/653
Note by the Secretariat on UNCITRAL rules of procedure and methods of work秘书处关于贸易法委员会议事规则和工作方法的说明
A/CN.9/654A/CN.9/654
Note by the Secretariat on facilitation of cooperation, direct communication and coordination in cross-border insolvency proceedings秘书处关于促进跨国界破产程序中的合作、直接通信和协调的说明
A/CN.9/655A/CN.9/655
Note by the Secretariat on possible future work on electronic commerce:秘书处关于今后可能在电子商务上开展的工作:
legal issues arising out of the implementation and operation of single windows in international trade国际贸易中单一窗口的实施与操作所产生的法律问题的说明
A/CN.9/656 and Add.1A/CN.9/656和Add.1
Note by the Secretariat on the report on the survey relating to the legislative implementation of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958)秘书处关于《承认及执行外国仲裁裁决公约》(1958年,纽约)立法执行情况调查报告的说明
A/CN.9/657 and Add.1A/CN.9/657和Add.1
Note by the Secretariat on current activities of international organizations related to the harmonization and unification of international trade law秘书处关于国际组织当前在协调和统一国际贸易法方面的活动的说明
A/CN.9/657/Add.2A/CN.9/657/Add.2
Note by the Secretariat on current activities of international organizations related to the harmonization and unification of public procurement law秘书处关于国际组织当前在协调和统一公共采购法方面的活动的说明
A/CN.9/658 and Add.1-14A/CN.9/658和Add.1-14
Draft convention on contracts for the international carriage of goods wholly or partly by sea:全程或者部分海上国际货物运输合同公约草案:
compilation of comments by Governments and intergovernmental organizations政府和政府间组织意见汇编
A/CN.9/659 and Add.1 and 2A/CN.9/659和Add.1和2
Indicators of Commercial Fraud (A/CN.9/624, A/CN.9/624/Add.1, and A/CN.9/624/Add.2):商业欺诈指标(A/CN.9/624、A/CN.9/624/Add.1和A/CN. 9/624/Add.2):
compilation of comments by Governments and international organizations政府和国际组织意见汇编
A/CN.9/660 and Add.1-5A/CN.9/660和Add.1-5
Note by the Secretariat on UNCITRAL rules of procedure and methods of work:秘书处关于贸易法委员会议事规则和工作方法:
compilation of comments received from Governments政府意见汇编的说明
A/CN.9/661 and Add.1-3A/CN.9/661和Add.1-3
Note by the Secretariat on settlement of commercial disputes:秘书处关于商事纠纷的解决:
recommendation regarding the interpretation of article II, paragraph (2), and article VII, paragraph (1), of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958) (“New York Convention”); compilation of comments received from Governments关于《承认及执行外国仲裁裁决公约》(1958年,纽约)(“纽约公约”)第二条第(2)款和第七条第(1)款的解释的建议: 政府意见汇编的说明
A/CN.9/662A/CN.9/662
Note by the Secretariat on settlement of commercial disputes:秘书处关于商事纠纷的解决:
revision of the UNCITRAL Arbitration Rules; observations by the Government of Canada修订《贸易法委员会仲裁规则》——加拿大政府的评论意见的说明
A/63/6 (Prog. 6)A/63/6 (Prog. 6)
Proposed strategic framework for the period of 2010-2011:2010-2011年期间拟议战略框架。 第二部分:
part two; biennial programme plan, programme 6, Legal affairs两年期方案计划,方案6,法律事务
A/CN.9/XLI/CRP.3A/CN.9/XLI/CRP.3
Note by the Secretariat transmitting a letter dated 5 June 2008 from the Minister of Transport of the Netherlands, the Mayor of Rotterdam and the Executive Board of the Port of Rotterdam Authority addressed to the delegates at the forty-first session of the United Nations Commission on International Trade Law秘书处转发荷兰交通大臣、鹿特丹市长和鹿特丹港口当局执行局2008年6月5日致联合国国际贸易法委员会第四十一届会议代表信函的说明
1 Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years.1 根据大会第2205 (XXI)号决议,委员会成员经选举产生,任期六年。
Of the current membership, 30 were elected by the Assembly at its fifty-eighth session, on 17 November 2003 (decision 58/407), and 30 were elected by the Assembly at its sixty-first session, on 22 May 2007 (decision 61/417).在现任成员中,30个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),30个由大会第六十一届会议于2007年5月22日选出(第61/417号决定)。
By its resolution 31/99, the Assembly altered the dates of commencement and termination of membership by deciding that members would take office at the beginning of the first day of the regular annual session of the Commission immediately following their election and that their terms of office would expire on the last day prior to the opening of the seventh regular annual session following their election.大会在第31/99号决议中改变了成员资格的开始和终止日期,决定所有当选成员应从其当选后紧接着召开的委员会年度常会开始的第一天起就职,任期应于其当选后委员会第七届年度常会开幕前的最后一天届满。
2 Official Records of the General Assembly, Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), para. 345.2 《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345段。
3 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), para. 224.3 同上,《第五十七届会议,补编第17号》(A/57/17),第224段。
4 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 208; ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 64, 132 and 133; ibid., Sixtieth Session, Supplement No. 17 (A/60/17), paras. 183 and 238; ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 200 and subpara. 273 (c); and ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 184.4 同上,《第五十八届会议,补编第17号》(A/58/17),第208段;同上,《第五十九届会议,补编第17号》(A/59/17),第64段和,第132和133段;同上,《第六十届会议,补编第17号》(A/60/17),第183和238段;同上,《第六十一届会议,补编第17号》(A/61/17),第200和273(c)段;同上,《第六十二届会议,补编第17号》(A/62/17)(Part I)),第一部分,第184段。
5 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 200; and ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, paras. 183 and 184.5 同上,《第六十一届会议,补编第17号》(A/61/17),第200段;同上,《第六十二届会议,补编第17号》(A/62/17),第一部分(Part I)),第183和-184段。
6 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 184.6 同上,《第六十二届会议,补编第17号》(A/62/17), (第一部分Part I)),第184段。
7 Official Records of the General Assembly, Forty-ninth Session, Supplement No. 17 and corrigendum (A/49/17 and Corr.1), annex I.7 《大会正式记录,第四十九届会议,补编第17号》和更正(A/49/17和Corr.1),附件一。
8 United Nations publication, Sales No.8 联合国出版物,出售品编号:
E.98.V.13.E.98.V.13。
9 Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 225-230, and ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 79-82.9 《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第225-230段,同上,《第五十九届会议,补编第17号》(A/59/17),第79-82段。
10 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 81-82.10 同上,《第五十九届会议,补编第17号》(A/59/17),第81-82段。
11 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 171.11 同上,《第六十届会议,补编第17号》(A/60/17),第171段。
12 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 192.12 同上,《第六十一届会议,补编第17号》(A/61/17),第192段。
13 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, paras. 166-169.13 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分Part I),第166-169段。
14 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 184.14 同上 ,《第六十一届会议,补编第17号》(A/61/17),第184段。
15 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 174.15 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第174段。
16 Ibid., para. 175.16 同上,第175段。
17 Ibid., subparas. 209 (a) and (b).17 同上,第209(a)和(b)段。
18 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), subpara. 209 (c).18 同上,《第六十一届会议,补编第17号》(A/61/17),第209(c)段。
19 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, paras. 190 and 191.19 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第190和191段。
20 Ibid., para. 155.20 同上,第155段。
21 UNCITRAL Second International Colloquium on Secured Transactions:21 贸易法委员会关于担保交易:
Security Interests in Intellectual Property Rights, held in Vienna on 18 and 19 January 2007; for further information about the Colloquium, see the UNCITRAL website (http://www.uncitral.org/ uncitral/en/commission/colloquia/2secint.html).知识产权担保权益问题的第二次国际专题讨论会于2007年1月18日和19日在维也纳举行;专题讨论会详情见贸易法委员会网站(http://www.uncitral.org/ uncitral/en/commission/colloquia/2secint.html)。
22 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 156.22 《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第一部分,第156段。
23 Ibid., paras. 157 and 162.23 同上,第157和162段。
24 Ibid., part II, paras. 99 and 100.24 同上,第二部分,第99和100段。
25 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 214.25 同上,《第六十届会议,补编第17号》(A/60/17),第214段。
26 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 216.26 同上,《第六十一届会议,补编第17号》(A/61/17),第216段。
27 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 195.27 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第195段。
28 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), paras. 279-290; ibid., Fifty- eighth Session, Supplement No. 17 (A/58/17), paras. 231-241; ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 108-112; ibid., Sixtieth Session, Supplement No. 17 (A/60/17), paras. 216-220; ibid., Sixty-first Session, Supplement No. 17 (A/61/17), paras. 211-217; and ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, paras. 196-203.28 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231-241段;同上,《第五十九届会议,补编第17号》(A/59/17),第108-112段;同上,《第六十届会议,补编第17号》(A/60/17),第216-220段;同上,《第六十一届会议,补编第17号》(A/61/17),第211-217段;同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第196-203段。
29 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 112.29 同上,《第五十九届会议,补编第17号》(A/59/17),第112段。
30 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 200.30 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第200段。
31 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 217.31 同上,《第六十届会议,补编第17号》(A/60/17),第217段。
32 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), paras. 211-217.32 同上,《第六十一届会议,补编第17号》(A/61/17),第211-217段。
33 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, paras. 199-203.33 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第199-203段。
34 Ibid.34 同上。
35 See Official Records of the Economic and Social Council, 2007, Supplement No. 10 (E/2007/30/Rev.1).35 见《经济及社会理事会正式记录,2007年,补编第10号》(E/2007/30/Rev.1)。
36 Ibid., chap. I, sect. B, draft resolution II.36 同上,第一章,B节,决议草案二。
37 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 203.37 《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第一部分,第203段。
38 United Nations, Treaty Series, vol. 330, No. 4739.38 联合国,《条约汇编》,第330卷,第4739号。
39 Official Records of the General Assembly, Fiftieth Session, Supplement No. 17 (A/50/17), paras. 401-404.39 《大会正式记录,第五十届会议,补编第17号》(A/50/17),第401-404段。
40 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), paras. 188-191.40 同上,《第六十届会议,补编第17号》(A/60/17),第188-191段。
41 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 207.41 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第207段。
42 Ibid., para. 207.42 同上,第207段。
43 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), annex II.43 《第六十一届会议,补编第17号》(A/61/17),附件二。
44 United Nations, Treaty Series, vol. 1695, No. 29215.44 联合国,《条约汇编》,第1695卷,第29215号。
45 United Nations publication, Sales No.45 联合国出版物,出售品编号:
E.07.V.2.E.07.V.2。
46 Official Records of the General Assembly, Fifty-second Session, Supplement No. 17 (A/52/17), annex I.46 《大会正式记录,第五十二届会议,补编第17号》(A/52/17),附件一。
47 Ibid., Forty-ninth Session, Supplement No. 17 and corrigendum (A/49/17 and Corr.1), annex I.47 同上,《第四十九届会议,补编第17号》和更正(A/49/17和Corr.1),附件一。
48 Ibid., Fifty-first Session, Supplement No. 17 (A/51/17), annex I; see also UNCITRAL Model Law on Electronic Commerce with Guide to Enactment 1996 with Additional Article 5 bis as Adopted in 1998 (United Nations publication, Sales No.48 同上,《第五十一届会议,补编第17号》(A/51/17),附件一;另见《贸易法委员会电子商务示范法1996年颁布指南》,1998年通过的补充条款第5条之二(联合国出版物,出售品编号:
E.99.V.4).E.99.V.4)。
49 Official Records of the General Assembly, Fifty-second Session, Supplement No. 17 (A/52/17), annex I.49 《大会正式记录,第五十二届会议,补编第17号》(A/52/17),附件一。
50 United Nations publication, Sales No.50 联合国出版物,出售品编号:
E.05.V.4.E.05.V.4。
51 The treaty event is a yearly exercise aimed at promoting the international rule of law through broader participation in multilateral treaties deposited with the Secretary-General. It usually takes place at United Nations Headquarters during the general debate of the General Assembly.51 条约活动每年举办一次,旨在通过更广泛地加入秘书长保存的多边条约,促进国际法治,条约活动通常在大会举行一般性辩论期间在联合国总部举办。
52 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, paras. 234-241.52 同上,《大会正式记录,《第六十二届会议,补编第17号》(A/62/17),第一部分 (Part I)),第234-241段。
53 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part II, paras. 101-107.53 同上,《第六十二届会议,补编第17号》(A/62/17),第二部分(Part II)),第101-107段。
54 Ibid., para. 104.54 同上,第104段。
55 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 113-115.55 同上,《大会正式记录,第五十九届会议,补编第17号》(A/59/17),第113-115段。
56 Resolution 62/70, para. 1.56 第62/70号决议,第1段。
57 Ibid., para. 2.57 同上,第2段。
58 Ibid., para. 3.58 同上,第3段。
59 United Nations, Treaty Series, vol. 1489, No. 25567.59 联合国,《条约汇编》,第1489卷,第25567号。
60 Available on the website of JAMS (http://www.jamsadr.com).60 可在JAMS网站(http://www.jamsadr.com)查阅。
61 Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I.61 《大会正式记录,第四十届会议,补编第17号》(A/40/17),附件一。
62 United Nations, Treaty Series, vol. 330, No. 4739.62 联合国,《条约汇编》,第330卷,第4739号。
63 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 243.63 《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第一部分,第243段。
64 Proposed programme budget for the biennium 2008-2009, Part III, International justice and law, Section 8, Legal affairs (Programme 6 of the biennial programme plan and priorities for the period 2008-2009), Subprogramme 5, Progressive harmonization, modernization and unification of the law of international trade (A/62/6 (Sect. 8), table 8.19 (d)).64 2008-2009两年期方案概算,第三编,国际司法和法律,第8款,法律事务(2008-2009两年期方案计划和优先事项,方案6),次级方案5,国际贸易法的逐步协调、现代化和统一(A/62/6(第8款),表8.19(d))。
65 Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275.65 《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第275段。
a The letter is transmitted in the form in which it was received (A/CN.9/XLI/CRP.3).a 信函按秘书处收到的原样转发(A/CN.9/XLI/CRP.3)。
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