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联合国United Nations
联合国国际贸易法委员会报告Report of the United Nations Commission on International Trade Law
第五十二届会议 (2019年7月8日至19日)Fifty-second session (8–19 July 2019)
大会General Assembly
正式记录Official Records
第七十四届会议Seventy-fourth Session
补编第17号Supplement No. 17
大会General Assembly
正式记录Official Records
第七十四届会议Seventy-fourth Session
补编第17号Supplement No. 17
联合国国际贸易法委员会报告Report of the United Nations Commission on International Trade Law
第五十二届会议Fifty-second session
(2019年7月8日至19日)(8–19 July 2019)
联合国 2019年,纽约United Nations • New York, 2019
说明Note
联合国文件用英文大写字母附加数字编号。Symbols of United Nations documents are composed of letters combined with figures.
凡提及这种格式的编号,即指联合国某一文件。Mention of such a symbol indicates a reference to a United Nations document.
[2019年8月2日][2 August 2019]
目录Contents
页次Page
1.1.
导言Introduction
11
2.2.
会议安排Organization of the session
11
A.A.
会议开幕Opening of the session
11
B.B.
成员和出席情况Membership and attendance
11
C.C.
选举主席团成员Election of officers
22
D.D.
议程Agenda
33
E.E.
通过议程Adoption of the report
33
3.3.
最后审定并通过关于公私伙伴关系的示范立法条文及随附立法指南Finalization and adoption of model legislative provisions on public-private partnerships with an accompanying legislative guide
44
A.A.
导言Introduction
44
B.B.
审议公私伙伴关系案文草案Consideration of the draft public-private partnership texts
55
C.C.
通过《贸易法委员会公私伙伴关系示范立法条文》和《贸易法委员会公私伙伴关系立法指南》Adoption of the UNCITRAL Model Legislative Provisions on Public-Private Partnerships and of the UNCITRAL Legislative Guide on Public-Private Partnerships
1213
4.4.
最后审定和通过《贸易法委员会担保交易示范法实务指南》Finalization and adoption of a practice guide to the UNCITRAL Model Law on Secured Transactions
1414
A.A.
导言Introduction
1414
B.B.
审议实务指南草案Consideration of the draft practice guide
1515
C.C.
通过《贸易法委员会担保交易示范法实务指南》Adoption of the UNCITRAL Practice Guide to the UNCITRAL Model Law on Secured Transactions
2728
5.5.
更正《贸易法委员会担保交易示范法》第64条第2款中的一个错误Correction of an error in article 64, paragraph 2, of the UNCITRAL Model Law on Secured Transactions
2930
6.6.
最后审定并通过破产法领域的案文Finalization and adoption of texts in the area of insolvency law
2930
A.A.
最后审定并通过企业集团破产示范法及其颁布指南Finalization and adoption of a model law on enterprise group insolvency and its guide to enactment
2930
1.1.
导言Introduction
2930
2.2.
审议企业集团破产示范法草案Consideration of the draft model law on enterprise group insolvency
3031
3.3.
审议颁布指南草案Consideration of the draft guide to enactment
3031
4.4.
通过《贸易法委员会企业集团破产示范法》及其《颁布指南》Adoption of the UNCITRAL Model Law on Enterprise Group Insolvency and its Guide to Enactment
3031
B.B.
最后审定并通过关于临近破产期间企业集团公司董事义务的案文Finalization and adoption of a text on the obligations of directors of enterprise group companies in the period approaching insolvency
3233
1.1.
导言Introduction
3233
2.2.
审议关于临近破产期间企业集团公司董事义务的案文草案Consideration of the draft text on the obligations of directors of enterprise group companies in the period approaching insolvency
3334
3.3.
通过《贸易法委员会破产法立法指南》第四部分新增加的关于临近破产期间企业集团公司董事义务的一节Adoption of an additional section of part four of the UNCITRAL Legislative Guide on Insolvency Law addressing the obligations of directors of enterprise group companies in the period approaching insolvency
3334
7.7.
审议贸易法委员会调解规则草案和贸易法委员会调解安排说明草案Consideration of the draft UNCITRAL mediation rules and the draft UNCITRAL notes on mediation
3435
A.A.
概述和委员会的决定General remarks and decision by the Commission
3435
B.B.
审议规则草案Consideration of the draft UNCITRAL mediation rules
3537
8.8.
审查贸易法委员会秘书处关于云计算合同主要问题的说明草案Review of the draft UNCITRAL secretariat notes on the main issues of cloud computing contracts
3738
A.A.
审议云计算合同所涉主要问题说明草案(A/CN.9/974)Consideration of the draft notes on the main issues of cloud computing contracts (A/CN.9/974)
3738
1.1.
导言Introduction
3738
2.2.
对说明草案的评论意见Comments on the draft notes
3839
B.B.
审议秘书处关于这一议题的说明(A/CN.9/975)中所阐述的与制作载有法律文本的在线工具有关的问题Consideration of issues relating to the preparation of an online tool containing a legal text, as set out in a note by the Secretariat on that topic (A/CN.9/975)
3840
C.C.
决定Decision
3941
9.9.
微型、小型和中型企业:第一工作组进度报告Micro, small and medium-sized enterprises: progress report of Working Group I
3941
10.10.
争议解决办法改革:第二工作组进度报告Dispute settlement reform: progress report of Working Group II
4042
11.11.
投资人与国家间争端解决制度改革:第三工作组进度报告Investor-State dispute settlement reform: progress report of Working Group III
4042
12.12.
电子商务:第四工作组进度报告Electronic commerce: progress report of Working Group IV
4243
13.13.
破产法:第五工作组进度报告Insolvency law: progress report of Working Group V
4244
14.14.
船舶司法拍卖:第六工作组进度报告Judicial sale of ships: progress report of Working Group VI
4446
15.15.
工作方案Work programme
4547
A.A.
当前的立法方案Current legislative programme
4547
B.B.
今后的立法方案Future legislative programme
4648
1.1.
委员会前几届会议审议的建议Proposals considered at earlier sessions of the Commission
4648
2.2.
关于今后工作的新建议New proposals for future work
5053
C.C.
未来立法项目的优先顺序和时间表Priorities and timetable for future legislative projects
5255
16.16.
协调与合作Coordination and cooperation
5255
A.A.
概述General
5255
A.A.
其他国际组织的报告Reports of other international organizations
5356
1.1.
统法协会Unidroit
5357
2.2.
常设仲裁法院Permanent Court of Arbitration
5457
3.3.
世界银行World Bank
5457
4.4.
香港调解中心Hong Kong Mediation Centre
5558
5.5.
美洲国家组织Organization of American States
5558
B.B.
获邀参加贸易法委员会及其工作组届会的国际政府间组织和非政府组织International governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups
5558
17.17.
促进确保统一解释和适用贸易法委员会法规的方式方法Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts
5659
18.18.
法律改革技术援助Technical assistance to law reform
5761
A.A.
概述General
5761
1.1.
加强贸易法委员会技术援助活动的战略方针Strategic approach to enhancing the technical assistance activities of UNCITRAL
5861
2.2.
对贸易法委员会信托基金的自愿捐款Voluntary contributions to UNCITRAL trust funds
5862
3.3.
技术援助活动圆桌会议Round table on technical assistance activities
5962
4.4.
宣传贸易法委员会的工作和法规Dissemination of information on the work and texts of UNCITRAL
6063
5.5.
模拟辩论赛Moot competitions
6064
6.6.
实习方案Internship programme
6064
7.7.
一般评论General comments
6164
B.B.
贸易法委员会在亚洲和太平洋区域的存在UNCITRAL Presence in the Asia and Pacific region
6164
C.C.
贸易法委员会在其他区域的存在UNCITRAL presence in other regions
6266
19.19.
贸易法委员会各项法规的现状和推广Status and promotion of UNCITRAL legal texts
6367
A.A.
一般性讨论General discussion
6367
B.B.
透明度存储处的运作Functioning of the transparency repository
6467
C.C.
与贸易法委员会工作有关的近期著述目录Bibliography of recent writings related to the work of UNCITRAL
6468
20.20.
贸易法委员会当前在促进法治方面的作用Current role of UNCITRAL in promoting the rule of law
6468
A.A.
导言Introduction
6468
B.B.
贸易法委员会向大会提出的评论意见UNCITRAL comments to the General Assembly
6670
21.21.
大会的相关决议Relevant General Assembly resolutions
6771
22.22.
其他事项Other business
6772
A.A.
扩大贸易法委员会成员数目Enlargement of UNCITRAL membership
6772
B.B.
工作方法Methods of work
6974
C.C.
评价秘书处在便利委员会工作上发挥的作用Evaluation of the role of the Secretariat in facilitating the work of the Commission
7075
23.23.
今后会议的日期和地点Date and place of future meetings
7075
A.A.
委员会第五十三届会议Fifty-third session of the Commission
7277
B.B.
工作组届会Sessions of working groups
7277
1.1.
委员会第五十二届和五十三届会议之间的工作组届会Sessions of working groups between the fifty-second and fifty-third sessions of the Commission
7277
2.2.
委员会第五十三届会议之后工作组2020年届会暂定安排,须经委员会该届会议核准Tentative arrangements for sessions of working groups in 2020 after the fifty-third session of the Commission, subject to the approval by the Commission at that session
7277
附件Annexes
1.1.
贸易法委员会公私伙伴关系示范立法条文UNCITRAL Model Legislative Provisions on Public-Private Partnerships
7479
2.2.
贸易法委员会企业集团破产示范法UNCITRAL Model Law on Enterprise Group Insolvency
96104
3.3.
委员会第五十二届会议收到的文件清单List of documents before the Commission at its fifty-second session
108116
一.I.
导言Introduction
1.1.
联合国国际贸易法委员会(贸易法委员会)本期报告概述2019年7月8日至19日在维也纳举行的第五十二届会议的情况。The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the fifty-second session of the Commission, held in Vienna from 8 to 19 July 2019.
2.2.
现根据大会1966年12月17日第2205 (XXI)号决议向大会提交本报告,同时一并提交联合国贸易和发展会议征求意见。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.
二.II.
会议安排Organization of the session
A.A.
会议开幕Opening of the session
3.3.
委员会第五十二届会议于2019年7月8日开幕。The fifty-second session of the Commission was opened on 8 July 2019.
贸易法委员会新当选成员和其他代表团在开幕词中强调了贸易法委员会工作对于消除跨国界商业的法律障碍的重要性,并表示将致力于为这项工作做出贡献。In their opening statements, newly elected members of UNCITRAL and other delegations underscored the importance of the work of UNCITRAL in removing legal obstacles to cross-border commerce and expressed their commitment to contributing to that work.
B.B.
成员和出席情况Membership and attendance
4.4.
大会在其第2205 (XXI)号决议中设立了由大会选出的29个国家组成的贸易法委员会。The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.
大会通过1973年12月12日第3108 (XXVIII)号决议,将委员会成员国数目从29个国家增至36个国家。By its resolution 3108 (XXVIII) of 12 December 1973, the Assembly increased the membership of the Commission from 29 to 36 States.
大会在2002年11月19日第57/20号决议中进一步将委员会成员国数目从36个国家增至60个国家。By its resolution 57/20 of 19 November 2002, the Assembly further increased the membership of the Commission from 36 States to 60 States.
下列国家是分别于2015年11月9日、2016年4月15日、2016年6月17日、2018年12月17日选出的委员会现任成员,任期于所示年份的委员会年度届会开始前的最后一天届满:阿尔及利亚(2025年)、阿根廷(2022年)、澳大利亚(2022年)、奥地利(2022年)、白俄罗斯(2022年)、比利时(2025年)、巴西(2022年)、布隆迪(2022年)、喀麦隆(2025年)、加拿大(2025年)、智利(2022年)、中国(2025年)、哥伦比亚(2022年)、科特迪瓦(2025年)、克罗地亚(2025年)、捷克(2022年)、多米尼加共和国(2025年)、厄瓜多尔(2025年)、芬兰(2025年)、法国(2025年)、德国(2025年)、加纳(2025年)、洪都拉斯(2025年)、匈牙利(2025年),印度(2022年)、印度尼西亚(2025年)、伊朗伊斯兰共和国(2022年)、以色列(2022年)、意大利(2022年)、日本(2025年)、肯尼亚(2022年)、黎巴嫩(2022年)、莱索托(2022年)、利比亚(2022年)、马来西亚(2025年)、马里(2025年)、毛里求斯(2022年)、墨西哥(2025年)尼日利亚(2022年)、巴基斯坦(2022年)、秘鲁(2025年)、菲律宾(2022年)、波兰(2022年)、大韩民国(2025年)、罗马尼亚(2022年)、俄罗斯联邦(2025年)、新加坡(2025年)、南非(2025年)、西班牙(2022年)、斯里兰卡(2022年)、瑞士(2025年)、泰国(2022年)土耳其(2022年)、乌干达(2022年)、乌克兰(2025年)、大不列颠及北爱尔兰联合王国(2025年)、美利坚合众国(2022年)、委内瑞拉玻利瓦尔共和国(2022年)、越南(2025年)、津巴布韦(2025年)。The current members of the Commission, elected on 9 November 2015, 15 April 2016, 17 June 2016 and 17 December 2018, are the following States, whose term of office expires on the last day prior to the beginning of the annual session of the Commission in the year indicated: Algeria (2025), Argentina (2022), Australia (2022), Austria (2022), Belarus (2022), Belgium (2025), Brazil (2022), Burundi (2022), Cameroon (2025), Canada (2025), Chile (2022), China (2025), Colombia (2022), Côte d’Ivoire (2025), Croatia (2025), Czechia (2022), Dominican Republic (2025), Ecuador (2025), Finland (2025), France (2025), Germany (2025), Ghana (2025), Honduras (2025), Hungary (2025), India (2022), Indonesia (2025), Iran (Islamic Republic of) (2022), Israel (2022), Italy (2022), Japan (2025), Kenya (2022), Lebanon (2022), Lesotho (2022), Libya (2022), Malaysia (2025), Mali (2025), Mauritius (2022), Mexico (2025), Nigeria (2022), Pakistan (2022), Peru (2025), Philippines (2022), Poland (2022), Republic of Korea (2025), Romania (2022), Russian Federation (2025), Singapore (2025), South Africa (2025), Spain (2022), Sri Lanka (2022), Switzerland (2025), Thailand (2022), Turkey (2022), Uganda (2022), Ukraine (2025), United Kingdom of Great Britain and Northern Ireland (2025), United States of America (2022), Venezuela (Bolivarian Republic of) (2022), Viet Nam (2025) and Zimbabwe (2025).
5.5.
除布隆迪、科特迪瓦、黎巴嫩、莱索托、马里、斯里兰卡和津巴布韦外,委员会所有成员都派代表出席了本届会议。With the exception of Burundi, Côte d’Ivoire, Lebanon, Lesotho, Mali, Sri Lanka and Zimbabwe, all the members of the Commission were represented at the session.
6.6.
下列国家的观察员出席了会议:巴林、多民族玻利维亚国、保加利亚、塞浦路斯、刚果民主共和国、埃及、萨尔瓦多、希腊、科威特、卢森堡、马耳他、毛里塔尼亚、摩洛哥、缅甸、荷兰、巴拉圭、葡萄牙、卡塔尔、摩尔多瓦共和国、斯洛伐克、斯洛文尼亚、苏丹、坦桑尼亚联合共和国、乌拉圭。The session was attended by observers from the following States: Bahrain, Bolivia (Plurinational State of), Bulgaria, Cyprus, Democratic Republic of the Congo, Egypt, El Salvador, Greece, Kuwait, Luxembourg, Malta, Mauritania, Morocco, Myanmar, Netherlands, Paraguay, Portugal, Qatar, Republic of Moldova, Slovakia, Slovenia, Sudan, United Republic of Tanzania and Uruguay.
7.7.
欧洲联盟也派观察员出席了会议。The session was also attended by observers from the European Union.
8.8.
下列国际组织也派观察员出席了会议:The session was also attended by observers from the following international organizations:
(a)(a)
联合国系统:世界银行;United Nations system: World Bank;
(b)(b)
政府间组织:海湾阿拉伯国家合作委员会、能源共同体、欧洲复兴开发银行、国际统一私法协会(统法协会)、法语国家国际组织、非洲商法统一组织、常设仲裁法院(常设仲裁院)、南方中心;Intergovernmental organizations: Cooperation Council for the Arab States of the Gulf, Energy Community, European Bank for Reconstruction and Development (EBRD), International Institute for the Unification of Private Law (Unidroit), International Organization of la Francophonie (OIF), Organization for the Harmonization of Business Law in Africa (OHADA), Permanent Court of Arbitration (PCA) and South Centre;
(b)(c)
受邀请的非政府组织:《联合国国际货物销售公约》咨询委员会、维斯国际商事仲裁模拟辩论赛校友协会、美国律师协会、美国国际法学会、仲裁妇女协会、促进非洲仲裁协会、Invited non-governmental organizations: Advisory Council of the United Nations Convention for the International Sale of Goods; Alumni Association of the Willem C. Vis International Commercial Arbitration Moot; American Bar Association; American Society of International Law; ArbitralWomen; Association for the Promotion of Arbitration in Africa;
国际投资和商事仲裁中心、中国国际经济贸易仲裁委员会、米兰仲裁院仲裁员俱乐部、欧洲法律研究所,欧洲电子商务和多渠道贸易协会、格鲁吉亚国际仲裁中心、拉丁美洲国际贸易法律师小组、香港调解中心、伊比利亚-美洲破产法研究所、中国武汉大学国际法研究所、国际律师协会、国际货运代理协会联合会(货代联合会)、国际法研究所、国际互换交易和衍生工具协会、国际公证人联盟、国际妇女破产和重组联合会、互联网名称与数字地址分配机构、科佐尔切克国家法律中心、马德里仲裁法院、纽约国际仲裁中心、国际商事仲裁区域中心、维也纳国际仲裁中心。Center for International Investment and Commercial Arbitration; China International Economic and Trade Arbitration Commission; Club of Arbitrators of the Milan Chamber of Arbitration; European Law Institute; European eCommerce and Omni-Channel Trade Association; Georgian International Arbitration Centre; Group of Latin American International Commercial Law Lawyers (GRULACI); Hong Kong Mediation Centre; Ibero-American Institute of Bankruptcy Law; Institute of International Law, Wuhan University, China; International Bar Association (IBA); International Federation of Freight Forwarders Associations (FIATA); International Law Institute; International Swaps and Derivatives Association; International Union of Notaries; International Women’s Insolvency and Restructuring Confederation; Internet Corporation for Assigned Names and Numbers; Kozolchyk National Law Center (NatLaw); Madrid Court of Arbitration; New York International Arbitration Center; Regional Centre for International Commercial Arbitration; and Vienna International Arbitral Centre (VIAC).
9.9.
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。The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda.
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。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.
C.C.
选举主席团成员Election of officers
10.10.
委员会选出了下列主席团成员:The Commission elected the following officers:
主席:Wisit Wisitsora-at(泰国)Chair: Wisit Wisitsora-at (Thailand)
副主席:Roxanna de los Santos(多米尼加共和国)Vice-Chairs: Roxanna de los Santos (Dominican Republic)
Alex Ivanco(捷克)Alex Ivanco (Czechia)
Bruce Whittaker(澳大利亚)Bruce Whittaker (Australia)
报告员:Emmanuel Ikechukwu Nweke(尼日利亚)Rapporteur: Emmanuel Ikechukwu Nweke (Nigeria)
D.D.
议程Agenda
11.11.
委员会在7月8日第1089次会议上通过的会议议程如下:The agenda of the session, as adopted by the Commission at its 1089th meeting, on 8 July, was as follows:
1.1.
会议开幕。Opening of the session.
2.2.
选举主席团成员。Election of officers.
3.3.
通过议程。Adoption of the agenda.
4.4.
最后审定并通过关于公私伙伴关系的示范立法条文及随附立法指南。Finalization and adoption of model legislative provisions on public-private partnerships with an accompanying legislative guide.
5.5.
审议担保权益领域的问题:Consideration of issues in the area of security interests:
(a)(a)
最后审定并通过《贸易法委员会担保交易示范法》实务指南;Finalization and adoption of a practice guide to the UNCITRAL Model Law on Secured Transactions;
(b)(b)
《贸易法委员会担保交易示范法》第64条第2款中的错误更正。Correction of an error in article 64, paragraph 2, of the UNCITRAL Model Law on Secured Transactions.
6.6.
最后审定并通过破产法领域的案文:Finalization and adoption of texts in the area of insolvency law:
(a)(a)
企业集团破产示范法及其颁布指南;Model law on enterprise group insolvency and its guide to enactment;
(b)(b)
关于临近破产期间企业集团公司董事的义务的案文。Text on the obligations of directors of enterprise group companies in the period approaching insolvency.
7.7.
审议贸易法委员会调解规则草案和贸易法委员会调解安排说明草案。Consideration of draft UNCITRAL mediation rules and draft UNCITRAL notes on mediation.
8.8.
审查贸易法委员会秘书处关于云计算合同所涉主要问题说明草案。Review of draft UNCITRAL secretariat notes on the main issues of cloud computing contracts.
9.9.
各工作组进度报告。Progress report of working groups.
10.10.
委员会的工作方案。Work programme of the Commission.
11.11.
今后会议的日期和地点。Date and place of future meetings.
12.12.
协调与合作。Coordination and cooperation.
13.13.
秘书处关于非立法活动的报告:Secretariat reports on non-legislative activities:
(a)(a)
法规判例法和摘要集;CLOUT and digests;
(b)(b)
技术援助与合作;Technical assistance and cooperation;
(c)(c)
贸易法委员会各项法规以及1958年《纽约公约》的现状和推广;Status and promotion of UNCITRAL legal texts and the 1958 New York Convention;
(d)(d)
大会的有关决议;Relevant General Assembly resolutions;
(e)(e)
贸易法委员会目前在促进法治方面的作用;Current role of UNCITRAL in promoting the rule of law;
(f)(f)
与贸易法委员会工作有关的近期著述目录。Bibliography of recent writings related to the work of UNCITRAL.
14.14.
其他事项。Other business.
15.15.
通过委员会的报告。Adoption of the report of the Commission.
E.E.
通过议程Adoption of the report
12.12.
委员会在2019年7月19日第1108次会议上以协商一致方式通过了本报告。The Commission adopted the present report by consensus at its 1108th meeting, on 19 July 2019.
三.III.
最后审定并通过关于公私伙伴关系的示范立法条文及随附立法指南Finalization and adoption of model legislative provisions on public-private partnerships with an accompanying legislative guide
A.A.
导言Introduction
13.13.
委员会回顾,在其2015年和2016年第四十八届和第四十九届会议上,委员会重申其相信公私伙伴关系对基础设施和发展至关重要。The Commission recalled that, at its forty-eighth and forty-ninth sessions, in 2015 and 2016, it had reiterated its belief in the key importance of public-private partnerships (PPPs) to infrastructure and development.
委员会决定,秘书处应当考虑对《贸易法委员会私人融资基础设施项目立法指南》(2000年)的全部或部分进行必要增订并应让专家参与这一过程。The Commission had decided that the Secretariat should consider updating where necessary all or parts of the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (2000) and involve experts in the process.
委员会在2017年第五十届会议上确认,秘书处应(在专家协助下)继续增订和汇编《立法指南》、随附立法建议和《贸易法委员会私人融资基础设施项目示范立法条文》(2003年),并在2018年第五十一届会议上向委员会提出进一步报告。At its fiftieth session, in 2017, the Commission had confirmed that the Secretariat (with the assistance of experts) should continue to update and consolidate the Legislative Guide, the accompanying legislative recommendations and the UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects (2003) and should report further to the Commission at its fifty-first session, in 2018.
自那时起,秘书处于2017年10月23日至24日在维也纳组织和召集了第三次公私伙伴关系国际专题讨论会。The Secretariat thereafter organized and convened the Third International Colloquium on Public-Private Partnerships in Vienna on 23 and 24 October 2017.
14.14.
委员会还回顾,在其2018年第五十一届会议上,委员会注意到秘书处关于修正《立法指南》的一般性政策建议,以及秘书处在A/CN.9/939/Add.1、A/CN.9/939/Add.2和A/CN.9/939/Add.3号文件所载的导言和第一、二和三章修订草案中提议的具体修正意见。The Commission also recalled that at its fifty-first session, in 2018, it had taken note of the general policy proposals by the Secretariat for amending the Legislative Guide, as well as the specific amendments proposed by the Secretariat in the revised drafts of the introduction and of chapters I, II and III, contained in A/CN.9/939/Add.1, A/CN.9/939/Add.2 and A/CN.9/939/Add.3.
在同一届会议上,委员会当时核可了关于修正《立法指南》的一般性政策建议。At the same session, the Commission had endorsed the general policy proposals for amending the Legislative Guide.
委员会还原则上核准了秘书处所提议修正意见的性质,但需考虑到在与专家协商期间可能会提出的具体评论和进一步调整意见,委员会鼓励秘书处推进这种协商,以期向委员会提交将更名为《贸易法委员会公私伙伴关系立法指南》的《立法指南》全套所有章节的修订草案,供委员会2019年第五十二届会议审议和通过。The Commission had also approved in principle the nature of the amendments proposed by the Secretariat, subject to specific comments and further adjustments that might be proposed during the consultations with experts that the Commission encouraged the Secretariat to pursue, in order to submit to the Commission the complete set of all draft revised chapters of the Legislative Guide, to be renamed the UNCITRAL Legislative Guide on Public-Private Partnerships, for consideration and adoption at its fifty-second session, in 2019.
15.15.
委员会注意到,为了推进对《贸易法委员会私人融资基础设施项目立法指南》修订本的审议,秘书处召集了一次政府间专家组会议,秘书处还邀请一些专家以个人身份出席这次会议。The Commission noted that, with a view to advancing consideration of the revisions to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects, the Secretariat had convened an intergovernmental expert group meeting, to which several experts had also been invited by the Secretariat in their personal capacity.
在其于2018年11月26日至30日在维也纳举行的会议上,政府间专家组审议了《立法指南》下列各章的修订草案:标题为“公私伙伴关系的实施:法律框架和公私伙伴关系合同” 的第四章(A/CN.9/982/Add.4);At its meeting held in Vienna from 26 to 30 November 2018, the intergovernmental expert group considered the revised drafts of the following chapters of the Legislative Guide: chapter IV, entitled “PPP implementation: legal framework and PPP contract” (A/CN.9/982/Add.4);
标题为“公私伙伴关系合同的期限、展期和终止” 的第五章(A/CN.9/982/Add.5);chapter V, entitled “Duration, extension and termination of the PPP contract” (A/CN.9/982/Add.5);
标题为“争议的解决”的第六章(A/CN.9/982/Add.6);chapter VI, entitled “Settlement of disputes” (A/CN.9/982/Add.6);
标题为“其他相关的法律领域”的第七章(A/CN.9/982/Add.7)。and chapter VII, entitled “Other relevant areas of law” (A/CN.9/982/Add.7).
政府间专家组还审议了与委员会第五十一届会议审议的标题为“授予合同”的第三章的修订本(A/CN.9/939/Add.3)有关的几个问题,委员会请秘书处与专家协商进一步研究这些问题。The intergovernmental expert group also considered a few selected questions in connection with the revised version of chapter III, entitled “Contract award”, as considered by the Commission at its fifty-first session (A/CN.9/939/Add.3), which the Commission had requested the Secretariat to examine further in consultation with experts.
政府间专家组总体上核准了秘书处对以上各章提出的修正意见,同时提出了各种补充修正和调整建议。The intergovernmental expert group generally approved the amendments to those chapters proposed by the Secretariat, while, at the same time, suggesting various additional amendments and adjustments.
16.16.
委员会收到了以下文件:The Commission had before it the following documents:
(a)(a)
关于对《贸易法委员会私人融资基础设施项目立法指南》的拟议增订的解释性说明(A/CN.9/982/Rev.1);an explanatory note on the proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (A/CN.9/982/Rev.1);
(b)(b)
载有《贸易法委员会私人融资基础设施项目示范立法条文》和《立法指南》(合称“公私伙伴关系案文草案”,分别称为“公私伙伴关系示范立法条文草案”和“公私伙伴关系指南草案”)修订案文的秘书处说明(A/CN.9/982/Add.1、A/CN.9/982/Add.2、A/CN.9/982/Add.3,A/CN.9/982/Add.4/Rev.1、A/CN.9/982/Add.5/Rev.1、A/CN.9/ 982/Add.6/Rev.1、和A/CN.9/982/Add.7/Rev.1);notes by the Secretariat containing the revised text of the UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects and the Legislative Guide (jointly referred to as “the draft PPP texts” and separately as “the draft PPP model legislative provisions” and “the draft PPP guide”) (A/CN.9/982/Add.1, A/CN.9/982/Add.2, A/CN.9/982/Add.3, A/CN.9/982/Add.4/Rev.1, A/CN.9/982/Add.5/Rev.1, A/CN.9/982/Add.6/Rev.1 and A/CN.9/982/Add.7/Rev.1);
以及and
(c)(c)
阿尔及利亚政府提出的评论意见(A/CN/9/1000)。comments received from the Government of Algeria (A/CN.9/1000).
In addition, the Commission was informed orally of the comments received from the Government of the Plurinational State of Bolivia.
B.B.
审议公私伙伴关系案文草案Consideration of the draft public-private partnership texts
17.17.
委员会欢迎公私伙伴关系案文草案,并赞扬政府间专家组和秘书处对《贸易法委员会私人融资基础设施项目示范立法条文》和《贸易法委员会私人融资基础设施项目立法指南》进行了广泛修订。The Commission welcomed the draft PPP texts and commended the intergovernmental expert group and the Secretariat for the extensive revisions made to the UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects and the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects.
18.18.
委员会听取了欧洲复兴开发银行关于欧洲复兴开发银行和欧洲经济委员会(欧洲经委会)为起草公私伙伴关系示范法而设立的专家组所取得的进展的发言。The Commission heard a statement by EBRD on the progress made by an expert group established by EBRD and the Economic Commission for Europe (ECE) to draft a model law on PPPs.
据报告,一个公私伙伴关系问题公认国际专家小组正在开展欧洲经委会/欧洲复兴开发银行联合项目,目的是向各国提供全面的立法指导,同时考虑到经常就各国现有公私伙伴关系立法缺陷提出的批评意见,以及从国际实践中汲取的经验教训。It was reported that the joint ECE/EBRD project, which was being developed by a group of recognized international experts on PPPs was aimed at providing comprehensive legislative guidance to States, taking into account recurring criticisms about the shortcomings of existing PPP legislation in various countries, as well as lessons learned in international practice.
19.19.
委员会注意到秘书处的评估意见,即欧洲经委会/欧洲复兴开发银行项目可能是联合国系统提供一套新的有益的互补性国际范本的机会,特别是如果欧洲经委会/欧洲复兴开发银行草案侧重于将成为本届会议正在审定的贸易法委员会公私伙伴关系案文一部分的示范立法条文没有详细处理的重要方面的话,因为这些方面超出了委员会的国际贸易法任务授权(主要是体制和规划方面,但也包括与政府支持和监测有关的方面)。The Commission took note of the assessment by the Secretariat that the ECE/EBRD project could be an opportunity for the United Nations system to offer a useful new set of complementary international models, particularly if the ECE/EBRD draft would focus on important aspects that the model legislative provisions that would form part of the UNCITRAL PPP texts being finalized at the current session did not deal with in detail, since they exceeded the Commission’s international trade law mandate (primarily the institutional and planning aspects, but also those relating to government support and monitoring).
同时,委员会还注意到秘书处的关切,即如果将来的贸易法委员会公私伙伴关系案文和预期的欧洲经济委员会-欧洲复兴开发银行公私伙伴关系示范法之间没有就各自的范围实现令人满意的协调,那就很有可能出现不必要的重复甚至不一致。At the same time, the Commission also took note of the concerns of the Secretariat about the considerable risk of unnecessary duplication or even inconsistency between what would become the UNCITRAL texts on PPPs and the foreseen ECE-EBRD model law on PPPs, if no satisfactory coordination of their respective scopes was achieved.
20.20.
委员会接下来审议公私伙伴关系案文草案。The Commission proceeded to consider the draft PPP texts.
除以下各段所报告委员会作出的重大修改外,委员会还请秘书处根据需要在术语和技术上对公私伙伴关系案文草案其余部分作相应调整,以期今年晚些时候发布合并修订版。Apart from the substantial changes made by the Commission reported in the paragraphs below, the Commission requested the Secretariat to carry out consequential terminological and technical adjustments to the remainder of the draft PPP texts, as required, with a view to issuing the consolidated revised version later in the year.
尤其是,委员会注意到,公私伙伴关系案文草案中出现的段号、内部交互参引和脚注可能需作更正,以反映对《贸易法委员会私人融资基础设施项目立法指南》和《贸易法委员会私人融资基础设施项目示范立法条文》所作的重大改动。In particular, the Commission noted that paragraph numbers, internal cross references and footnotes as they appeared in the draft PPP texts would need to be corrected to reflect the substantial changes made to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects and the UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects.
导言(A/CN.9/982/Add.1)Introduction (A/CN.9/982/Add.1)
21.21.
委员会核准了A/CN.9/982/Add.1号文件所载公私伙伴关系案文草案导言部分各章。The Commission approved the introductory chapter of the draft PPP texts, as set out in document A/CN.9/982/Add.1.
第一章Chapter I.
一般性法律和体制框架(A/CN.9/982/Add.2)General legal and institutional framework (A/CN.9/982/Add.2)
22.22.
委员会商定删除第一章草案第6段第一句中“另一方面”一语,并在该段第二句之后插入以下句子:“最后,公共利益指可能受到项目开发或实施直接影响的社区的利益,特别是在大型基础设施项目中。”The Commission agreed to delete the phrase “on the other hand” in the first sentence of chapter I, paragraph 6, and to insert the following sentence after the second sentence in that paragraph: “Finally, public interest refers to communities that may be directly affected by the development or implementation of the project particularly in large infrastructure projects.”
23.23.
为了更好地反映公私伙伴关系案文草案经修订的更广泛的范围,委员会商定删除示范条文第2条(定义)(a)项中“基础设施”一词,并将其改写如下:With a view to better reflecting the revised, broader scope of the draft PPP texts, the Commission agreed to delete the word “infrastructure” in subparagraph (a) of draft model provision 2 (“Definitions”) and to rephrase it as follows:
“(a)“(a)
‘公私伙伴关系’系指在订约当局或设施用户付款的情况下,订约当局和私营实体就实施一个项目订立的协议,其中既包括需要将需求风险转移给私人伙伴的项目(‘特许权公私伙伴关系’),也包括不需要这种风险转移的其他类别公私伙伴关系(‘非特许权公私伙伴关系’);‘Public-private partnership (PPP)’ means an agreement between a contracting authority and a private entity for the implementation of a project, against payments by the contracting authority or the users of facility, including both those projects that entail a transfer of the demand risk to the private partner (‘concession PPP’) and those other types of PPPs that do not entail such risk transfer (‘non-concession PPPs’);”
24.24.
在作出上述修正后,委员会核准了A/CN.9/982/Add.2号文件所载第一章草案以及随附的示范条文第1至4条草案。Subject to the above amendments, the Commission approved draft chapter I and the accompanying draft model provisions 1 to 4, as set out in document A/CN.9/982/Add.2.
第二章Chapter II.
项目规划和准备(A/CN.9/982/Add.2)Project planning and preparation (A/CN.9/982/Add.2)
25.25.
委员会商定在第二章草案第5段第一句中“可行性”一词之前插入“可取性和”一语,并删除“社会和环境影响”之前的“经济”一词,因为同一句第一个分句中已经提到该词。The Commission agreed to insert the words “advisability and” before the word “feasibility” in the first sentence of draft chapter II, paragraph 5, and to delete the word “economic” before the words “social and environmental impact”, which was already mentioned in the first clause of the same sentence.
26.26.
据认为,第二章草案B.1节的标题应加以修改——可能通过颠倒其顺序,以更加突出“物有所值”概念,这一概念本身就包含了“经济性”和“效率”的概念。The view was expressed that the title of draft chapter II, section B.1, should be amended – possibly by reversing its sequence – to give more prominence to the notion of “value for money”, which in itself captured the notions “economy” and “efficiency”.
还提出,为此目的添加一些措辞可能会使第6至10段受益。It was also suggested that paragraphs 6 to 10 might benefit from additional wording for that purpose.
委员会商定,将标题改为“物有所值(‘经济性和效率’)”,并对第二章草案第6至14段作相应修改。”The Commission agreed to modify the heading to read “Value for money (‘economy and efficiency’)” and to make consequential changes to paragraphs 6 to 14 of draft chapter II.
27.27.
有意见认为,“财政”一词的涵义很窄——至少在某些语文中是这样,最好在B.2节的标题中使用“预算”一词。The view was expressed that the word “fiscal” had a narrow connotation – at least in some languages – and that it would be better to use instead the word “budgetary” in the title of section B.2.
另一种观点是,“财政”一词足够宽泛,但在该小节标题中使用“承受能力评估”或“财政影响评估”而不是“财政风险评估”将更好地反映第15和16段中讨论的内容。Another view was that the word “fiscal” was sufficiently broad, but that the content of the discussion in paragraphs 15 and 16 would be better reflected by using the words “affordability assessment” or “fiscal impact assessment” rather than “fiscal risk assessment” in the title of the subsection.
委员会注意到,第二章草案第16段所参考的国际货币基金组织文件中使用了“财政”一词,该词的相应译文在一些联合国正式语文中是首选用语,但并不是在所有正式语文中都如此。The Commission noted that the word “fiscal” was used in the International Monetary Fund documents referenced in paragraph 16 of draft chapter II, and that this was the preferred term, for instance in its translated equivalent in some, albeit not all, official languages of the United Nations.
因此,委员会商定,将该小节的标题改为“财政影响评估”,但在法文本中保持“budgétaire”一词,不使用“财政”一词。The Commission therefore agreed to amend the title of the subsection to “Fiscal impact assessment”, but to retain, in the French version, the word “budgétaire” instead of “fiscal”.
28.28.
委员会商定,在第18段第三句之后插入以下句子:“应进行评估,以预测和减轻负面影响,并增进当地社区和社会的利益。”The Commission agreed to insert the following sentence after the third sentence of paragraph 18: “An assessment should be made to predict and mitigate negative impacts and to enhance benefit for local communities and society.”
委员会还商定删除同一段倒数第二句开头的“一般而言”字样。The Commission also agreed to delete the words “[i]n general” at the beginning of the penultimate sentence in the same paragraph.
29.29.
委员会商定,在第19段第一句之后插入以下句子:“环境影响评估应查明环境风险,将环境关切纳入项目风险和规划,并促进可持续发展。”The Commission agreed to insert the following sentence after the first sentence of paragraph 19: “An environmental impact assessment should identify environmental risks, integrate environmental concerns into project risk and planning, and promote sustainable development.”
委员会还商定,请秘书处在第19段中适当提及国际法院在纸浆厂案中的调查结论,即环境影响评估在各国之间得到广泛接受,现在可以认为,这是一项一般国际法要求,“如果拟议工业活动具有造成重大跨界不利影响的风险,特别是对共有资源造成重大不利影响。”The Commission also agreed to request the Secretariat to insert an appropriate reference in paragraph 19 to the finding of the International Court of Justice, in the Pulp Mills case, that environmental impact assessments had gained so much acceptance among States that they might now be considered a requirement under general international law “where there is a risk that the proposed industrial activity may have a significant adverse impact in a transboundary context, in particular, on a shared resource.”
30.30.
有意见认为,C.1节的小标题应更清楚地反映公共部门承担的风险、私营部门承担的风险和各方可以分担的风险之间的区别。The view was expressed that the titles of the subheadings in section C.1 should reflect more clearly the distinction between risks assumed by the public sector, risks assumed by the private sector and risks that could be shared by the parties.
在这方面表示的关切是,小标题(c)(“建造和运营风险”)和(d)In that connection, the concern was voiced that subheadings (c) (“Construction and operation risks”) and (d)
(“商业风险”)可能误导读者错误地假设哪一方应对公私伙伴关系合同下的风险负责。(“Commercial risks”) might mislead the reader to erroneous assumptions as to which party was responsible for those risks under the PPP contract.
这些关切引起一些同感,并建议在第30段之前的小标题中添加提及“运营”风险的澄清内容,并在第33段之前的小标题中插入“与需求有关”等字样,但委员会最终商定,C.1节中的术语仅为描述性的,并没有暗示任何特定的风险分配模式。There was some sympathy for those concerns, and to the suggestions to add a clarifying reference to “operational” risks in the subheading preceding paragraph 30 and to insert the words “related to demand” in the subheading preceding paragraph 33, but the Commission eventually agreed that the terminology in section C.1 was merely descriptive and did not suggest any particular pattern of risk allocation.
31.31.
在作出上述修正后,委员会核准了A/CN.9/982/Add.2号文件所载第二章草案以及随附的示范条文第5至7条草案。Subject to the above amendments, the Commission approved draft chapter II and the accompanying draft model provisions 5 to 7, as set out in document A/CN.9/982/Add.2.
第三章Chapter III.
授予合同(A/CN.9/982/Add.3)Contract award (A/CN.9/982/Add.3)
32.32.
委员会商定,删除第三章草案第21段第二句和第55段第二句中的“基础设施”一词。The Commission agreed to delete the word “infrastructure” in the second sentence of draft chapter III, paragraph 21, and in the second sentence of paragraph 55.
委员会商定,在公私伙伴关系指南草案通篇中,凡在一般适用于公私伙伴关系案文草案所涵盖的所有项目的叙述或条文中出现的“基础设施”一词一律删除,但在公私伙伴关系指南草案或公私伙伴关系示范立法条文草案就与基础设施有关的公私伙伴关系具体项目提供指导意见时保留该词。The Commission agreed to request the Secretariat to delete the term “infrastructure” throughout the draft PPP guide whenever it appeared in statements or provisions that applied generally to all projects covered by the draft PPP texts, but to retain it instead when the draft PPP guide or the draft PPP model legislative provisions provided guidance on specific PPP projects related to infrastructure.
33.33.
有意见认为,自选择阶段一开始就让潜在投标人了解公私伙伴关系合同的基本条款,这一点至关重要。The view was expressed that it had been of utmost importance, since the very beginning of the selection phase, to make the potential bidders aware of the essential terms of the PPP contract.
因此,建议扩展第76段下合同的所谓“基本条款”的清单,增加以下新的内容:“(k) 选定的私人伙伴是否获准以及在哪些主要条件下获准雇用分包商”; “(l 申明可将选定的私人伙伴的权利和义务转让给第三方的主要条件; ”“(m) 申明与股东被视为对项目的成功维护和运营至关重要有关的要求,以及私人伙伴的控股权益或‘基本’权益可以转让给第三方的主要条件。”Therefore, it was suggested that the list of the so-called “essential terms” of the contract, under paragraph 76, be expanded by adding the following new elements: “(k) Whether the selected private partner is admitted to hire subcontractors and under which main conditions;” “(l) The indication of the main conditions under which the rights and obligations of the selected private partner might be assigned to third parties;” and “(m) The indication of the requirements for a shareholder to be deemed as essential for the successful maintenance and operation of the project as well as of the main conditions under which a controlling or ‘essential’ interest in the private partner may be transferred to third parties.”
当时这些新增内容没有得到支持,但委员会商定,一旦完成对第四章草案的审议,可能会回过头来审议这些内容(详见下文第49-51段)。There was no support for those additions at the time, but the Commission agreed that it might revert to them once it had completed its consideration of draft chapter IV (see further paras. 49–51 below).
34.34.
关于第三章D节(“通过直接谈判授予合同”),有意见认为,第101(b)段可能与公私伙伴关系指南草案所载的透明度目标不一致,因为该段允许对期限短而且预期的初始投资额不超过所规定的较低数额的项目直接授予公私伙伴关系合同。In relation to chapter III, section D (“Contract award through direct negotiation”), the view was expressed that paragraph 101 (b) might be inconsistent with the transparency objectives contained in the draft PPP guide, as it allowed direct award of PPP contracts for projects of short duration and with an anticipated initial investment value not exceeding a specified low amount.
委员会不支持删除第101(b)分段,但商定增加以下限定条件:“为透明度起见,应鼓励订约当局使用适当的竞争性合同授予程序,以此作为《指南》所载详细条款的替代办法。”The Commission did not support the deletion of paragraph 101 (b) but agreed to add the following qualification: “In the interest of transparency, the contract authority should be encouraged to use a suitable competitive contract award procedure, as an alternative to the elaborate provisions set forth in the Guide.”
35.35.
委员会商定,将第101(d)分段中“只有一个来源”改为“只有一个私人运营商”。The Commission agreed to replace the words “only one source” with the words “only one private operator” in paragraph 101 (d).
36.36.
委员会进而审议第三章草案E节“非应标建议书”,核准在适当处参引世界银行2018年核准的文件,其标题为“管理基础设施项目非应标建议书的政策准则”,本节标题的脚注将纳入提及这些文件的内容。Turning to the consideration of draft chapter III, section E (“Unsolicited proposals”), the Commission approved the insertion of a cross reference, at an appropriate place, to the documents approved by the World Bank in 2018 under the name “Policy Guidelines for Managing Unsolicited Proposals in Infrastructure Projects”, to be included in a footnote to the title of the section.
37.37.
委员会商定在第136段第二句中“(a)、(b)和(c)分段”之前插入“上述”一词,以澄清交互参引的范围。The Commission agreed to insert the word “above” after the words “in subparagraphs (a), (b) and (c)”, in the second sentence of paragraph 136, to clarify the scope of the cross reference.
38.38.
委员会商定在第139段第一句“具体规定……程度”之前插入“涉及非应标建议书的选择程序”,以便更好地把握提出这项建议所处的背景。The Commission agreed to insert the words “for selection proceedings involving unsolicited proposals” before the words “to specify the extent” in the first sentence of paragraph 139, in order to better capture the context in which the recommendation was made.
39.39.
有意见认为,关于在选择私人伙伴时应遵循的一般规则的示范条文草案第8条不仅需要提及合同授予程序本身,还需要提及示范条文草案第29至32条中提到的杂项事项。The view was expressed that draft model provision 8, on the general rules to follow when selecting the private partner, needed to refer not only to the contract award procedure as such, but also to the miscellaneous matters referred to in draft model provisions 29 to 32.
还建议应在这一条文中纳入使用直接谈判或非应标建议书的可能性,作为一般规则的例外。It was also suggested that the possibility of using direct negotiation or unsolicited proposals should be included in this provision, as an exception to the general rule.
委员会商定在第一句中“根据示范条文第9至22条”之后添加“(或例外情况下示范条文第23至28条)和示范条文第29至32条。”The Commission agreed to include in the first sentence, after the words “with model provisions 9–22”, the words “(or exceptionally model provisions 23–28) and model provisions 29–32.”
40.40.
有意见认为,示范立法条文第9条第3款(a)项的案文过于狭窄,仅规定了基础性设施的要求。The view was expressed that the text of the draft model legislative provision 9, paragraph 3 (a), was too narrow in providing only for infrastructure facility requirements.
为了更好地反映经修订的、范围更广的公私伙伴关系案文草案,委员会商定,将示范条文草案第9条第3款(a)项中的句子替换为以下案文:“对基础设施、设施或服务系统的描述,视情况而定;With a view to better reflecting the revised, broader scope of the draft PPP texts, the Commission agreed to replace the sentence in draft model provision 9, paragraph 3 (a), with the following text: “A description of the infrastructure, facility or service systems, as appropriate;”.
”。
41.41.
委员会商定,在示范条文草案第28条第4款中,对示范条文草案第19条的参引应改为对示范条文草案第24条的参引。The Commission agreed that in draft model provision 28, paragraph 4, the cross reference to draft model provision 19 should be replaced by a reference to draft model provision 24.
42.42.
在作出上述修正后,委员会核准了A/CN.9/982/Add.2号文件所载第二章草案以及随附的示范条文第8至32条草案。Subject to the above amendments, the Commission approved draft chapter III and the accompanying draft model provisions 8 to 32, as set out in document A/CN.9/982/Add.3.
第四章 公私伙伴关系的实施:法律框架和公私伙伴关系合同 (A/CN.9/982/Add.4/Rev.1)Chapter IV. PPP implementation: legal framework and PPP contract (A/CN.9/982/Add.4/Rev.1)
43.43.
有观点认为,涉及非特许权公私伙伴关系的第四章草案第1段第四句中的连词“或”具有误导性,因为该词暗示项目的建设和运营有所区别,但公私伙伴关系合同的私人伙伴可能既建设又运营。The view was expressed that the conjunction “or” in the fourth sentence of draft chapter IV, paragraph 1, which related to non-concession PPPs, was misleading as it suggested a distinction between the construction and the operation of the project, although both could be suggested for the private partner in a PPP contract.
委员会商定对第四句修改如下:“在非特许权公私伙伴关系中,该合同将确保基础设施、设施或服务得以开发和运营,以换取订约当局支付商定的报酬。”The Commission agreed to modify the fourth sentence as follows: “In non-concession PPPs, the contract shall ensure that the infrastructure, facility or service is developed and operated in exchange for the payment by the contracting authority of the remuneration agreed.”
44.44.
有观点认为,第四章第79段第二句如果错误解读,可能会导致对公私伙伴关系合同当事方商定的建造风险分配感到困惑。The view was expressed that the second sentence of chapter IV, paragraph 79, if misread, might lead to confusion on the allocation of construction risks agreed by the parties to the PPP contract.
在这方面,委员会商定,以大意如下的行文作为第79段第二句的补充:“行使这种监测权并不导致将公私伙伴关系合同中商定的建造风险从私人伙伴这里再转给订约当局。”The Commission agreed in that respect to supplement the second sentence of paragraph 79, with words along the following lines: “the exercise of such monitoring right not entailing a transfer of construction risks agreed in the PPP contract from the private partner back to the contracting authority.”
45.45.
委员会商定着手进行编辑上的一些修改,以改进公私伙伴关系指南草案的行文。The Commission agreed to proceed with several editorial changes aimed at improving the drafting of the draft PPP guide.
决定将第四章第82段第一句中“变动项目的建造标准或其他要求”改为“对项目的建造标准或其他要求加以变动”。In the first sentence of chapter IV, paragraph 82, it was decided to replace the word “in” by “of” before “the construction specifications”.
决定将第82段中“落实对相关要求的大规模改动”改为“落实大规模的改动指令”。In paragraph 82, it was decided to replace the words “change of orders” with “change orders”.
商定将第87段最后一句中“并不解除建造合同和适用法中可能规定的建筑承包商对工程缺陷和技术文件的不准确或不充分之处所负的任何赔偿责任”改为“并不解除根据建造合同和适用法由建筑承包商对可能存在的工程缺陷和技术文件不准确或不足之处所负的任何赔偿责任”。In the last sentence of paragraph 87, it was agreed to replace the words “be provided” by the word “arise”.
46.46.
有意见认为,第四章草案第91段应支持立法在确定适用于公私伙伴关系合同的技术和服务标准方面发挥作用。The view was expressed that draft chapter IV, paragraph 91, should uphold the role of legislation in setting forth technical and service standards applicable to PPP contracts.
因此,委员会商定按照以下思路改写第三句的开头语:“立法应笼统地规定用来指导制定详细标准的原则……”。The Commission therefore agreed to rephrase the opening of the third sentence along the following lines: “Legislation should generally set the principles that will guide the formulation of detailed standards …”.
47.47.
据指出,第四章第110段第八句中“公共合同”的提法可能令人对公私伙伴关系合同的性质感到困惑。It was noted that the reference to “public contract” in the eighth sentence of chapter IV, paragraph 110, could create confusion as to the nature of the PPP contract.
因此,委员会商定将此处的“公共合同”改为“公私伙伴关系合同”。The Commission therefore agreed to replace “public contract” in that context with “PPP contract”.
48.48.
会上建议将示范条文草案第33条(g)项中的“罚款”改为定义更宽泛的“制裁”,据说前者在某些语文中含义较窄。The proposal was made to replace the word “fines”, which was said to have a narrow connotation in some languages, with the more broadly defined word “sanctions” in draft model provision 33, subparagraph (g).
委员会没有接受这一建议,指出“罚款”一语指的是金钱性质的制裁,就示范条文草案第33条(g)项所设想的财务上的抵消而言更为适当。The Commission did not accept that proposal, noting that the term “fines”, which denoted a sanction of a pecuniary nature, was more adequate in the context of the financial set-off contemplated in draft model provision 33, subparagraph (g).
49.49.
委员会接下来转而审议示范条文草案第42条,回顾了其早先关于公私伙伴关系合同的关键条款的讨论,这些条款应在合同授予程序期间连同建议征求书提供给潜在投标人(见上文第33段)。The Commission then turned to the consideration of draft model provision 42, recalling its earlier discussion regarding essential terms of the PPP contract that should be made available to the potential bidders with the request for proposals during the contract award procedure (see para. 33 above).
有意见认为,作为一种良好做法,应在招标文件中列入尽可能多的合同草案条款——理想情况下甚至是合同草案的全部内容。The view was expressed that, as a matter of good practice, as many provisions of the draft contract as possible – ideally even its entire contents – should be included in the bidding documents.
这些条款包括但不限于私人合伙人控股权益的转让条件、对主要股东离开或雇用分包商的限制。They included but were not limited to matters such as the conditions for a transfer of controlling interest in the private partner, limitations to the departure of key shareholders or the hiring of subcontractors.
50.50.
委员会审议了修改示范条文草案第42条的可取性,并重新讨论了扩展第三章草案(“授予合同”)第76段所载合同的所谓“基本条款”清单的建议。The Commission considered the desirability of amending draft model provision 42 and reverted to the proposal to expand the list of the so-called “essential terms” of the contract contained in paragraph 76 of draft chapter III (“Contract award”).
有意见认为,有些情况下,公私伙伴关系合同的整个草案可能还没有准备好。The view was expressed that there were situations in which the whole draft of the PPP contract might not be ready.
因此,在这个阶段披露整个公私伙伴关系合同可能与最佳做法不一致。Accordingly, disclosure of the entire PPP contract at that stage might not be in line with best practices.
此外,会上对使用“基本”一词表示关切,因为该词具有高度的主观性。In addition, concerns were expressed as to the use of the word “essential”, owing to its highly subjective nature.
51.51.
委员会一致认为,加强关于订约当局在授予公私伙伴关系合同的程序中尽早分发合同草案的建议非常重要。The Commission agreed on the importance of strengthening the recommendation for the contracting authority to circulate the draft PPP contract as early as possible during the contract award procedure.
因此,委员会决定删除第三章草案第76段开头句中“尽可能”一语。Accordingly, the Commission decided to delete the words “whenever possible” in the opening sentence of paragraph 76 of draft chapter III.
此外,还商定删除第76段第四句开头处的“基本条款”词语,并代之以“基本内容”,以便与本段第三句中使用的术语相呼应。Furthermore, it was agreed to delete the words “[e]ssential terms” at the beginning of the fourth sentence of paragraph 76, and to replace them with “[e]ssential elements”, so as to mirror the terms used in the third sentence of the paragraph.
关于最初提议在第76段添加的内容,委员会商定插入以下语句:“(k)申明可将选定的私人伙伴的权利和义务转让给第三方的主要条件,雇用分包商的任何限制或条件,以及对于将在私人伙伴的资本中所占股份转让给第三方的任何限制。”As regards the originally proposed additions to paragraph 76, the Commission agreed to insert the words “(k) [t]he indication of the main conditions under which the rights and obligations of the selected private partner might be assigned to third parties, any restriction to or conditions for the hiring of subcontractors, and any restrictions on the transfer of shares in the capital of the private partner to third parties.”
为了进一步澄清第三章草案第76段所列清单起提示作用,委员会还商定插入最后一条如下:“(l)国家法律所要求的任何合同条款。”In order to further clarify the indicative nature of the list in paragraph 76 of draft chapter III, the Commission also agreed to insert a final clause, as follows: “(l) [a]ny contract provisions required by the law of the country.”
52.52.
关于示范条文草案第45条,有意见认为,开头句中“应”字为重新谈判合同打开的大门太宽了。With regard to draft model provision 45, the view was expressed that the term “shall” in the opening sentence would open the door too widely to renegotiation of the contract.
为了支持这一观点而指出,不加区别地修改法律如果影响到项目费用,不应当导致自动修正合同。In support of that view, it was observed that non-discriminatory changes in the law impacting the project’s costs should not lead to an automatic amendment of the contract.
然而,会上还重申,合同规定允许修正合同的机制十分重要。However, it was also reiterated that it was important for the contract to set forth mechanisms allowing for amendment of the contract.
举例说明了立法变化带来的风险,根据建造阶段或运营阶段,这些风险的分配有所不同。Examples were given of risks of changes in the legislation that were differently allocated depending on the construction or operation phase.
委员会最终商定,在示范条文草案第45条第1款中,“私人伙伴有权要求修正公私伙伴关系合同的限度”改为“私人伙伴是否以及在多大程度上有权要求修正公私伙伴关系”。The Commission eventually agreed to insert the words “whether and to what extent” to replace the words “the extent to which” before the phrase “the private partner is entitled to request the amendment of the PPP contract” in paragraph 1 of draft model provision 45.
53.53.
在作出上述修改以及对第60段商定的修改后(见下文第63段),委员会核准了A/CN.9/982/Add.4/Rev.1号文件所载第四章草案及随附的示范条文草案第33至47条。Subject to the above amendments and the agreed amendments to be made to paragraph 60 (see para. 63 below), the Commission approved draft chapter IV and the accompanying draft model provisions 33 to 47, as set out in document A/CN.9/982/Add.4/Rev.1.
第五章 公私伙伴关系合同的期限、展期和终止(A/CN.9/982/Add.5/Rev.1)Chapter V. Duration, extension and termination of the PPP contract (A/CN.9/982/Add.5/Rev.1)
54.54.
据指出,在实践中,放款人可能需要额外的时间,以行使根据其与订约当局之间的直接协议指定违约私人伙伴的替代人的权利。It was pointed out that, in practice, lenders might require additional time to exercise their right to appoint a substitute for a defaulting private partner in accordance with a direct agreement between them and the contracting authority.
因此,建议修订第五章草案第20段第四句,一方面规定放款人必须行使该项权利的期限是“通知放款人终止合同与其生效日期之间的”时间,但另一方面规定,如有必要,终止的生效日期可以延长。It was therefore suggested that the fourth sentence of draft chapter V, paragraph 20, should be amended to provide, on the one hand, that the period within which the lenders had to exercise that right was the time “between the notification to the lenders of the termination and its effective date”, but that, on the other hand, the effective date of the termination could be extended if necessary.
委员会接受了这些建议,但请秘书处在审定公私伙伴关系指南草案时用两个单独的句子表达这些建议。The Commission accepted those suggestions but requested the Secretariat to express them in two separate sentences when finalizing the draft PPP guide.
55.55.
关于在施工开始之前有理由终止公私伙伴关系合同的情况,会上建议,应当区分在合同订立之前取消授予合同的理由和在合同订立之后出现但仍处于项目早期阶段的终止合同的理由。With respect to situations that justified termination of a PPP contract before the beginning of construction, it was suggested that a distinction should be made between reasons for cancelling the contract award before the conclusion of the contract and grounds for termination that arose after the contract had been concluded, but still at an early stage of the project.
第21段(a)和(b)分段所述的第一种情况严格来说并非终止情况,因为合同尚未订立,这不同于第21段(c)分段中提到的第二种情况,即私人伙伴违反已经生效的合同。The first situation, which was covered in subparagraphs (a) and (b) of paragraph 21, was not strictly speaking an instance of termination, since the contract had not yet been concluded, unlike the second case, which was mentioned in subparagraph (c) of paragraph 21, where the private partner was in breach of a contract already in force.
委员会接受了这些建议,一致认为,使这一区别更加明确的最佳办法是删除第21段的开头部分以及(a)和(b)分段,并将其放在第四章草案(“公私伙伴关系的实施:法律框架和公私伙伴关系合同”)A.3节(“公私伙伴关系合同的订立”)的适当位置,同时按照以下思路重拟第21段的其余部分:The Commission accepted those suggestions and agreed that the best way to make that distinction clearer was to remove the chapeau of paragraph 21, together with subparagraphs (a) and (b), and insert them at an appropriate place in subsection A.3 (“Conclusion of the PPP contract”) of draft chapter IV (“PPP implementation: legal framework and PPP contract”), and to rephrase the remainder of paragraph 21 along the following lines:
“在施工开始之前通常有理由终止公私伙伴关系合同的事件的例子包括以下私人伙伴违约情形:“Examples of events that often justify the termination of the PPP contract before the beginning of construction include the following instances of breach by the private partner:
(a)(a)
未承担设施的建造工程;Failure to undertake the construction of the facility;
(b)(b)
未开始项目开发;Failure to commence development of the project;
或者or
(c)(c)
“未在合同授予通知后规定的期限内提交所需的规划和设计。”Failure to submit the plans and designs required within a set period from the notification of the award of the contract.”
56.56.
委员会注意到,第30段涉及出于公共利益的终止,第54段涉及这种终止时的财务安排,这两段在逻辑上是相关的,但并没有相互重叠。The Commission noted that paragraph 30, dealing with termination for reasons of public interest, and paragraph 54, dealing with the financial arrangements upon such termination, were logically related, but not overlapping.
无论如何,可以澄清两者之间的关系。Nevertheless, the relationship between them could be clarified.
57.57.
委员会请秘书处在审定公私伙伴关系指南草案时仔细核对文件中所有的交互参引。The Commission requested the Secretariat to carefully verify all cross references within the document when finalizing the draft PPP guide.
58.58.
在作出上述修改后,委员会核准了A/CN.9/982/Add.5/Rev.1号文件所载第五章草案及随附的示范条文草案第48至54条。Subject to the above amendments, the Commission approved draft chapter V and the accompanying draft model provisions 48 to 54, as set out in document A/CN.9/982/Add.5/Rev.1.
第六章 争端的解决(A/CN.9/982/Add.6/Rev.1)Chapter VI. Settlement of disputes (A/CN.9/982/Add.6/Rev.1)
59.59.
据指出,虽然第六章草案第2段(c)分段表明,私人伙伴与第三方之间可能会产生争端,例如生活在相邻地区的人、受项目影响的土著群体或民间社会代表,但第六章草案C和D节并没有述及解决这些争端的机制。It was observed that, although draft chapter VI, paragraph 2 (c), indicated that disputes might arise between the private partner and third parties, such as people living in adjacent areas, indigenous groups affected by the project, or civil society representatives, sections C and D of draft chapter VI did not deal with the mechanisms for settling them.
对此,会上指出,公私伙伴关系指南草案的第六章草案侧重于与执行公私伙伴关系合同更直接相关、并在公私伙伴关系立法中作了具体规定的各类争端。In response, it was pointed out that draft chapter VI of the draft PPP guide focused on the types of disputes more directly related to the implementation of PPP contracts and for which specific provisions were found in PPP legislation.
公私伙伴关系指南草案的假定是各国拥有解决这些其他争端的机制。The draft PPP guide assumed that countries had mechanisms for settling those other disputes.
委员会一致认为没有必要展开讨论这一事项,但还商定,明确提及“通常在国内司法系统中解决”第2段(c)分段第三句中提到的各类争端将不无益处。The Commission agreed that there was no need for an extensive discussion of the matter, but also agreed that it would be useful to mention expressly that the types of disputes mentioned in the third sentence of paragraph 2 (c) “are typically resolved in the domestic judicial system.”
60.60.
委员会没有接受关于在示范条文草案第55条末尾提及“当事方根据投资类型(合资企业、合伙企业或其他)商定的争端解决机制”的建议,但同意将相关提法改为“公私伙伴关系合同”。The Commission did not accept a proposal to refer, at the end of draft model provision 55, to the “dispute settlement mechanisms agreed by the parties according to the type of investment (joint venture, partnership or other)”, but agreed to correct the reference to “PPP contract”.
此外,委员会没有接受关于在示范条文草案的脚注中提及“公私伙伴关系或其他类型的伙伴关系”的建议,因为公私伙伴关系指南草案只涵盖导言草案中定义的公私伙伴关系。Also, the Commission did not accept a proposal to refer to “PPPs or other types of partnerships” in the footnote to the model provision, since the draft PPP guide only covered PPPs as defined in the draft introduction.
最后,委员会没有接受关于在同一脚注中提及有关这一事项的任何立法规定“须服从适用的宪法限制”的建议。Lastly, the Commission did not accept a proposal to mention, in the same footnote, that any legislative provisions on the matter were “subject to the applicable constitutional limitations”.
委员会注意到,关于后一项建议,第一章草案(“一般法律和体制框架”)已经强调了宪法对于公私伙伴关系立法的重要性。The Commission noted, in respect of the latter proposal, that draft chapter I (“General legal and institutional framework”) already stressed the importance of constitutional law for PPP legislation.
61.61.
在回答关于示范条文草案第56和57条之间关系的询问时,委员会注意到示范条文草案第57条在平等的基础上处理各方之间的争端,因此,当事人可以自由选择其认为合适的争端解决最终机制。In response to a query concerning the relationship between draft model provisions 56 and 57, the Commission noted that draft model provision 57 dealt with disputes among parties on an equal footing, who were therefore free to choose the final dispute settlement mechanism as they saw fit.
示范条文草案第56条则处理私人伙伴与较弱势当事人之间的争端,这些当事人应当受益于简化和高效的索赔审查机制,同时并不因此放弃根据国家法律可能保障的诉诸任何其他争端解决办法的权利,包括司法补救。Draft model provision 56, in turn, dealt with disputes between the private partner and weaker parties, who should benefit from simplified and efficient claims review mechanisms, without thereby waiving any rights to other dispute settlement, including judicial redress, that might be guaranteed to them under the laws of the country.
然而,为清晰起见,委员会商定在示范条文草案第56条的标题中增加“或其他当事人”字样。For purposes of clarity, however, the Commission agreed to add the words “or other parties” to the title of draft model provision 56.
62.62.
在作出上述修改后,委员会核准了A/CN.9/982/Add.6/Rev.1号文件所载第六章草案及随附的示范条文草案第55至57条。Subject to the above amendments, the Commission approved draft chapter VI and the accompanying draft model provisions 55 to 57, as set out in document A/CN.9/982/Add.6/Rev.1.
Chapter VII.
第七章 其他有关的法律领域(A/CN.9/982/Add.7/Rev.1)Other relevant areas of law (A/CN.9/982/Add.7/Rev.1)
63.63.
在审议第七章草案第17段期间,委员会满意地注意到其中提到贸易法委员会制定的关于担保交易的最新标准。During its consideration of draft chapter VII, paragraph 17, the Commission noted with satisfaction the reference to the most recent standards prepared by UNCITRAL on secured transactions.
有意见认为,还应在委员会前面审议的第四章草案(“公私伙伴关系的实施:法律框架和公私伙伴关系合同”)第60和61段中提及类似的内容(见上文第43至53段),这些段落也涉及担保权益。The view was expressed that a similar reference should also be made in paragraphs 60 and 61 of draft chapter IV (“PPP implementation: legal framework and PPP contract”), previously considered by the Commission (see paras. 43–53 above), which also dealt with security interests.
相反的观点是,在第七章草案作此提及已经足够,特别是因为第60段的案文与《贸易法委员会担保权益示范法》并无直接关联。The countervailing view was that the reference contained in draft chapter VII was sufficient, especially because the text of paragraph 60 had no direct link with the UNCITRAL Model Law on Secured Transactions.
尽管如此,考虑到作此提及对公私伙伴关系指南草案的读者来说是将很有价值,委员会最终决定将第四章草案第60段第一句中括号内的案文改为以下案文:“(关于所提及的担保权益方面的法律,包括贸易法委员会制定的标准,如《贸易法委员会担保权益示范法》,见第七章,其他有关的法律领域)”。Nonetheless, considering that the reference would be valuable for the reader of the draft PPP guide, the Commission eventually decided to replace the text in parentheses in the first sentence of paragraph 60 of draft chapter IV with the following text: “(for reference to laws on security interests, including standards prepared by UNCITRAL, such as the UNCITRAL Model Law on Secured Transactions, see Chapter VII, Other relevant areas of law)”.
64.64.
本着同样的思路,会上提议在第七章草案第25至28段的适当处增加提及《贸易法委员会公共采购示范法》的内容,这些段落述及与政府合同有关的规则。In the same vein, it was proposed to add a reference to the UNCITRAL Model Law on Public Procurement at an appropriate place in draft chapter VII, paragraphs 25 to 28, which dealt with rules relating to government contracts.
委员会注意到第三章草案(“授予合同”)已经包括广泛提及该《示范法》的内容,因此一致认为,简短提及关于公共采购的国内规则并在脚注中提及该《示范法》即足以方便读者。Noting that draft chapter III (“Contract award”) already included extensive references to that Model Law, the Commission agreed that a short reference to domestic rules on public procurement, with a footnote with reference to that Model Law would be sufficient for the readers’ convenience.
65.65.
会议商定,在第58段第六句中的“公平工资”之后插入“和公平的劳动条件”一语,以反映这方面的最佳做法,并确保与后面的句子保持一致。It was agreed to insert in the sixth sentence of paragraph 58 the term “and fair labour conditions” after the term “fair wages” to reflect the best practices in that matter and ensure consistency with the sentence that followed.
66.66.
关于对利益攸关方参与公私伙伴关系的讨论,委员会商定,通过在第七章草案第59段第一句之后添加以下句子来强调磋商的重要性:“这种磋商还有助于通过例如查明如何更好地方便残疾人出入来改进设计,或改进服务的可负担性。”In connection with the discussion on stakeholders’ engagement in PPPs, it was agreed to stress the importance of consultations by adding the following sentence after the first sentence of draft chapter VII, paragraph 59: “Such consultations can also serve to improve design by, for example, identifying better ways to facilitate access for the disabled, or improve affordability of service.”
67.67.
委员会详细审议了第七章草案第25至28段之前适当的小标题,目前是“政府合同规则和行政法”。The Commission considered at length the appropriate subheading preceding draft chapter VII, paragraphs 25 to 28, which currently read “Rules on government contracts and administrative law”.
会上强烈持有的一种观点认为,该小标题范围过窄,不足以涵盖法律制度的多样性和本小节中的内容。According to a strongly held view, that subheading was too narrow to capture both the variety of legal systems and the content of the subsection.
此外,据指出,该小标题过于突出行政法,这样做并不可取,因为私营部门和公共当局在公私伙伴关系中发挥的作用在不断演变。Moreover, it was said that that subheading gave too much prominence to administrative law, which might not be desirable, considering the evolving roles of the private sector and public authorities in PPPs.
会上提出,替代标题如“政府合同”或“政府为一方的合同”更为合适。It was suggested that an alternative title, such as “Government contracts” or “Contracts to which the government is a party” would be more adequate.
另一个替代办法是使用“公共合同”一语,并修改第29和30段前面的标题,改为简单的“私人合同”一语,经过广泛的辩论,这种办法最终在委员会内得到广泛支持。Another alternative, which after extensive debate eventually gathered wide support within the Commission, was to use the phrase “Public contracts”, and to also amend the heading above paragraphs 29 and 30 to read simply “Private contracts”.
在辩论结束时,一个代表团表示仍然对提议的修改持强烈保留意见,认为作此修改既没有必要也没有得到足够的支持。At the closing of the debate, one delegation stated that it still maintained strong reservations against the proposed amendment, for which it saw neither a need nor sufficient support.
不过,为了达成折衷,该代表团宣布不反对委员会的决定。Nevertheless, in the interest of compromise, that delegation declared that it would not object to the Commission’s decision.
委员会注意到这一表示,核准将第25至28段前面的小标题改为“公共合同”,并将第29和30段前面的小标题改为“私人合同”。Taking note of that statement, the Commission approved the change in the subheading preceding paragraphs 25 to 28 to “Public contracts” and the change in the subheading preceding paragraphs 29 and 30 to “Private contracts”.
68.68.
有意见认为,第七章草案第47至49段可加以扩展,以反映规划工作对于缓解公私伙伴关系准备阶段已经存在的环境风险越来越重要,避免代价高昂的项目拖延和争端。The view was expressed that draft chapter VII, paragraphs 47 to 49, could be expanded to reflect the growing importance of planning for mitigating environmental risks already in the preparation phase of PPPs, to avoid costly project delays and disputes.
委员会听取了将第47段第五和第六句改为以下案文的建议:The Commission heard a proposal to replace the fifth and sixth sentences of paragraph 47 with the following text:
“与环境风险管理有关的立法条文旨在控制项目对环境和人口的任何负面影响,此种影响是引发争端和导致项目拖延的最常见原因。“The legislative provisions related to the management of environmental risks aim to control any negative impact of projects on environment and population, which are the most frequent causes of disputes and project delay.
这些条文可以规定不同的义务,例如开展社会和环境研究,从而承诺实施风险缓解措施或重新安置行动计划,此类行动计划允许对流离失所人口或生计受到项目负面影响的人口采取补偿和支持措施。”These provisions can set forth different obligations, such as carrying out social and environmental studies, leading to a commitment to implement risk mitigation measures or an action plan for the resettlement allowing for compensation and support measures for the displaced populations or population whose means of subsistence have suffered a negative impact from the project.”
69.69.
会上对添加拟议的措辞表示支持,但委员会认为,第47段第六句仍然包含应予保留的重要内容。There was support for adding the proposed language, but the Commission found that the sixth sentence of paragraph 47 still contained important elements that should be retained.
委员会请秘书处在纳入拟议的案文时对措辞进行审查,使之与公私伙伴关系指南草案所采用的风格和术语保持一致,并避免该段中有任何重复或冗余内容。The Commission requested the Secretariat, when incorporating the proposed text, to review the wording to align it with the style and terminology used in the draft PPP guide and to avoid any repetition or redundancy in the paragraph.
70.70.
在作出上述修改后,委员会核准了A/CN.9/982/Add.7/Rev.1号文件所载第七章草案。Subject to the above amendments, the Commission approved draft chapter VII as set out in document A/CN.9/982/Add.7/Rev.1.
C.C.
通过《贸易法委员会公私伙伴关系示范立法条文》和《贸易法委员会公私伙伴关系立法指南》Adoption of the UNCITRAL Model Legislative Provisions on Public-Private Partnerships and of the UNCITRAL Legislative Guide on Public-Private Partnerships
71.71.
在2019年7月10日第1093次会议上,在审议公私伙伴关系案文草案之后,委员会通过了以下决定:At its 1093rd meeting, on 10 July 2019, after consideration of the draft PPP texts, the Commission adopted the following decision:
“联合国国际贸易法委员会,“The United Nations Commission on International Trade Law,
“回顾大会1966年12月17日第2205 (XXI)号决议,大会在该决议中设立了联合国国际贸易法委员会,其任务授权是为各国人民的利益,特别是为发展中国家人民的利益而促进国际贸易法的逐渐协调和统一,“Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, by which the Assembly established the United Nations Commission on International Trade Law with a mandate to further the progressive harmonization and unification of the law of international trade in the interests of all peoples, in particular those of developing countries,
“回顾大会2003年10月31日第58/4号决议,大会在该决议中通过了《联合国反腐败公约》,“Recalling General Assembly resolution 58/4 of 31 October 2003, in which the Assembly adopted the United Nations Convention against Corruption,
“回顾大会2015年9月25日第70/1号决议,大会在该决议中通过了《2030年可持续发展议程》,以及大会2015年7月27日第69/313号决议,大会在该决议中核可了《第三次发展筹资问题国际会议亚的斯亚贝巴行动议程》,“Recalling General Assembly resolution 70/1 of 25 September 2015, in which the Assembly adopted the 2030 Agenda for Sustainable Development, as well as General Assembly resolution 69/313 of 27 July 2015, in which the Assembly endorsed the Addis Ababa Action Agenda of the Third International Conference on Financing for Development,
“深信公私伙伴关系可在改善基础设施和公共服务的提供和妥善管理并支持政府为实现可持续发展目标所做的努力方面发挥重要作用,“Convinced that public-private partnerships can play an important role in improving the provision and sound management of infrastructure and public services, and in supporting government efforts to achieve the Sustainable Development Goals,
“关切没有适当的法律框架和缺乏透明度可能阻碍对基础设施和公共服务的投资,并导致发生腐败和公共资金管理不善的更大风险,“Concerned that the inadequacy of the legal framework and the lack of transparency may discourage investment in infrastructure and public services and lead to a greater risk of corruption and mismanagement of public funds,
“强调必须为授予公私伙伴关系合同提供有效和透明的程序,必须通过提高透明度、公平性和长期可持续性并消除对私营部门参与基础设施和公共服务开发和运营的不合理限制的规则来促进项目的实施,“Emphasizing the importance of providing efficient and transparent procedures for the awarding of contracts for public-private partnerships and of facilitating project implementation by rules that enhance transparency, fairness and long-term sustainability and remove undesirable restrictions on private sector participation in development and operation of infrastructure and public services,
“回顾委员会通过《贸易法委员会私人融资基础设施项目立法指南》和随附的《示范立法条文》为成员国建立这方面的有利法律框架作出了宝贵贡献,以及大会在2003年12月9日第58/76号决议中建议各国在修订或通过与私人参与公共基础设施的开发和运营有关的立法时适当考虑这些案文,“Recalling the valuable guidance the Commission has provided to Member States towards the establishment of a favourable legislative framework in that respect through the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects and the accompanying Model Legislative Provisions, and the recommendation by the General Assembly, in its resolution 58/76 of 9 December 2003, that States give due consideration to those texts when revising or adopting legislation related to private participation in the development and operation of public infrastructure,
“表示赞赏秘书处通过与专家协商、组织专题讨论会并在2018年11月召集政府间专家小组就增订与合并《示范立法条文》和《立法指南》所做的工作,也赞赏所有活跃于公私伙伴关系领域的国际政府间组织和非政府组织在此进程中所做的贡献,“Expressing its appreciation to the Secretariat for its work on updating and consolidating the Model Legislative Provisions and the Legislative Guide through consultations with experts, organization of colloquiums and convening of the intergovernmental expert group in November 2018, as well as all international intergovernmental and non-governmental organizations active in the field of public-private partnerships for their contributions in that process,
“1.“1.
通过贸易法委员会第五十二届会议报告附件一所载的《贸易法委员会公共伙伴关系示范立法条文》以及载于秘书处关于对《贸易法委员会私人融资基础设施项目立法指南》的拟议增订的说明并经委员会第五十二届会议修正的《贸易法委员会公私伙伴关系立法指南》;Adopts the UNCITRAL Model Legislative Provisions on Public-Private Partnerships as they appear in annex I to the report of the fifty-second session of the Commission and the UNCITRAL Legislative Guide on Public-Private Partnerships, consisting of the text set forth in the notes by the Secretariat on the proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects, as amended by the Commission at its fifty-second session;
“2.“2.
请秘书长以联合国六种正式语文发布《公私伙伴关系示范立法条文》和《公私伙伴关系立法指南》,包括以电子方式发布,并向各国政府和相关国际政府间组织和非政府组织、私营部门实体和学术机构广泛传播;Requests the Secretary-General to publish the Model Legislative Provisions on Public-Private Partnerships and the Legislative Guide on Public-Private Partnerships, including electronically, in the six official languages of the United Nations, and to disseminate them broadly to Governments and relevant international intergovernmental and non-governmental organizations, private sector entities and academic institutions;
“3.“3.
建议所有国家在修订或通过与公私伙伴关系有关的立法时适当考虑《公私伙伴关系示范立法条文》和《公私伙伴关系立法指南》,并请已使用《公私伙伴关系示范立法条文》的国家向委员会通报相关事宜。”Recommends that all States give due consideration to the Model Legislative Provisions on Public-Private Partnerships and the Legislative Guide on Public-Private Partnerships when revising or adopting legislation relevant to public-private partnerships and invites States that have used the Model Legislative Provisions on Public-Private Partnerships to advise the Commission accordingly.”
四.IV.
最后审定和通过《贸易法委员会担保交易示范法实务指南》Finalization and adoption of a practice guide to the UNCITRAL Model Law on Secured Transactions
A.A.
导言Introduction
72.72.
委员会回顾,在其2017年第五十届会议上,委员会决定责成第六工作组(担保权益)编拟一部担保交易实务指南,以便就合同、交易和监管问题以及微型企业融资问题向《贸易法委员会担保交易示范法》的潜在用户提供指导。The Commission recalled that, at its fiftieth session, in 2017, it had decided to task Working Group VI (Security Interests) with preparing a practice guide on secured transactions in order to provide guidance to potential users of the UNCITRAL Model Law on Secured Transactions with respect to contractual, transactional and regulatory issues, as well as the financing of micro-businesses.
73.73.
委员会进一步回顾,在其2018年第五十一届会议上,委员会对第六工作组取得的进展表示满意,并注意到秘书处为在监管方面与巴塞尔银行监管委员会进行协调所做努力。The Commission further recalled that, at its fifty-first session, in 2018, it had expressed satisfaction with the progress made by Working Group VI, also noting the Secretariat’s efforts to coordinate with the Basel Committee on Banking Supervision with respect to the regulatory aspects.
在该届会议上,委员会请工作组迅速完成其工作,以期2019年向委员会提交最后草案以供审议。At that session, the Commission had requested the Working Group to complete the work expeditiously, with a view to presenting a final draft to the Commission for consideration in 2019.
74.74.
工作组在第三十二届至第三十四届会议期间开展了实务指南草案的编拟工作。Working Group VI prepared a draft practice guide during its thirty-second to thirty-fourth sessions.
在2017年12月11日至15日于维也纳举行的工作组第三十二届会议上,普遍认为实务指南的目的是向已经颁布或正在考虑颁布《示范法》的国家的担保交易使用者提供实际指导。At its thirty-second session, held in Vienna from 11 to 15 December 2017, it was generally observed that the purpose of the practice guide would be to provide practical guidance to users of secured transactions in States that have enacted, or were considering enacting, the Model Law.
据强调,主要目标是举例说明《示范法》的运作方式及潜在使用者如何从这类运行中获益并弥合法律与商业实务之间的差距。It was stressed that the main objectives would be to illustrate how the Model Law operated and how potential users could benefit from such operation, as well as to bridge the gap between law and business practice.
在2018年4月30日至5月4日于纽约举行的工作组第三十三届会议上,普遍认为实务指南应保留由导言章节、关于合同和交易问题的一章以及关于监管方面的一章组成的体例,并请秘书处在顾及潜在有担保债权人的情况下编拟第二稿,同时处理对其他读者具有实际重要性的问题。At its thirty-third session, held in New York from 30 April to 4 May 2018, it was generally agreed that the practice guide should retain the structure consisting of an introductory chapter, a chapter on contractual and transactional issues, and a chapter dealing with regulatory aspects, and the Secretariat was requested to prepare a second draft with potential secured creditors in mind, while at the same time addressing points of practical importance to other readers.
75.75.
在2018年12月17日至21日于维也纳举行的第三十四届会议上,工作组审议了实务指南的第二稿,并通过了第一章、第二章A至D部分及第三章。At its thirty-fourth session, held in Vienna from 17 to 21 December 2018, the Working Group considered the second draft of the practice guide and adopted chapter I, chapter II, parts A–D, and chapter III.
考虑到工作组未能通过第二章E至J部分,工作组商定,在编拟这些章节的修订稿以及在对工作组通过的其他部分作出任何必要的相应修订方面,应当给予秘书处以灵活性。Considering that the Working Group was not able to adopt parts E to J of chapter II, the Working Group agreed that the Secretariat should be given flexibility in preparing a revised version of those parts and in making any necessary consequential revisions to other parts that were adopted by the Working Group.
因此,秘书处与相关专家协商编拟了实务指南的修订本。Accordingly, the Secretariat, in consultation with relevant experts, prepared a revised version of the practice guide.
根据贸易法委员会的通常惯例,秘书处将该修订本分发给应邀参加工作组届会的国家征求意见。In accordance with the usual practice of UNCITRAL, that version was circulated by the Secretariat for comment to States invited to sessions of the Working Group.
76.76.
委员会第五十二届会议收到了载于实务指南草案(见A/CN.9/993)的《贸易法委员会担保交易示范法》实务指南草案,以及秘书处的一份说明(A/CN.9/994),其中告知委员会,截至2019年6月26日未收到各国的任何评述意见。At its fifty-second session, the Commission had before it a draft practice guide to the UNCITRAL Model Law on Secured Transactions as contained in the draft practice guide (see A/CN.9/993), and a note by the Secretariat (A/CN.9/994), in which it informed the Commission that no comments had been received from States as at 26 June 2019.
77.77.
委员会获悉,秘书处在分发A/CN.9/994号文件后收到了阿尔及利亚和白俄罗斯政府的评述意见,以及美国政府关于重新编排实务指南草案第二章A部分中的材料的提议(见下文第82-84段)。The Commission was informed that, after the Secretariat had circulated document A/CN.9/994, it had received comments from the Governments of Algeria and Belarus as well as a proposal from the Government of the United States for reorganizing the material in part A of chapter II of the draft practice guide (see paras. 82–84 below).
委员会还获悉,秘书处已就实务指南草案第三章的内容与巴塞尔银行监管委员会展开了进一步的协调。The Commission was also informed that the Secretariat had further coordinated the contents of chapter III of the draft practice guide with the Basel Committee on Banking Supervision.
B.B.
审议实务指南草案Consideration of the draft practice guide
第一章Chapter I.
导言(A/CN.9/993,第1-24段)Introduction (A/CN.9/993, paras. 1–24)
78.78.
关于第一章,委员会商定如下:With respect to chapter I, the Commission agreed as follows:
(a)(a)
第1段第一句中的“已颁布”一词应改为“颁布”;The words “that have enacted” in the first sentence of paragraph 1 should be replaced with the words “that enact”;
(b)(b)
第2段的第一句和第二句应修订为:The first and second sentences of paragraph 2 should be revised to read:
“本指南所针对的读者是那些希望了解受《示范法》管辖并在许多情况下因《示范法》而得以可能的交易的人。“This Guide is for readers who wish to understand transactions governed by, and in many cases made possible by, the Model Law.
第一章概要介绍了……”;Chapter I provides a summary …”;
(c)(c)
应在第3段中的“法官”一词后添加“仲裁员”一词,但不添加“从业人员”一词;The word “arbitrators” should be added after the word “judges” in paragraph 3 but not the word “practitioners”;
(d)(d)
应在第4段最后一句中删除“这就是缘何建议基于《示范法》进行立法改革的原因”一语;The phrase “which is why legislative reforms based on the Model Law are recommended” should be deleted from the last sentence of paragraph 4;
(e)(e)
第5段第一句应修订为:“《示范法》下的‘担保权’是动产上的一项产权,给某一人(“债务人”)欠另一人(“有担保债权人”)的债务作保”;The first sentence of paragraph 5 should be revised to read: “A ‘security right’ under the Model Law is a property right in a movable asset that secures an obligation owed by a person (the ‘debtor’) to another person (the ‘secured creditor’)”;
(f)(f)
关于第6段,第二章H部分应述及这样一个要点,即如果担保权给非货币债务作保,则担保权将在该债务减少至某一款项之前无法实现,或仅在该债务减少至某一款项的限度内方能实现;In relation to paragraph 6, chapter II, part H, should address the point that where a security right secured a non-monetary obligation, the security right would not be realized until, or would be realized to the extent that, the obligation was reduced to a sum of money;
(g)(g)
第一章B部分第4节的标题应修订为:“对担保交易的功能性和统一处理法”;The heading of chapter I, part B, section 4, should be revised to read: “A functional and unitary approach to secured transactions”;
(h)(h)
第10段第一句末尾处的“或究竟是由谁拥有资产”应改为:“资产究竟是由债务人还是有担保债权人拥有”;The words “or who owns the assets” at the end of the first sentence in paragraph 10 should be revised to read: “whether the assets are owned by the debtor or the secured creditor”;
(j)(i)
第10段第二句和第三句应修订如下:“这意味着《示范法》不仅适用于设保人对其已经拥有的资产设定担保权的交易,也适用于表现为由债权人保留资产所有权以给履行债务作保的交易,例如保留所有权的出售和融资租赁。The second and third sentences of paragraph 10 should be revised to read along the following lines: “This means that the Model Law applies not only to transactions in which the grantor grants a security right in an asset that it already owns, but also to transactions that take the form of the creditor retaining title to an asset, to secure performance of an obligation, for example, retention-of-title sales and financial leases.
在《示范法》下,这些交易均被视为创设了担保权,因此将予以相同的对待。Those transactions are all regarded as creating a security right under the Model Law and they are, therefore, subject to the same treatment.
这大大有别于许多法律制度所持的其中某些交易或所有这些交易都不必遵守相同要求的传统立场。”This is a major distinction from traditional positions in many legal systems under which some or all of these transactions would not be subject to the same requirements.”
;
(j)(j)
第12段应保留在第一章中,第二章A部分第12节应当提及,根据《示范法》第3条,当事人享有可将担保权的自动延伸限定于可识别收益的自由;Paragraph 12 should be retained in chapter I, and chapter II, part A, section 12, should mention that the parties were free to restrict the automatic extension of a security right to identifiable proceeds in accordance with article 3 of the Model Law;
(k)(k)
第17段第一句应修订为:“本《指南》介绍了将动产用作债务担保和应收款相关交易担保的良好实践。The first sentence of paragraph 17 should be revised to read: “This Guide is an introduction to good practices for the use of movable assets as security for obligations and for transactions involving receivables.
特别是,它侧重于如何有效构建和管理涉及此类动产的交易。”In particular, it focuses on how transactions involving such movable assets can be effectively constructed and administered.”
;
(l)(l)
第17段的第二句和第三句应组成一个单独的段落,无需提及《示范法》不包括关于不动产附加物上担保权的具体规定;The second and third sentences of paragraph 17 should form a separate paragraph and would not need to mention that the Model Law does not include specific provisions on security rights in attachments to immovable property;
(m)(m)
第20段第一句应修订为:The first sentence of paragraph 20 should be revised to read:
“本《指南》以笼统并且不拘泥于法律字眼的方式解释受《示范法》管辖的交易,而不涉及《示范法》的每一个细节。”“This Guide explains transactions governed by the Model Law in a general and non-legalistic way without going into every detail of the Model Law.”
;
(n)(n)
第5节的标题应为“《示范法》与其他法律之间的相互作用”;The heading of section 5 should read: “The Model Law interacts with other laws”;
(o)(o)
第23段最后一句中的“可”一词应改为“一般将”;The word “may” in the last sentence of paragraph 23 should be replaced with the words “will generally”;
(p)(p)
第24段第二句应改为:“如果设保资产的价值大大超出附担保义务的数额,某些国家可能缩减设保资产的范围…”;The second sentence of paragraph 24 should read: “The law of some States may reduce the scope of the encumbered assets if their value substantially exceeds the amount of the secured obligation …”;
(q)(q)
接第24段的框内案文应构成第一章的补充部分,其标题为“涉及微型企业的担保交易”,框内案文第二段应拟成实例,类似于第二章所载实例。The text in the box following paragraph 24 should form an additional part of chapter I, with the heading “Secured transactions involving microenterprises” and the second paragraph within that box should be formulated as an example similar to the examples in chapter II.
79.79.
在作出上述修改后,委员会核准了实务指南草案第一章。Subject to the above-mentioned changes, the Commission approved chapter I of the draft practice guide.
第二章Chapter II.
在《示范法》下如何从事担保交易(A/CN.9/993,第25-360段)How to engage in secured transactions under the Model Law (A/CN.9/993, paras. 25–360)
80.80.
关于第25段,委员会商定,将最后一句中的“破产管理人”改为“设保人的破产管理人”。With respect to paragraph 25, the Commission agreed to replace the words “insolvency representatives” in the last sentence with the words “the grantor’s insolvency representative”.
A部分 如何取得有效担保权(A/CN.9/993,第27-93段)Part A. How to take an effective security right (A/CN.9/993, paras. 27–93)
81.81.
关于A部分,委员会商定如下:With respect to part A, the Commission agreed as follows:
(a)(a)
在这些实例中,凡适用的,应当把“希望得到一笔贷款”一语改为“希望借款”;In the examples, where applicable, the phrase “wants a loan” should be replaced with the phrase “wants to borrow money”;
(b)(b)
应当对第29段大致修订如下:Paragraph 29 should be revised to read along the following lines:
“对资产享有有限权利的人也能够在该有限的权利上设定担保权,即使该人并非资产所有人。“A person with a limited right in an asset is also able to grant a security right in that limited right even though that person is not the owner of the asset.
举例说,如果X公司根据短期租赁协议租用一台印刷机,……”;For example, if Company X was renting a printing press under a short-term lease agreement, …”;
(c)(c)
应当在第29段末尾处增设内容大致如下的一句:“X公司在印刷机上有限的权利限定了X公司所提供的担保的价值,在这类情况下,Y银行应谨慎评估交易订立前该担保的价值。”An additional sentence should be added at the end of paragraph 29 to read along the following lines: “This limited right of Company X in the printing press limits the value of the security offered by Company X and care should be taken by Bank Y to assess that value before entering into a transaction under such circumstances.”
;
(d)(d)
第30段的第一句和第二句应放在目前的位置保留,第三句的内容应放在关于核实设保人是否可以设定担保权的B部分第3节中;The first and second sentences of paragraph 30 should be retained in its current place and the contents of the third sentence should be placed in part B, section 3, on verifying whether the grantor could grant a security right;
(e)(e)
第32段最后一句应予保留;The last sentence of paragraph 32 should be retained;
(f)(f)
第36段第二句中的“就可能得不到充分保护”一语应改为“将得不到保护”;The words “might not be fully protected” in the third sentence of paragraph 36 should be replaced with the words “will not be protected”;
(g)(g)
第40段最后一句应修改为:The last sentence of paragraph 40 should be revised to read:
“如果Y银行取得对珠宝的占有权,担保协议可以是口头的,而不需要是书面的(《示范法》第6条第4款),并且Y银行不需要在登记处办理通知登记以使其担保权具有对抗第三方的效力(《示范法》第18条第(2)款)。”“If Bank Y takes possession of the jewellery, the security agreement can be oral and does not need to be in writing (Model Law, art. 6, para. 4) and Bank Y does not need to register a notice in the Registry to make its security right effective against third parties (ML, art. 18 (2)).”
;
(h)(h)
应当对第41段做大致如下的修订:“即使在Y银行取得对珠宝占有权时,担保协议不需要以书面形式订立,但谨慎的做法是担保协议仍以书面形式订立,以避免以后对其条款产生争议。Paragraph 41 should be revised to read along the following lines: “Even though the security agreement does not need to be in writing when Bank Y takes possession of the jewellery, it will be prudent to put the security agreement in writing to avoid later disputes over its terms.
此外,虽然Y银行在取得对珠宝占有权时不需要办理通知登记即可使其担保权取得对抗第三方的效力,但办理通知登记仍不失为谨慎的做法。Also, while Bank Y does not need to register a notice to make its security right effective against third parties when it takes possession of the jewellery, it may be prudent to register a notice.
如果Y银行后来失去或同意放弃对其珠宝的占有权,有书面的担保协议和在登记处办理通知登记将有助于Y银行保留其在珠宝上的有效担保权。A written security agreement and a notice registered in the Registry will help Bank Y keep an effective security right in the jewellery, should it later lose or agree to give up possession of the jewellery.
是否取得对珠宝的占有权大体上是一个商业决定,而并非法律决定。”Whether or not to take possession of the jewellery is largely a business decision and not a legal one.”
;
(i)(i)
第46段末尾处“关于可能需要在特定资产登记处办理登记的资产,另见第二章E部分第11节”一语应予删除;The phrase “see also Section II.E.11 for assets that might require registration in an asset-specific registry” at the end of paragraph 46 should be deleted;
(j)(j)
应当改拟5A至5D的实例,以处理同一资产(举例说,X公司希望购置钻井设备的情况下),并强调当事双方均可将其交易安排成不同的形式;Examples 5A to 5D should be reformulated to deal with the same asset (for example, where Company X wants to purchase drilling equipment) and to highlight that the parties can structure their transaction into different forms;
(k)(k)
应当在第48段末尾处添加一句,其内容为:“形式的选择是基于商业考虑和供资人的类型”;A sentence should be added at the end of paragraph 48 to read: “The choice of form is based on business considerations and the type of the person providing the financing.”
;
(l)(l)
第49段第二句和第52段第三句中的“使用”一词应分别替换为“保留对钻探设备的所有权”和“依赖于钻探设备的所有权”;The word “uses” in the second sentence of paragraph 49 and in the third sentence of paragraph 52 should be replaced respectively with the words “retains title to” and “relies on the ownership of”;
(m)(m)
第53段中的“银行和其他金融机构”应改为“第三方融资人”;The words “bank and other financial institutions” in paragraph 53 should be replaced with the words “third-party financiers”;
(n)(n)
第54段最后一句应改为:“相竞有担保债权人之间的优先权通常由……确定”;The last sentence of paragraph 54 should be revised to read: “the priority between competing secured creditors is usually determined by …”;
(o)(o)
第56段第二句应改为:“……,Y银行可要求它们各自为偿付A公司的债务作保……”;The second sentence of paragraph 56 should read: “…, Bank Y may require each of them to guarantee payment of Company A’s obligation …”;
(p)(p)
应当删除第58段中的“一如其对可转让票据……(见第二章A部分第8节和实例8)一语”;The words “as in negotiable instruments (see section II.A.8 and example 8)” in paragraph 58 should be deleted;
(q)(q)
应删除第63段第二句中的“通常”一词;The word “usually” should be deleted from the second sentence of paragraph 63;
(r)(r)
第64段第一句应修改为:“控制权协议需要规定,如果公司X违约,银行Z可以指示银行Y直接向其转账。”The first sentence in paragraph 64 should be revised to read:
“The control agreement needs to provide that Bank Z can instruct Bank Y to transfer the funds directly to it if Company X defaults.” ;
(s)(s)
第64段第三句应修改为:The third sentence in paragraph 64 should be revised to read:
“如果Y银行不愿意同意Z银行视之为重要的条款,则Z银行可以规定,其向X公司提供信贷的意愿以X公司将其银行账户转移到Z银行或转移至同意这些条款的另一家银行为先决条件。”“If Bank Y is unwilling to agree to terms that Bank Z considers important, Bank Z can condition its willingness to extend credit on Company X moving its bank account to Bank Z or to another bank that will agree with those terms.”
;
(t)(t)
第70段第二句和第三句应改为:“有时他们以应收款作为其债务担保向融资人借钱。The second and third sentences of paragraph 70 should be revised to read: “Sometimes they borrow money from a financier with the receivables serving as security for their obligations.
有时,他们通常折价直接把应收款的所有权转让给融资人。”Sometimes they transfer ownership of the receivables to a financier outright, often at a discount.”
;
(u)(u)
第71段第一句和第二句应修订为:“《示范法》不仅适用于给债务作保的应收款上的担保权,也适用于应收款的彻底转让(《示范法》第1条第2款)。The first and second sentences of paragraph 71 should be revised to read:
“The Model Law applies not only to security rights in receivables that secure an obligation but also to outright transfers of receivables (Model Law, art. 1, para. 2).
在《示范法》下,应收款的转让人被视为设保人,……”Under the Model Law, the transferor of a receivable is considered as a grantor, …”;
(v)(v)
第70和71段的最后一句应予删除;The last sentences of both paragraphs 70 and 71 should be deleted;
(w)(w)
第75段第二句应改为:The second sentence of paragraph 75 should be revised to read:
“这是因为没有可作为担保的债务。”“That is because there is no obligation that is secured.”
;
(x)(x)
第75段第三和第四句应予删除,并在第75段之后增加一段如下:“在涉及应收款彻底转让的保理交易中,所有经济利益和风险都将转移给保理商。The third and fourth sentences of paragraph 75 should be deleted and an additional paragraph should follow paragraph 75 to read: “In a factoring transaction involving an outright transfer of receivables, all economic benefits and risks are transferred to the factor.
如果从应收账款中收取的金额超过保理商支付的款项,保理商将保留该收益。If more is collected from the receivables than the factor paid for them, the factor retains that benefit.
同样,如果存在无法收取的应收款,除非当事人另有约定,否则损失将由保理商承担,(称作‘追索权保理’)。”Similarly, if there are receivables that cannot be collected, the loss is borne by the factor, unless the parties have agreed otherwise (referred to as ‘recourse factoring’).”
;
(y)(y)
在实例10中,第一段中的“未支付的购置款”应改为“以给未支付购置款作保”,第三段中的“设保资产池也可能不断上下波动”应改为“设保资产池不断上下波动”;In example 10, the words “of the unpaid purchase price” in the first paragraph should be replaced with the words “to secure the unpaid purchase price” and the words “the pool of the encumbered assets can also constantly fluctuate” in the third paragraph should be replaced with the words “the pool of encumbered assets constantly fluctuate”;
(z)(z)
应当对第77段的内容加以修订并将其放在关于核实设保人是否可以设定担保权的B部分第3节中。The contents of paragraph 77 should be revised and placed in part B, section 3, on verifying whether the grantor could grant a security right;
(aa)(aa)
第82段最后一句应予删除;The last sentence of paragraph 82 should be deleted;
(bb)(bb)
第86段最后一句中的“可”一词应改为“将”;The word “may” in the last sentence of paragraph 86 should be replaced with the word “will”;
(cc)(cc)
第87段末尾处应增列一句,其内容是:An additional sentence should be included at the end of paragraph 87 to read:
“Y银行可以在通知期满后办理通知登记,但第三方效力将失效,并且仅自该登记日方可重新确立。”“Bank Y could register a notice after the expiry period, but the third-party effectiveness would lapse and only be re-established as of the date of that registration.”
;
(dd)(dd)
第88段第一句中的“例如”一词应予删除;The phrase “for example” in the first sentence of paragraph 88 should be deleted;
(ee)(ee)
第90段最后一句应移至第92段开头处,不加“然而”一词。The last sentence of paragraph 90 should be moved to the beginning of paragraph 92 without the word “however”.
82.82.
在审议了关于重新编排实务指南草案第二章A部分中的材料的建议之后,委员会商定如下。Having considered a proposal to reorganize the material in part A of chapter II of the draft practice guide, the Commission agreed as follows.
83.83.
首先,会议商定,将连同实例1A和2插入以下案文,以此作为A部分的前两个导言段:First, it was agreed that the following text would be inserted as the first two introductory paragraphs of part A, along with examples 1A and 2:
“动产担保权取得对抗设保人的效力仅有两项必须满足的要求:“There are only two requirements that must be satisfied for a security right in movable property to be effective against the grantor:
拟设保资产必须是设保人能够设定担保权的资产;The asset to be encumbered must be one in which the grantor can grant a security right;
and
必须有一份担保协议。There must be a security agreement.
然而,除非采取使担保权具有对抗第三方效力的措施,否则具有对抗设保人效力的担保权的实际价值不大。A security right that is effective against the grantor, however, has little practical value unless steps are taken to make the security right effective against third parties.
不论是对抗设保人的效力还是对抗第三方的效力均不要求有担保债权人取得对拟设保有形资产的占有权。There is no requirement that the secured creditor take possession of tangible assets to be encumbered either for effectiveness against the grantor or effectiveness against third parties.
因此,如同各自受益于《示范法》的以下实例所示,关于由哪一方当事人保留对设保资产的占有权的决定(以设保人违约为前提)大体上是一项商业决定。Thus, the decision as to which party retains possession of the encumbered assets (subject to the grantor’s default) is largely a business decision as illustrated by the following examples, each of which is facilitated by the Model Law.
实例**所设想的交易将创设通常称作为非占有式担保权的担保权。The transaction contemplated by example ** will create what is commonly referred to as a non-possessory security right.
实例**所设想的交易将创设通常称作占有式担保权或质押权。”The transaction contemplated by example ** will create what is commonly referred to as a possessory security right, or pledge.”
84.84.
其次,会议商定,将对A部分其余内容的结构做如下调整(下文提及的各节和各段指A/CN.9/993号文件中的各节和各段),其中纳入了委员会已经就A部分商定的改动(见上文第81段):Second, it was agreed that the remainder of part A would be structured as follows (references to sections and paragraphs below refer to those in document A/CN.9/993), incorporating the changes already agreed by the Commission with regard to part A (see para. 81 above):
A.A.
如何取得有效担保权How to take an effective security right
1.1.
设保人能否在资产上设定担保权?(第28-30段)Can the grantor grant a security right in the asset? (paras. 28–30)
2.2.
担保协议有哪些要求?What are the requirements for a security agreement?
有担保债权人不占有设保资产的交易(第33-35段)Transactions in which the secured creditor does not take possession of the encumbered asset (paras. 33–35)
有担保债权人占有设保资产的交易(第41段的部分内容)Transactions in which the secured creditor takes possession of the encumbered asset (parts of para. 41)
3.3.
有担保债权人为了使其担保权具有对抗第三方的效力而必须做什么?What must the secured creditor do in order for its security right to be effective against third parties?
非占有式担保权(第36-37段)Non-possessory security rights (paras. 36–37)
占有式担保权(第34段,第40段最后一句,第41段的部分内容)Possessory security rights (para. 34, last sentence of para. 40 and parts of para. 41)
4.4.
可以对谁的债务进行担保?Whose obligation can be secured?
担保权可以担保设保人以外的其他人所欠债务(第31-32段)A security right may secure an obligation owed by a person other than the grantor (paras. 31–32)
5.5.
能否对设保人的不止一项资产设定担保权?Can a security right be created over more than a single asset of the grantor?
在设保人不止一项资产上的担保(实例1B,第38段)Security over more than one asset of the grantor (example 1B, para. 38)
在今后资产上的担保(实例3,第42-44段)Security over future assets (example 3, paras. 42–44)
在设保人所有动产上的担保(实例4,第45-47段)Security over all movable assets of the grantor (example 4, paras. 45–47)
6.6.
担保交易的常见类型Common types of secured transaction
除了以上各节已经讨论过的交易外,以下是在《示范法》下可能进行的担保交易常见类型。 (目前A部分第5至11节将按相同顺序构成本节的各小节)In addition to those that have already been discussed in the above sections, the following are common types of secured transaction possible under the Model Law. (The current sections 5 to 11 of part A will form subsections of this section in the same order.)
7.7.
收益、制成品和混合品 (目前A部分第12和13节将按相同顺序构成本节的各小节。Proceeds, products, and commingling (The current sections 12 and 13 of part A will form subsections of this section in the same order.)
B部分 担保融资的一个关键初步步骤:审慎调查(A/CN.9/993,第94-128段)Part B. A key preliminary step for secured financing: due diligence (A/CN.9/993, paras. 94–128)
85.85.
关于B部分,委员会商定如下:With respect to part B, the Commission agreed as follows:
(a)(a)
第101段第二句应予删除;The second sentence of paragraph 101 should be deleted;
(b)(b)
第103段第三句应大致修订如下:“有担保债权人还应询问设保人是否有任何其他曾用名……”;The third sentence of paragraph 103 should be revised to read along the following lines: “A secured creditor should also ask if the grantor had any other names in the past …”;
(c)(c)
实务指南草案中应使用“相竞求偿人”和“相竞求偿人的权利”两个术语,而不是使用“相竞求偿权”一词;The terms “competing claimants” and “rights of the competing claimants” should be used in the draft practice guide instead of the term “competing claims”;
(d)(d)
第109段中的“某些资产”应改为“资产的代表性样本”,第114段中的“令人不安”应改为“不成比例”,第115段中的“相当高”应改为“不经济”;The words “some assets” in paragraph 109 should be replaced with the words “representative sample of the assets”, the word “uncomfortably” in paragraph 114 with the word “disproportionately” and the words “quite high” in paragraph 115 with the word “uneconomic”;
(e)(e)
第121段还应规定,由于接受存款的银行没有义务披露其是否对银行账户享有担保权或是否与另一有担保债权人订立了控制权协议的信息,有担保债权人应要求设保人指示接受存款的银行提供此类信息;Paragraph 121 should further provide that as the deposit-taking bank was not obliged to disclose information on whether it had a security right in a bank account or on whether it had entered into a control agreement with another secured creditor, the secured creditor should ask the grantor to direct the deposit-taking bank to provide such information;
(f)(f)
第123段中的“该另一项资产是否附带担保权”一语应改为“该另一项资产是否曾经附带担保权”;The phrase “whether that other asset is subject to a security right” in paragraph 123 should be replaced with the phrase “whether that other asset was subject to a security right”;
(g)(g)
第126段中的第三和第四个要点应大致合并如下:“如果有一个排序较高的有担保债权人,该有担保债权人可以请设保人偿付由排序较高的担保权作保的债务,或者向设保人预付资金以偿付由排序较高的担保权作保的债务。The third and fourth bullets of paragraph 126 should be combined to read along the following lines: “If there is a higher-ranking security creditor, the secured creditor can ask the grantor to pay the obligation secured by the higher-ranking security right or advance the funds to the grantor to do so.
债务的偿付通常会使排序较高的有担保债权人的担保权归于消灭(《示范法》第12条,见G部分之二)。Payment of the obligation will usually extinguish the security right of the higher-ranking secured creditor (ML, art. 12; see part G bis).
一旦担保权消灭,有担保债权人可以要求设保人请并非自愿登记的排序较高的有担保债权人办理取消通知的登记(见E部分,第10节)。”Once the security right is extinguished, the secured creditor can require the grantor to request the higher-ranking secured creditor to register a cancellation notice if it does not do so voluntarily (see part E, section 10).”
;
(h)(h)
第126段第五个要点中的“单方面或”应改为“举例说”;The words “unilaterally or” in the fifth bullet of paragraph 126 should be replaced with the word “, for example”;
(i)(i)
第127段应增加内容大致如下的一句:“有担保债权人还应管控排序较高的有担保债权人可能以进一步预支信贷并保留其优先权的风险,因为这将减少资产的剩余价值”;An additional sentence should be included in paragraph 127 to read along the following lines: “A secured creditor should also manage the risk that the higher-ranking secured creditor could advance further credit and retain its priority, which would reduce the residual value of the asset”;
(j)(j)
第128段应大致修订如下:“颁布国可规定,……最高数额。 在这类国家,如果资产的剩余价值大于通知所载明的最高数额,有担保债权人可以放心地基于超过最高数额的价值提供信贷,因为排序较高的有担保债权人的优先权将限于该最高数额。”Paragraph 128 should be revised to read along the following lines: “An enacting State may require that the maximum amount … In such a State, if the residual value of the asset is greater than the maximum amount set out in the notice, the secured creditor can be comfortable in extending credit on the basis of the value in excess of the maximum amount, as the priority of the higher-ranking secured creditor would be limited to the maximum amount.”
C部分Part C.
在登记处进行查询(A/CN.9/993,第129-151段)Searching the Registry (A/CN.9/993, paras. 129–151)
86.86.
关于C部分,委员会商定如下:With respect to part C, the Commission agreed as follows:
(a)(a)
第135段最后一句应改为:“这也适用于有形资产的使用权……”;The last sentence of paragraph 135 should be revised to read: “This also applies to a right to use a tangible asset …”;
(b)(b)
第287段中的“胜诉债权人”的定义应列入第137段,第137段头两句应修订为:“胜诉债权人应在登记处进行查询,以确定败诉债务人的哪些资产可附带担保权。The definition of “judgment creditor” as found in paragraph 287 should be included in paragraph 137 and the first two sentences of paragraph 137 should be revised to read: “A judgment creditor should search the Registry to determine which assets of the judgment debtor may be subject to a security right.
虽然胜诉债权人是可以对设保资产的剩余价值执行判决的,但对未设保资产执行判决会更为容易(关于胜诉债权人的优先权,见第二章G部分第6节和实例26)。”While it may be possible for a judgment creditor to execute the judgment against the residual value of an encumbered asset, it would be easier to execute the judgment against an unencumbered asset (on the priority of a judgment creditor, see chapter II, part G, section 6, and example 26).”
;
(c)(c)
第137段第三句应改为:The third sentence of paragraph 137 should be revised to read:
“破产管理人应在登记处进行查询,以查看在债务人资产上是否可能存在任何担保权。”“An insolvency representative should search the Registry to see whether there may be any security rights in the debtor’s assets.”
;
(d)(d)
第139段第二句应修改为:The second sentence of paragraph 139 should be revised to read:
“作为其对于交易对应方信誉的总体评估的一部分,有担保债权人还将经常使用债务人(如果债务人并非设保人的话)和任何设保人的姓名进行查询。”“A secured creditor will often also search using the name of the debtor (if the debtor is not the grantor) and any guarantors as part of its overall assessment of the creditworthiness of the counterparties to the transaction.”
;
(e)(e)
应当对第140段第二句加以修订,并将其置于单独一段,其内容是:“作为其总体资信评估的一部分,有担保债权人还似宜查询设保人的企业名称或商号”;The second sentence of paragraph 140 should be revised and placed in a separate paragraph to read:
“It may also wish to search the business or trade name of the grantor as part of its overall credit assessment.” ;
(f)(f)
第140段最后一句中的“可能需要”应改为“将需要”;The words “may need to” in the last sentence of paragraph 140 should be replaced with the words “will need to”;
(g)(g)
第142段第三句应予删除;The third sentence of paragraph 142 should be deleted;
(h)(h)
第144段第一句应改为:The first sentence of paragraph 144 should be revised to read:
“对初始通知的登记可能未经设保人授权,对修订通知或取消通知的登记可能未经有担保债权人授权”;“The registration of an initial notice might not have been authorized by the grantor and the registration of an amendment or cancellation notice might not have been authorized by the secured creditor.” ;
(i)(i)
第146段最后两句和第150段最后一句已在E部分第8节中述及,应予删除;The last two sentences of paragraph 146 and the last sentence of paragraph 150 should be deleted as they are dealt with in part E, section 8;
(j)(j)
第150段中置于圆括号内的内容还应列入对《示范法》所载《登记处示范条文》第26条备选案文B的提及。The parenthetical in paragraph 150 should also include a reference to option B of article 26 of the Model Registry Provisions contained in the Model Law.
D
部分 准备担保协议(A/CN.9/993,第152-171段)Part D. Preparing the security agreement (A/CN.9/993, paras. 152–171)
87.87.
关于D部分,委员会商定如下:With respect to part D, the Commission agreed as follows:
(a)(a)
第160段第一句应改为:“如果担保资产属于通类资产”;The first sentence of paragraph 160 should be revised to read: “If the encumbered assets are of a generic category”;
(b)(b)
第162段最后一句应改为:The last sentence of paragraph 162 should be revised to read:
“有担保债权人在设定最高数额时,应注意对其欠款数额、任何未付利息和潜在的强制执行费用。”“A secured creditor should bear in mind the amount it is owed, any unpaid interest and the potential enforcement cost when it sets the maximum amount.”
;
(c)(c)
在第164段末尾处,应添加以下短语:“在确定其准备提供的信贷额时”;At the end of paragraph 164, the following phrase should be added “in determining the amount of credit it will be prepared to provide.”
;
(d)(d)
第166段第二句和第167段第五句应予删除;The second sentence of paragraph 166 and the fifth sentence of paragraph 167 should be deleted;
(e)(e)
应在第171段开头处添加一句,其内容是:“商业考虑和债权人的供资类型将决定债权人是否会以保留所有权的形式取得担保权。”A sentence should be added at the beginning of paragraph 171 to read: “Business considerations and the type of financing which the creditor provides would determine whether the creditor would take a security right in the form of retention-of-title.”
E部分 在登记处办理通知登记(A/CN.9/993,第172-251段)Part E. Registering a notice in the Registry (A/CN.9/993, paras. 172–251)
88.88.
关于E部分,贸法会商定如下:With respect to part E, the Commission agreed as follows:
(a)(a)
第177段第一句应改为:The first sentence of paragraph 177 should read:
“有担保债权人应当意识到,提前登记可能不足以保护其担保权对抗在订立担保协议之前已经取得资产上权利的某些类型的相竞求偿人。”“A secured creditor should be aware that advance registration may not be sufficient to protect its security right as against certain types of competing claimants who have acquired rights in the asset before the security agreement is entered into.”
;
(b)(b)
第190段第一句应缩短为:The first sentence of paragraph 190 should be shortened to read:
“有担保债权人还应输入设保人的准确地址。”“The secured creditor should also enter the accurate address of the grantor.”
;
(c)(c)
第196段第一句应改为:“如果对某一通类资产设保,……”;The first sentence of paragraph 196 should be revised to read: “If a generic category of assets is encumbered, …”;
(d)(d)
第200段应予删除;Paragraph 200 should be deleted;
(e)(e)
第217段最后一句应改为:The last sentence of paragraph 217 should read:
“根据颁布国选择的选项,有担保债权人既可以对总括修订通知办理登记(《登记处示范条文》第18条,选项A),也可以请求登记处对信息进行总括修订(《登记处示范条文》第18条,选项B)。”“Depending on the option chosen by the enacting State, the secured creditor can either register a global amendment notice (Model Registry Provisions, art. 18, option A) or request the Registry to globally amend the information (Model Registry Provisions, art. 18, option B).”
;
(f)(f)
应删除实例15和19末尾处的解释性说明;The explanatory notes at the end of examples 15 and 19 should be deleted;
(g)(g)
第235段中的“在向登记处提交”一词应改为“在决定向登记处提交”,并应在第二句之后添加一句,以指明有担保债权人所应做的内容;The words “it submits” in paragraph 235 should be replaced with the words “when deciding to submit” and a sentence should be added after the second sentence to indicate what the secured creditor should do instead;
(h)(h)
应当对第243段之后表格右栏中的短语“结果与选项……下的结果相同”加以限定,以使其不得超出左栏所列的例外情况。The phrases “The results are the same as under option …” in the right-hand column of the table following paragraph 243 should be qualified as being subject to the exceptions listed in the left-hand column.
F部分 继续监控的需要(A/CN.9/993,第252-266段)Part F. The need for continued monitoring (A/CN.9/993, paras. 252–266)
89.89.
关于F部分,委员会商定如下:With respect to part F, the Commission agreed as follows:
(a)(a)
第252段最后一句应改为:The last sentence of paragraph 252 should be revised to read:
“这将会让有担保债权人更有可能最终收回对其全部欠款,要么直接向设保人收回,要么通过强制执行其在设保资产上的担保权。”“This will increase the likelihood that the secured creditor will ultimately recover all that it is owed, either directly from the grantor or by enforcing its security right in the encumbered asset.”
;
(b)(b)
第260段第五句应改为:“在此情况下,有担保债权人可能需要办理……登记”;The fifth sentence of paragraph 260 should be revised to read: “In such circumstances, a secured creditor may need to register …”;
(c)(c)
第261段末尾处的“频繁”一词应改为“不断”;The word “frequently” at the end of paragraph 261 should be replaced with “on an ongoing basis”;
(d)(d)
应在第262段中添加一句,其内容是:“为此,有担保债权人应确保担保协议规定有担保债权人可以进行适当的监控,并列出这类监控的方法。”A sentence should be added in paragraph 262 to read: “In order to do so, a secured creditor should ensure that the security agreement provides that the secured creditor can undertake appropriate monitoring and lists methods of such monitoring.”
G部分 确定担保权的优先权(A/CN.9/993,第267-291段)Part G. Determining the priority of a security right (A/CN.9/993, paras. 267–291)
90.90.
关于G部分,委员会商定如下:With respect to part G, the Commission agreed as follows:
(a)(a)
应删除第271段中的“或者Y银行……以获得相对于Z银行的优先权……的事实”一语;The words “or the fact that Bank Y registered a notice … to obtain priority over Bank Z” in paragraph 271 should be deleted;
(b)(b)
在第272段第二句中的“获得……资产”中“资产”一词后插入“或资产上权利”一语;The words “or rights in the asset” should be inserted after the words “acquire the asset” in the second sentence of paragraph 272;
(c)(c)
第278段第一句中的“资产上权利”应改为“设保资产”;The words “a right in the asset” in the first sentence of paragraph 278 should be replaced with the words “the encumbered asset”;
(d)(d)
应当在第278段之后插入一个新的段落,其内容大致如下:“应当指出的是,这不同于许多传统法律制度的立场,在传统的法律制度中,举例说,保留所有权的卖方Z将享有相对于相竞求偿人权利的优先权,而不论卖方Z是否对其权利办理了登记。A new paragraph should be inserted after paragraph 278 to read along the following lines: “It is important to note that this is different from the position of many traditional legal systems where, for example, Vendor Z, which retains ownership, would have priority over the rights of competing claimants regardless of whether Vendor Z had registered its right.
实质上,《示范法》所取得的结果同基于针对购置款有担保债权人的特别优先权规则所获结果类似,但的确一般以及时登记作为取得优先权的条件。”In essence, the Model Law achieves similar results based on the special priority rule for acquisition secured creditors but does generally condition priority on timely registration.”
;
(e)(e)
第279段最后两句应当予以合并,第二句中“在把计算机交付给X公司后”应放在该段末尾处,第三句中“对通知需要……办理登记”的词句应予删除;The last two sentences in paragraph 279 should be merged, the words “after it delivers the computer to Company X” in the second sentence should be placed at the end of the paragraph, and the words “and the notice needs to be registered” in the third sentence should be deleted;
(f)(f)
第282段应列入对《示范法》第24条的提及,并应提及有担保债权人需要首先在颁布国确定阈值金额,而如果所提供的融资额低于阈值金额,有担保债权人则不需要采取任何步骤; 但如果融资额高于阈值金额,则有担保债权人需要采取某些步骤以使其享有相对于相竞非购置款有担保债权人的优先权;Paragraph 282 should include a reference to article 24 of the Model Law and mention that a secured creditor would need to first determine the threshold amount in the enacting State and, while the secured creditor would not need to take any steps if the amount of financing provided was below the threshold, it would need to take certain steps if the amount was greater than the threshold amount to have priority over a competing non-acquisition secured creditor;
(g)(g)
关于第283段,B部分第2节应当提及,作为其资信评估的一部分,债权人应当把设保人破产的风险考虑在内;In relation to paragraph 283, part B, section 2, should mention that a creditor should take into account the risks of a grantor’s insolvency as part of its creditworthiness assessment;
(h)(h)
第283段应提及破产撤销权诉讼所可能产生的后果,第283段最后一句应改为:“……破产管理人在追偿破产程序所涉费用方面可能享有相对于有担保债权人的优先权”;Paragraph 283 should mention the possible consequences of insolvency avoidance actions and the last sentence of paragraph 283 should be revised to read: “… the insolvency representative may have priority over secured creditors in recovering the costs of the insolvency proceedings.” ;
(i)(i)
第285段第四句应改为:“《示范法颁布指南》建议应当列出任何此类求偿权……”;The fourth sentence of paragraph 285 should be revised to read: “The Guide to Enactment of the Model Law suggests that any such claims be listed …”;
(j)(j)
在第286段中的“三个月”之后应插入“最多为10,000英镑”的词句;The words “and up to £10,000” should be inserted after the words “three months” in paragraph 286;
(k)(k)
在实例26中,应删除“并打算对资产执行判决”的词句;In example 26, the words “and intends to enforce the judgment against an asset” should be deleted;
(l)(l)
在实例26第一段末尾处和第287段中应添加“以获得债务人资产上的权利”一语;The words “to acquire rights in the debtor’s assets” should be added at the end of the first paragraph in example 26 and in paragraph 287;
(m)(m)
在第290段中,应在第一句末尾处添加“核对是否登记了相对于债务人的任何资产的担保权的通知”的词句,并应删除第二句,第三句应改为:“无论是否在登记处办理了通知登记,胜诉债权人都应采取颁布国所要求的步骤,以获取债务人资产上的权利并通知……”;In paragraph 290, the words “to check whether a notice of security right has been registered in relation to any of the debtor’s assets” should be added at the end of the first sentence, the second sentence should be deleted, and the third sentence should read: “Whether or not a notice was registered in the Registry, the judgment creditor should take steps required by the enacting State to acquire rights in the debtor’s assets and notify …ˮ;
(n)(n)
第291段应予删除。Paragraph 291 should be deleted.
Part G bis.
G部分之二 担保权的消灭(A/CN.9/993,第292-293段)Extinguishment of a security right (A/CN.9/993, paras. 292–293)
91.91.
关于G部分之二,委员会商定,G部分之二应构成实务指南H部分,并对第二章其余部分的编号作相应调整。With respect to part G bis, the Commission agreed that it should form part H of the draft practice guide, with consequential numbering changes to the remaining parts of chapter II.
委员会进一步商定如下:The Commission further agreed as follows:
(a)(a)
新增部分的标题应为“担保权经清偿有担保债务归于消灭”;The heading of the new part should be “Extinguishment of a security right by satisfaction of the secured obligation”;
(b)(b)
实例27C中“循环贷款”的提法应改为“循环信贷额度”,第292段中同样的提法应改为“未偿贷款”;The reference to “revolving loan” in example 27C should be replaced with the words “revolving line of credit” and the same reference in paragraph 292 should be replaced with the words “outstanding loan”;
(c)(c)
第293段中的“修订通知或”和“反映消灭情况”应予删除。The words “amendment or” and “to reflect the extinguishment” in paragraph 293 should be deleted.
H部分 如何强制执行担保权(A/CN.9/993,第294-330段)Part H. How to enforce a security right (A/CN.9/993, paras. 294–330)
92.92.
关于H部分,委员会商定如下:With respect to part H, the Commission agreed as follows:
(a)(a)
在第294段末尾处应当插入“但不得违反其他法律所规定的限制”一语;The words “subject to limitations imposed by other laws” should be inserted at the end of paragraph 294;
(b)(b)
应对第295段应大致修改如下:“在发生违约时,有担保债权人有权寻求强制执行本部分所描述的其担保权。Paragraph 295 should begin along the following lines: “In the event of default, the secured creditor is entitled to seek enforcement of its security right as described in this part.
然而,有担保债权人还可以做其他一些事情。However, there are also a number of other things that a secured creditor can do …”;
……”;
(c)(c)
第296段应予删除;Paragraph 296 should be deleted;
(d)(d)
应在第1或第2节中插入一个新的段落,描述给非货币债务作保的担保权的情形;A new paragraph should be inserted in section 1 or 2 describing a situation where a security right secured a non-monetary obligation;
(e)(e)
第2节的标题应为“在《示范法》下进行强制执行的基本要求”;The heading of section 2 should be “The basics of enforcement under the Model Law”;
(f)(f)
第297段第二句应改为The second sentence of paragraph 297 should read:
“《示范法》规定了若干执行方法”;“The Model Law provides for a number of methods to go about this.” ;
(g)(g)
在第297段末尾处应插入“在与《示范法》的条文不相冲突的限度内(《示范法》第72条第1款)”;The words “to the extent not in conflict with the provisions of the Model Law (Model Law, art. 72, para. 1)” should be inserted at the end of paragraph 297;
(h)(h)
第298段第二句中应提及破产法规定可暂停强制执行;The possible stay on enforcement imposed by insolvency law should be mentioned in the second sentence of paragraph 298;
(i)(i)
第299段第二句应列入对《示范法》所规定之条件的相互参引;The second sentence of paragraph 299 should include cross-references to the conditions imposed by the Model Law;
(j)(j)
第301段第一句应当指出,有担保债权人“可以有”其他选择;The third sentence of paragraph 301 should note that the secured creditor “may have” other options;
(k)(k)
在第301段最后一句中应插入“有担保债权人就此订有控制权协议,规定接受存款的机构同意遵行有担保债权人的付款指示”一语;The words “with respect to which the secured creditor has a control agreement providing that the deposit-taking institution agrees to follow instructions from the secured creditor regarding payment of funds,” should be inserted in the last sentence of paragraph 301;
(l)(l)
第305段中的“首先”、“其次”和“第三”应予删除;The words “firstly”, “secondly” and “thirdly” in paragraph 305 should be deleted;
(m)(m)
在第307段中,“利用货车”应改为“变现其价值”,并应在第307段末尾处添加一句,其内容如下:“设保资产是无形资产的,有担保债权人不可能获得对资产的占有权,但有担保债权人可能同样希望出售该资产”;In paragraph 307, the words “use them” should be replaced with the words “realize their value” and a sentence should be added at the end of paragraph 307 to read: “When the encumbered asset is intangible, it would not be possible for the secured creditor to obtain possession of the asset, but the secured creditor may similarly want to sell the asset.” ;
(n)(n)
第308段中的“也可能不是最为合适的选项”应改为“也可能不会产生足够的收益来支付对有担保债权人的欠款”;The words “or the most suitable option” in paragraph 308 should be replaced with the words “or might not yield enough proceeds to pay what is owed to the secured creditor.”
;
(o)(o)
第309段应明确指出,Y银行的出售不得违反《示范法》第78条所述条件;Paragraph 309 should make clear that the sale by Bank Y would be subject to the condition set forth in article 78 of the Model Law;
(p)(p)
第4节和第5节中提及的“处分”担保资产应当是指“出售”担保资产;Reference to “disposing” of the encumbered assets in sections 4 and 5 should be to “selling” the encumbered asset;
(q)(q)
第311段最后两个要点应当合并,标明第一个要点适用于私人出售,而第二个要点适用于公共出售;The last two bullet points in paragraph 311 should be combined to indicate that the first applied to private sales, whereas the second applied to public sales;
(r)(r)
第313段应当列入一句话,表明有担保债权人也可以对设保资产发放许可,并且应当对标题作相应修改;Paragraph 313 should include a sentence indicating that a secured creditor may also license the encumbered asset and the heading should be changed accordingly;
(s)(s)
第314段第二句和第三句应予删除,并应在第314段末尾处增加内容如下的一句话:“公司X也可请银行Y提出收购货车的建议(《示范法》第80条第6款)”;The second and third sentences of paragraph 314 should be deleted and a sentence should be added at the end of paragraph 314 to read: “Company X can also request Bank Y to make a proposal to acquire the vans (Model Law, art. 80, para. 6)”;
(t)(t)
第321段第一句应修改为:The first sentence of paragraph 321 should be revised to read:
“然而,应收款彻底转让不受《示范法》中不然就应适用于担保权的相同强制执行条文的约束(《示范法》第1条第2款)。”“However, outright transfers of receivables are not subject to the same enforcement provision of the Model Law that otherwise apply to security rights (Model Law, art. 1, para. 2).”
;
(u)(u)
第321段第二句应予删除,第四句应当修改为:“这是因为没有任何有担保债务,彻底受让人有权保留它所收取的一切,……”;The second sentence of paragraph 321 should be deleted and the fourth sentence should be revised to read: “This is because there is no secured obligation and the outright transferee is entitled to keep whatever it collects, …”;
(v)(v)
第4节和第5节应予合并,组成一个标题为“强制执行方法”的新的一节,包括四个小节,标题分别为:“出售设保资产”、“租赁或许可设保资产”、“购置设保资产以清偿附担保债务”和“向第三方收取付款”;Sections 4 and 5 should be merged to form a new section entitled “Methods of enforcement”, with four subsections, entitled as follows: “Sale of the encumbered asset”, “Leasing or licensing the encumbered asset”, “Acquisition of the encumbered asset in satisfaction of the secured obligation” and “Collection of payment from third parties”;
(w)(w)
第6节的标题应改为:“设保人和受影响人终止强制执行的权利”;The heading of section 6 should read: “Right of the grantor and affected persons to terminate enforcement”;
(x)(x)
实例30的最后一句应修改为: “Z银行认为,如果X公司继续从事印刷机方面的业务,则其更有可能获得付款,因此就会愿意向X公司提供额外信贷,以便其能够偿还Y银行的贷款。”The last sentence of example 30 should be revised to read: “Bank Z believes that its prospects of being paid are greater if Company X continues its business with the printing press and is therefore willing to advance additional credit to Company X so that it can repay the loan to Bank Y.”;
(y)(y)
在第322段末尾处应插入“在强制执行进程完成前的任何时候”;The words “at any time before the enforcement process is completed” should be inserted at the end of paragraph 322;
(z)(z)
第7节的标题应改为:“排序较高的有担保债权人接管强制执行的权利”;The heading of section 7 should read: “Higher-ranking secured creditor’s right to take over enforcement”;
(aa)(aa)
实例31最后一句中的“无法”应改为“未”;The words “is not able” in the last sentence of example 31 should be replaced with the words “does not”;
(bb)(bb)
第326段中的“并保护其在这几类情况下的权利”一语应予删除;The words “and protect its rights in these types of situations” in paragraph 326 should be deleted;
(cc)(cc)
第8节的标题应改为:“强制执行收益的分配和买方的权利”;The heading of section 8 should read: “Distribution of proceeds of enforcement and rights of the buyer”;
(dd)(dd)
实例32应进一步说明,给Y银行和Z银行的贷款均已到期;Example 32 should further provide that loans to both Bank Y and Z were due;
(ee)(ee)
应在第327段之前增加一句,以表明该节仅涉及由有担保债权人直接进行的出售,而不涉及司法出售;An additional sentence should be added before paragraph 327 to indicate that the section deals only with sales directly by the secured creditor and not with judicial sales;
(ff)(ff)
在第328段末尾处应增加内容如下的一句话:An additional sentence should be added at the end of paragraph 328 to read:
“在此情况下,鉴于X女士仍欠15,000英镑,Z银行还可请X女士作为无担保债权人支付未偿金额。”“In this case, as Ms. X still owes ¥15,000, Bank Z can further request Ms. X to pay the outstanding amount as an unsecured creditor.”
;
(gg)(gg)
应在第330段末尾处添加内容如下的一句话:“如果它确信能够清偿排序较高的有担保债权人的债务,它可予以清偿。”A sentence should be added at the end of paragraph 330 to read: “It may do so if it is sure that it can pay off the obligations of the higher-ranking secured creditor.”
I部分Part I.
向《示范法》的过渡(A/CN.9/993,第331-344段)Transition to the Model Law (A/CN.9/993, paras. 331–344)
93.93.
关于I部分,委员会商定如下:With respect to part I, the Commission agreed as follows:
(a)(a)
第331段的头两句应改为:“《示范法》载有确定其对《示范法》生效前达成的交易的影响的规则。The first two sentences of paragraph 331 should read: “The Model Law contains rules that determine its effect on transactions that were entered into before the Model Law came into force.
参与此类交易的有担保债权人应当了解《示范法》的生效对产生于这些交易的权利的影响。”A secured creditor involved in such transactions should understand the effect that the entry into force of the Model Law would have on its rights arising from those transactions.”
;
(b)(b)
应在第3节的标题中插入“情况”一词;The words “situations where” should be inserted in the heading of section 3;
(c)(c)
第338段第一句应改为“《示范法》的第三方效力要求也适用于拥有先手担保权的有担保债权人(《示范法》,第102条)。”The first sentence of paragraph 338 should read: “The third-party effectiveness requirements of the Model Law also apply to a secured creditor with a prior security right (Model Law, art. 102).”
;
(d)(d)
在第339段第一句末尾处添加“在颁布国指明的期限期满前”一语;The words “before the time period specified by the enacting State expires” should be added at the end of the first sentence of paragraph 339;
(e)(e)
应在实例33最后一段“第三方效力要求”之前插入“新法律的”一语。The words “of the new law” should be inserted after the words “third-party effectiveness requirements” in the last paragraph of example 33.
J部分 跨国界交易产生的问题(A/CN.9/993,第345-360段)Part J. Issues arising from cross-border transactions (A/CN.9/993, paras. 345–360)
94.94.
关于J部分,委员会商定如下:With respect to part J, the Commission agreed as follows:
(a)(a)
在第345段第一句中,应提及《实务指南》的其余部分涉及包括当事人和设保资产等所有相关要素均在一个国家的交易;In the first sentence of paragraph 345, it should be mentioned that the remaining parts of the practice guide addressed transactions in which all relevant elements, including the parties and the encumbered assets, were located in a single State;
(b)(b)
第347段中的“法院程序”一语应改为“争议”;The words “court proceeding” in paragraph 347 should be replaced with the word “dispute”;
(c)(c)
标题为“应当铭记的其他事项”的小节应成为有一个新标题的单独一节,并应加以进一步阐述,以提及关键资质和法律冲突一般规则的例外情形,包括与第三方承付人的权利和义务有关的规则;The subsection entitled “Other things to bear in mind” should become a separate section with a new heading and be further elaborated to mention key qualifications and exceptions to the general conflict-of-law rules, including those relating to the rights and obligations of third-party obligors;
(d)(d)
第4节的标题应改为:“法律选择和诉讼地选择条款的效力”;The heading of section 4 should read: “Effectiveness of choice of law and choice of forum clauses”;
(e)(e)
在第359段中,应更加强调当事人可以自由选择适用于其相互权利和义务的法律,并且应当进一步指出,如果无法选择法律,则将适用担保协议的管辖法律;In paragraph 359, it should be emphasized more strongly that the parties are free to choose the law that applies to their mutual rights and obligations, further noting that, in the absence of a choice of law, the law governing the security agreement would apply;
(f)(f)
在第360段中,应提及《示范法》第93条。In paragraph 360, reference should be made to article 93 of the Model Law.
95.95.
在作上述修改后(见上文第80-94段),委员会核准了实务指南草案第二章。Subject to the above-mentioned changes (see paras. 80–94 above), the Commission approved chapter II of the draft practice guide.
第三章 《示范法》与审慎监管框架之间的相互作用(A/CN.9/993,第361-386段)Chapter III. The interaction between the Model Law and the prudential regulatory framework (A/CN.9/993, paras. 361–386)
96.96.
委员会核准了第三章,未作改动。The Commission approved chapter III, without modification.
附件(A/CN.9/993)Annexes (A/CN.9/993)
97.97.
关于实务指南草案的各个附件,委员会商定作出以下修改,包括对其标题加以修订: 附件一With respect to the annexes of the draft practice guide, the Commission agreed to the following changes, including the revisions to their headings:
在该表头一行,第一个要点应改为“载有关于应收款国际转让的统一规则……”及第二个要点应改为“列有法律冲突规则”;
附件二Annex I
In the first row of the table, the first bullet point should read “Provides uniform rules on the international assignment of receivables …” and the second bullet point should read “Includes conflict-of-laws rules”; Annex II
(a)(a)
介绍性段落应提及,术语表按照《示范法》第2条所载定义介绍了实务指南中的关键术语;The introductory paragraph should mention that the glossary describes the key terms in the practice guide in conformity with the definitions as provided in article 2 of the Model Law;
(b)(b)
“借款担保基数”一词应被界定为“由设保人提供的债权人愿意据以提供贷款的设保资产的价值”,并应删除提及具体百分比的内容;The term “borrowing base” should be defined as “the value of the encumbered asset provided by the grantor on the basis of which the creditor is willing to loan” and reference to a specific percentage should be deleted;
(c)(c)
“应收款债务人”一词应与“债务人”一词分开界定,在其说明中的“作为担保提供的”一语应予删除;The term “debtor of the receivable” should be defined separately from the term “debtor” and the phrase “which is provided as security” in its description should be deleted;
(d)(d)
设保人对担保协议中某项条文的重大违反应作为“违约”一语的另一则实例列入;A material breach by the grantor of a provision in the security agreement should be included as another example of the term “default”;
(e)(e)
就术语“设保资产”和“设保人”提供的最后一则实例应当区别于其余实例;The final examples provided for the terms “encumbered asset” and “grantor” should be differentiated from the preceding examples;
(f)(f)
术语“收益”的第一则实例应为“资产出售的全部所得”,并应将许可证下的特许权使用费列作另一则实例;The first example for the term “proceeds” should read “whatever is received upon sale of an asset” and royalty payments under a licence should be included as another example;
(g)(g)
简单交易担保协议应列作术语“担保协议”的一则实例;A security agreement for a simple transaction should be included as an example for the term “security agreement”;
(h)(h)
“担保权”术语中的“附担保”一词应与删除,并应把占有式质押列作另一则实例。The word “secured” in the term “security right” should be deleted and a possessory pledge should be included as an additional example.
附件三Annex III
导言最后一句中以“但对于诸如”开头的条款,以及调查问卷样本第3(b)节中“证券账户或商品账户”一语应予删除。The clause starting with “such as” in the last sentence of the introduction and the phrase “securities account or commodity account” in section 3 (b) of the Sample Diligence Questionnaire should be deleted.
附件四Annex IV
(a)(a)
应增加一个提及第165段的介绍性段落,并补充以下一句:An introductory paragraph should be added making reference to paragraph 165, along with the following sentence:
“如同所有表格样本,对担保协议样本的解读应结合可能对交易产生影响的其他法律,特别是因为这些法律可能会限制其中一些条款的效力。”“As with all sample forms, the sample security agreements should be read in the light of other laws that might have an impact on the transaction, particularly as they may limit the effectiveness of some of the clauses therein.”
;
(b)(b)
在担保协议样本A中,“适用法律”一词应改为“据以组建公司的法律”,而“同意设定”一词应改为“谨此设定”。In sample security agreement A, the words “applicable law” should be replaced with the words “law under which it was constituted” and the words “agrees to grant” should be replaced with the words “hereby grants”.
附件五Annex V
在介绍性段落中,应提醒读者注意对保留所有权条款的使用创设了在《示范法》下的担保权,并应在该段末尾处添加以下内容:“……,而并非由设保人作为出售或制造的库存品持有”。In the introductory paragraph, readers should be reminded that the use of the retention-of-title clauses creates a security right under the Model Law, and the following should be added at the end of that paragraph: “…, as opposed to being held by the grantor as inventory for sale or manufacturing”.
附件六Annex VI
应在标题末尾加上“在订立担保协议之前”的字样,以“该授权”开头的最后一句应予删除。The words “before the conclusion of a security agreement” should be added at the end of the heading and the final sentence starting with the words “This authorization” should be deleted.
附件七:Annex VII
标题应改为“设保人请求办理对更正或取消通知的登记的样本范文”,最后一句中的“除非您同时对法院下达的确保登记的命令办理了登记”应予删除。The heading should be revised to read “Sample template for request by the grantor to register an amendment or cancellation notice” and the words “unless, in the meantime, you register an order of a court maintaining the registration” in the final sentence should be deleted.
附件八Annex VIII
应删除“期初余额(以往证书)”一语,并将“循环信贷”一词改为“信用贷款”。The words “Beginning balance (from previous certificate)” should be deleted and the word “revolver” should be replaced with the word “credit”.
附件九Annex IX
(a)(a)
标题应改为“有担保债权人出售设保资产的意向通知”,介绍性段落应反映修订后的标题,并指出,该通知应根据《示范法》第78条发送;The heading should be revised to read “Sample template for a secured creditor’s notice of intention to sell the encumbered asset” and the introductory paragraph should reflect the revised heading and note that the notice should be given in accordance the article 78 of the Model Law;
(b)(b)
样本范文应加以修订,以考虑到私下出售和公开出售。The sample template should be revised to accommodate both private and public sales.
附件十Annex X
标题应改为“有担保债权人提议获取设保资产的样本范文”。The heading should be revised to read “Sample template for the secured creditor proposing the acquisition of the encumbered asset”.
附件十一Annex XI
以“您”开头的最后一句应予删除。The final sentence, beginning with the words “you will”, should be deleted.
98.98.
在作上述修改后,委员会核准了实务指南草案的各个附件。Subject to the above changes, the Commission approved the annexes to the draft practice guide.
结束语Concluding remarks
99.99.
在审议议程项目5(a)后,会上指出,第六工作组如能增开一届会议专门讨论该议程项目,将会大大有助于实务指南草案的编拟。Following consideration of agenda item 5 (a), it was stated that the preparation of the draft practice guide could have benefited greatly from an additional session of Working Group VI devoted to the project.
会上还提出,今后应给工作组分配充足的时间来完成其工作,以便能够在拟由委员会审议的案文充分准备就绪后随时提交供通过。It was further suggested that, in the future, sufficient time should be allocated to working groups to complete their work, so that the text to be considered by the Commission could be fully prepared and readily presented for adoption.
100.100.
委员会商定,应授权秘书处对委员会本届会议核准的实务指南草案进行修改,并在必要时进行相应的文字上的改动。The Commission agreed that the Secretariat should be given the mandate to make the changes to the draft practice guide as approved by the Commission at its current session, as well as any consequential editorial changes, as necessary.
委员会还请秘书处通篇审查实务指南草案以确保其前后一致。The Commission also requested the Secretariat to review the entire draft practice guide to ensure consistency.
最后,委员会还请秘书处尽可能以便于读者查阅的格式提供实务指南定本。Lastly, the Commission further requested the Secretariat to make the final practice guide available to the greatest extent possible in accessible and reader-friendly formats.
C.C.
通过《贸易法委员会担保交易示范法实务指南》Adoption of the UNCITRAL Practice Guide to the UNCITRAL Model Law on Secured Transactions
101.101.
委员会在其2019年7月12日第1098次会议上通过了下述决定:At its 1098th meeting, on 12 July 2019, the Commission adopted the following decision:
“联合国国际贸易法委员会,“The United Nations Commission on International Trade Law,
“回顾大会1966年12月17日第2205 (XXI)号决议,大会在该决议中设立了联合国国际贸易法委员会,其任务授权是为各国人民的利益,特别是为发展中国家人民的利益而促进国际贸易法的逐步协调和统一,“Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, by which the Assembly established the United Nations Commission on International Trade Law with a mandate to further the progressive harmonization and unification of the law of international trade in the interests of all peoples, in particular those of developing countries,
“还回顾大会2001年12月12日第56/81号、2008年12月11日第63/121号、2010年12月6日第65/23号和2013年12月16日第68/108号决议,大会在这些决议中分别建议各国考虑或继续考虑成为《联合国国际贸易应收款转让公约》(2001年,纽约)的缔约国,并积极考虑《贸易法委员会担保交易立法指南》(2007年)及《贸易法委员会担保交易立法指南:知识产权担保权补编》(2010年)和《联合国国际贸易法委员会担保权登记处落实指南》(2013年),“Recalling also General Assembly resolutions 56/81 of 12 December 2001, 63/121 of 11 December 2008, 65/23 of 6 December 2010 and 68/108 of 16 December 2013, in which the Assembly recommended that States consider or continue to consider becoming parties to the United Nations Convention on the Assignment of Receivables in International Trade (New York, 2001) and give favourable consideration to the UNCITRAL Legislative Guide on Secured Transactions (2007), the UNCITRAL Legislative Guide on Secured Transactions: Supplement on Security Rights in Intellectual Property (2010) and the UNCITRAL Guide on the Implementation of a Security Rights Registry (2013), respectively,
“进一步回顾大会2016年12月13日第71/136号决议,大会在该决议中建议各国在修订或通过与担保交易有关的法规时,积极考虑《贸易法委员会担保交易示范法》(2016年),并建议委员会在其2017年第五十届会议上为惠益各国而通过《贸易法委员会担保交易示范法:颁布指南》(2017年),“Recalling further General Assembly resolution 71/136 of 13 December 2016, in which the Assembly recommended that States give favourable consideration to the UNCITRAL Model Law on Secured Transactions (2016) and that, at its fiftieth session, in 2017, the Commission adopted the UNCITRAL Model Law on Secured Transactions: Guide to Enactment (2017) for the benefit of States when revising or adopting legislation relevant to secured transactions,
“认识到建立起高效担保交易制度并配备《示范法》所规定的这类可供公众查询的担保权登记处,有可能增加获得费用可承受的担保信贷的机会,从而促进经济增长、可持续发展、法治和金融普惠,并有助于消除贫穷,“Recognizing that an efficient secured transactions regime with a publicly accessible security rights registry of the kind provided for in the Model Law is likely to increase access to affordable secured credit and thus promote economic growth, sustainable development, the rule of law and financial inclusion, as well as assist in combating poverty,
“注意到委员会2017年第五十届会议决定,第六工作组(担保权益)应编写《担保交易示范法》实务指南草案,委员会2018年第五十一届会议请工作组迅速完成该项工作,以期向委员会2019年第五十二届会议提交最后草案供其审议,“Noting that, at its fiftieth session, in 2017, the Commission decided that Working Group VI (Security Interests) should prepare a draft practice guide to the Model Law on Secured Transactions, and that, at its fifty-first session, in 2018, the Commission requested the Working Group to complete the work expeditiously, with a view to presenting a final draft to the Commission for consideration at its fifty-second session, in 2019,
“还注意到第六工作组在2017年和2018年有三届会议专门编写实务指南草案,并在其2018年第三十四届会议上通过了实务指南草案的部分内容,商定责成秘书处编写最后草案并给予其这方面的灵活性,“Noting also that Working Group VI devoted three sessions, in 2017 and 2018, to the preparation of the draft practice guide, and that, at its thirty-fourth session, in 2018, the Working Group adopted parts of the draft practice guide and agreed that the Secretariat would be tasked with and should be given flexibility in preparing the final draft,
“满意地注意到实务指南草案对债权人及其他企业根据《担保交易示范法》所可进行的各类担保交易做了说明,并就如何从事最常见和最具商业重要性的交易分步骤做了解释,从而给《示范法》颁布国当中参与担保交易的当事人及其他相关当事人提供了指导,“Noting with satisfaction that the draft practice guide provides guidance to parties involved in secured transactions as well as other relevant parties in States that have enacted the Model Law on Secured Transactions, by describing the types of secured transactions that creditors and other businesses can undertake under the Model Law and providing step-by-step explanations on how to engage in the most common and commercially important transactions,
“感谢积极致力于担保交易法改革的国际政府间组织和非政府组织参与并支持拟订《担保交易示范法》、《颁布指南》和实务指南草案,“Expressing its appreciation to international intergovernmental and non-governmental organizations active in the reform of secured transactions law for their participation in and support for the development of the Model Law on Secured Transactions, the Guide to Enactment and the draft practice guide,
“还感谢担保交易领域的专家和从业人员利用其专长协助秘书处编写和修订实务指南草案,“Expressing also its appreciation to experts and practitioners in the area of secured transactions who have contributed their expertise to the Secretariat in preparing and revising the draft practice guide,
“在2019年第五十二届会议上经审议实务指南草案,“Having considered the draft practice guide at its fifty-second session, in 2019,
“1.“1.
通过《贸易法委员会担保交易示范法实务指南》,其案文由A/CN.9/993号文件所载案文和委员会第五十二届会议通过的修改意见组成,并授权秘书处作出必要的相应修订;Adopts the Practice Guide to the UNCITRAL Model Law on Secured Transactions, consisting of the text contained in document A/CN.9/993, with amendments adopted by the Commission at its fifty-second session, and authorizes the Secretariat to make the necessary consequential revisions;
“2.“2.
请秘书长以联合国六种正式语文发布《实务指南》,包括以电子方式发布,并向各国政府及其他有关机构广范分发;Requests the Secretary-General to publish the Practice Guide, including electronically and in the six official languages of the United Nations, and to disseminate it broadly to Governments and other interested bodies;
“3.“3.
建议各国在修订或通过与担保交易有关的法规时积极考虑《示范法》,同时还考虑到《颁布指南》所载信息,并请已使用《示范法》的国家向委员会通报相关事宜;Recommends that all States give favourable consideration to the Model Law when revising or adopting legislation relevant to secured transactions, taking also into account the information in the Guide to Enactment, and invites States that have used the Model Law to advise the Commission accordingly;
“4.“4.
还建议广泛提供《实务指南》,并建议各国考虑基于《实务指南》开展能力建设活动,以在《示范法》所支持和提供便利的交易方面向当事人提供协助。”Also recommends that the Practice Guide be made broadly available and that States consider undertaking capacity-building efforts based on the Practice Guide to assist parties in transactions enabled and facilitated by the Model Law.”
五.V.
更正《贸易法委员会担保交易示范法》第64条第2款中的一个错误Correction of an error in article 64, paragraph 2, of the UNCITRAL Model Law on Secured Transactions
102.102.
委员会审议了关于更正《贸易法委员会担保交易示范法》(《示范法》)第64条第2款中一个错误的建议,在秘书处编拟《贸易法委员会担保交易示范法》实务指南修订草案时,这个错误引起秘书处的注意(见上文第四章)。The Commission considered the suggestion to correct an error in article 64, paragraph 2, of the UNCITRAL Model Law on Secured Transactions, which had come to the attention of the Secretariat while it was preparing a revised draft of the practice guide to the UNCITRAL Model Law on Secured Transactions (see chapter IV above).
103.103.
经审议第64条第2款与该《示范法》第13条之间的关系,并基于第64条第2款的立法过程,委员会决定,将第64条第2款中“设保人”一词改为“有担保债权人”,以确保《示范法》本身案问前后一致并且《示范法》与贸易法委员会关于担保交易的其他文本相一致。After considering the relationship of article 64, paragraph 2, with article 13 of the same Model Law and on the basis of the legislative history of article 64, paragraph 2, the Commission decided to replace, in article 64, paragraph 2, the word “grantor” with the words “secured creditor”, to ensure consistency within the Model Law and between the Model Law and other UNCITRAL texts on secured transactions.
因此,委员会确认对第64条第2款修正如下:The Commission, therefore, confirmed that article 64, paragraph 2, should read as follows:
“虽有第1款的规定,应收款债务人不得将违反第13条第2款所述协议用作针对有担保债权人的抗辩或抵消权。”“Notwithstanding paragraph 1, the debtor of the receivable may not raise a breach of an agreement referred to in article 13, paragraph 2, as a defence or right of set-off against the secured creditor.”
六.VI.
最后审定并通过破产法领域的案文Finalization and adoption of texts in the area of insolvency law
A.A.
最后审定并通过企业集团破产示范法及其颁布指南Finalization and adoption of a model law on enterprise group insolvency and its guide to enactment
1.1.
导言Introduction
104.104.
委员会回顾,在其2014年第四十七届会议上,委员会表示支持第五工作组(破产法)继续就企业集团的破产开展工作,拟订有关若干问题的条款,其中一些条款将扩展《贸易法委员会跨国界破产示范法》(1997年)和关于如何处理破产企业集团问题的《贸易法委员会破产法立法指南》第三部分(2010年)的现有条款,并需要参考《贸易法委员会跨国界破产合作实践指南》(2009年)。The Commission recalled that, at its forty-seventh session, in 2014, it had expressed support for Working Group V (Insolvency Law) continuing its work on the insolvency of enterprise groups by developing provisions on a number of issues, some of which would extend the existing provisions of the UNCITRAL Model Law on Cross-Border Insolvency (1997) and part three of the UNCITRAL Legislative Guide on Insolvency Law (2010), which deals with the treatment of enterprise groups in insolvency and involve reference to the UNCITRAL Practice Guide on Cross-Border Insolvency Cooperation (2009).,
105.105.
委员会注意到,第五工作组第四十五届至第五十五届会议讨论了这一专题。The Commission noted that Working Group V had discussed the topic at its forty-fifth to fifty-fifth sessions.
委员会还注意到,工作组在2018年12月10日至14日于维也纳举行的第五十四届会议上核准了该届会议报告所附的企业集团破产示范法草案案文(A/CN.9/966),并请秘书处转交委员会2019年第五十二届会议最后审定和通过(A/CN.9/966,第110段)。The Commission also noted that the Working Group, at its fifty-fourth session, held in Vienna from 10 to 14 December 2018, had approved the text of the draft model law on enterprise group insolvency annexed to the report on that session (A/CN.9/966) and had requested the Secretariat to transmit it to the Commission for finalization and adoption at its fifty-second session, in 2019 (A/CN.9/966, para. 110).
委员会获悉,依照工作组的请求(A/CN.9/966,第110段),并根据贸易法委员会的一贯做法,秘书处已将示范法草案分发给应邀出席工作组届会的国家和国际组织征求意见。The Commission was informed that, pursuant to the request of the Working Group (A/CN.9/966, para. 110) and in accordance with the usual practice of UNCITRAL, the draft model law had been circulated by the Secretariat for comment to States and international organizations invited to sessions of the Working Group.
106.106.
委员会获悉,工作组在2019年5月28日至31日于纽约举行的第五十五届会议上对示范法草案(A/CN.9/972,附件)作了一些编辑上的改动,并最后审定了颁布指南草案。The Commission was informed that the Working Group, at its fifty-fifth session, held in New York from 28 to 31 May 2019, had introduced some editorial changes in the draft model law (A/CN.9/972, annex) and finalized the draft guide to enactment.
委员会还获悉,工作组已请秘书处将A/CN.9/WG.V/WP.165号文件所载的颁布指南草案及该届会议报告第13和14(c)段所列的修订连同示范法草案一并转交委员会最后审定和通过(A/CN.9/972,第10段)。The Commission was also informed that the Working Group had requested the Secretariat to transmit the draft guide to enactment as contained in document A/CN.9/WG.V/WP.165 together with the amendments thereto listed in paragraphs 13 and 14 (c) of the report on that session to the Commission for finalization and adoption together with the draft model law (A/CN.9/972, para. 10).
107.107.
委员会第五十二届会议收到:At its fifty-second session, the Commission had before it:
(a)(a)
企业集团破产示范法草案(A/CN.9/972,附件);a draft model law on enterprise group insolvency (A/CN.9/972, annex);
(b)各国和国际组织对第五工作组(破产法)第五十四届会议报告附件所载企业集团破产示范法草案的评论意见(A/CN.9/989和A/CN.9/989/Add.1);(b) comments by States and international organizations on the draft model law on enterprise group insolvency as contained in the annex to the report of the fifty-fourth session of Working Group V (Insolvency Law) (A/CN.9/989 and A/CN.9/989/Add.1);
(c)企业集团破产示范法颁布指南草案(A/CN.9/WG.V/WP.165)及工作组第五十五届会议上提出的修订意见(A/CN.9/972,第13和14(c)段)。and (c) a draft guide to enactment of the model law on enterprise group insolvency (A/CN.9/WG.V/WP.165) with amendments introduced by the Working Group at its fifty-fifth session (A/CN.9/972, paras. 13 and 14 (c)).
2.2.
审议企业集团破产示范法草案Consideration of the draft model law on enterprise group insolvency
108.108.
委员会核准了企业集团破产示范法草案,未作修改。The Commission approved the draft model law on enterprise group insolvency without modification.
3.3.
审议颁布指南草案Consideration of the draft guide to enactment
109.109.
委员会核准了颁布指南草案,未作修改。The Commission approved the draft guide to enactment without modification.
4.4.
通过《贸易法委员会企业集团破产示范法》及其《颁布指南》Adoption of the UNCITRAL Model Law on Enterprise Group Insolvency and its Guide to Enactment
110.110.
在2019年7月15日第1099次会议上,在审议企业集团破产示范法草案和颁布指南草案的案文之后,委员会通过了下述决定:At its 1099th meeting, on 15 July 2019, after consideration of the text of the draft model law on enterprise group insolvency and the draft guide to enactment, the Commission adopted the following decision:
“联合国国际贸易法委员会,“The United Nations Commission on International Trade Law,
“回顾大会1966年12月17日第2205 (XXI)号决议,该决议设立了联合国国际贸易法委员会,目的是为各国人民的利益,特别是为发展中国家人民的利益而促进国际贸易法的逐渐协调和统一,“Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, by which the Assembly established the United Nations Commission on International Trade Law with a mandate to further the progressive harmonization and unification of the law of international trade in the interests of all peoples, in particular those of developing countries,
“认识到有效的破产制度越来越被视为鼓励经济发展和投资并促进创业活动和保持就业的一种手段,“Recognizing that effective insolvency regimes are increasingly seen as a means of encouraging economic development and investment, as well as of fostering entrepreneurial activity and preserving employment,
“注意到在日益全球化的世界经济中,无论是在国内还是在国际上组建的企业集团,都对国际贸易和商业具有重要意义,“Noting the significance of enterprise groups, whether formed domestically or internationally, to international trade and commerce in an increasingly globalized world economy,
“认识到当企业集团倒闭时,不仅要知道如何在破产程序中处理企业集团,而且要确保这种处理能够便利而不是阻碍破产程序的迅速有效进行,“Recognizing that, where the business of an enterprise group fails, it is important not only to know how the enterprise group will be treated in insolvency proceedings, but also to ensure that such treatment facilitates, rather than hinders, the fast and efficient conduct of the insolvency proceedings,
“意识到很少有国家(如果有的话)有一套全面处理破产企业集团的制度,包括在涉及企业集团破产案件时的有效协调与合作机制,制定集团破产解决方案,以及在多个国家跨国界承认和执行该解决方案,“Being aware that very few States, if any, have a comprehensive regime for the treatment of enterprise groups in insolvency, including effective mechanisms for coordination and cooperation in cases of insolvency involving enterprise groups, the development of a group insolvency solution and cross-border recognition and implementation of that solution in multiple States,
“回顾已通过《贸易法委员会跨国界破产示范法》(1997年)和《贸易法委员会破产法立法指南》第三部分(2010年),前者述及涉及单一债务人的破产程序中的跨国界协调、合作与承认,后者述及破产企业集团的处理方法,“Recalling the adoption of the UNCITRAL Model Law on Cross-Border Insolvency (1997) which deals with cross-border coordination, cooperation and recognition in relation to insolvency proceedings concerning a single debtor, and part three of the UNCITRAL Legislative Guide on Insolvency Law (2010) which deals with the treatment of enterprise groups in insolvency,
“还回顾赋予第五工作组(破产法)的任务是继续就企业集团破产问题开展工作,以期拟订一套示范立法条文或示范法,着重于针对同一个企业集团多个成员作为债务人而进行的破产程序,从而扩展《跨国界破产示范法》和《破产法立法指南》第三部分的条款范围,“Recalling also the mandate given to Working Group V (Insolvency Law) to continue work on insolvency of enterprise groups with the aim of developing a set of model legislative provisions or a model law focusing on insolvency proceedings relating to multiple debtors that are members of the same enterprise group, thereby extending the provisions of the Model Law on Cross-Border Insolvency and part three of the Legislative Guide on Insolvency Law,
“表示赞赏工作组编写了企业集团破产示范法草案及其颁布指南草案,该草案规定公正和高效地管理企业集团破产,保护受破产影响的企业集团成员和整个企业集团的资产和业务总体合计价值并使之最大化,为拯救陷入财务困境的企业集团提供便利,以及充分保护债权人和包括债务人在内的其他利益关系人,“Expressing its appreciation to Working Group V for the preparation of a draft model law on enterprise group insolvency and its draft guide to enactment, which provide for the fair and efficient administration of enterprise group insolvencies, the protection and maximization of the overall combined value of the assets and operations of enterprise group members affected by insolvency and of the enterprise group as a whole, the facilitation of rescue of financially troubled enterprise groups and the adequate protection of creditors and other interested persons, including debtors,
“赞赏在破产法改革领域活动的国际政府间组织和非政府组织对这项工作的参与,“Appreciating the participation of international intergovernmental and non-governmental organizations active in the field of insolvency law reform in that work,
“提请注意第五工作组第五十四届会议核准的示范法草案案文(A/CN.9/966,附件)已在委员会第五十二届会议之前分发给所有国家和应邀以观察员身份出席第五工作组届会的各组织征求意见,委员会在最后审定示范法草案时考虑到了所收到的意见,“Drawing attention to the fact that the text of the draft model law approved by Working Group V at its fifty-fourth session (A/CN.9/966, annex) was circulated for comments before the fifty-second session of the Commission to all States and to organizations invited to attend the sessions of Working Group V as observers, and the comments received were taken into account by the Commission in finalizing the draft model law,
“深信在工作组拟订的示范法草案基础上通过的企业集团破产示范法(A/CN.9/972,附件)将为各国普遍接受,并将有助于建立尊重国家程序和司法制度的公平和国际上协调一致的企业集团破产立法,“Convinced that a model law on enterprise group insolvency adopted on the basis of the draft model law prepared by the Working Group (A/CN.9/972, annex) will be generally acceptable to States and will contribute to the establishment of fair and internationally harmonized legislation on enterprise group insolvency that respects national procedural and judicial systems,
“1.“1.
通过委员会第五十二届会议报告附件二所载的《贸易法委员会企业集团破产示范法》,以及A/CN.9/WG.V/WP.165号文件所载、经第五工作组(破产法)第五十五届会议修订(A/CN.9/972,第13和14(c)段)的其《颁布指南》;Adopts the UNCITRAL Model Law on Enterprise Group Insolvency as contained in annex II to the report of the fifty-second session of the Commission, and its Guide to Enactment, contained in document A/CN.9/WG.V/WP.165, as amended by Working Group V (Insolvency law) at its fifty-fifth session (A/CN.9/972, paras. 13 and 14 (c));
“2.“2.
请秘书长以联合国六种正式语文发布《示范法》及其《颁布指南》,包括以电子方式发布,并向各国政府及其他有关机构广泛传播;Requests the Secretary-General to publish, including electronically, the Model Law and its Guide to Enactment in the six official languages of the United Nations and to disseminate them broadly to Governments and other interested bodies;
“3.“3.
建议所有国家在修订或通过与破产有关的立法时积极考虑《示范法》,并请已使用《示范法》的国家向委员会通报相关事宜;Recommends that all States give favourable consideration to the Model Law when revising or adopting legislation relevant to insolvency and invites States that have used the Model Law to advise the Commission accordingly;
“4.“4.
还建议所有国家在修订或通过关于企业集团破产的立法时,也使用论述破产企业集团处理办法的《贸易法委员会破产法立法指南》第三部分(2010年)37和论述临近破产期间董事义务的《破产法立法指南》第四部分(2013年),后者新增的一节已经由委员会第五十二届会议通过,述及企业集团公司董事的义务;Also recommends that all States, when revising or adopting legislation on enterprise group insolvency, also make use of part three of the UNCITRAL Legislative Guide on Insolvency Law (2010),37 which deals with the treatment of enterprise groups in insolvency, and part four of the UNCITRAL Legislative Guide on Insolvency Law (2013), which deals with directors’ obligations in the period approaching insolvency, and whose additional section, adopted at the fifty-second session of the Commission, addresses obligations of directors of enterprise group companies;
“5.“5.
进一步建议所有国家继续考虑执行《贸易法委员会跨国界破产示范法》(1997年)和《贸易法委员会关于承认和执行与破产有关的判决的示范法》(2018年);Further recommends that all States continue to consider implementation of the UNCITRAL Model Law on Cross-Border Insolvency (1997) and of the UNCITRAL Model Law on Recognition and Enforcement of Insolvency-Related Judgments (2018);
“6.“6.
请秘书处确保与在破产法改革领域活动的国际组织密切合作与协调,以确保这项工作与贸易法委员会在破产法领域的所有法规保持一致和协调,其中包括《企业集团破产示范法》(2019年)、《关于承认和执行与破产有关的判决的示范法》(2018年)和经委员会第五十二届会议修订的《破产法立法指南》第四部分(2013年)。”Requests the Secretariat to ensure close cooperation and coordination with international organizations active in the field of insolvency law reform to ensure consistency and alignment of that work with all UNCITRAL texts in the area of insolvency law, including the Model Law on Enterprise Group Insolvency (2019), the Model Law on Recognition and Enforcement of Insolvency-Related Judgments (2018) and part four of the Legislative Guide on Insolvency Law (2013) as amended by the Commission at its fifty-second session.”
B.B.
最后审定并通过关于临近破产期间企业集团公司董事义务的案文Finalization and adoption of a text on the obligations of directors of enterprise group companies in the period approaching insolvency
1.1.
导言Introduction
111.111.
委员会回顾,在完成了关于临近破产期间董事义务的《破产法立法指南》第四部分之后,工作组在2013年12月16日至20日于维也纳举行的第四十四届会议上一致认为,审查《立法指南》第四部分如何可适用于企业集团情形和查明其他问题(例如,董事对本公司的责任与集团利益之间的冲突),将是有帮助的(A/CN.9/798,第23段)。The Commission recalled that, having completed part four of the Legislative Guide on Insolvency Law, which deals with obligations of directors in the period approaching insolvency, Working Group V, at its forty-fourth session, held in Vienna from 16 to 20 December 2013, agreed that an examination of how part four of the Legislative Guide could be applied in the enterprise group context and the identification of additional issues (e.g., conflicts between a director’s duty to his or her own company and the interests of the group) would be helpful (A/CN.9/798, para. 23).
委员会还回顾,工作组在第四十六、四十七、四十九、五十二和五十四届会议上对这一专题的讨论与企业集团破产立法案文的工作并行进行。The Commission also recalled that the Working Group had discussed the topic at its forty-sixth, forty-seventh, forty-ninth, fifty-second and fifty-fourth sessions in parallel with work on a legislative text on enterprise group insolvency.
112.112.
委员会进一步回顾,在其第四十八至五十届会议上,委员会注意到,虽然关于这一专题的工作已充分开展,但在关于企业集团破产的工作取得充分进展从而能够确保相关案文做法一致之前,不会提交委员会最后审定和批准。The Commission further recalled that, at its forty-eighth to fiftieth sessions, it had noted that, while the work on the topic had already been well developed, it would not be referred to the Commission for finalization and approval until the work on enterprise group insolvency was sufficiently advanced in order to ensure consistency of approach between the related texts.
委员会回顾,在其第五十一届会议上,委员会注意到,关于临近破产期间企业集团公司董事义务的评注和建议草案已经拟就,有可能与关于企业集团破产的示范法和颁布指南草案同时最后审定和通过该案文。The Commission recalled that, at its fifty-first session, it had noted that a draft commentary and recommendations on the obligations of directors of enterprise group companies in the period approaching insolvency had been prepared and it was likely that the text could be finalized and adopted at the same time as a draft model law and guide to enactment on enterprise group insolvency.
113.113.
委员会注意到,工作组第五十四届会议核准了经该届会议修订的载于A/CN.9/WG.V/WP.153号文件关于临近破产期间企业集团公司董事义务的案文。The Commission noted that the Working Group, at its fifty-fourth session, had approved a text addressing the obligations of directors of enterprise group companies in the period approaching insolvency contained in document A/CN.9/WG.V/WP.153 as amended at the session.
委员会获悉,工作组已请秘书处将该案文转呈委员会2019年第五十二届会议最后审定和通过(A/CN.9/966,第113段)。The Commission was informed that the Working Group had requested the Secretariat to transmit the text to the Commission for finalization and adoption at its fifty-second session, in 2019 (A/CN.9/966, para. 113).
114.114.
委员会第五十二届会议收到了秘书处的一份说明(A/CN.9/990),其中转呈经工作组第五十四届会议核准的关于临近破产期间企业集团公司董事义务的案文,供委员会第五十二届会议最后审定和通过。At its fifty-second session, the Commission had before it a note by the Secretariat (A/CN.9/990) transmitting the text addressing the obligations of directors of enterprise group companies in the period approaching insolvency, as approved by the Working Group at its fifty-fourth session for finalization and adoption by the Commission at its fifty-second session.
2.2.
审议关于临近破产期间企业集团公司董事义务的案文草案Consideration of the draft text on the obligations of directors of enterprise group companies in the period approaching insolvency
115.115.
委员会核准了关于临近破产期间企业集团公司董事义务的案文草案,未作修改。The Commission approved the draft text on the obligations of directors of enterprise group companies in the period approaching insolvency without modification.
3.3.
通过《贸易法委员会破产法立法指南》第四部分新增加的关于临近破产期间企业集团公司董事义务的一节Adoption of an additional section of part four of the UNCITRAL Legislative Guide on Insolvency Law addressing the obligations of directors of enterprise group companies in the period approaching insolvency
116.116.
在2019年7月15日第1099次会议上,委员会通过了下述决定:At its 1099th meeting, on 15 July 2019, the Commission adopted the following decision:
“联合国国际贸易法委员会,“The United Nations Commission on International Trade Law,
“回顾大会1966年12月17日第2205 (XXI)号决议,大会在该决议中设立了联合国国际贸易法委员会,目的是为各国人民的利益,特别是为发展中国家人民的利益而促进国际贸易法的逐渐协调和统一,“Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, by which the Assembly established the United Nations Commission on International Trade Law with a mandate to further the progressive harmonization and unification of the law of international trade in the interests of all peoples, in particular those of developing countries,
“认识到有效的破产制度越来越被视为鼓励经济发展和投资并促进创业活动和保持就业的一种手段,“Recognizing that effective insolvency regimes are increasingly seen as a means of encouraging economic development and investment, as well as of fostering entrepreneurial activity and preserving employment,
“认为有效的破产制度应当为处理陷入困境企业的财务困难提供可预测的法律程序,并为这些企业的高效重整或有序清算提供必要的框架,同时还应当允许审视造成破产的情节,尤其是临近破产期间董事的行为,“Considering that effective insolvency regimes should provide a predictable legal process for addressing the financial difficulties of troubled enterprises and the necessary framework for their efficient reorganization or orderly liquidation, and should also permit an examination of the circumstances giving rise to insolvency, in particular the conduct of directors of such enterprises in the period approaching insolvency,
“回顾通过了《贸易法委员会破产法立法指南》第四部分(2013年),其中论述临近破产期间单个公司的董事的义务,“Recalling the adoption of part four of the UNCITRAL Legislative Guide on Insolvency Law (2013), which deals with obligations of directors of an individual company in the period approaching insolvency,
“注意到在日益全球化的世界经济中,无论是在国内还是在国际上组建的企业集团,都对国际贸易和商业具有重要意义,“Noting the significance of enterprise groups, whether formed domestically or internationally, to international trade and commerce in an increasingly globalized world economy,
“回顾通过了关于如何处理破产企业集团的《破产法立法指南》第三部分(2010年),以及《贸易法委员会企业集团破产示范法》(2019年),“Recalling the adoption of part three of the Legislative Guide on Insolvency Law (2010), which deals with the treatment of enterprise groups in insolvency, and the UNCITRAL Model Law on Enterprise Group Insolvency (2019),
“还回顾关于临近破产期间企业集团公司董事义务的工作在第五工作组(破产法)中与关于企业集团破产示范法草案的工作同时进行,认识到《破产法立法指南》无论是第三部分还是第四部分均未处理董事被任命在企业集团一个以上成员中任职或担任其中管理层或执行官职务但履行对不同成员所负义务时发生冲突的情形。“Recalling also that the work on the obligations of directors of enterprise group companies in the period approaching insolvency proceeded in Working Group V (Insolvency Law) in parallel with work on a draft model law on enterprise group insolvency, recognizing that neither part three nor part four of the Legislative Guide on Insolvency Law addressed the situation in which a director is appointed to, or holds a managerial or executive position in, more than one enterprise group member and a conflict arises in discharging the obligations owed to the different members,
“表示赞赏第五工作组在编拟《破产法立法指南》第四部分新增一节方面所做的工作,其中述及临近破产期间企业集团公司董事的义务,重点是董事履行对企业集团不同成员所负的义务,“Expressing its appreciation to Working Group V for its work in preparing an additional section of part four of the Legislative Guide on Insolvency Law that addresses the obligations of directors of enterprise group companies in the period approaching insolvency, with a focus on discharging the obligations of a director owed to the different enterprise group members,
“赞赏在破产法改革领域活动的国际政府间组织和非政府组织对这项工作的参与,“Appreciating the participation in that work of international intergovernmental and non-governmental organizations active in the field of insolvency law reform,
“深信在适当考虑其他因素特别是经营业务恢复的情况下,关于对企业集团不同成员的债权人和其他利益关系人所负义务相互冲突的法律框架应当是有效的破产制度的组成部分,“Convinced that a legal framework that addresses a conflict of obligations in relation to the creditors and other stakeholders of different enterprise group members, with due regard to other considerations, in particular business recovery, should be part of an effective insolvency regime,
“1.“1.
通过A/CN.9/990号文件所载《贸易法委员会破产法立法指南》第四部分新增关于临近破产期间企业集团公司董事义务的一节;Adopts an additional section of part four of the United Nations Commission on International Trade Law Legislative Guide on Insolvency Law addressing the obligations of directors of enterprise group companies in the period approaching insolvency, as contained in document A/CN.9/990;
“2.“2.
请秘书长以联合国六种正式语文发布其中纳入了关于临近破产期间企业集团公司董事义务的新增一节的《破产法立法指南》第四部分,包括以电子方式发布,并向各国政府及其他有关机构广泛传播;Requests the Secretary-General to publish, including electronically, in the six official languages of the United Nations, part four of the Legislative Guide on Insolvency Law, incorporating an additional section on the obligations of directors of enterprise group companies in the period approaching insolvency, and to disseminate it broadly to Governments and other interested bodies;
以及
“3.“3.
建议所有国家利用《破产法立法指南》评估本国破产法制度的经济效率,在修订或通过与破产相关的立法时积极考虑《立法指南》,并请已采用《立法指南》的国家向委员会通报相关事宜。”Recommends that all States utilize the Legislative Guide on Insolvency Law to assess the economic efficiency of their insolvency law regimes and give favourable consideration to the Legislative Guide when revising or adopting legislation relevant to insolvency, and invites States that have used the Legislative Guide to advise the Commission accordingly.”
七.VII.
审议贸易法委员会调解规则草案和贸易法委员会调解安排说明草案Consideration of the draft UNCITRAL mediation rules and the draft UNCITRAL notes on mediation
A.A.
概述和委员会的决定General remarks and decision by the Commission
117.117.
委员会回顾,在其第五十一届会议上,委员会听取了关于秘书处可开展以下工作的建议:The Commission recalled that, at its fifty-first session, it had heard the proposal that the Secretariat could undertake work on
(a)(a)
增订《贸易法委员会调解规则》(1980年),以反映当下做法并确保与委员会该届会议最后审定的文书草案内容保持一致;updating the UNCITRAL Conciliation Rules (1980) to both reflect current practice and ensure consistency with the contents of the instruments finalized by the Commission at that session, and
(b)编写关于调解程序安排的说明。(b) preparing notes on organizing mediation proceedings.
在该届会议上,委员会最后确定了《联合国关于调解所产生的国际和解协议公约》(《新加坡调解公约》)和《贸易法委员会国际商事调解和调解所产生的国际和解协议示范法》。At that session, the Commission had finalized the United Nations Convention on International Settlement Agreements Resulting from Mediation (Singapore Convention on Mediation) and the UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation.
讨论后,委员会决定,秘书处将编写关于调解程序安排的说明,并根据调解框架增订《贸易法委员会调解规则》。After discussion, the Commission had decided that the Secretariat would prepare notes on organizing mediation proceedings and update the UNCITRAL Conciliation Rules in the light of the mediation framework.
118.118.
委员会本届会议收到了秘书处与专家广泛协商拟订的贸易法委员会调解规则草案(A/CN.9/986,“规则草案”)和贸易法委员会调解安排说明草案(A/CN.9/987,“说明草案”)(统称为“调解案文草案”)。At its current session, the Commission had before it the draft UNCITRAL mediation rules (A/CN.9/986, the “draft rules”) and the draft UNCITRAL notes on mediation (A/CN.9/987, the “draft notes”) (referred to jointly as the “draft mediation texts”) prepared by the Secretariat in broad consultation with experts.
委员会获悉,拟订调解案文草案是为了确保与调解法律框架保持一致,进一步反映当前的调解做法。The Commission was informed that the draft mediation texts were prepared to ensure consistency with the legal framework on mediation, further reflecting current mediation practice.
119.119.
各代表团对调解案文草案表示满意,指出它们为讨论提供了良好的基础。Delegations expressed satisfaction with the draft mediation texts, noting that they provided a good basis for the discussion.
还提到调解案文草案将为希望进行调解的各方提供有益指导。It was also mentioned that the draft mediation texts would provide useful guidance to parties wishing to engage in mediation.
120.120.
虽然会上对委员会接下来最后审定调解案文草案表示了一些支持,但也表示了关切。While there was some support for the Commission to proceed with the finalization of the draft mediation texts, concerns were also expressed.
一种关切是各国还没有足够时间与专家和本国利益攸关方协商,编写对调解案文草案的评论意见,最好是将案文的通过推迟到委员会下届会议。One was that there had been insufficient time for States to consult with experts and local stakeholders to prepare comments on the draft mediation texts and that it would be preferable to postpone their adoption until the next session of the Commission.
据指出,作为一项规范性案文,规则草案需要委员会认真审议,以确保各国的实质性意见得到适当处理。It was stated that the draft rules, being a normative text, needed careful consideration by the Commission to ensure that substantive inputs by States would be adequately addressed.
121.121.
虽有建议提出调解案文草案将受益于工作组一级的审议,但会上回顾,委员会在2018年决定不将拟订调解案文的任务分配给工作组。While a suggestion was made that the draft mediation texts would benefit from deliberations at the working group level, it was recalled that the Commission, in 2018, had decided not to assign the task of preparing the mediation texts to a working group.
会上普遍认为,调解案文草案的拟订不需要工作组的参与,只要各国有足够时间就这些案文发表评论意见,就可以继续由秘书处进行拟订工作。It was generally felt that the preparation of the draft mediation texts would not need to involve a working group and could continue to be carried out by the Secretariat as long as there was sufficient time for States to comment on those texts.
122.122.
会上指出,应当在提供全面的调解框架这一更广泛背景下考虑最后审定和通过调解案文草案的问题,特别是考虑到《新加坡调解公约》将于2019年8月7日开放供签署。It was noted that the finalization and adoption of the draft mediation texts should be considered in the broader context of providing a comprehensive framework on mediation, in particular in the light of the fact that the Singapore Convention on Mediation would be opened for signature on 7 August 2019.
还提到,这样一个全面框架还将有助于秘书处开展相关的技术援助活动。It was further mentioned that such a comprehensive framework would also be useful for the Secretariat in conducting relevant technical assistance activities.
据指出,无论委员会就调解案文草案作何决定,都应给予秘书处广泛授权,为各国和当事方提供有关执行《新加坡调解公约》和《贸易法委员会国际商事调解和调解所产生的国际和解协议示范法》的指导材料。It was pointed out that, regardless of the decision by the Commission on the draft mediation texts, the Secretariat should have a broad mandate to provide guidance material for States and parties in relation to the implementation of the Singapore Convention on Mediation and the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation.
123.123.
会上确认委员会无法在本届会议上通过调解案文草案,商定委员会将在2020年的下届会议上审议这两个案文。Acknowledging that the Commission would not be in a position to adopt the draft mediation texts at its current session, it was agreed that the Commission would consider both texts at its next session, in 2020.
为了确保各国和其他有关组织的意见将进一步反映在提交委员会下届会议的草案中,请各国和其他有关组织在2019年9月15日之前提交对目前的调解案文草案的评论意见。In order to ensure that comments from States and other interested organizations would be further reflected in the drafts to be presented to the Commission at its next session, States and other interested organizations were invited to submit comments on the current draft mediation texts by 15 September 2019.
请秘书处根据收到的评论意见拟订修订草案,可能的话由专家协助,并在2020年1月中旬之前分发修订草案,征求另一轮评论意见。The Secretariat was requested to prepare revised drafts based on the comments received, possibly with the assistance of experts, and to circulate them for an additional round of comments by mid-January 2020.
会上提出,秘书处应在2020年4月15日之前收到对修订草案的评论意见,以确保将其及时提供给委员会审议。It was suggested that comments on the revised drafts should be received by the Secretariat by 15 April 2020 so as to ensure that they could be made available in time for consideration by the Commission.
此外,会上一致认为应给予秘书处灵活性,以便在委员会下届会议上为最后审定并通过这两个案文分配足够的时间。Furthermore, it was agreed that the Secretariat should be given flexibility in allocating adequate time at the next session of the Commission for the finalization and adoption of both texts.
会上还提出,提交委员会的文件应使用便于读者了解案文背景的格式,可能的话诠释部分可以更靠近相关的条文。It was also suggested that the documents to be presented to the Commission should be in a format that would make it easy for the readers to understand the background of the text, possibly by placing the annotations closer to the relevant provisions.
124.124.
鉴于以上所述,委员会听取了关于规则草案的初步建议。In the light of the above, the Commission heard preliminary suggestions on the draft rules.
B.B.
审议规则草案Consideration of the draft UNCITRAL mediation rules
125.125.
委员会注意到,拟订贸易法委员会调解规则草案的目的是使《贸易法委员会调解规则》与上文第117段提及的调解框架保持一致,并考虑到这一领域近期的做法,包括法院下令的调解和基于强制性法律规定的调解等动态。The Commission noted that the draft UNCITRAL mediation rules had been prepared with a view to aligning the UNCITRAL Conciliation Rules with the mediation framework referred to in paragraph 117 above and to take into account recent practices in the field, including the development of court-ordered mediation and mediation based on mandatory statutory provisions.
126.126.
委员会注意到调解规则草案强调了这样一个事实,即调解是基于利益的过程,因此特意避开了对抗式程序通常使用的术语(如“程序”一词)。The Commission noted that the draft mediation rules emphasized the fact that mediation was an interest-based process, and therefore terms that were normally used in connection with adversarial proceedings were intentionally avoided (for instance, the word “proceedings”).
委员会还注意到,调解规则草案是供争议各方适用的合意性案文,因此不同于《贸易法委员会国际商事调解和调解所产生的国际和解协议示范法》,后者是供各国颁布调解立法使用的范本。The Commission also noted that the draft mediation rules were a contractual text for application by parties to a dispute and thus different from the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation, which was a model for use by States in enacting legislation on mediation.
还注意到,为简洁起见,对《贸易法委员会调解规则》的结构作了调整。It further noted that the structure of the UNCITRAL Conciliation Rules had been adjusted for the sake of simplicity.
127.127.
虽然会上建议“国际”一词应出现在调解规则草案的标题中,并要求增加关于关键定义(如“当事人”)的条文,但这些建议没有得到支持。While suggestions were made that the word “international” should appear in the title of the draft mediation rules and that an additional provision on key definitions (for example, “parties”) was required, they did not receive support.
普遍指出应保持调解规则草案的灵活性。It was generally stated that the flexible nature of the draft mediation rules should be maintained.
第1条(规则的适用)Article 1 (Application of the Rules)
128.128.
委员会注意到第1款澄清了一点,即调解规则草案可不论过程的起源(例如,当事人协议、投资条约等国际文书、法院命令或强制性法规)而适用于调解。The Commission noted that paragraph 1 clarified that the draft mediation rules could apply to mediation regardless of the origin of the process (for example, agreement by the parties, an international instrument such as an investment treaty, a court order or a mandatory statutory provision).
在这方面,会上提出需要澄清“法院命令”一语,不使该词含有法院可将规则强加给当事人的含意。In that regard, it was suggested that the words “court order” would need to be clarified so that they did not imply that a court could impose the rules on the parties.
还提出,可能需要澄清“不论是否为合同争议”和“强制性法规”这两个用语的含义。It was also suggested that the meaning of the terms “whether contractual or not” and “mandatory statutory provision” might need clarification.
129.129.
关于第2款,委员会注意到,“调解”的定义仿照了《贸易法委员会国际商事调解和调解所产生的国际和解协议示范法》中载明的定义。Regarding paragraph 2, the Commission noted that the definition of “mediation” mirrored the definition contained in the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation.
在这方面,会上提出应在“第三人”一词之前加上“中立”一词。In that context, it was suggested that the word “neutral” should be inserted before the word “third party”.
然而,对于是否需要添加该词提出了疑问,因为无论是《贸易法委员会国际商事调解和调解所产生的国际和解协议示范法》还是《新加坡调解公约》都没有出现“中立”一词,此种添加可能会增加一层不确定性。However, it was questioned whether that addition would be needed, in the light of the fact that the word “neutral” appeared neither in the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation nor in the Singapore Convention on Mediation and might add a layer of uncertainty.
会上进一步提出,第2款应澄清将由各方当事人共同选择调解员。It was further suggested that paragraph 2 should clarify that the mediator would be chosen by the parties jointly.
130.130.
关于第3款,委员会注意到这是一则新条文,涉及适用调解规则草案的时间范围。Regarding paragraph 3, the Commission noted that it was a new provision addressing the temporal application of the draft mediation rules.
解释说,第3款作为一项缺省规则规定适用在调解启动之日现行有效的规则草案。It was explained that paragraph 3, as a default rule, provided for the application of the draft rules in effect at the date of the commencement of the mediation.
131.131.
The Commission noted that paragraph 4 provided the parties with an adequate level of flexibility.
委员会注意到,第4款为当事人提供了足够程度的灵活性。 在这方面,会上提出在“当事人可”之后加上“随时”的字样,与《贸易法委员会调解规则》第1条第2款相一致。In that context, it was suggested that the words “at any time” be included at the end of paragraph 4, in line with article 1, paragraph 2, of the UNCITRAL Conciliation Rules.
对此,会上指出,《贸易法委员会国际商事调解和调解所产生的国际和解协议示范法》中的相应规定并未包含“随时”这样的措辞,调解规则草案中不包括这些措辞并不妨碍当事人随时变更规则的任何规定。In response, it was noted that corresponding provisions in the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation did not contain the words “at any time” and that exclusion of those words from the draft mediation rules would not preclude parties from varying any provisions of the rules at any time.
还提出应澄清第1款与第4款之间的关系。It was also suggested that the relationship between paragraphs 1 and 4 could be clarified.
132.132.
委员会注意到,第5款仿照了《贸易法委员会调解规则》第1条第3款。The Commission noted that paragraph 5 mirrored article 1, paragraph 3, of the UNCITRAL Conciliation Rules.
会上建议作如下澄清:第5款中所指的法律应是适用于调解的任何法律,包括其中包含的“当事人不得减损”的强制性规定。It was suggested that it be clarified that the law referred to in paragraph 5 should be any law applicable to the mediation, including mandatory provisions therein “from which the parties cannot derogate”.
第2条(调解的启动)Article 2 (Commencement of mediation)
133.133.
委员会注意到,调解规则草案第2条仿照了《贸易法委员会国际商事调解和调解所产生的国际和解协议示范法》第5条并作了一些调整。The Commission noted that article 2 of the draft mediation rules mirrored article 5 of the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation, with some adjustments.
据解释,根据第1款,调解将在争议各方“同意参与”调解时开始,该款的效果是,即使合同包括一项调解规定,或者法院或仲裁庭指示当事各方进行调解,此种程序在当事各方实际同意参与此类程序之前将不会启动。It was explained that, under paragraph 1, mediation would commence when the parties to a dispute “agree(d) to engage” in the mediation and that the effect of that paragraph was that, even if a contract included a provision to mediate or a court or an arbitral tribunal directed parties to mediation, such proceedings would not commence until the parties actually agreed to engage in such proceedings.
会上提出,根据A/CN.9/986号文件第11段中提供的解释,在调解规则草案中列入这种澄清可能不无益处。It was suggested that such clarification could be usefully included in the draft mediation rules on the basis of the explanation provided in paragraph 11 of document A/CN.9/986.
134.134.
会上询问,是否应保留第1款中关于调解的不同依据(合同、法院命令或强制性法规)的从句,因为第1条第1款中已经述及这些依据。It was questioned whether the clause in paragraph 1 regarding the different bases for mediation (contractual, court order or mandatory statutory provision) should be retained given that they were already addressed in article 1, paragraph 1.
还询问,是否应保留“除非调解协议另有规定”这一措辞,因为这些措辞没有出现在《贸易法委员会国际商事调解和调解所产生的国际和解协议示范法》的相应条文中。It was also questioned whether the words “unless otherwise provided by the agreement to mediate” should be retained, as those words did not appear in the corresponding provision of the Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation.
进一步指出,调解规则草案可能无需重复《国际商事调解示范法》的规定,但可以根据需要对其进行补充。It was further stated that the draft mediation rules might not need to duplicate the provisions of the Model Law on International Commercial Mediation but rather could complement them as needed.
135.135.
委员会注意到第2款涉及调解邀请。The Commission noted that paragraph 2 addressed the invitation to mediate.
会上提出,当事各方应就接受邀请的期限达成协议。It was suggested that the parties should agree on the period of time within which the invitation was to be accepted.
对此,据提出,当事各方可能无法就此种期限达成协议,因为此种期限取决于发出邀请的阶段。It was mentioned, in response, that it might not be possible for parties to agree on such a period of time, depending on the stage at which the invitation was being made.
八.VIII.
审查贸易法委员会秘书处关于云计算合同主要问题的说明草案Review of the draft UNCITRAL secretariat notes on the main issues of cloud computing contracts
A.A.
审议云计算合同所涉主要问题说明草案(A/CN.9/974)Consideration of the draft notes on the main issues of cloud computing contracts (A/CN.9/974)
1.1.
导言Introduction
136.136.
委员会回顾,根据加拿大的建议(A/CN.9/823、A/CN.9/856)、第四工作组(电子商务)进度报告和秘书处的口头报告,委员会在第四十七届至第五十届会议上审议了关于云计算合同方面的专题。The Commission recalled that it had considered the topic of contractual aspects of cloud computing at its forty-seventh to fiftieth sessions, on the basis of proposals by Canada (A/CN.9/823 and A/CN.9/856), progress reports of Working Group IV (Electronic Commerce) and oral reports by the Secretariat.
委员会还回顾,在这些会议上,委员会请秘书处在其现有资源范围内,同时也请第四工作组就这一专题开展准备工作。The Commission also recalled that, at those sessions, it had requested the Secretariat, within its existing resources, and Working Group IV to conduct preparatory work on the topic.
委员会注意到,在2017年4月24日至28日于纽约举行的工作组第五十五届会议上根据秘书处的说明(A/CN.9/WG.IV/WP.142),并在2018年4月16日至20日于纽约举行的工作组第五十六届会议上根据由专家提供的投入——包括在秘书处于2017年11月20日和21日在维也纳召开专家组会议期间由专家提供的投入——编写的云计算所涉合同方面清单草案(A/CN.9/WG.IV/WP.148),工作组详细审议了这一专题。The Commission noted that the Working Group had considered the topic in detail at its fifty-fifth session, held in New York from 24 to 28 April 2017, on the basis of a note by the Secretariat (A/CN.9/WG.IV/WP.142), and at its fifty-sixth session, held in New York from 16 to 20 April 2018, on the basis of a draft checklist on contractual aspects of cloud computing prepared with the input of experts, including during an expert group meeting convened by the Secretariat in Vienna on 20 and 21 November 2017 (A/CN.9/WG.IV/WP.148).
137.137.
委员会回顾,在其2018年第五十一届会议上,委员会审议了第四工作组的建议,即委员会应在其2019年第五十二届会议上审查关于云计算合同主要问题的说明草案,并授权以在线参考工具的形式发布或发行该说明草案,这两种情况下均作为秘书处的工作成果(A/CN.9/936,第44段)。The Commission recalled that, at its fifty-first session, it had considered the recommendation of Working Group IV that the Commission should review the draft notes on the main issues of cloud computing contracts at its fifty-second session, in 2019, and authorize their publication or issuance in the form of an online reference tool, in both cases as a work product of the Secretariat (A/CN.9/936, para. 44).
委员会还回顾,在该届会上经过讨论,委员会决定在其2019年第五十二届会议上审查云计算合同主要问题说明草案。The Commission also recalled that, after the discussion at that session, it had decided to review the draft notes on the main issues of cloud computing contracts at its fifty-second session, in 2019.
138.138.
委员会第五十二届会议收到了云计算合同主要问题说明草案(A/CN.9/974),由秘书处根据第四工作组在委员会第五十一届会议上就说明草案提出的评论意见编拟。At its fifty-second session, the Commission had before it the draft notes on the main issues of cloud computing contracts (A/CN.9/974), prepared by the Secretariat on the basis of the comments on the draft notes made by Working Group IV at the fifty-first session of the Commission.
2.2.
对说明草案的评论意见Comments on the draft notes
139.139.
委员会商定对说明草案作以下修改:The Commission agreed to amend the draft notes by:
(a)(a)
在导言部分和第一部分,还应反映在云计算服务提供商与客户之间分担责任所涉各个方面,特别是在网络安全方面;Reflecting also in an introductory part and in part one aspects of shared responsibility between the provider of cloud computing services and the customer, in particular in the context of cyber security;
(b)(b)
在第一部分A节,应反映各方可能还需要考虑到消费者保护法律和条例;Reflecting in part one, section A, that parties might also need to take into account consumer protection laws and regulations;
(c)(c)
在第二部分A节“合同的成立”标题下,应增加提及电子签名和贸易法委员会涉及这一主题的法规的内容;Adding in part two, section A, under the heading “Contract formation”, a reference to electronic signatures and UNCITRAL texts addressing that subject;
(d)(d)
在第42段之前的标题中,应将“最低限”一词改为“通常包括的”,在第42段中,增加第5段最后一句的内容;Replacing the word “Minimum” with the word “Usual” in the heading above paragraph 42 and adding the content of the last sentence of paragraph 5 to paragraph 42;
(e)(e)
在第二部分M节“合同结束后留存数据”标题下,应反映留存和存储数字签名证书所产生的问题,特别是在跨境情况下。Reflecting in part two, section M, under the heading “Post-contract retention of data”, issues arising from the retention and storage of digital signature certificates, in particular in the cross-border context.
140.140.
在回答关于“互操作性”一词含义的询问时提到了说明草案的术语表,其中解释该术语是基于某一国际标准化机构专门为云计算背景开发的适用技术标准。In response to a query regarding the meaning of the term “interoperability”, reference was made to the glossary in the draft notes, which explained the term based on applicable technical standards developed by an international standardization body specifically for the cloud computing context.
141.141.
会上对确保根据云计算环境迅速变化的性质随时更新说明草案内容是否可行表示了疑问。A doubt was expressed about the feasibility of ensuring that the content of the draft notes remained current in the light of the rapidly evolving nature of the cloud computing environment.
对此,解释说,说明草案着眼于处理一系列最低限核心问题,不论云计算服务如何演变,预计这些核心问题依然相关。In response, it was explained that the draft notes were aimed at addressing a minimal set of core issues that were expected to remain relevant regardless of the evolution of cloud computing services.
142.142.
另一项关切是,说明草案不应试图界定“数据主体”或“数据保护”之类的术语,因为这些术语的定义因法域而异。Another concern was that the draft notes should not attempt to define terms, such as “data subject” or “data protection”, since definitions of those terms would vary from jurisdiction to jurisdiction.
对此,解释说,术语表并不是试图定义说明草案中使用的术语,而是如说明草案第7段所述对其进行描述以期便于理解。In response, it was explained that the glossary was not an attempt to define the terms used in the draft notes but rather to describe them with a view to facilitating their understanding, as noted in paragraph 7 of the draft notes.
143.143.
还有一项关切是,说明草案触及数据本地化存储要求和电子商务法律这样一些超出云计算问题范畴的问题。An additional concern was that the draft notes touched upon issues, such as data localization requirements and electronic commerce law, that went beyond cloud computing issues.
对此,解释说,说明草案旨在提醒订约方注意在考虑是否订立云计算合同时以及在云计算合同谈判期间可能面临的主要问题。In response, it was explained that the draft notes were aimed at alerting contracting parties about the main issues that parties might face when considering whether to enter into a cloud computing contract and during negotiation of a cloud computing contract.
会上列举数据本地化存储要求和个人数据保护条例作为应提请订约方注意的重要问题的例子。Data localization requirements and personal data protection regulations were cited as examples of important issues that should be brought to the attention of contracting parties.
会上还认为值得向订约方标示客户数据可能包括个人数据或可能受到更严格监管的其他数据子集。It was also considered worthwhile to flag to contracting parties that the customer data might include personal data or other subsets of data that might be the subject of more stringent regulation.
144.144.
会上提出,说明草案应强调云服务提供商在分层基础设施和分包情况下的问责,这在提供云计算服务时经常涉及。It was pointed out that the draft notes should highlight the accountability of cloud service providers in the context of the layered infrastructure and subcontracting that were often involved in the provision of cloud computing services.
对此,据指出,说明草案讨论了由分层云计算服务引起的问题(例如,第116-119段),而术语表对该术语做了描述。In response, it was observed that issues arising from layered cloud computing services, as that term was described in the glossary, were discussed in the draft notes (e.g., paras. 116–119).
B.B.
审议秘书处关于这一议题的说明(A/CN.9/975)中所阐述的与制作载有法律文本的在线工具有关的问题Consideration of issues relating to the preparation of an online tool containing a legal text, as set out in the note by the Secretariat on that topic (A/CN.9/975)
145.145.
委员会回顾,在其第五十一届会议上,委员会请秘书处在现有资源范围内制作一个载有云计算合同主要问题说明草案的试用在线工具,供委员会2019年第五十二届会议审议。The Commission recalled that, at its fifty-first session, it had requested the Secretariat to prepare, within existing resources, a pilot online tool containing the draft notes on the main issues of cloud computing contracts, for consideration by the Commission at its fifty-second session, in 2019.
委员会还回顾,在该届会议上,委员会请秘书处编写一份说明,列明与制作试用在线工具有关的考虑,包括预算及其他影响,以及偏离贸易法委员会现行出版政策的情况。The Commission also recalled that, at the same session, it had requested the Secretariat to prepare a note illustrating the considerations relating to the preparation of the pilot online tool, including budgetary and other implications, and the departure from the existing UNCITRAL publication policy.
146.146.
委员会收到了秘书处关于与制作载有法律文本的在线工具有关的考虑的说明(A/CN.9/975)。The Commission had before it a note by the Secretariat on considerations relating to the preparation of an online tool containing a legal text (A/CN.9/975).
在该届会议上,委员会还注意到在https://uncitral.un.org/en/cloud上提供了载有说明草案的英文版试用在线工具。At the same session, it also took note of the pilot online tool containing the draft notes, made available in English at https://uncitral.un.org/en/cloud.
147.147.
会上对试用在线工具表示普遍支持,并支持在该工具主页的显著位置加上一则免责声明,其中将解释,说明草案无意就起草云计算合同提供法律意见。General support was expressed for the pilot online tool and for prominently placing a disclaimer on the home page of the tool explaining that the draft notes did not intend to provide legal advice on the drafting of cloud computing contracts.
148.148.
委员会还听取了联合国维也纳办事处电子出版股关于电子出版物、互动PDF出版物和电子出版股为设在维也纳的联合国系统其他组织制作的网络出版物的介绍。The Commission also heard a presentation by the Electronic Publishing Unit (EPU) of the United Nations Office at Vienna on electronic publications, interactive PDF publications and web-based publications prepared by EPU for other Vienna-based organizations of the United Nations system.
在介绍过程中说明了各种电子出版选项的利弊。During that presentation, the advantages and disadvantages of the different electronic publishing options were described.
会上强调,除了A/CN.9/975号文件中概述的关于联合国出版物和工具网络存在的标准外,现代出版形式应着眼于增加联合国文本的可发现性。It was highlighted that, in addition to the standards for the web presence of United Nations publications and tools outlined in document A/CN.9/975, modern forms of publication should be aimed at increasing the discoverability of United Nations texts.
149.149.
委员会表示赞赏电子出版股的翔实介绍。The Commission expressed appreciation to EPU for its informative presentation.
会上认为,探索现代出版形式对于增加贸易法委员会文本的可及性和可访性的努力很重要。Exploring modern forms of publication was considered important for efforts to increase the outreach and accessibility of UNCITRAL texts.
然而,会上强调,目前的出版做法应予保留,并应在考虑到所涉文本的性质以及将其作为在线工具呈现所带来的附加值的情况下,逐案评估在标准出版形式之外以在线工具的形式提供某一贸易法委员会文本的必要性。Nevertheless, it was emphasized that the current publishing practice should be retained and that the need to make a given UNCITRAL text available in the form of an online tool, in addition to its standard form of publication, should be assessed on a case-by-case basis, taking into account the nature of the text in question and the added value of presenting it as an online tool.
在这方面,据指出,与说明草案性质相同或相似的案文相比,在线互动呈现方式可能不太适合公约和示范法。In that connection, it was noted that online interactive presentations might be less appropriate for conventions and model laws than for texts of the same or similar nature as the draft notes.
150.150.
会上对A/CN.9/975号文件第32段着重说明的制作在线工具所涉成本问题表示关切。Concerns were expressed about the cost implications of preparing online tools highlighted in paragraph 32 of document A/CN.9/975.
据指出,试用在线工具是在贸易法委员会秘书处现有资源范围内制作的,所以不能以此说明如果外包制作工作将会涉及的成本。It was noted that the pilot online tool had been prepared within the existing resources of the UNCITRAL secretariat and for that reason was not illustrative of the costs that would have been involved had its preparation been contracted out.
有意见认为,制作在线工具所产生的附加值应大于制作这种工具的成本,制作试用在线工具是否值得努力还有待评估。The view was expressed that the added value of preparing an online tool should outweigh costs of preparing it, and it remained to be assessed whether the preparation of the pilot online tool was worth the effort.
C.C.
决定Decision
151.151.
在作出上文第139段所列明的修改后,委员会核准了作为秘书处说明发布云计算合同主要问题说明。With the amendments listed in paragraph 139 above, the Commission approved the publication of the notes on the main issues of cloud computing contracts as notes by the Secretariat.
委员会授权以在线工具的形式,用联合国六种正式语文发布该说明,将试用在线工具的格式作为基础,同时纳入任何可在贸易法委员会秘书处现有资源范围内作出的改进。The Commission authorized the publication of the notes in the form of an online tool in the six official languages of the United Nations, using the format of the pilot online tool as a basis, and including any improvements that could be made within the existing resources of the UNCITRAL secretariat.
委员会请秘书处同时以通常形式,作为纸质和电子小册子,用联合国六种正式语文出版已核定的说明。The Commission requested the Secretariat to also publish the approved notes in the usual forms, as a paper and electronic booklet, in the six official languages of the United Nations.
九.IX.
微型、小型和中型企业:第一工作组进度报告Micro, small and medium-sized enterprises: progress report of Working Group I
1.152.
委员会收到了第一工作组(微型、小型和中型企业)第三十一届和第三十二届会议的工作报告(分别为A/CN.9/963、A/CN.9/968),其中概述了贸易法委员会有限责任组织立法指南草案的进展情况,该指南草案以特别是在发展中经济体减少微型、小型和中型企业整个生命周期面临的法律障碍为宗旨。The Commission had before it the reports of Working Group I (Micro, Small and Medium-sized Enterprises) on the work of its thirty-first and thirty-second sessions (A/CN.9/963 and A/CN.9/968, respectively), which outlined the progress made on the draft legislative guide on an UNCITRAL limited liability organization, which was aimed at reducing the legal obstacles faced by micro, small and medium-sized enterprises throughout their life cycles and, in particular, those in developing economies.
据强调,立法指南草案旨在创建一种以灵活性和合同自由为特征的创新法律形式,同时通过若干默认规则保持透明度和保护第三方。It was stressed that the draft legislative guide was aimed at creating an innovative legal form characterized by flexibility, and freedom of contract, while preserving transparency and protecting third parties through several default rules.
进一步强调,这种创新的法律形式将使世界各地的微型、小型和中型企业受益。It was further stressed that such an innovative legal form would benefit micro, small and medium-sized enterprises worldwide.
2.153.
委员会注意到,在前两届会议专门审查企业登记处关键原则立法指南草案之后,工作组在2018年10月8日至12日于维也纳举行的第三十一届会议上继续对立法指南草案进行审议,委员会在2018年第五十一届会议上最后审定并通过了立法指南草案。The Commission noted that Working Group I had resumed consideration of the draft legislative guide at its thirty-first session, held in Vienna from 8 to 12 October 2018, after having devoted its previous two sessions to the review of the draft legislative guide on key principles of a business registry, which had been finalized and adopted by the Commission at its fifty-first session, in 2018.
工作组第三十一届会议的进展包括审议载于秘书处关于立法指南草案的说明(A/CN.9/WG.I/WP.112)附件的以下建议:
建议草案7至12(关于组建的B节,关于贸易法委员会有限责任组织的组织结构的C节),但建议10及其附带评注除外;Progress made at the thirty-first session of the Working Group had included deliberations on draft recommendations 7 to 12 (sections B, on formation, and C, on organization, of the UNCITRAL limited liability organization), except for recommendation 10 and its attendant commentary;
建议15(关于管理的D节);recommendation 15 (section D, on management);
以及建议16和17(关于贸易法委员会有限责任组织的所有权百分比和成员出资的E节)。and recommendations 16 and 17 (section E, on the percentage of the ownership of the UNCITRAL limited liability organization and contributions by members), as contained in the annex to a note by the Secretariat on the draft legislative guide (A/CN.9/WG.I/WP.112).
3.154.
委员会还注意到,2019年3月25日至29日于纽约举行的工作组第三十二届会议的头两天专门举行了一次关于契约型网络及其他形式的公司间合作的专题讨论会(另见下文第197-199段),工作组于3月27日至29日举行了会议。The Commission also noted that the first two days of the thirty-second session of Working Group I, held in New York from 25 to 29 March 2019, had been devoted to a colloquium on contractual networks and other forms of inter-firm cooperation (see also paras. 197–199 below) and that the Working Group had been convened from 27 to 29 March.
关于围绕创建简易企业实体进行的审议,工作组继续进行在第三十一届会议上开始的工作,并审议了载于关于贸易法委员会有限责任组织的立法指南草案的秘书处的说明(A/CN.9/WG.I/WP.114)附件的以下建议(和相关评注):With respect to its deliberations regarding the creation of a simplified business entity, the Working Group had continued the work begun at its thirty-first session and had considered the following recommendations (and related commentary) contained in the annex to the note by the Secretariat containing the draft legislative guide on an UNCITRAL limited liability organization (A/CN.9/WG.I/WP.114):
建议10(关于贸易法委员会有限责任组织的组织结构的C节);recommendation 10 (section C, on organization of the UNCITRAL limited liability organization);
建议11至16(关于贸易法委员会有限责任组织的管理的D节);recommendations 11 to 16 (section D, on management of the UNCITRAL limited liability organization);
建议17(关于贸易法委员会有限责任组织成员股份和出资的E节)。and recommendation 17 (Section E on Members’ share of and contributions to the UNCITRAL limited liability organization).
4.155.
经过讨论,委员会对第一工作组在这一专题上取得的进展表示赞许,并鼓励各国参与工作组的审议,分享其相关政府机构在法律改革领域的实际经验。After discussion, the Commission commended Working Group I for the progress it had made on the topic and encouraged States to participate in the deliberations of the Working Group and share the practical experiences of their relevant government bodies in that area of law reform.
十.X.
争议解决办法改革:第二工作组进度报告Dispute settlement reform: progress report of Working Group II
5.156.
委员会回顾,在其第五十一届会议上,委员会核准了对第二工作组(争议解决)处理快速仲裁相关问题的任务授权。The Commission recalled that, at its fifty-first session, it had approved a mandate for Working Group II (Dispute Settlement) to take up issues relating to expedited arbitration.
委员会注意到,工作组在2019年2月4日至8日于纽约举行的第六十九届会议上已开始审议快速仲裁问题。The Commission noted that the Working Group, at its sixty-ninth session, held in New York from 4 to 8 February 2019, had commenced its deliberations on expedited arbitration.
委员会收到了工作组第六十九届会议的报告(A/CN.9/969)。The Commission had before it the report of the Working Group on its sixty-ninth session (A/CN.9/969).
6.157.
委员会注意到,第二工作组就其工作范围、快速仲裁的主要特点和可能的工作形式进行了初步讨论,并请秘书处编写关于快速仲裁的案文草案并提供相关信息。The Commission noted that Working Group II had held a preliminary discussion on the scope of its work, the key characteristics of expedited arbitration, and the possible form of its work and had requested the Secretariat to prepare draft texts on expedited arbitration and to provide relevant information.
7.158.
经过讨论,委员会对工作组所取得的进展以及秘书处提供的支持表示满意。After discussion, the Commission expressed its satisfaction with the progress made by the Working Group and the support provided by the Secretariat.
十一.XI.
投资人与国家间争端解决制度改革:第三工作组进度报告Investor-State dispute settlement reform: progress report of Working Group III
8.159.
委员会回顾,在其2017年第五十届会议上,委员会核准了第三工作组就投资人与国家间争端解决制度的可能改革开展工作的任务授权。The Commission recalled that, at its fiftieth session, in 2017, it had approved a mandate for Working Group III to work on the possible reform of investor-State dispute settlement.
委员会进一步回顾,在履行这一任务授权时,按照贸易法委员会的程序,工作组应确保审议工作在受益于所有利益攸关方尽可能广泛的现有专门知识的同时,由政府主导,各国政府提供高级别投入,以协商一致为基础,完全透明。It further recalled that the Working Group was, in discharging that mandate and in line with the UNCITRAL process, to ensure that the deliberations, while benefiting from the widest possible breadth of available expertise from all stakeholders, would be Government-led, with high-level input from all Governments, consensus-based and fully transparent.
9.160.
委员会收到了第三工作组(投资人与国家间争端解决制度改革)第三十六届和三十七届会议工作报告(A/CN.9/964、A/CN.9/970)。The Commission had before it the reports of Working Group III (Investor-State Dispute Settlement Reform) on the work of its thirty-sixth and thirty-seventh sessions (A/CN.9/964 and A/CN.9/970).
10.161.
委员会注意到工作组的讨论,其侧重点是任务第二阶段(审议就投资人与国家间争端解决方面任何已确定的关切事项进行改革是否可取)以及任务第三阶段(制定向委员会建议的任何相关解决办法)的准备工作。The Commission took note of the discussions of the Working Group, which had focused on the second stage of the mandate (consideration of whether reform was desirable in the light of any identified concerns regarding investor-State dispute settlement) and the preparation of the third stage of the mandate (development of any relevant solutions to be recommended to the Commission).
11.162.
委员会还注意到工作组决定同时讨论、阐明和制定多种可能的改革解决方案,并为此编制一个项目时间表,以便在工作组能力的最大限度内并根据现有的工具,并行推进拟议的解决方案。The Commission also took note of the decision of the Working Group to discuss, elaborate and develop multiple potential reform solutions simultaneously, and to that end, to prepare a project schedule to move the proposed solutions forward in parallel, to the maximum extent of the Working Group’s capacity and in the light of the tools available.
12.163.
委员会进一步注意到工作组为推进其工作而考虑使用的各种手段和工具(A/CN.9/970,第53-61段),其中包括工作组请求考虑根据预期工作量,在2019年为其分配额外一周的可用会议时间(关于这一事项的决定,见下文第329段)。The Commission further took note of the various means and tools considered by the Working Group to advance its work (A/CN.9/970, paras. 53–61), including the request by the Working Group to consider allocating to it an additional week of conference time available in 2019 in the light of the anticipated workload (for the decision on that matter, see below, para. 329).
委员会注意到工作组的另一项请求,即如果今后腾出会议时间,委员会届时应考虑将其分配给工作组(A/CN.9/970,第86、87段)。The Commission took note of the additional request by the Working Group that, if and when conference time were to become available in the future, the Commission, at that point, consider allocating it to the Working Group (A/CN.9/970, paras. 86 and 87).
13.164.
委员会回顾工作组的这一进程应由政府主导,欢迎有90个国家、50个政府间组织和获邀非政府组织参加工作组第三十六届会议,有106个国家和70个组织参加第三十七届会议。Recalling that the process in the Working Group should be Government-led, the Commission welcomed the participation of 90 States and 50 intergovernmental organizations and invited non-governmental organizations in the thirty-sixth session of the Working Group, and of 106 States and 70 organizations in the thirty-seventh session.
委员会对特别是发展中国家越来越多地参加工作组届会表示满意,这体现了该专题的重要性以及各国对投资人与国家间争端解决制度改革的持续兴趣。The Commission expressed its satisfaction regarding the increased participation in the sessions of the Working Group, in particular the participation of developing States, which exemplified the importance of the topic and the continued interest of States in investor-State dispute settlement reform.
会上强调,加强对工作组的参与在很大程度上取决于各国可用的财政资源。It was stressed that the enhanced participation in the Working Group depended heavily on the financial resources available to States.
14.165.
在这方面,委员会对欧洲联盟、瑞士发展与合作署和德国国际合作署向贸易法委员会信托基金提供向发展中国家给予旅费援助的捐款表示赞赏,这些捐款旨在使发展中国家的代表能够参与工作组的审议并参加闭会期间区域会议,并获悉秘书处正在为争取更多自愿捐款作出努力。In that context, the Commission expressed its appreciation to the European Union, the Swiss Agency for Development and Cooperation (SDC) and the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) for their contributions to the UNCITRAL trust fund for granting travel assistance to developing countries, aimed at enabling the participation of representatives of developing States in the deliberations of the Working Group, as well as in regional intersessional meetings, and was informed about ongoing efforts by the Secretariat to secure additional voluntary contributions.
委员会敦促各国对这些努力作出贡献和提供支持。States were urged to contribute to and support those efforts.
15.166.
委员会欢迎秘书处开展外宣活动以提高对工作组工作的了解并确保这一进程将继续保持包容性和完全透明。The Commission welcomed the outreach activities of the Secretariat aimed at raising awareness about the work of the Working Group and ensuring that the process would remain inclusive and fully transparent.
16.167.
在这方面,委员会对大韩民国政府和多米尼加共和国政府与贸易法委员会联合组织了投资人与国家间争端解决制度改革闭会期间区域会议表示赞赏。In that context, the Commission expressed its appreciation to the Governments of the Republic of Korea and the Dominican Republic for having organized, jointly with UNCITRAL, regional intersessional meetings on investor-State dispute settlement reform.
委员会注意到,这些会议为政府高级代表和相关利益攸关方提供了一个公开论坛,在区域范围讨论工作组正在审议的问题。The Commission noted that the meetings provided an open forum for high-level government representatives and relevant stakeholders to discuss on a regional basis issues being deliberated by the Working Group.
委员会注意到几内亚政府将与贸易法委员会和法语国家组织共同主办2019年9月在科纳克里举行的投资人与国家间争端解决制度改革闭会期间区域会议。The Commission noted that the Government of Guinea would host, jointly with UNCITRAL and OIF, a regional intersessional meeting on investor-State dispute settlement reform in Conakry in September 2019.
17.168.
委员会还表示赞赏各利益攸关方提供信息以协助工作组进行审议。The Commission also expressed its appreciation for the provision of information by various stakeholders to assist the Working Group in its deliberations.
18.169.
经过讨论,委员会对工作组通过建设性、包容性和透明进程所取得的进展表示满意,并且对工作组决定同时阐明和制定多种潜在的改革方案表示满意。After discussion, the Commission expressed its satisfaction with the progress made by the Working Group through a constructive, inclusive and transparent process and with the decision of the Working Group to elaborate and develop multiple potential reform solutions simultaneously.
委员会对秘书处提供的支持表示赞赏。The Commission also expressed its appreciation for the support provided by the Secretariat.
十二.XII.
电子商务:第四工作组进度报告Electronic commerce: progress report of Working Group IV
170.170.
委员会回顾,在其第五十一届会议上,委员会决定,第四工作组(电子商务)应开展关于身份管理和信任服务所涉法律问题的工作,以期编写一份旨在促进对身份管理和信任服务跨国界承认的案文。The Commission recalled that, at its fifty‑first session, it had decided that Working Group IV (Electronic commerce) should conduct work on legal issues relating to identity management and trust services with a view to preparing a text aimed at facilitating cross‑border recognition of identity management and trust services.
会上表示,除其他外,工作组的工作成果将为电子签名以外的信任服务提供法律对待办法,信任服务对于数字经济意义重大,但尚未在贸易法委员会的法规中加以处理。It was indicated that the outcome of the work of the Working Group would provide, inter alia, legal treatment to trust services other than electronic signatures, which were of significant importance for the digital economy but had not yet been dealt with in UNCITRAL texts.
171.171.
委员会收到了第四工作组2018年11月19日至23日在维也纳举行的第五十七届会议的工作报告(A/CN.9/965)和2019年4月18日至12日在纽约举行的第五十八届会议的工作报告(A/CN.9/971)。The Commission had before it the reports of Working Group IV on the work of its fifty-seventh session, held in Vienna from 19 to 23 November 2018 (A/CN.9/965), and its fifty‑eighth session, held in New York from 8 to 12 April 2019 (A/CN.9/971).
工作组第五十八届会议继续以秘书处编写的条文草案为基础开展工作,但不妨碍就最后文书的形式作出任何决定。At its fifty‑eighth session, the Working Group continued its work on the basis of draft provisions prepared by the Secretariat, without prejudice to any decision on the form of an eventual instrument.
172.172.
委员会指出,鉴于项目处于早期阶段,工作组应努力制定一项既适用于国内也适用于跨国界使用身份管理和信任服务的文书。The Commission noted that, given the early stage of the project, the Working Group should work towards an instrument that could apply to both domestic and cross‑border use of identity management and trust services.
委员会还指出,这项工作的结果对商业交易以外的事项有影响。It also noted that the outcome of that work had implications for matters beyond commercial transactions.
173.173.
委员会获悉,根据工作组第五十八届会议提出的一项请求(A/CN.9/971,第67段),秘书处正在拟订具体涉及身份管理系统可靠性的建议,并召开了一次专家会议就这些建议以及涉及身份管理服务提供人的义务和赔偿责任的有关问题进行协商。The Commission heard that, further to a request made by the Working Group at its fifty‑eighth session (A/CN.9/971, para. 67), the Secretariat was developing proposals that dealt specifically with the reliability of identity management systems and had convened a meeting of experts to consult on those proposals and related issues concerning the obligations and liability of identity management service providers.
委员会还获悉,秘书处将与专家协商,以进一步完善关于信任服务的条文草案,协商结果将反映在拟提交工作组下届会议审议的一套修订条文中。It also heard that the Secretariat would consult with those experts to further refine the draft provisions dealing with trust services, and that the outcome of the consultations would be reflected in a revised set of provisions to be submitted to the Working Group for consideration at its next session.
174.174.
关于工作组履行其当前任务的时间框架,会上表达了不同意见。Different views were expressed as to the time frame for the Working Group to fulfil its current mandate.
一方面,会上提出,在2021年委员会第五十四届会议上完成工作的愿望将鼓励工作组保持其条文草案制定工作的势头。On the one hand, it was suggested that aspiring to finalize the work by the fifty-fourth session of the Commission, in 2021, would encourage the Working Group to maintain the momentum of its work on the draft provisions.
另一方面,会上强调,工作组只是在最近一届会议上才开始审议条文草案,鉴于所处理事项的复杂性,设定履行任务的严格时间框架为时尚早。On the other hand, it was emphasized that the Working Group had only commenced consideration of the draft provisions at its most recent session, and that, given the complexity of the matters dealt with, it would be premature to set a rigid time frame for fulfilment of the mandate.
175.175.
委员会对工作组取得的进展和秘书处提供的支持表示满意,并鼓励工作组在秘书处将拟订的一套修订条文的基础上继续开展工作。The Commission expressed its satisfaction with the progress made by the Working Group and the support provided by the Secretariat and encouraged the Working Group to continue its work on the basis of the revised set of provisions to be prepared by the Secretariat.
十三.XIII.
破产法:第五工作组进度报告Insolvency law: progress report of Working Group V
176.176.
委员会回顾,在其2013年第四十六届会议上,委员会请第五工作组(破产法)在其2014年上半年届会上对与微型、小型和中型企业破产相关的问题进行初步研究,特别是审议《贸易法委员会破产法立法指南》是否为微型、小型和中型企业提供了充分和适当的解决方案。The Commission recalled that, at its forty-sixth session, in 2013, it had requested Working Group V (Insolvency Law) to conduct, at its session in the first half of 2014, a preliminary examination of issues relevant to the insolvency of micro, small and medium-sized enterprises, and in particular to consider whether the UNCITRAL Legislative Guide on Insolvency Law provided sufficient and adequate solutions for micro, small and medium-sized enterprises.
若非如此,则请工作组考虑为精简和简化微型、小型和中型企业的破产程序可能需要哪些进一步的工作和可能的工作成果。If it did not, the Working Group had been requested to consider what further work and potential work product might be required to streamline and simplify insolvency procedures for micro, small and medium-sized enterprises.
委员会还回顾,工作组关于这些问题的结论已列入其2014年提交委员会的进度报告,其中着重指出,微型、小型和中型企业所面临的问题并非全新问题,应当根据《立法指南》已经提供的关键破产原则和指导意见制定这些问题的解决办法(A/CN.9/803,第14段)。The Commission also recalled that the conclusions of the Working Group on those issues had been included in its progress report to the Commission in 2014, which highlighted that the issues facing micro, small and medium-sized enterprises were not entirely novel and that solutions for them should be developed in the light of the key insolvency principles and the guidance already provided by the Legislative Guide (A/CN.9/803, para. 14).
177.177.
委员会还回顾,委员会2016年第四十九届会议商定,工作组应当制定适当的机制和解决办法,侧重于从事商业活动的自然人和法人,以解决微型、小型和中型企业的破产问题。The Commission also recalled that, at its forty-ninth session, in 2016, it had agreed that the Working Group should develop appropriate mechanisms and solutions, focusing on both natural and legal persons engaged in commercial activity, to resolve the insolvency of micro, small and medium-sized enterprises.
虽然《贸易法委员会破产法立法指南》提供的关键破产原则和指导意见应当是讨论的起点,但工作组应当着眼于对《立法指南》中已提供的机制作出具体调整,以专门处理微型、小型和中型企业问题,并根据需要制定新的简化机制,同时考虑到这些机制需要力求公正、快捷、灵活和节费。While the key insolvency principles and the guidance provided in the UNCITRAL Legislative Guide on Insolvency Law should be the starting point for discussions, the Working Group should aim to tailor the mechanisms already provided in the Legislative Guide to specifically address micro, small and medium-sized enterprises and develop new and simplified mechanisms as required, taking into account the need for those mechanisms to be equitable, fast, flexible and cost-efficient.
关于这项工作可能采取的形式,应当根据正在拟订的各种解决办法的性质以后再作决定。The form the work might take should be decided at a later time, and should be based on the nature of the various solutions that were being developed.
178.178.
委员会收到了第五工作组分别于2018年12月10日至14日在维也纳和2019年5月28日至31日在纽约举行的第五十四届和第五十五届会议的工作报告,其中除其他外说明了工作组关于微型、小型和中型企业破产问题工作的进展情况(A/CN.9/966,第六章,A/CN.9/972,第五章)。The Commission had before it the reports of Working Group V on the work of its fifty-fourth and fifty-fifth sessions, held in Vienna from 10 to 14 December 2018 and in New York from 28 to 31 May 2019, respectively, which, inter alia, described the progress of the Working Group in its work on the insolvency of micro, small and medium-sized enterprises (A/CN.9/966, chapter VI, and A/CN.9/972, chapter V).
委员会获悉,工作组决定首先侧重于小微实体的需要(A/CN.9/966,第118段),此种实体的定义问题留给各国处理; 这种做法符合世界银行集团采取的做法,后者正在与贸易法委员会平行制定一项处理小微实体破产问题的标准(A/CN.9/972,第28段)。The Commission was informed that the Working Group had decided to focus on the needs of micro and small entities in the first instance (A/CN.9/966, para. 118), deferring the definition of such entities to States, and that that approach was in line with the approach taken by the World Bank, which was working in parallel with UNCITRAL on a standard that would address the insolvency of micro and small entities (A/CN.9/972, para. 28).
委员会还获悉,工作组第五十五届会议在完成关于企业集团破产的工作之后,已经着手根据秘书处的一份说明(A/CN.9/WG.V/WP.166)详细审议简易破产制度的特点。The Commission was also informed that the Working Group, at its fifty-fifth session, having completed its work on enterprise group insolvency, had commenced detailed deliberations on the features of a simplified insolvency regime, on the basis of a note by the Secretariat (A/CN.9/WG.V/WP.166).
179.179.
委员会注意到工作组中就简易破产制度案文可能采取的形式发表了各种意见,其形式可以是《贸易法委员会破产法立法指南》的补编、自成一体的文件或补充第一工作组(微型、小型和中型企业)案文的适用于简易破产制度的原则清单(A/CN.9/972,第24、25、31、58段)。The Commission took note of the various views expressed in the Working Group about the form that a text on a simplified insolvency regime might take, whether it would be a supplement to the UNCITRAL Legislative Guide on Insolvency Law, a stand-alone document or a list of principles applicable to a simplified insolvency regime that would supplement the texts of Working Group I (Micro, Small and Medium-sized Enterprises) (A/CN.9/972, paras. 24, 25, 31 and 58).
此外,委员会注意到,秘书处向工作组通报了确保与第一工作组进行更密切协调的可取性(A/CN.9/972,第24-27段),以期为旨在减少微型、小型和中型企业整个生命周期面临的法律障碍的工作作出贡献。Furthermore, the Commission noted that the Working Group had been informed by the Secretariat about the desirability of ensuring a closer coordination with Working Group I (A/CN.9/972, paras. 24–27), with a view to contributing to the work aimed at reducing the legal obstacles faced by micro, small and medium-sized enterprises throughout their life cycles.
180.180.
委员会注意到工作组的看法,即可能需要更多时间在届会期间或闭会期间开展更多工作,包括进行协商和适当利用专家组,以便在这项工作上取得进展(A/CN.9/972,第59段)。The Commission took note of the view of the Working Group that more time for additional work, whether in-session or between sessions, including consultations and the appropriate use of expert groups, might be needed to make progress on that work (A/CN.9/972, para. 59).
委员会获悉,7月14日在本届会议空隙举行的非正式协商表明比较倾向于编写一份关于小微实体破产的自成一体的综合立法指南。The Commission was informed that informal consultations held on the margins of the current session on 14 July revealed some preference for preparing a stand-alone comprehensive legislative guide on the insolvency of micro and small entities.
委员会还获悉,下一轮闭会期间非正式协定于2019年9月2日和3日举行,亲自参加和远程参加都可以。The Commission was also informed that the next round of intersessional informal consultations was scheduled for 2 and 3 September 2019 and that both in-person and remote participation would be possible.
委员会注意到,对于闭会期间非正式协商的邀请,秘书处一直在使用秘书处根据向委员会第五十一届会议提出的一项请求汇编的代表联系名单。The Commission noted that, for invitation to intersessional informal consultations, the Secretariat had been using the delegate contacts list compiled by the Secretariat, further to a request made to the Commission at its fifty-first session.
虽然会上表示支持举行闭会期间非正式协商和专家组会议,但强调需由工作组认可这些非正式会议达成的结论。While support was expressed for holding intersessional informal consultations and expert group meetings, the need for endorsement by the Working Group of conclusions reached at those informal meetings was emphasized.
181.181.
委员会祝贺工作组完成了本届会议通过的企业集团破产案文的工作(见上文第六章)。The Working Group was congratulated for completing its work on the texts on enterprise group insolvency adopted at the current session (see chapter VI above).
会上对第五工作组离任主席Wisit Wisitsora-at长期以来成功地担任工作组主席表示赞赏。Appreciation was expressed to Wisit Wisitsora-at, the outgoing Chair of Working Group V, for his long-standing and successful chairmanship of the Working Group.
182.182.
会上表示支持工作组继续就小微实体破产问题开展工作。Support was expressed for the Working Group to continue its work on the insolvency of micro and small entities.
由于认识到这项工作与第一工作组的工作相关,并且这项工作的最终产品将对贸易法委员会涉及微型、小型和中型企业整个生命周期的法规作出贡献,会上表达了这样的看法,即第一工作组的代表也应参加第五工作组的会议,以确保两个工作组之间的协调。Recognizing that that work was of relevance to the work of Working Group I and that the end product of that work would contribute to the UNCITRAL texts addressing the entire lifecycle of micro, small and medium-sized enterprises, views were expressed that delegates to Working Group I should also be represented in Working Group V to ensure coordination between the two working groups.
然而,会上对举行两个工作组联席会议的必要性提出疑问。The need for holding joint sessions of the two working groups was, however, questioned.
相反,据认为重要的是给第五工作组分配足够的时间,使其能够解决小微实体破产引起的复杂问题并就这一主题产生有益的工作成果。It was considered important instead to allocate sufficient time to Working Group V to allow it to resolve complex issues arising from the insolvency of micro and small entities and produce a useful work product on that subject.
183.183.
委员会确认了世界银行增订其《有效破产和债权人/债务人制度原则》的过程中协调贸易法委员会的工作与世界银行的工作的重要性,以便处理小微实体破产的具体方面。The Commission acknowledged the importance of coordinating the work of UNCITRAL with that of the World Bank while the World Bank was updating its Principles for Effective Insolvency and Creditor/Debtor Regimes in order to deal with specific aspects of the insolvency of micro and small entities.
会上提醒委员会注意《破产和债权人权利标准》,该《标准》由《世界银行原则》和《贸易法委员会破产法立法指南》中提出的建议组成。The Commission was reminded of the Insolvency and Creditor Rights Standard (the ICR Standard), comprising the World Bank Principles and the recommendations made in the UNCITRAL Legislative Guide on Insolvency Law.
会议请委员会在适当时候考虑,如果不把贸易法委员会关于小微实体破产的案文作为《立法指南》的补编,如何将其纳入《破产和债权人权利标准》。The Commission was invited to consider in due course how an UNCITRAL text on the insolvency of micro and small entities would be integrated into the ICR Standard if it were not a supplement to the Legislative Guide.
会上强调了《立法指南》对于世界银行破产法领域工作的重要性。The importance of the Legislative Guide to World Bank operations in the area of insolvency law was highlighted.
四.XIV.
船舶司法出售:第六工作组进度报告Judicial sale of ships: progress report of Working Group VI
184.184.
委员会回顾,在其第五十一届会议上,委员会商定将工作组的时间分配给船舶司法出售这一专题。The Commission recalled that, at its fifty-first session, it had agreed to allocate working group time to the topic of the judicial sale of ships.
委员会还回顾,在第六工作组(担保权益)2018年12月17日至21日于维也纳举行的第三十四届会议完成《贸易法委员会担保交易示范法》实务指南草案的工作之后,已将这一专题分配给该工作组。The Commission also recalled that the topic had been allocated to Working Group VI (Security Interests) after completing its work on a draft practice guide to the UNCITRAL Model Law on Secured Transactions at its thirty-fourth session, held in Vienna from 17 to 21 December 2018.
185.185.
委员会审议了2019年5月13日至17日在纽约举行的工作组第三十五届会议的报告(A/CN.9/973),并注意到工作组在秘书处编写的两份说明(A/CN.9/WG.VI/WP.81、A/CN.9/WG.VI/WP.82)的基础上开始审议这一专题。The Commission considered the report of the Working Group on its thirty-fifth session, held in New York from 13 to 17 May 2019 (A/CN.9/973), and noted that the Working Group had commenced its consideration of the topic on the basis of two notes prepared by the Secretariat (A/CN.9/WG.VI/WP.81 and A/CN.9/WG.VI/WP.82).
据解释,A/CN.9/WG.VI/WP.82号文件载有国际海事委员会拟订的一项关于船舶外国司法出售及其承认的国际公约草案。It was explained that document A/CN.9/WG.VI/WP.82 contained a draft international convention on foreign judicial sales of ships and their recognition prepared by the Comité Maritime International.
委员会注意到工作组就这一专题所涉法律问题的范围进行的初步讨论,以及工作组同意在其今后工作中侧重于清洁物权和注销登记问题。The Commission took note of the Working Group’s preliminary discussions on the scope of the legal issues on the topic and the Working Group’s agreement to focus on the issues of clean title and deregistration in its future work.
186.186.
会上对使用国际海事委员会拟订的国际公约草案作为工作组审议的基础表示关切,指出该草案代表了特定行业的利益。A concern was expressed about the use of the draft international convention prepared by the Comité Maritime International as a basis for the Working Group’s deliberations, noting that the draft represented the interests of a particular industry.
补充说,需要一种平衡兼顾的文书,以争取各国的广泛支持。It was added that a balanced instrument was needed in order to secure broad support among States.
对此,据指出,工作组在其第三十五届会议上进行了广泛讨论,其间表明了各种利益攸关方的利益。In response, it was noted that the Working Group had engaged in wide-ranging discussions at its thirty-fifth session, during which the interests of a variety of stakeholders were put forward.
会上进一步指出,第三十五届会议的讨论表明,工作组不是考虑仅仅核可由国际海事委员会拟订的该国际公约草案,而是严格审议了这些问题,以期制定一项平衡兼顾的文书。It was further noted that the discussions at the thirty-fifth session demonstrated that the Working Group did not contemplate merely endorsing the draft international convention prepared by the Comité Maritime International, but had instead considered critically the issues with a view to developing a balanced instrument.
在这方面,强调指出,工作组仍处于这一专题审议工作的早期阶段。In that regard, it was emphasized that the Working Group was still in the early stages of its consideration of the topic.
187.187.
会上对最后的新文书与最近缔结的《海牙民商事外国判决的承认和执行公约》之间的重叠表示关切。A concern was expressed about the overlap between an eventual new instrument and the recently concluded Hague Convention on the Recognition and Enforcement of Foreign Judgments in Civil or Commercial Matters.
对此,据指出,工作组在第三十五届会议上讨论了这一问题,会上对司法拍卖与在导致司法拍卖的程序中就实体问题作出裁定进行了区分。In response, it was noted that that issue had been addressed by the Working Group at its thirty-fifth session, during which a distinction had been drawn between the judicial sale and a decision on the merits in the proceedings giving rise to the judicial sale.
会上表达了这样的观点,即这两种制度之间相互干扰的风险很小。The view was expressed that there was little risk of interference between the two regimes.
据指出,如果讨论与《海牙公约》的关系,预设的条件是最后文书将采取条约形式,而工作组第三十五届会议一致认为,在这一专题审议工作的早期阶段审议文书的形式为时尚早。The point was made that a discussion of the relationship with the Hague Convention presupposed that the eventual instrument would take the form of a treaty, and that the Working Group had agreed at its thirty-fifth session that it would be premature to consider the form of the instrument in the early stages of its consideration of the topic.
188.188.
会上指出,该项目引发了与船舶优先权的承认和优先排序有关的敏感问题。It was noted that the project evoked sensitive issues relating to the recognition and prioritization of maritime liens.
对此,强调该项目范围窄,并重申工作组的任务不是处理这些问题。In response, the narrow scope of the project was emphasized, and it was reiterated that the mandate of the Working Group was not to address those issues.
189.189.
经过讨论,委员会对工作组所取得的进展表示满意。After discussion, the Commission expressed its satisfaction with the progress made by the Working Group.
委员会欢迎秘书处在拟订一份纳入工作组第三十五届会议审议结果的文书修订草案方面所做的工作,并赞赏地注意到工作组在修订草案的基础上继续进行审议,但不影响任何最后文书的形式。It welcomed the work of the Secretariat in preparing a revised draft instrument incorporating the outcome of the deliberations of the Working Group at its thirty-fifth session, and noted with appreciation that the Working Group would continue its deliberations on the basis of the revised draft, without prejudice as to the form of any eventual instrument.
在这方面,据指出,应特别注意文书的范围和定义问题,第三十五届会议只是触及这些问题而已。In that regard, the point was made that particular attention should be placed on the scope of the instrument and definitional issues, which had only been touched on at the thirty-fifth session.
五.XV.
工作方案Work programme
1.190.
委员会回顾曾商定保留时间,作为每届会议的单独议题讨论委员会的全面工作方案,以便于有效规划委员会的活动。The Commission recalled its agreement to reserve time for discussion of its overall work programme as a separate topic at each session, to facilitate the effective planning of its activities.
2.191.
委员会注意到为便于其讨论这一专题而编写的文件(A/CN.9/981及其中提及的文件,包括A/CN.9/992、A/CN.9/995、A/CN.9/996、A/CN.9/997和A/CN.9/998号文件所载建议),还注意到委员会前几届会议决定保留供今后一届会议进一步讨论、但没有对其给予任何优先考虑的专题。The Commission took note of the documents prepared to facilitate its discussions on the topic (A/CN.9/981 and the documents referred to therein, including the proposals contained in documents A/CN.9/992, A/CN.9/995, A/CN.9/996, A/CN.9/997 and A/CN.9/998) and of the topics that the Commission, in previous sessions, had decided to retain for further discussion at a future session, without assigning any priority to them.
A.A.
当前的立法方案Current legislative programme
3.192.
委员会注意到本届会议早些时候报告的各工作组进展情况(见本报告第九至十四章),并确认A/CN.9/981号文件表1所列当前立法活动方案如下:The Commission took note of the progress of its working groups as reported earlier in the session (see chapters IX to XIV of the present report) and reaffirmed the programme of current legislative activities set out in table 1 of document A/CN.9/981 as follows:
(a)(a)
关于微型、小型和中型企业,委员会确认,第一工作组应继续开展工作,拟订一部关于贸易法委员会有限责任组织的立法指南。As regards micro, small and medium-sized enterprises, the Commission confirmed that Working Group I should continue its work to prepare a legislative guide on an UNCITRAL limited liability organization.
考虑到赋予工作组2013年第四十六届会议的任务是努力减少尤其是发展中经济体中微型、小型和中型企业在整个生命周期面临的法律障碍,委员会商定加强和完成这项工作,为此请秘书处酌情借鉴《贸易法委员会担保交易示范法》所载相关建议和指导意见,开始编写关于微型、小型和中型企业获得信贷的材料草案,以期由第一工作组在适当时候对其进行审议;Mindful of the mandate given to the Working Group, at its forty-sixth session, in 2013, to work on reducing the legal obstacles faced by micro, small and medium-sized enterprises throughout their life cycles, in particular in developing economies, the Commission agreed to strengthen and complete that work by requesting the Secretariat to start preparing draft materials on access to credit for micro, small and medium-sized enterprises, drawing, as appropriate, on the relevant recommendations and guidance contained in the UNCITRAL Model Law on Secured Transactions, with a view to their consideration by Working Group I in due course;
(b)(b)
关于争议解决,委员会商定,第二工作组应继续进行关于快速仲裁的工作;With respect to dispute settlement, the Commission agreed that Working Group II should continue its work on expedited arbitration;
(c)(c)
关于投资人与国家间争端解决制度改革,委员会商定,第三工作组应继续进行其授权的工作方案;With respect to investor-State dispute settlement reform, the Commission agreed that Working Group III should continue its work programme as mandated;
(d)(d)
关于电子商务,委员会确认,第四工作组应继续推进拟订关于身份管理和信任服务相关法律问题国际文书的工作;As regards electronic commerce, the Commission confirmed that Working Group IV should proceed with the preparation of an international instrument on legal issues related to identity management and trust services;
(e)(e)
关于破产,委员会确认,第五工作组应继续进行关于小微实体破产的工作。 为确保与第一工作组的协调,请各国考虑在其出席第五工作组的代表团中,除小微实体破产问题专家外,还包括其出席第一工作组的代表,以期将小微实体破产方面的工作成果纳入第一工作组编写的关于微型、小型和中型企业生命周期的一系列立法指导文件;With respect to insolvency, the Commission confirmed that the work on the insolvency of micro and small enterprises should continue in Working Group V. To ensure coordination with Working Group I, States were requested to consider including in their delegations to Working Group V their representatives to Working Group I in addition to experts in the insolvency of micro and small enterprises, with a view to including the output of work on the insolvency of micro and small enterprises into the series of legislative guidance documents prepared by Working Group I on the life cycle of micro, small and medium-sized enterprises;
(f)(f)
关于船舶司法拍卖,委员会确认,第六工作组应继续开展工作,拟订一部关于这一问题的国际文书。As regards the judicial sale of ships, the Commission confirmed that Working Group VI should continue its work to prepare an international instrument on that subject.
B.B.
今后的立法方案Future legislative programme
4.193.
委员会回顾了资源分配战略方针对于立法发展的重要性及其在制定贸易法委员会工作方案和工作组任务授权方面的作用。The Commission recalled the importance of a strategic approach to the allocation of resources to legislative development and its role in setting the work programme of UNCITRAL and the mandates of working groups.
在此基础上,委员会审议了关于今后可能的立法发展的若干建议,包括前几届会议讨论的建议和新的建议。On that basis, the Commission considered several proposals for possible future legislative development, including both of the proposals discussed at earlier sessions and new proposals.
1.1.
委员会前几届会议审议的建议Proposals considered at earlier sessions of the Commission
(a)(a)
仓单Warehouse receipts
5.194.
委员会回顾,在其第五十一届会议上,委员会请秘书处进行关于仓单的探索和筹备工作,以期在适当时候将这项工作交给一个工作组。The Commission recalled that, at its fifty-first session, it had requested the Secretariat to conduct exploratory and preparatory work on warehouse receipts with a view to referring that work to a working group in due course.
在本届会议上,委员会赞赏地注意到秘书处的一份说明(A/CN.9/992),其中概述了科佐尔奇克国家法律中心向秘书处提交的关于今后可能在仓单方面开展的工作的研究报告。At the current session, the Commission took note with appreciation of a note by the Secretariat (A/CN.9/992) providing an overview of a study presented to the Secretariat by the Kozolchyk National Law Center (NatLaw) on possible future work on warehouse receipts.
这项研究报告分析了一些国家有关仓单的立法和监管框架,介绍了处理仓单的各种不同做法。The study had examined the legislative and regulatory frameworks governing warehouse receipts in several States, illustrating a wide range of different approaches to warehouse receipts.
虽然对待仓单的做法和法律处理办法的差异本身并不是一个问题,但该研究报告建议,一定程度的协调统一可以便利仓单的使用,特别是在跨部门和跨国界情况下。While divergence of approaches to, and legal treatment of, warehouse receipts was not in and of itself a problem, the study suggested that a certain level of harmonization could facilitate the use of warehouse receipts, in particular across sectors and in the cross-border context.
研究报告还指出,一些国家,特别是那些具有普通法传统的国家,还没有出台关于仓单的立法或监管框架,而另一些国家只是部分制定了这一框架,因此需要采取更全面的解决办法,以便利仓单的使用。The study also pointed out that several States, in particular those with a common law tradition, did not yet have a legislative or regulatory framework on warehouse receipts, whereas in other States, the framework had only been developed partially, thus requiring a more comprehensive solution to facilitate the use of warehouse receipts.
研究报告建议,委员会应考虑与已经在这一领域开展工作的国际组织和区域组织协商制定一部仓单示范法。The study suggested that the Commission should consider developing a model law on warehouse receipts in consultation with international and regional organizations that have already undertaken work in that field.
6.195.
委员会注意到,鉴于仓单对农业和粮食安全的重要性以及仓单在供应链和价值链中的使用,该项目具有实际意义。The Commission noted the practical relevance of the project, given the importance of warehouse receipts to agriculture and food security, and their use in supply and value chains.
委员会确认其早先关于将该专题列入其工作方案的决定,但一致认为,在着手拟订一项关于仓单的国际法律文书之前,委员会仍需考虑几个重要因素,例如:The Commission confirmed its earlier decision to include the topic in its work programme but agreed that it still needed to consider several important elements before embarking on the development of an international legal instrument on warehouse receipts, such as:
应当如何开展这项工作(由工作组进行这项工作,或者由秘书处在专家的协助下进行这项工作);how such work should be undertaken (whether by a working group or the Secretariat with the assistance of experts);
这项工作的范围(例如,是否涉及仓单的所有实质性法律方面,是否侧重于仓单的融资用途或跨境使用,以及是否涵盖仓单的更广泛用途或在特定部门的使用);the scope of such work (for example, whether to address all substantive legal aspects of warehouse receipts, whether to focus on their use for financing purposes or on their cross-border use and whether to cover their use more generally or in a specific sector);
这项工作是否应侧重于仓单的非物质化形式以及这种仓单在数字经济中的法律性质及其使用;whether the work should focus on dematerialized forms of warehouse receipts and the legal nature of such warehouse receipts in the digital economy and their use;
这种工作的形式(公约、示范法或指导意见案文)。the form of such work (a convention, a model law or a guidance text).
委员会请秘书处审查这一专题与贸易法委员会现有法规的关系,主要是《担保交易示范法》和《电子可转让记录示范法》。The Secretariat was requested to examine the relationship of the topic with existing UNCITRAL texts, mainly the Model Law on Secured Transactions and the Model Law on Electronic Transferable Records.
7.196.
会上普遍一致的看法是,正如研究报告所建议的,这项工作应当是全面的,不应仅局限于在担保交易中作为抵押品使用仓单。There was general agreement that the work should be comprehensive, as suggested in the study, and not only limited to the use of warehouse receipts as collateral in secured transactions.
虽然倾向于将这项工作分配给第一个可用的工作组,但委员会保留其关于该项目是否能够纳入任何现有工作组的较长期工作方案的立场。While there was a preference for referring the work to the first available working group, the Commission reserved its position as to whether the project could be integrated into the longer-term work programme of any existing working groups.
委员会同意请秘书处继续进行准备工作,并与拥有相关专门知识的其他组织举行一次专题讨论会,以期考虑本届会议所讨论的工作范围和性质问题(见上文第195段)并可能推进初稿材料的编写工作。The Commission agreed to request the Secretariat to proceed with its preparatory work and to convene a colloquium with other organizations having relevant expertise, with a view to considering the questions of scope and nature of the work discussed at the current session (see para. 195 above) and possibly advancing the preparation of initial draft materials.
(b)(b)
契约型网络Contractual networks
8.197.
委员会回顾其先前关于契约型网络主题的审议情况,以及委员会2018年第五十一届会议作出的决定,即应在第一工作组届会的范围内举行一次专题讨论会,以进一步分析契约型网络与当前为微型、小型和中型企业创建有利法律环境工作的相关性以及就这些网络开展工作的可取性。The Commission recalled its earlier deliberations on the subject of contractual networks, and the decision taken at its fifty-first session, that a colloquium should be held in the context of a session of Working Group I to further analyse the relevance of contractual networks to the current work on developing an enabling legal environment for micro, small and medium-sized enterprises and the desirability of taking up the work of those networks.
9.198.
委员会收到了关于契约型网络及其他公司间合作形式专题讨论会的报告(A/CN.9/991),专题讨论会在第一工作组第三十二届会议头两天(3月25日和26日)举行。The Commission had before it the report of the colloquium on contractual networks and other forms of inter-firm cooperation (A/CN.9/991), which was held on the first two days (25 and 26 March) of the thirty-second session of Working Group I.
委员会欢迎来自不同地理区域的专家参加会议,其中除工作组的与会代表外,还包括来自各国政府、国际组织、非政府组织、私营部门和学术界的专家。The Commission welcomed the participation of experts from different geographic regions, including specialists from governments, international organizations, non-governmental organizations, the private sector and academia, in addition to the delegates to the Working Group.
此外,委员会赞赏地注意到,鉴于微型、小型和中型企业在世界大多数经济体中发挥的作用及其面临的挑战,专题讨论会显示了第一工作组当前任务授权的相关性。Furthermore, the Commission took note with appreciation that the colloquium had showed the relevance of the current mandate of Working Group I, in the light of the role micro, small and medium-sized enterprises played in most economies around the world and the challenges they faced.
10.199.
委员会注意到,在专题讨论会上介绍的企业间合作的不同法律模式有助于微型、小型和中型企业克服其脆弱性,并利用国内和国际市场上的机会。The Commission noted that the different legal models of cooperation among businesses presented at the colloquium helped micro, small and medium-sized enterprises to overcome their vulnerability and harness opportunities in domestic and international markets.
更具竞争力的微型、小型和中型企业可在实现《可持续发展目标》和支持妇女创业发展方面发挥重要作用。More competitive micro, small and medium-sized enterprises could play a major role in achieving the Sustainable Development Goals and support the development of women’s entrepreneurship.
委员会注意到在专题讨论会上就契约型网络统一法律办法的可取性以及这是否会减少微型、小型和中型企业国际化的障碍发表的各种不同意见。The Commission took note of the diverging views expressed at the colloquium on the desirability of a harmonized legal approach on contractual networks and whether it might lower barriers to the internationalization of micro, small and medium-sized enterprises.
在这方面,委员会还注意到第一工作组的意见,即在目前为微型、小型和中型企业创造有利法律环境的工作中,契约型网络专题并不是一个优先事项。In that respect, the Commission also noted the view of Working Group I that the topic of contractual networks did not represent a matter of priority in the current work on creating an enabling legal environment for micro, small and medium-sized enterprises.
委员会赞同这一观点,并同意不将契约型网络专题列入其工作方案。The Commission endorsed that view and agreed not to include the topic of contractual networks in its work programme.
(c)(c)
民事资产追查和追回Civil asset tracing and recovery
11.200.
委员会回顾,在其第五十一届会议上,在讨论了关于今后可能就民事资产追查和追回开展工作的建议(A/CN.9/WG.V/WP.154)之后,委员会请秘书处研究破产领域资产追查的相关问题,同时考虑到其他组织开展的工作。The Commission recalled that, at its fifty-first session, after discussion of a proposal for possible future work on civil asset tracing and recovery (A/CN.9/WG.V/WP.154), it had requested the Secretariat to examine the relevant issues of asset tracing in the area of insolvency, taking into account work undertaken by other organizations.
在本届会议上,委员会获悉,这项研究正在取得进展,将涵盖国际组织的相关工作和举措(例如,与《联合国反腐败公约》有关的联合国毒品和犯罪问题办公室(毒品和犯罪问题办公室)、世界银行、追回被盗资产举措和洛桑进程),以及审查关于在破产程序中追查和追回国有资产的国家法律框架和关于追查和追回数字资产的解决办法。At its current session, the Commission was informed that the study was advancing and that it would cover the relevant work of international organizations and initiatives (e.g., the United Nations Office on Drugs and Crime (UNODC) in relation to the United Nations Convention against Corruption, the World Bank, the Stolen Asset Recovery (StAR) Initiative and the Lausanne process) as well as a review of national legal frameworks for national asset tracing and recovery in insolvency proceedings and solutions for the tracing and recovery of digital assets.
12.201.
在这方面,委员会本届会议审议了美利坚合众国提出的一项建议,其中要求举行一次专题讨论会进一步探讨这一问题,以期此后开始拟订普通法法系和民法法系关于民事资产追查和追回的示范立法条文(A/CN.9/996)。In that connection, at the current session, the Commission considered a proposal submitted by the United States calling for a colloquium to further explore the matter with a view to starting work on the development of model legislative provisions on civil asset tracing and recovery in both common law and civil law systems (A/CN.9/996).
关于这项建议,会上指出,它不仅与破产有关,而且与处理商业欺诈和其他专题有关。With respect to that proposal, it was suggested that it would be relevant not only to insolvency, but also to the treatment of commercial fraud and other topics.
该建议指出,如A/CN.9/WG.V/WP.154号文件所指出的,许多国家缺乏追查和追回方面的适当法律工具,并提议制定一个可供各国选择的立法条文工具箱。The proposal noted that many States lacked adequate legal tools for tracing and recovery and suggested the development of a toolbox of legislative provisions from which States could choose, as indicated in document A/CN.9/WG.V/WP.154.
强调指出,所提议的工作并不是为了处理刑法问题,一个关键因素是与其他相关组织的协调与合作,以避免潜在重叠和重复。It was emphasized that the work proposed was not intended to address criminal law issues and that coordination and cooperation with other relevant organizations would be a key element, to avoid potential overlap and duplication.
13.202.
委员会一致认为,这一专题十分重要,而且有必要为各国提供进一步指导,使其具备追回资产的有效工具。The Commission agreed on the importance of the topic and on the usefulness of providing further guidance for States to equip themselves with effective tools for asset recovery.
据指出,从世界银行-毒品和犯罪问题办公室追回被盗资产举措等国际举措的角度来看,有可能利用破产管理人的权力、撤销权诉讼和其他破产工具来追查和追回资产。It was said that, from the perspective of international initiatives such as the World Bank-UNODC StAR initiative, there was potential for using insolvency representatives’ powers, avoidance actions and other insolvency tools for asset tracing and recovery.
另外,据指出,还有一些原则上也适用于破产的现有国际文书,特别是《关于从国外调取民事和商事证据的海牙公约》。Furthermore, it was observed that international instruments existed that also applied in principle to insolvency, in particular the Convention on the Taking of Evidence abroad in Civil and Commercial Matters.
会上认为,在有些法域,这些文书几乎没有产生任何与破产程序中追查资产有关的实际做法或判例法。The view was expressed that, in some jurisdictions, those instruments had generated hardly any practice or case law related to asset tracing in insolvency proceedings.
同时,会上认为这一专题不限于破产方面。At the same time, views were expressed that the topic was not limited to insolvency.
但其他代表团表示了这样的关切,即贸易法委员会关于这一专题的工作将会延伸到超出破产事项的问题。Other delegations, however, expressed concerns that work by UNCITRAL on the topic would extend to issues beyond insolvency matters.
据指出,无论如何都必须仔细界定委员会可能开展的工作的范围和性质,并避免干扰现有文书,例如,与刑法有关的文书。It was noted that, in any event, it was essential to delineate carefully the scope and nature of the work that the Commission could undertake, and to avoid interference with existing instruments, for instance, those relating to criminal law.
14.203.
为此目的,委员会请秘书处与其他有关国际组织合作,配合第五工作组拟于2019年12月举行的第五十六届会议举办一次专题讨论会,以进一步澄清和完善委员会在这一领域可能开展的工作的各个方面,供委员会2020年第五十三届会议审议。For that purpose, the Commission requested the Secretariat to organize a colloquium, in conjunction with the fifty-sixth session of Working Group V, to be held in December 2019, in cooperation with other relevant international organizations, to further clarify and refine various aspects of the Commission’s possible work in that area, for consideration by the Commission at its fifty-third session, in 2020.
专题讨论会应审议关于资产追查和追回的可能工具包的内容,并以关于普通法法系各法域做法的资料补充现有的背景研究。The colloquium should consider the elements of a possible toolkit on asset tracing and recovery and supplement the existing background study with information on the practices of civil law jurisdictions.
The colloquium should also:
专题讨论会还应(a)审视刑事和民事追查和追回资产办法,以期更好地界定该专题,同时受益于现有工具;(a) examine both criminal and civil asset tracing and recovery, with a view to better delineating the topic while benefiting from the available tools;
(b)审议为破产法和其他法律领域开发的工具;(b) consider tools developed for insolvency law and for other areas of law;
and
(c)讨论拟议的资产追查和追回工具及其他国际文书。(c) discuss proposed asset tracing and recovery tools and other international instruments.
(d)(d)
破产程序的适用法律Applicable law in insolvency proceedings
15.204.
委员会回顾,在其第五十一届会议上,作为资产追查和追回工作的替代,欧洲联盟提出了一项建议,即今后的工作应专门讨论与破产有关的适用法律。The Commission recalled that, at its fifty-first session, the European Union had presented a proposal to dedicate future work to applicable law related to insolvency as an alternative to work on asset tracing and recovery.
据强调,适用法律问题是一个值得考虑的重要事项。It was stressed that the issue of applicable law was an important matter that warranted consideration.
16.205.
欧洲联盟向秘书处提出了一项建议(A/CN.9/995),支持贸易法委员会今后在统一破产程序适用法律方面的工作。The European Union presented a proposal in support of future work by UNCITRAL on harmonizing applicable law in insolvency proceedings (A/CN.9/995).
据指出,贸易法委员会关于跨国界破产的三个示范法涉及诉诸法院的权利、承认和救济等跨国界破产法的重要领域(包括企业集团破产案件中的判决执行、协调、集中和合作问题),但没有涉及法律选择或适用法律的问题。It was pointed out that the three UNCITRAL model laws relating to cross-border insolvency addressed important areas of cross-border insolvency law, including access, recognition and relief (including enforcement of judgments, coordination, centralization and cooperation in cases of enterprise group insolvency) but they did not address choice of law or issues of applicable law.
各国法律采取的做法不同,据说造成跨国界破产案件的不一致性和缺乏可预测性。The divergent approaches in national laws were said to lead to inconsistency and lack of predictability in cross-border insolvency cases.
据建议,协调统一跨国界破产案件的法律选择规则可大大改善企业清算和救助方面的协调;It was suggested that the harmonization of choice-of-law rules in cross-border insolvency cases could significantly improve the coordination of liquidation and rescue of enterprises;
促进跨国界案件的一致性、确定性和可预测性;promote consistency, certainty and predictability in cross-border cases;
并完善和理顺法律选择相关规则的内容,对贸易和商业产生积极影响。and improve and rationalize the content of the relevant choice-of-law rules, with a positive effect on trade and commerce.
未来的文书可采取示范法、自成一体的案文或现有《贸易法委员会跨国界破产示范法》的补编的形式。The future instrument could take the form of a model law, a stand-alone text or a supplement to the current UNCITRAL Model Law on Cross-Border Insolvency.
这种文书应通过提供关于竞合诉讼地法范围的规则以及撤销权诉讼、自动终止合同、对物权、抵消权和时效的适用法律来补充现行示范法。The instrument should complement the existing model laws by providing rules on the scope of the lex fori concursus, and the law applicable to avoidance actions, automatic termination of contracts, rights in rem, set-off rights and limitations.
会上认为,这项工作不妨利用2015年《关于国际商事合同中法律选择的原则》作为一部软性法律文书的潜在模式。The view was expressed that the work could utilize the Principles on Choice of Law in International Commercial Contracts of 2015 as a potential model for a soft law instrument.
17.206.
委员会一致认为这一专题十分重要,它将补充委员会在破产法领域,特别是跨国界破产领域已经开展的重要工作。The Commission agreed on the importance of the topic, which complemented the significant work already done by the Commission in the area of insolvency law, in particular cross-border insolvency.
但是,委员会一致认为,主题事项可能很复杂,需要高度专业化知识,涉及国际私法不同主题,以及合同法、财产法、公司法、证券和银行等领域的法律选择,另外还涉及委员会最近没有开展工作的其他领域。The Commission agreed, however, that the subject matter was potentially complex and required a high level of expertise in various subjects of private international law, as well as on choice of law in areas such as contract law, property law, corporate law, securities and banking and other areas on which the Commission had not worked recently.
委员会还一致认为,必须仔细界定委员会可以开展的工作的范围和性质。The Commission also agreed that it was essential to delineate carefully the scope and nature of the work that it could undertake.
为此,委员会请秘书处与其他有关国际组织合作举办一次专题讨论会,可能的话配合第五工作组第五十七届会议,以期提出更具体的建议,供委员会2020年第五十三届会议审议。For that purpose, the Commission requested the Secretariat to organize a colloquium, in cooperation with other relevant international organizations, possibly in conjunction with the fifty-seventh session of Working Group V, with a view to submitting more concrete proposals for consideration by the Commission at its fifty-third session, in 2020.
(e)(e)
与数字经济有关的法律问题Legal issues relating to the digital economy
18.207.
委员会回顾,在其第五十一届会议上,委员会听取了捷克共和国政府的一项建议,即秘书处应密切监测与智能合同和人工智能所涉法律问题有关的发展情况(A/CN.9/960),并向委员会报告可能需要统一的法律对待办法的领域,以期酌情开展这些领域的工作。The Commission recalled that, at its fifty-first session, it had heard a proposal by the Government of Czechia that the Secretariat should closely monitor developments relating to legal aspects of smart contracts and artificial intelligence (A/CN.9/960), and report back to the Commission on areas that might warrant uniform legal treatment, with a view to undertaking work in those fields when appropriate.
委员会还回顾了在各工作组、委员会以及在委员会第五十届会议之际于2017年举行的庆祝贸易法委员会成立五十周年的大会上提出的其他相关建议,例如,关于使用分布式分类账技术、供应链管理、付款和跨国界数据流动的建议。The Commission also recalled other related suggestions that had been made in the working groups, in the Commission, and at the Congress held in 2017 on the occasion of the Commission’s fiftieth session, to celebrate the fiftieth anniversary of UNCITRAL, for instance, in respect of the use of distributed ledger technology, supply chain management, payments and cross-border data flows.
最后,委员会回顾了在其第五十一届会议上交给秘书处的任务,即汇编与数字经济有关的法律问题信息,包括在现有资源范围内并与其他组织合作举办专题讨论会、座谈会和其他专家会议,并报告这些信息,供委员会今后届会审议。Lastly, the Commission recalled the mandate given to the Secretariat, at its fifty-first session, to compile information on legal issues related to the digital economy, including by organizing, within existing resources and in cooperation with other organizations, symposiums, colloquiums and other expert meetings, and to report that information for its consideration at a future session.
19.208.
委员会注意到秘书处就数字经济开展的探索性工作概要(见A/CN.9/981,附件),特别是下列活动:The Commission took note of the summary of exploratory work undertaken by the Secretariat on the digital economy (see A/CN.9/981, annex), in particular the following events:
(a)(a)
与高级司法研究所以及法国欧洲和外交部联合举办的专家组会议,讨论与跨境数据流动和人工智能有关的法律问题(2019年3月15日,巴黎);the expert group meeting jointly organized with the Institute for Advanced Judicial Studies (Institut des Hautes Études sur la Justice) and the Ministry for Europe and Foreign Affairs of France to discuss legal issues relating to cross-border data flows and artificial intelligence (Paris, 15 March 2019);
(b)在意大利外交和国际合作部赞助下与统法协会联合举办的关于使用智能合同、人工智能和分布式分类账技术所产生的法律问题讲习班(2019年5月6日至7日,罗马);(b) the workshop on legal issues arising from the use of smart contracts, artificial intelligence and distributed ledger technology, jointly organized with Unidroit under the patronage of the Ministry of Foreign Affairs and International Cooperation of Italy (Rome, 6–7 May 2019);
(c)与美洲国家组织和美洲开发银行合作,与哥伦比亚信息和通信技术部联合举办了与数字经济有关的法律问题区域会议(2019年6月5日,波哥大)。and (c) the regional conference on legal issues relating to the digital economy jointly organized with the Ministry of Information and Communication Technology of Colombia, in cooperation with the Organization for American States (OAS) and the Inter-American Development Bank (Bogotá, 5 June 2019).
还向委员会通报了拟于2019年9月18日在大韩民国仁川举行的法律和技术论坛的筹备情况,贸易法委员会亚洲及太平洋区域中心与大韩民国司法部合作正在筹办。The Commission was also informed of the preparations for a law and technology forum to be held in Incheon, Republic of Korea, on 18 September 2019, which was being organized by the UNCITRAL Regional Centre for Asia and the Pacific in cooperation with the Ministry of Justice of the Republic of Korea.
20.209.
委员会获悉,秘书处的探索性工作确定了几条可能形成提交委员会审议的更具体建议的调查路线。The Commission heard that the Secretariat’s exploratory work had identified several lines of enquiry that might crystallize into more concrete proposals to be submitted to the Commission for consideration.
这些建议可能涉及的法律问题包括商业目的数据交易各方的权利、供应链和使用分布式分类账技术对资产进行标记化、新技术对商业交易的干扰性影响、人工智能系统行动的法律有效性及相关责任,以及评估现有文书以确定其如何适用于这些问题,特别是在自动交易方面。Legal issues that could be the object of those proposals included the rights of parties to data transactions for commercial purposes, supply chains and the tokenization of assets using distributed ledger technology, the disruptive effect of new technologies on commercial transactions, the legal validity of actions of artificial intelligence systems and associated liability, and an appraisal of existing instruments to determine how they apply to those issues, in particular with regard to automated transactions.
这项工作还确定需要对新兴技术和相关交易进行分类,以促进对法律问题的共同理解。The work had also identified the need for a taxonomy of emerging technologies and related transactions to facilitate a common understanding of legal issues.
21.210.
会上对以下观点表示广泛支持,即贸易法委员会应根据其任务授权,在解决与数字经济和数字贸易有关的法律问题方面发挥核心和协调作用,因此,秘书处应继续与各国、其他国际组织和私营部门合作开展探索性工作。Broad support was expressed for the view that, consistent with its mandate, UNCITRAL should play a central and coordinating role in addressing legal issues related to the digital economy and digital trade and that, accordingly, the Secretariat should continue its exploratory work in cooperation with States, other international organizations and the private sector.
强调指出,探索性工作应侧重于法律问题,以期缩小工作范围,并提出解决法律障碍和考虑到公共政策因素的解决办法。It was emphasized that the exploratory work should focus on legal issues, with a view to narrowing down the scope of work and proposing solutions that address legal obstacles and take into account public policy considerations.
还指出,迄今确定的法律问题跨越当前工作方案的许多领域,包括破产和争议解决。It was also noted that the legal issues identified so far cut across many areas of the current work programme, including insolvency and dispute resolution.
会上认为,今后的任何工作都应尊重技术中立原则,经得起未来考验,并侧重于新兴技术对商业交易的干扰性影响。The view was expressed that any future work should respect the principle of technology neutrality, be future-proof and focus on the disruptive impact of emerging technologies on commercial transactions.
22.211.
委员会指出,在处理数字经济和数字贸易相关法律问题方面,贸易法委员会在联合国系统内发挥着核心和协调作用,委员会赞扬秘书处采取的各种举措和开展的各项活动,并请秘书处(a)继续开展探索性工作,特别是与统法协会秘书处及有关国家协作,以期制定关于这一领域今后可能开展的工作的建议;Noting that UNCITRAL played a central and coordinating role within the United Nations system in addressing legal issues related to the digital economy and digital trade, the Commission commended the Secretariat for its various initiatives and activities and requested the Secretariat to: (a) continue its exploratory work, in particular in collaboration with the Unidroit secretariat and interested States, with a view to formulating a proposal for possible future work in that area;
(b)针对在这项探索性工作中确定的具体法律问题拟订一项工作计划,其中包括关于在现有文书中处理这些问题的建议和酌情拟订具体新文书的建议;(b) prepare a workplan to address the specific legal issues identified in the course of that exploratory work, including recommendations both for dealing with them in existing instruments and for the development of specific new instruments, as appropriate;
(c)向委员会2020年第五十三届会议汇报其探索性工作的进展情况。and (c) report back to the Commission at its fifty‑third session, in 2020, on the progress of its exploratory work.
2.2.
关于今后工作的新建议New proposals for future work
(a)(a)
国际高技术相关争端的仲裁Arbitration in international high-tech-related disputes
23.212.
委员会听取了以色列和日本政府关于解决高技术相关争端的建议(A/CN.9/997),其中建议秘书处可以对目前的状况、高技术产业在解决此类争端方面的当前和预期需求以及是否具有或缺乏完备法律框架来满足这些需求进行初步审查。The Commission heard a proposal on high-tech-related dispute resolution by the Governments of Israel and Japan (A/CN.9/997), which suggested that the Secretariat could undertake a preliminary review of the current state of affairs, the current and expected needs of the high-tech industry in resolving such disputes, and the availability or lack of adequate legal frameworks to address those needs.
据解释,过去几十年当中数字经济的增长导致涉及高科技领域特有问题的争端增多,例如,与违反软件许可、不当使用被收购公司的信息技术或因代码错误而承担赔偿责任有关的争端。It was explained that the growth of the digital economy in the last few decades had caused an increase in disputes involving questions unique to the field of high-tech, such as those relating to violation of software licences, misrepresentations of an acquired company’s information technology, or liability due to faulty code.
据指出,涉及高技术问题的争端在技术上往往很复杂,主要是因为高技术产品和服务依赖于应用科学、工程学等学科。It was observed that disputes involving high-tech issues tended to be technically complex, mainly because high-tech products and services relied on applied sciences, engineering and the like.
此外,在获取数字证据方面可能需要作出特别安排,例如,向仲裁员、调解员或技术专家提供远程访问载有相关信息的计算机(不论位于何处)的机会,或使其能够采取保存数字证据所必需的措施。Also, special arrangements might become necessary with respect to access to digital evidence, for example, by providing the arbitrator, mediator or technical expert with remote access to a computer, wherever it may be located, containing relevant information, or by enabling him or her to take such measures as may be needed to preserve digital evidence.
24.213.
针对就可能制定特定部门争端解决规则提出的关切,澄清说,该建议并不是设想制定一部规范性文书,而是委员会可以针对高技术相关争端中出现的问题提供指导。In response to concerns about the possible development of sector-specific dispute settlement rules, it was clarified that the proposal did not foresee the development of a normative instrument, but rather that the Commission could provide guidance to address issues arising in the context of high-tech-related disputes.
在这方面,据指出,目前的《贸易法委员会仲裁规则》为高技术行业的当事人提供了足够灵活性,可以调整规则使之满足其需要,而制定针对具体部门的规则可能有规范过度的风险。In that connection, it was pointed out that the current UNCITRAL Arbitration Rules provided sufficient flexibility to parties in the high-tech industry to adjust the rules to meet their needs and that the development of sector-specific rules might run the risk of becoming too prescriptive.
25.214.
会上还就“高技术”一词的定义以及因此可能开展的工作范围、高技术产业的具体需求和面临的问题以及该产业的独特性提出了问题,这些都要求开展这种工作。Questions were also raised concerning the definition of the term “high-tech” and, consequently, the scope of the possible work, as well as the specific needs of the high-tech industry, the problems that it faced and the uniqueness of the industry, which called for such work.
在这方面,会上提出,探索性工作需要就为什么有必要在这一特定部门开展工作提供理由,可能情况下这项工作可以有相关专家的参与,并考虑到其他组织开展的现有工作。In that connection, it was suggested that the exploratory work would need to provide justification as to why work on that specific sector was necessary, possibly through engagement with relevant experts and by taking into account the existing work carried out by other organizations.
26.215.
经过讨论,会上普遍同意请秘书处就与数字经济交易产生的争端有关的问题开展探索性工作。After discussion, there was general agreement that the Secretariat should be requested to conduct exploratory work on issues relating to disputes that arise out of transactions in the digital economy.
这种探索性工作应包括对委员会今后可能就这一专题开展的工作进行可行性研究。Such exploratory work should include a feasibility study on possible future work by the Commission on the topic.
会议还商定,在开展探索性工作时应考虑到本届会议期间表达的关切和问题,这项工作应与秘书处正在进行的关于数字经济中出现的法律问题的探索性工作结合起来(见上文第207-211段)。It was also agreed that the concerns and questions expressed during the current session should be taken into account in conducting exploratory work, which should be combined with the Secretariat’s ongoing exploratory work on the legal issues arising in the digital economy (see paras. 207–211 above).
在这项工作的安排方面,秘书处被赋予灵活性,但须考虑到可利用的资源和时间。The Secretariat was afforded flexibility in organizing such work, subject to the availability of resources and time.
(b)(b)
铁路运单Railway consignment notes
27.216.
中国政府就贸易法委员会今后可能开展拟订铁路运单法律框架的工作提出了一项建议(A/CN.9/998)。The Government of China presented a proposal on possible future work by UNCITRAL to develop a legal framework for railway consignment notes (A/CN.9/998).
建议指出,铁路运输具有运程短、速度快、受天气影响小等优点。The proposal noted that railway transportation had many advantages, such as shorter transport distance, faster speed and less vulnerability to weather.
由于许多国家是通过陆路相连的,铁路运输作为不同国家之间密切的经济和贸易交流的重要手段具有巨大的发展潜力。As many countries were connected by land, railway transportation had a significant development potential as an important means for close economic and trade exchanges among different countries.
然而,在实践中,国际铁路运单仅具有作为收到货物的证明和铁路运输合同条款的证据作用。However, in practice, international railway consignment notes only had an evidentiary function as proof of the receipt of goods and the terms of the railway carriage contract.
与海运提单不同的是,铁路运单不能作为物权凭证,也不能用于信用证的结算和结汇。Unlike the ocean bill of lading, the consignment note did not serve as a document of title and could not be used for the settlement and financing of letters of credit.
铁路运单的功能有限,还限制了银行和其他机构提供金融服务的能力,增加了进口商的资金压力,也使出口商面临回款风险。The limited function of the railway consignment note also limited the ability of banks and other institutions to provide financial services and increased the financial pressure on importers and the risks faced by exporters in collecting payments.
因此,建议贸易法委员会将铁路运输单证问题纳入其工作方案,并着手起草相关国际规则和制定法律文书。Therefore, it was recommended that UNCITRAL incorporate railway transport documents into its work programme and start work on the drafting of relevant international rules and the drawing up of relevant legal instruments.
例如,建议委员会可探讨是否可以创设适用于包括铁路、公路和航空运输的一种或多种运输方式的提单的规则,以实现一单到底、凭单控货、凭单取货的目的,赋予这一新的运输单证物权凭证属性,使其发挥融资结算功能。It was suggested, for instance, that the Commission could explore the possibility of creating a rule on a bill of lading for one or more modes of transport, including railway, road and air, to achieve the goals of using a single bill, controlling the cargo with the bill and taking delivery of goods with the bill, giving that new transport document the nature of a document of title in order to enable it to perform the financial settlement function.
未来的文书应包括关于签发人资格、签发条件、签发对象、签发格式、签发效力等问题的新规则。The future instrument should include new rules on issues such as the issuer’s qualifications, the conditions for issuance and the object, format and validity of the issuance.
28.217.
委员会感兴趣地审议了该建议,认为该建议对世界贸易、特别是对于发展中国家的经济发展具有相当大的实际意义。The Commission considered with interest the proposal, which was felt to have considerable practical significance for world trade, in particular for the economic growth of developing countries.
然而,鉴于所涉问题广泛且复杂,委员会商定,作为第一步,请秘书处就与使用铁路运单或其他运单有关的法律问题进行研究,并与其他相关组织进行协调,如国际铁路联运组织、铁路合作组织、国际铁路运输委员会、联合国相关区域委员会、国际货代联合会和国际商会。However, given the wide range of issues involved and their complexity, the Commission agreed, as a first step, to request the Secretariat to conduct research on legal issues related to the use of railway or other consignment notes, and to coordinate with other relevant organizations such as the Intergovernmental Organization for International Carriage by Rail, the Organization for Cooperation between Railways, the International Rail Transport Committee, the relevant United Nations regional commissions, FIATA and the International Chamber of Commerce.
为此,委员会请秘书处向委员会2020年第五十三届会议汇报这项研究取得的进展。In that connection, the Commission requested the Secretariat to report back to the Commission, at its fifty-third session, in 2020, on the progress made in that research.
29.218.
鉴于铁路运输在促进贸易方面的重要性以及使用铁路运输的贸易量增加,对该建议表示了支持。Support was expressed for the proposal, in view of the importance of railway transport in facilitating trade and the increase in the volume of trade using railway transport.
另一个问题是,这项工作将如何与其他国际组织在出口信贷方面的工作联系起来,特别是在为融资目的使用铁路运单方面。Another question was how the work would be linked with work by other international organizations on export credit, in particular on the use of railway consignment notes for financing purposes.
据指出,这项工作可能与仓单方面的可能工作有一些共同点,秘书处需要研究与贸易法委员会现有法规的关系,主要是《担保交易示范法》和《电子可转让记录示范法》。It was noted that the work may have some commonalities with the possible work on warehouse receipts and that the Secretariat would need to examine the relationship with existing UNCITRAL texts, mainly the Model Law on Secured Transactions and the Model Law on Electronic Transferable Records.
还指出,今后的任何工作不仅应让建议中提到的组织参与进来(见上文第217段),还应让其他致力于国际铁路运输法律标准的组织参与进来,如欧洲经委会。It was also noted that any future work should involve not only the organizations referred to in the proposal (see para. 217 above), but also other organizations working on legal standards for international railway transport, such as ECE.
30.219.
经过讨论,委员会请秘书处根据本届会议上提出的意见,在资源允许的情况下,与其他相关和感兴趣的组织协调,开展探索性工作,研究在国际贸易中使用铁路运单或其他运单的有关法律问题。After discussion, the Commission requested the Secretariat to conduct exploratory work by researching legal issues related to the use of railway or other consignment notes in international trade, in coordination with other relevant and interested organizations, in the light of the comments made at the current session and subject to the availability of resources.
会议请秘书处向委员会下届会议提出报告,以便委员会能够就前进方向作出更知情的决定。The Secretariat was requested to report to the Commission at its next session, so that it could make a more informed decision on the way forward.
(c)(c)
其他专题(包括非立法工作)Other topics (including non-legislative work)
31.220.
委员会审议了工作组前几届会议上提议作为今后可能开展工作的主题的一些专题,以及A/CN.9/981号文件表2和表3所载拟列入工作方案的非立法性质的其他活动。The Commission considered a number of topics that had been proposed as subjects of possible future work at previous working group sessions, as well as other activities of a non-legislative nature to be included in the work programme, as set out in tables 2 and 3 of document A/CN.9/981.
C.C.
未来立法项目的优先顺序和时间表Priorities and timetable for future legislative projects
32.221.
委员会对今后可能开展的项目的审议结果如下:The Commission concluded its deliberations on possible future projects as follows:
(a)(a)
就工作组时间的分配而言,应当优先考虑于2019年组织一次专题讨论会,讨论民事资产追查和追回问题,并于2020年举办一次专题讨论会,审议破产程序的适用法律,使委员会能够在2020年第五十三届会议上进一步审议这些专题;As far as the allocation of working group time was concerned, priority should be given to organizing a colloquium in 2019 to discuss civil asset tracing and recovery, and a colloquium in 2020 to consider applicable law in insolvency proceedings, to enable the Commission to further consider those topics at its fifty-third session, in 2020;
(b)(b)
秘书处应继续进行关于仓单的准备工作,包括安排与其他有关组织的协商会议,以期推进初稿材料的编写工作;The Secretariat should continue its preparatory work on warehouse receipts, including by organizing consultation meetings with other interested organizations, with a view to advancing the preparation of initial draft materials;
(c)(c)
秘书处应就数字经济的有关法律问题——包括与高技术争端有关的争端解决办法——开展探索性和准备工作,以供委员会进一步审议;The Secretariat should conduct exploratory and preparatory work on legal issues related to the digital economy, including on dispute resolution in relation to high-tech disputes, for further consideration by the Commission;
(d)(d)
秘书处应就铁路运单进行探索性和准备工作,以供委员会进一步审议;The Secretariat should conduct exploratory and preparatory work on railway consignment notes, for further consideration by the Commission;
(e)(e)
不进行契约型网络、知识产权许可和担保交易争议替代性解决办法方面的工作。No work would be undertaken on contractual networks, intellectual property licensing and alternative dispute resolution in secured transactions.
33.222.
委员会还决定如下:The Commission further decided to:
(a)(a)
敦促秘书处最后审定与海牙国际私法会议和统法协会合作编写的国际商业合同指南(以销售为重点)(另见下文第224段);Urge the Secretariat to finalize the guide on international commercial contracts (with a focus on sales) prepared in cooperation with the Hague Conference on Private International Law and Unidroit (see also para. 224 below);
(b)(b)
请秘书处着手编写《贸易法委员会跨国界破产示范法》摘要集(另见下文第250段)以及关于颁布贸易法委员会破产法领域三部示范法的解释性材料(见A/CN.9/966,第109段),并建立不断更新标题为《贸易法委员会跨国界破产示范法:司法角度的审视》的出版物的机制;Request the Secretariat to proceed with the preparation of a digest on the UNCITRAL Model Law on Cross-Border Insolvency (see also para. 250 below), as well as explanatory materials on the enactment of three UNCITRAL model laws in the area of insolvency law (see A/CN.9/966, para. 109), and establish a mechanism for updating the publication entitled UNCITRAL Model Law on Cross-Border Insolvency: The Judicial Perspective on an ongoing basis;
(c)(c)
确认请秘书处编写关于颁布贸易法委员会电子商务领域法规的解释性材料。Confirm the request to the Secretariat to prepare explanatory materials on the enactment of UNCITRAL texts in the area of electronic commerce.
六.XVI.
协调与合作Coordination and cooperation
A.A.
概述General
223.223.
委员会收到了秘书处的一份说明(A/CN.9/978),其中介绍了自上次向委员会提交说明(A/CN.9/948)以来秘书处参加的由活跃于国际贸易法领域的国际组织开展的活动。The Commission had before it a note by the Secretariat (A/CN.9/978) providing information on the activities of international organizations active in the field of international trade law in which the Secretariat had participated since the last note to the Commission (A/CN.9/948).
委员会获悉,随着这些年国际和区域法律协调统一工作的数量增加,在编写其他国际组织与国际贸易法有关的活动的一般性调查或各组织在特定国际贸易法专题上的活动的深入报告方面,秘书处的困难不断增加,资源压力也越来越大。The Commission was informed that the increased volume of international and regional legal harmonization efforts over the years had made it increasingly difficult and resource intensive for the Secretariat to prepare either general surveys of the activities of other international organizations related to international trade law or in-depth reports on the activities of organizations on specific international trade law topics.
因此,自2006年以来,秘书处仅侧重于编写一份关于秘书处参加的国际组织活动的说明。For this reason, since 2006 the Secretariat had focused only on preparing a note on activities of international organizations in which the Secretariat had participated.
然而,由于与委员会相关的新工作领域的迅速发展,可能需要重新考虑这种做法。Because of the rapid development of new areas of work of relevance for the Commission, however, it may be desirable to reconsider such an approach.
因此,秘书处告知委员会,在资源允许的情况下,秘书处将对编写国际贸易法方面国际活动定期概览的可行性进行研究,以期协助委员会确定对国际贸易法律进行协调统一的状况并规划其今后工作。The Secretariat thus informed the Commission that, resources permitting, it would examine the feasibility of preparing a periodic overview of international activities on international trade law with a view to assisting the Commission in ascertaining the state of harmonization of the law of international trade and planning its future work.
224.224.
委员会满意地注意到继续与海牙国际私法会议和统法协会进行协调,在编写商事合同法联合指导文件(侧重销售)方面取得进展,该文件将提交委员会2020年第五十三届会议(见上文第222段)。The Commission took note with satisfaction of the continuing coordination with the Hague Conference on Private International Law and Unidroit, and the progress on the preparation of the joint guidance document on commercial contract law (with a focus on sales) that would be submitted to the Commission at its fifty-third session, in 2020, (see para. 222 above).
委员会还赞赏地注意到秘书处与世界银行进行协调,后者正在就制定一项处理小微实体破产问题的标准与贸易法委员会并行开展工作(见上文第178段)。The Commission also noted with appreciation the coordination of the Secretariat with the World Bank, which was working in parallel with UNCITRAL on a standard that would address the insolvency of micro and small enterprises (see para. 178 above).
强调了贸易法委员会和世界银行今后关于这一事项的案文保持协调一致的重要性。The importance of achieving the alignment of future UNCITRAL and World Bank texts on that matter was highlighted.
委员会回顾,本届会议早些时候曾提醒委员会注意《破产和债权人权利标准》是作为一种涉面广泛的评估工具设计的,旨在协助各国努力评价和改进破产和债权人/债务人制度(见上文第183段)。The Commission recalled that, earlier in the session, it had been reminded of the ICR Standard, which was designed as a broad-spectrum assessment tool to assist countries in their efforts to evaluate and improve insolvency and creditor/debtor regimes (see para. 183 above).
委员会认为,务必将贸易法委员会破产法领域(关于承认和执行与破产有关的判决、企业集团破产和企业集团公司董事的义务)的最新文书以及今后关于小微实体破产的任何文书纳入《破产和债权人权利标准》。The Commission considered it important to include the latest instruments of UNCITRAL in the area of insolvency law (on recognition and enforcement of insolvency-related judgments, enterprise group insolvency and obligations of directors of enterprise group companies) and any future instrument on the insolvency of micro and small enterprises in the ICR Standard.
此外,委员会强调其秘书处有必要在公私伙伴关系领域与欧洲经委会和欧洲复兴开发银行进行更密切的协调,以期增进即将出台的法规的一致性(见上文第19段)。Furthermore, the Commission stressed the need for a closer coordination of its secretariat with ECE and EBRD in the area of public-private partnerships with a view to enhancing consistency among forthcoming texts (see para. 19 above).
225.225.
委员会对秘书处与联合国系统内外其他组织和实体进行接触表示满意,其中包括国际投资争端解决中心、经济合作与发展组织、法语国家国际组织、美洲国家组织、联合国贸易和发展会议和世界贸易组织。The Commission expressed its satisfaction with the Secretariat’s engagement with other organizations and entities both within and outside the United Nations system, including the International Centre for Settlement of Investment Disputes, the Organization for Economic Cooperation and Development, OIF, OAS, the United Nations Conference on Trade and Development and the World Trade Organization.
226.226.
委员会注意到,与往年一样,秘书处的协调工作包括对这些组织起草的文件提供评论意见及参与各类会议(如工作组、专家组和全体会议),以及编写联合文件,目的是共享信息和专门知识,避免在所产生的工作成果方面重复工作。The Commission noted that, as in previous years, the coordination work of the Secretariat included the provision of comments on documents drafted by those organizations and participation in various meetings (e.g., working groups, expert groups and plenary meetings) and conferences and the preparation of joint papers with the purpose of sharing information and expertise and avoiding duplication of work in the resultant work products.
227.227.
最后,委员会注意到,秘书处协调努力的成效受到可供其利用的人力和财政资源的严重限制,这种努力的成功还取决于其他组织是否愿意确保取得协调的结果。Finally, the Commission observed that the effectiveness of the Secretariat’s coordination efforts was severely limited by the human and financial resources available to it and that the success of such efforts also depended on the willingness of the other organizations to ensure a coordinated outcome.
委员会重申贸易法委员会协调工作的重要性,支持秘书处呼吁与那些也积极参与其他国际组织的贸易法委员会成员国进行更密切的协调,这将大大加强秘书处的协调努力。Reiterating the importance of UNCITRAL coordination work, the Commission supported the Secretariat’s appeal for closer coordination with those UNCITRAL member States that are also active in other international organizations, which would greatly enhance the Secretariat’s coordination efforts.
B.B.
其他国际组织的报告Reports of other international organizations
228.228.
委员会注意到获邀出席本届会议的国际组织和区域组织的代表所作的侧重于与贸易法委员会相关的活动的发言。The Commission took note of the statements made on behalf of international and regional organizations invited to the session that focused on activities of relevance to UNCITRAL.
1.1.
统法协会Unidroit
229.229.
统法协会秘书长报告了统法协会若干案文和活动的动态。The Secretary-General of Unidroit reported on the developments concerning several Unidroit texts and activities.
特别向委员会通报了下列事项:In particular, the Commission was informed about the following:
(a)(a)
根据《移动设备国际利益公约关于航空器设备特定事项的议定书》设立的国际登记处继续吸引越来越多的交易登记入册(100万);The international registry under the Protocol to the Convention on International Interests in Mobile Equipment on Matters specific to Aircraft continued to attract an increasing number of registered transactions (1 million);
(b)(b)
《移动设备国际权益公约关于铁道机动车辆特定事项的议定书》预计不久将在瑞典批准后生效,另外还有四个国家预计将在不久的将来加入该议定书;The Protocol to the Convention on International Interests in Mobile Equipment on Matters specific to Railway Rolling Stock was expected to soon enter into force following ratification by Sweden, with four more States expected to accede in the near future;
(c)(c)
统法协会筹备拟于2019年11月在比勒陀利亚举行的外交会议取得进展,此次会议将审议并可能通过《移动设备国际权益公约》关于采矿、农业设备和建筑设备特定事项的第四项议定书;Unidroit was making progress on preparations for a diplomatic conference in Pretoria, to be held in November 2019, that would consider and possibly adopt the fourth protocol to the Convention on International Interests in Mobile Equipment, on matters specific to mining, agricultural and construction equipment;
(d)(d)
正在编写统法协会-粮农组织-农发基金农业用地投资合同法律指南草案的工作组已同意提供该指南预稿,作为编拟过程的一部分供公开协商(见www.unidroit.org/work-in-progress/agricultural-land-investment/online-consultation);The working group that was preparing a draft Unidroit-FAO-IFAD legal guide on agricultural land investment contracts had agreed to make the zero draft of the guide available for open consultations as part of its elaboration process (see www.unidroit.org/work-in-progress/agricultural-land-investment/online-consultation);
(e)(e)
统法协会继续与欧洲法律研究所合作,改编美国法学会/统法协会《跨国民事诉讼程序原则》,以期拟订专门针对欧洲的区域规则;Unidroit was continuing to work with the European Law Institute to adapt the American Law Institute/Unidroit Principles of Transnational Civil Procedure with a view to drafting Europe-specific regional rules;
(f)(f)
编写再保险合同原则的项目正在取得进展。The project on the preparation of the principles of reinsurance contract law was making progress.
该项目被列入统法协会2017-2019年期间工作方案,旨在拟订有关全球再保险法律的重述,这方面的规定通常隐含于国际习惯法和惯例,但鲜被纳入法规;The project, which was included in the Unidroit work programme for the period 2017–2019, was aimed at formulating a restatement of global reinsurance law, which is usually embedded in international custom and usage but seldom in legislation;
以及
(g)(g)
统法协会正在评估一个新项目的可行性,该项目侧重于制定有效执行合同和担保权的标准和最佳做法。Unidroit was assessing the feasibility of a new project focusing on developing standards and best practices for the effective enforcement of contracts and security rights.
该项目将同时涉及法院程序和庭外程序,以及相关的不同机构和专业人员,并将审查在执行过程中债权人和债务人面临的挑战以及可用来克服这些障碍的工具。The project would address both in-court and out-of-court procedures, as well as the different institutions and professionals involved, and would examine the challenges that creditors and debtors face during the enforcement process and the tools for overcoming those obstacles.
2.2.
常设仲裁法院Permanent Court of Arbitration
230.230.
常设仲裁院的代表作了发言,总结了常设仲裁院2018-2019年期间的工作,其中包括介绍了常设仲裁院在一些不同的仲裁和调解程序中提供登记处支持的最新情况,并特别介绍了其适用《贸易法委员会仲裁规则》的经验。The representative of PCA made a statement providing a summary of the work of PCA in the period 2018–2019, including an update on the Court’s provision of registry support in a number of different arbitration and conciliation proceedings, and in particular on its experience with the operation of the UNCITRAL Arbitration Rules.
常设仲裁院还为贸易法委员会关于快速仲裁的第二工作组和关于投资人与国家间争端解决制度改革的第三工作组的讨论工作提供了技术意见,包括提供了关于费用和任命以及仲裁员回避等方面的信息。PCA had also provided technical contributions to the discussions in UNCITRAL Working Groups II, on expedited arbitration, and III, on investor-State dispute settlement reform. Such contributions included information on costs and appointment and the challenges faced by arbitrators.
3.3.
世界银行World Bank
231.231.
世界银行的代表强调了贸易法委员会和世界银行之间根据《破产和债权人权利标准》(见上文第224段)就小微实体破产问题开展合作的重要性。The representative of the World Bank emphasized the importance of cooperation between UNCITRAL and the World Bank on the insolvency of micro and small enterprises in the light of the ICR Standard (see para. 224 above).
世界银行的代表还结合世界银行提供的技术援助活动,强调了《贸易法委员会破产法立法指南》和《贸易法委员会跨国界破产示范法》的重要性。The representative of the World Bank also emphasized the importance of the UNCITRAL Legislative Guide on Insolvency Law and the UNCITRAL Model Law on Cross-Border Insolvency in the context of World Bank technical assistance activities.
世界银行的代表还向委员会通报称,上述两个法规均被各国用作破产法领域法律改革的基础。The representative of the World Bank also informed the Commission that both texts were used by States as the basis for law reform in the area of insolvency law.
在这方面,委员会赞赏地注意到多个国家可能即将颁布《示范法》。In that regard, the Commission took note with appreciation of likely upcoming enactments of the Model Law in various States.
232.232.
世界银行的代表还回顾了贸易法委员会秘书处和世界银行就破产问题多国司法机构专题讨论会正在开展的合作。The representative of the World Bank also recalled the ongoing cooperation between the UNCITRAL secretariat and the World Bank in respect to the Multinational Judicial Colloquium on Insolvency.
会上注意到有建议提出不应仅向破产事务法官提供司法培训。A proposal to deliver judicial training not only to insolvency judges was noted.
4.4.
香港调解中心Hong Kong Mediation Centre
233.233.
香港调解中心的代表向贸易法委员会通报了该中心开展的活动,强调了与推广《新加坡调解公约》和组织关于非诉讼争议解决办法的会议有关的活动。The representative of the Hong Kong Mediation Centre informed UNCITRAL about the activities of the Centre, highlighting in particular those relating to the promotion of the Singapore Convention on Mediation and the organization of conferences on alternative dispute resolution.
还着重介绍了该中心在数字经济方面的协调作用。The coordinating role of the Centre in relation to the digital economy was also highlighted.
最后,香港调解中心的代表强调了国际组织之间开展协调与合作的重要作用。Finally, the representative emphasized the importance of coordination and cooperation among international organizations.
5.5.
美洲国家组织Organization of American States
234.234.
巴拉圭代表表示赞赏贸易法委员会秘书处对美洲国家组织起草国际货物销售适用法律指南项目做出的显著贡献,并解释说美洲国家组织大会将很快审议该指南草案案文。The delegate of Paraguay expressed appreciation for the significant contribution by the UNCITRAL secretariat to the OAS project on drafting a guide on the law applicable to the international sale of goods, and explained that the OAS General Assembly would soon consider the draft text.
有建议称,贸易法委员会可参照其对统法协会和海牙国际私法会议的工作所产生的案文的做法,核可上述指南。A suggestion that UNCITRAL could endorse the guide, as it had done with texts emanating from the work of Unidroit and the Hague Conference on Private International Law, was made.
235.235.
巴拉圭代表还向委员会通报了巴拉圭的动态,指出该国已经拟订了借鉴贸易法委员会工作的证券和破产法律草案。The delegate of Paraguay also informed the Commission about developments in Paraguay, noting that draft laws on securities and insolvency that drew on the work of UNCITRAL had been prepared.
C.C.
获邀参加贸易法委员会及其工作组届会的国际政府间组织和非政府组织International governmental and non-governmental organizations invited to sessions of UNCITRAL and its Working Groups
236.236.
委员会回顾,在其第四十四届会议至第五十届会议上,委员会听取了秘书处关于获邀参加贸易法委员会届会的政府间组织和非政府组织的口头报告。The Commission recalled that, at its forty-fourth to fiftieth sessions, it had heard oral reports by the Secretariat about intergovernmental and non-governmental organizations invited to sessions of UNCITRAL.
委员会在2015年第四十八届会议上请秘书处在作口头报告介绍获邀参加贸易法委员会届会的组织这一议题时,就获邀组织如何满足秘书处在决定邀请非政府组织时所适用的标准提供意见。At its forty-eighth session, in 2015, it had requested the Secretariat, when presenting its oral report on the topic of organizations invited to sessions of UNCITRAL, to provide comments on the manner in which invited organizations fulfilled the criteria applied by the Secretariat in making its decision to invite non-governmental organizations.
委员会在2016年第四十九届会议上欢迎秘书处根据该请求提交的内容翔实的报告。At its forty-ninth session, in 2016, the Commission welcomed the detailed and informative report presented by the Secretariat pursuant to that request.
委员会在2017年第五十届会议上请秘书处为今后届会提供关于获邀参加贸易法委员会届会的政府间组织和非政府组织的书面情况。At its fiftieth session, in 2017, the Commission requested the Secretariat to provide information about intergovernmental and non-governmental organizations invited to sessions of UNCITRAL in writing for future sessions.
237.237.
委员会收到了根据这一请求提交的一份说明(A/CN.9/984)。The Commission had before it a note submitted pursuant to that request (A/CN.9/984).
该说明介绍了自贸易法委员会第五十一届会议开始至2019年5月24日期间新接受的政府间组织和非政府组织以及申请被拒绝的非政府组织的情况。The note presented information about the newly invited intergovernmental and non-governmental organizations, and the non-governmental organizations whose applications had been declined in the period since the start of the fifty-first session of UNCITRAL until 24 May 2019.
委员会注意到获邀仅在第三工作组处理投资人与国家间争端解决制度改革议题期间参加其届会的另一批非政府组织的单独名单。The Commission took note of a separate list of additional non-governmental organizations invited only to sessions of Working Group III while it was working on issues of investor-State dispute settlement reform.
238.238.
关于中国国际贸易促进委员会提出的将其移至获邀参加贸易法委员会及其工作组届会的非政府组织总名单的请求,委员会批准了该请求。As regards the request by the China Council for the Promotion of International Trade to be moved to the general list of non-governmental organizations invited to sessions of UNCITRAL and its working groups, the Commission granted that request.
七.XVII.
促进确保统一解释和适用贸易法委员会法规的方式方法Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts
1.239.
委员会审议了秘书处关于促进确保统一解释和适用贸易法委员会法规的方式方法的说明(A/CN.9/976)。The Commission considered the note by the Secretariat on promotion of awareness, understanding and use of UNCITRAL texts (A/CN.9/976).
委员会还听取了2019年7月15日在维也纳举行的贸易法委员会法规判例法(法规判例法)系统国家通讯员会议的报告。The Commission also heard a report on the meeting of national correspondents of the Case Law on UNCITRAL Texts (CLOUT) system, held in Vienna on 15 July 2019.
2.240.
委员会表示赞赏法规判例法包括摘要集在促进统一解释贸易法委员会法规方面的价值。The Commission expressed its appreciation for the value of CLOUT, including the digests, in promoting the uniform interpretation of UNCITRAL texts.
委员会欢迎秘书处关于加强法规判例法系统和建立法规判例法社区的建议,并指出,法规判例法系统得到加强后将更有效,可大大有助于不断开展可持续并且有着极大需求的能力建设工作,内部监督事务厅最近对法律事务厅进行的评估(E/AC.51/2019/9,第39段)凸显了这一点。The Commission welcomed the Secretariat’s proposals for enhancing CLOUT and creating a CLOUT community and noted that an enhanced and more effective CLOUT could significantly contribute to the delivery of continued and sustained capacity-building efforts, which were in high demand, as recently highlighted by an evaluation of the Office of Legal Affairs carried out by the Office of Internal Oversight Services (E/AC.51/2019/9, para. 39).
3.241.
还指出,法规判例法系统是收集关于贸易法委员会法规使用和执行情况的信息的重要工具,这种信息还有助于确定未来立法工作的需要。It was also noted that CLOUT was an important tool for collecting information on the use and implementation of UNCITRAL texts and that such information was also useful for identifying needs for future legislative work.
4.242.
委员会注意到,源自西欧及其他国家区域组法域的判例摘要数量与源自其他区域的判例摘要数量之间存在差距。The Commission took note of the gap between the number of case abstracts originating from jurisdictions located in the Western European and other States regional group and those originating from other regions.
同样,委员会注意到,法规判例法系统的大多数判例涉及贸易法委员会关于仲裁和国际货物销售法规的适用和解释,而涉及贸易法委员会其他工作领域的判例偏低。Similarly, the Commission noted that most CLOUT cases related to the application and interpretation of UNCITRAL texts on arbitration and the international sale of goods, while other areas of the work of UNCITRAL were underrepresented.
委员会还注意到,在本报告所涉期间,国家通讯员提供的摘要约占法规判例法系统所发表摘要的一半,其余摘要由自愿撰稿人或秘书处编写。The Commission also noted that, in the period under review, national correspondents had provided approximately half of the abstracts published in CLOUT and that the remainder had been prepared by voluntary contributors or by the Secretariat.
会上提出,指定学界人士担任国家通讯员可大大有助于及时编写法规判例法摘要。It was suggested that the appointment of academics as national correspondents could significantly assist in the timely preparation of CLOUT abstracts.
5.243.
据指出,更新和扩展法规判例法网络是必要的,以便为判例法的汇编和摘要的编写以及相关信息的传播提供新的推动力。It was noted that rejuvenating and expanding the CLOUT network was desirable, as that would give new impulse to the compilation of case law and the preparation of abstracts, as well as to the dissemination of related information.
特别是,补充说,这种扩展可以帮助从所有区域收集与贸易法委员会所有工作领域相关的信息。In particular, it was added, such expansion could assist in collecting information from all regions and relating to all UNCITRAL areas of work.
会上指出,拟议设立的指导委员会和法规判例法合作伙伴网络(A/CN.9/976,第35-47段)将构成恢复活力的法规判例法社区重要组成部分。It was indicated that the proposed establishment of a steering committee and a CLOUT network of partners (A/CN.9/976, paras. 35–47) would constitute an important element of the revived CLOUT community.
据指出,这样一个委员会可以就具体事项提供咨询意见并在各国与法规判例法系统之间建立更密切的联系,从而有助于法规判例法系统的管理。Such a committee, it was said, could contribute to managing CLOUT by providing advice on specific matters and establishing a closer connection between States and CLOUT.
会上提出,应当鼓励法规判例法社区成员之间的电子交流。It was suggested that electronic exchanges among members of the CLOUT community should be encouraged.
6.244.
会上指出,拟议的指导委员会可包括以下职能:It was indicated that the functions of the proposed steering committee could include the following:
就法规判例法信息的传播提出改进建议,例如,包括基于用户反馈的编辑和技术方面的解决办法;suggesting improvements for the dissemination of CLOUT information, such as editorial and technical solutions, including those based on user feedback;
报告与法规判例法有关的其他判例法数据库和信息源的情况,并为获取这些信息源提供便利;reporting on other case law databases and sources of information relevant to CLOUT and facilitating access to those sources;
协调与法规判例法相关的活动,包括通过促进与当地合作伙伴和捐助人的联系;coordinating CLOUT-related activities, including by facilitating contact with local partners and donors;
建议、规划和开展国家和区域各级的活动。and suggesting, planning and carrying out activities at the national and regional levels.
进一步指出,指导委员会可有助于促进建立法规判例法合作伙伴网络。It was further indicated that the steering committee could be useful in promoting the establishment of a network of CLOUT partners.
关于所涉经费,会上解释说,指导委员会成员可以在国家通讯员会议期间举行远程会议或亲自出席会议,因此不需要额外费用。With respect to financial implications, it was explained that the members of the steering committee could meet remotely or in person on the occasion of the meetings of national correspondents and therefore at no additional cost.
经讨论后,委员会同意设立一个由每个国家任命的一名代表组成的法规判例法系统指导委员会,并鼓励各国任命代表。After discussion, the Commission agreed to establish a CLOUT steering committee comprising one representative appointed by each State and encouraged States to appoint representatives.
7.245.
关于建立法规判例法系统伙伴关系的建议,会上表示,大学和研究机构、司法机构以及对贸易法委员会一个或多个工作领域特别感兴趣的其他组织等实体应当有资格成为法规判例法系统的合作伙伴,建立伙伴关系将考虑到有关实体对法规判例法作出贡献的能力以及每个工作领域的不同需要。With regard to the proposal to establish CLOUT partnerships, it was indicated that entities such as universities and research institutes, judicial bodies and other organizations with a special interest in one or more areas of the work of UNCITRAL should be eligible to become CLOUT partners and that the establishment of a partnership would take into account the ability of the entity to contribute to CLOUT, as well as the different needs of each work area.
8.246.
会上提出,法规判例法系统的合作伙伴将监测和报告判例法并开展宣传活动,如组织关于贸易法委员会法规的会议、讲习班和类似活动;It was suggested that CLOUT partners would monitor and report on case law and undertake promotional activities such as organizing conferences, workshops and similar events on UNCITRAL texts;
提供解释性报告和准备工作文件等材料,特别是以当地语文提供;making materials such as explanatory reports and travaux préparatoires available, especially in local languages;
协助编写与贸易法委员会工作有关的著述目录;contributing to the bibliography of writings related to the work of UNCITRAL;
报告与贸易法委员会法规的适用和解释有关的立法和行政决定;reporting on legislation and administrative decisions relevant to the application and interpretation of UNCITRAL texts;
建立和维护法规判例法的补充性数据库;creating and maintaining databases complementary to CLOUT;
在期刊上发表书籍和文章;publishing books and articles in journals;
在互联网和社交媒体上保持存在。and maintaining a presence on the Internet and on social media.
9.247.
经讨论后,委员会请秘书处根据相关规则和条例,在考虑到有关实体对法规判例法系统作出贡献的能力以及每个工作领域的不同需要的情况下,在现有资源范围内建立法规判例法系统伙伴关系,以开展上述活动(第246段)。After discussion, the Commission requested the Secretariat to establish CLOUT partnerships to pursue the activities indicated above (para. 246), within available resources, in line with relevant rules and regulations and taking into account the ability of the entity to contribute to CLOUT, as well as the different needs of each work area.
10.248.
关于信息传播,会上指出,目前支持法规判例法系统的电子数据库在判例搜寻和检索方面有若干限制。With respect to dissemination of information, it was noted that the current electronic database supporting CLOUT had several limitations with respect to the search and retrievability of cases.
还指出,多语文和免费访问是法规判例法系统的基本特征,应予保持。It was also noted that multilingualism and free access were fundamental CLOUT features to be preserved.
11.249.
会上回顾,人力和财政资源缺乏阻碍了对数据库的改进,包括将其迁移到贸易法委员会新网站,而且与贸易法委员会透明度存储处存在一些共同的技术问题(见下文第290-292段)。It was recalled that a lack of human and financial resources had prevented improvements to the database, including its migration to the new UNCITRAL website, and that some technical issues were shared with the transparency repository (see paras. 290–292 below).
委员会请秘书处继续作出努力,包括与合作伙伴开展合作,为法规判例法的电子传播方式找到一种可持续的解决办法。The Commission requested the Secretariat to renew its efforts to find a sustainable solution for the electronic dissemination of CLOUT, including in cooperation with partners.
12.250.
会上指出,将与有关组织和学术机构合作,最后审定《贸易法委员会跨国界破产示范法》摘要集草案。It was indicated that the draft digest on the UNCITRAL Model Law on Cross-Border Insolvency would be finalized in cooperation with interested organizations and academic institutions.
邀请获邀出席贸易法委员会及其第五工作组(破产法)届会的组织和机构向委员会或秘书处表达其为审查该摘要集草案作出贡献的意愿。Organizations and institutions invited to attend the sessions of UNCITRAL and its Working Group V (Insolvency Law) were invited to express their interest in contributing to the review of the draft digest to the Commission or the Secretariat.
对此,破产专业人员国际联合会向秘书处表示有兴趣对摘要集草案的审查作出贡献。In response, the International Federation of Insolvency Professionals had expressed to the Secretariat its interest in contributing to the review of the draft digest.
委员会赞赏地注意到这一意愿的表示。The Commission noted with appreciation that expression of interest.
13.251.
会上指出,着眼于司法能力建设的活动有利于促进对贸易法委员会法规的协调统一的解释和适用。It was noted that activities aimed at judicial capacity-building were instrumental in facilitating the harmonious interpretation and application of UNCITRAL texts.
委员会请秘书处加强其支持司法机构的能力建设活动,包括利用法规判例法工具,并向今后届会报告这些活动。The Commission invited the Secretariat to intensify its capacity-building activities in support of the judiciary, including by making use of the CLOUT tools, and to report to future sessions on those activities.
252.252.
委员会满意地注意到www.newyorkconvention1958.org网站的业绩以及该网站与法规判例法系统之间的成功协调。The Commission took note with satisfaction of the performance of the website www.newyorkconvention1958.org, and the successful coordination between that website and CLOUT.
十八.XVIII.
法律改革技术援助Technical assistance to law reform
A.A.
概述General
253.253.
委员会收到了秘书处关于自2018年向委员会提交上次报告(A/CN.9/ 958/Rev.1)以来开展技术合作与援助活动的说明(A/CN.9/980/Rev.1)。The Commission had before it a note by the Secretariat (A/CN.9/980/Rev.1) on technical cooperation and assistance activities undertaken in the period since the last report to the Commission in 2018 (A/CN.9/958/Rev.1).
254.254.
委员会回顾,秘书处的技术援助与合作活动包括(a)提高认识和促进对贸易法委员会法规的有效理解,使各国能够有效颁布这些法规,(b)在起草颁布贸易法委员会法规的法律和条例方面提供咨询和援助,包括通过差距分析和其他诊断工具,以及(c)贸易法委员会法规的通过、使用和解释方面的能力建设。The Commission recalled that the technical assistance and cooperation activities of the Secretariat included: (a) raising awareness and promoting the effective understanding of UNCITRAL texts to allow States to enact them effectively; (b) providing advice and assistance in drafting laws and regulations enacting UNCITRAL texts, including through gap analyses and other diagnostic tools; and
(c) building capacity in the adoption, use and interpretation of UNCITRAL texts.
委员会认识到,贸易法委员会法规的有效通过、使用和解释是在实践中统一协调国际贸易法的组成部分。The Commission recognized that the effective adoption, use and interpretation of UNCITRAL texts were integral elements of harmonizing international trade law in practice.
1.1.
加强贸易法委员会技术援助活动的战略方针Strategic approach to enhancing the technical assistance activities of UNCITRAL
255.255.
委员会欢迎秘书处再次强调贸易法委员会技术合作与援助活动的规划、预算编制、授权和执行的有效性,并对这些活动进行战略性的优先考虑和评估。The Commission welcomed the Secretariat’s renewed emphasis on effectiveness in the planning, budgeting, authorization and delivery of UNCITRAL technical cooperation and assistance activities, and the strategically-based prioritization and evaluation of those activities.
委员会还表示赞赏秘书处迅速落实在最近对法律事务厅的评估中就技术援助活动提出的建议。It also expressed its appreciation to the Secretariat for its prompt implementation of the recommendations regarding technical assistance activities made in the recent evaluation of the Office of Legal Affairs.
256.256.
委员会鼓励秘书处继续制定方法,为加强技术合作与援助活动的组织、协调和执行工作提供支持。The Commission encouraged the Secretariat to continue the development of methods to support the enhanced organization, coordination and delivery of technical cooperation and assistance activities.
257.257.
委员会注意到,能否继续响应各国和各区域组织对这些活动的请求,取决于是否有资金支付相关费用。The Commission noted that the continuing ability to respond to requests from States and regional organizations for these activities was dependent upon the availability of funds to meet associated costs.
委员会还注意到,秘书处力求通过以下方式最大限度地利用技术合作与援助活动的可用资源:The Commission also noted that the Secretariat had sought to maximize its available resources for technical cooperation and assistance activities through:
(a)(a)
对执行此类活动采取的战略性办法,从而反映分配给主题领域和活动的优先重点;a strategic approach to the delivery of such activities, reflecting the priorities assigned to subject areas and activities;
(b)根据委员会前几年提出的建议,与国际组织、区域办事处和双边援助提供方建立战略导向的合作和伙伴关系;(b) strategically-directed cooperation and partnerships with international organizations, regional offices and bilateral assistance providers, in line with the Commission’s suggestions made in previous years;
(c)设法确保向贸易法委员会信托基金提供更多的自愿捐款(另见下文第259和262段);(c) seeking to secure additional voluntary contributions to UNCITRAL trust funds (see also paras. 259–262 below); and
(d)酌情以分担成本或无成本方式执行。(d) delivery on a cost-share or no-cost basis where appropriate.
委员会还注意到秘书处说明(A/CN.9/980/Rev.1)中阐明的相关活动,并回顾秘书处需对建立技术援助和相关活动执行方面的伙伴关系保持中立和独立做法。The Commission also took note of the relevant activities set out in the note by the Secretariat (A/CN.9/980/Rev.1), and recalled the need for the Secretariat to remain neutral and independent in partnering in the delivery of technical assistance and related activities.
258.258.
委员会进一步注意到,贸易法委员会信托基金中的资金非常有限。The Commission further noted that very limited funds remained in the UNCITRAL trust funds.
委员会重申其早先向秘书处提出的探索预算外资金来源的请求。The Commission reiterated its earlier requests to the Secretariat to explore sources of extrabudgetary funding.
2.2.
对贸易法委员会信托基金的自愿捐款Voluntary contributions to UNCITRAL trust funds
259.259.
委员会对自委员会第五十一届会议以来向贸易法委员会专题讨论会信托基金提供捐款的下列国家和组织表示感谢:The Commission expressed its gratitude to the States and the organization that had contributed to the Trust Fund for UNCITRAL Symposia since the Commission’s fifty-first session, which were the following:
(a)(a)
大韩民国政府(如A/CN.9/980/Rev.1第49和78段所述,为参与亚洲太平洋经济合作组织的方便营商项目提供支持);The Government of the Republic of Korea (to support participation in the Asia-Pacific Economic Cooperation Ease of Doing Business project, as noted in A/CN.9/980/Rev.1, paras. 49 and 78);
(b)(b)
印度尼西亚政府;The Government of Indonesia;
(c)(c)
商业金融协会教育基金会。The Commercial Finance Association Education Foundation.
260.260.
委员会再次吁请所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金提供捐款,可能的话采用多年期捐款形式,或提供专门用途捐款,以便于进行规划并使秘书处能够满足越来越多的技术合作和援助活动请求。The Commission reiterated its call upon all States, international organizations and other interested entities to consider making contributions to the Trust Fund for UNCITRAL Symposia, if possible in the form of multi-year contributions or as specific-purpose contributions, in order to facilitate planning and enable the Secretariat to meet the increasing number of requests for technical cooperation and assistance activities.
261.261.
关于向贸易法委员会发展中国家成员提供旅费补助的信托基金,委员会呼吁联合国系统相关机构、各组织、机构和个人向该信托基金提供捐款。With respect to the Trust Fund for Granting Travel Assistance to Developing States Members of UNCITRAL, the Commission appealed to the relevant bodies of the United Nations system, organizations, institutions and individuals to make contributions to the Trust Fund.
委员会表示感谢奥地利政府提供的捐款。The Commission also expressed its appreciation to the Government of Austria for its contribution.
262.262.
委员会回顾,委员会在本届会议早些时候注意到,欧洲联盟、瑞士发展和合作署以及德国国际合作署已提供资源,用于为发展中国家参加贸易法委员第三工作组(投资人与国家间争端解决制度改革)的工作提供财政支持(见上文第165段)。The Commission recalled that, earlier in the current session it had noted that the European Union, SDC and GIZ had made resources available to provide financial support for the participation of developing countries in Working Group III (Investor-State Dispute Settlement Reform) (see para. 165 above).
虽然这笔资金的使用方向是贸易法委员会立法活动,但参加工作组会议可支持发展与会发展中国家更有效地参与贸易法委员会立法制定工作的能力。While that funding was directed to UNCITRAL legislative activities, participation in the working group sessions supported the development of capacity among the participating developing countries to participate more effectively in UNCITRAL legislative development work.
这些资金为以下国家参加会议提供了便利:
萨尔瓦多和斯里兰卡的代表参加第三工作组第三十五届会议(2018年4月23日至27日,纽约); 布基纳法索、刚果民主共和国、加蓬、马达加斯加、马里、毛里塔尼亚、缅甸、纳米比亚、塞内加尔和多哥的代表参加第三十六届会议(2018年10月29日至11月2日,维也纳); 阿根廷、多民族玻利维亚国、布基纳法索、哥伦比亚、哥斯达黎加、刚果民主共和国、厄瓜多尔、加蓬、几内亚、肯尼亚、马里和塞内加尔的代表参加第三十七届会议(2019年4月1日至5日,纽约)。The funds were used to facilitate participation at the thirty-fifth session of Working Group III (New York, 23–27 April 2018) for delegates from El Salvador and Sri Lanka, at the thirty-sixth session (Vienna, 29 October–2 November 2018) for delegates from Burkina Faso, the Democratic Republic of the Congo, Gabon, Madagascar, Mali, Mauritania, Myanmar, Namibia, Senegal and Togo, and at the thirty-seventh session (New York, 1–5 April 2019) for delegates from Argentina, Bolivia (Plurinational State of), Burkina Faso, Colombia, Costa Rica, the Democratic Republic of the Congo, Ecuador, Gabon, Guinea, Kenya, Mali and Senegal.
3.3.
技术援助活动圆桌会议Round table on technical assistance activities
263.263.
委员会赞扬秘书处在7月19日星期五举行的委员会第1107次会议上组织了一次技术援助圆桌会议。The Commission commended the Secretariat for having organized a round table on technical assistance at the Commission’s 1107th meeting, on Friday, 19 July.
圆桌会议聚集了各国、国际和区域组织以及积极参与国际商法改革和发展援助的专家,讨论以下议题:The round table brought together States and international and regional organizations and experts active in international commercial law reform and in development assistance, to discuss the following topics:
(a)(a)
在印度以及世界银行目前的活动中使用《贸易法委员会跨国界破产示范法》;Use of the UNCITRAL Model Law on Cross-Border Insolvency in India, and in the current activities of the World Bank;
(b)(b)
从法语国家组织和一名来自非洲商法统一组织所覆盖地区的一名专家的角度看,贸易法委员会文书对于法语区电子商务包容性发展的相关性,侧重于针对数字经济中的企业的现行法律框架,以及在立法现代化和技术援助方面这一领域的需要;Relevance of UNCITRAL instruments for the inclusive development of electronic commerce in francophone areas, from the perspectives of OIF and an expert from the region covered by OHADA, on the current legal framework for businesses in the digital economy and on the needs in the field in terms of modernization of legislation and technical assistance;
(c)(c)
与欧洲复兴开发银行合作,在乌兹别克斯坦使用《贸易法委员会公共采购示范法》,以及在乌克兰使用辅助性数字工具;Use of the UNCITRAL Model Law on Public Procurement in Uzbekistan, in cooperation with EBRD, and the use of supporting digital tools in Ukraine;
(d)(d)
在泰国使用《贸易法委员会担保交易示范法》,侧重于与国内利益攸关方协调并与世界银行等国际组织合作所吸取的经验教训。Use of the UNCITRAL Model Law on Secured Transactions in Thailand, focusing on lessons learned in coordination with domestic stakeholders and cooperation with international organizations, such as the World Bank.
264.264.
与会者分享了他们在国家一级使用和执行贸易法委员会法规的经验,以及在这一过程中获得的益处、面对的挑战和吸取的经验教训。The participants shared their experience in the use and implementation of UNCITRAL texts at the national level and the benefits, challenges and lessons learned in the process.
发言中贯穿的一个共同主题是,高效和有效的改革需要在实施方面有灵活性和敏捷性、需要作出政治承诺并确定从支持改革可带来的潜在益处、需要对有关国家的市场和经济环境有明确的了解,以及需要利用利益攸关方的协商和试点,以便根据相关国情进行改革。A common theme running through the presentations made was that efficient and effective reform required flexibility and agility in implementation, political commitment and identification of potential benefits to underpin reforms, a clear understanding of markets and economic circumstances in the countries concerned, and the use of stakeholder consultations and pilots, so as to place the reforms in the appropriate country context.
265.265.
委员会欢迎在圆桌会议上所作的介绍和随后进行的讨论,据指出,这些介绍和讨论提供了对于加强贸易法委员会法规的有效使用和实施的工具和方法的宝贵见解。The Commission welcomed the presentations made at the round table and the discussion that took place thereafter, which, it was said, offered valuable insights on tools and methods for enhancing the effective use and implementation of its texts.
委员会听取了基层利益攸关方和政府就沟通对于在改革受益者和改革指导者之间搭建桥梁的重要性的看法。The Commission heard views on the importance of communications from stakeholders on the ground and governments in serving as a bridge between those that would benefit from reform and those directing reform.
委员会还了解到,秘书处酌情与相关伙伴合作如何为在使用贸易法委员会法规方面寻求技术援助的国家提供支持的各种方式,以及如何找到支持这些活动的资金。The Commission was also informed of various ways in which the Secretariat, in collaboration with relevant partners as appropriate, could support States seeking technical assistance in the use of UNCITRAL texts, and of how funding to support such activities might be found.
(除圆桌会议上介绍的例子外,相关伙伴关系的其他例子可参见A/CN.9/980/Rev.1第12–21和24–27段)。(Examples of relevant partnerships in addition to those presented at the round table may be found in A/CN.9/980/Rev.1, paras. 12–21 and 24–27.)
266.266.
会上一致认为,圆桌会议得出的明确经验教训是,在实施健全的商法改革方面,国家自主权以及国际、区域和国家合作是成功的一个关键指标,那些实施改革的人需要考虑到不同国家和区域的实际情况。Clear lessons emerging from the round table, it was agreed, were that country ownership, together with international, regional and national cooperation, in implementing sound commercial law reform provided a key indicator of success and that those implementing reforms needed to take into account the situation on the ground in the different countries and regions.
委员会对圆桌会议的与会者表示感谢,并请秘书处继续提供在使用和实施贸易法委员会法规方面的实际经验的例子,供其今后届会审议。The Commission expressed its appreciation to the participants in the round table and requested the Secretariat to continue to present examples of practical experience in the use and implementation of its texts for its consideration at future sessions.
4.4.
宣传贸易法委员会的工作和法规Dissemination of information on the work and texts of UNCITRAL
267.267.
委员会注意到贸易法委员会网站(https://uncitral.un.org/)和贸易法委员会法律图书馆发挥的重要作用(另见下文第293和294段)。The Commission noted the important role played by the UNCITRAL website (https://uncitral.un.org/) and the UNCITRAL Law Library (see also paras. 293 and 294 below).
委员会注意到贸易法委员会网站迁移到Drupal平台。The Commission noted the migration of the UNCITRAL website to a Drupal platform.
委员会欢迎在新网站上修订并继续纳入一项突出强调贸易法委员会在支持《可持续发展目标》方面的作用的新内容。The Commission welcomed the revision and continued inclusion of a feature on the new website highlighting the role of UNCITRAL in supporting the Sustainable Development Goals.
委员会回顾其请秘书处继续酌情探索在贸易法委员会网站上开发新的社交媒体功能,指出大会也欢迎按照适用的准则开发此种功能。The Commission recalled its request that the Secretariat continue to explore the development of new social media features on the UNCITRAL website as appropriate, noting that the development of such features in accordance with the applicable guidelines was also welcomed by the General Assembly.
在这方面,委员会赞许地注意到继续使用和开发贸易法委员会的LinkedIn页面并增加贸易法委员会的Facebook页面。In that regard, the Commission noted with approval the continued use and development of the UNCITRAL LinkedIn page and the addition of the UNCITRAL Facebook page.
最后,忆及在大会一些决议中赞扬该网站使用了六种语文界面,委员会请秘书处继续在该网站上以联合国六种正式语文及时提供贸易法委员会法规、出版物和相关信息。Finally, recalling the General Assembly resolutions in which the website’s six-language interface was commended, the Commission requested the Secretariat to continue to provide, on the website, UNCITRAL texts, publications and related information, in a timely manner and in the six official languages of the United Nations.
5.5.
模拟辩论赛Moot competitions
268.268.
委员会注意到,除了2019年举行的其他模拟辩论赛外,其中包括维斯国际商事仲裁辩论赛、马德里商事仲裁模拟辩论赛、法兰克福投资模拟辩论赛和伊恩·弗莱彻国际破产法模拟辩论赛,在委员会支持下,由国际律师协会和维也纳国际仲裁中心联合组织的第五届调解和谈判辩论赛于2019年7月6日至10日在维也纳举行。The Commission noted that, in addition to other moot competitions held in 2019, including the Willem C. Vis International Commercial Arbitration Moot, the Madrid Commercial Arbitration Moot, the Frankfurt Investment Moot and the Ian Fletcher International Insolvency Law Moot, the fifth mediation and negotiation competition, organized jointly by IBA and VIAC with the support of the Commission, was held in Vienna from 6 to 10 July 2019.
各参赛队讨论的法律问题是第二十六届维斯国际商事仲裁模拟辩论赛讨论的问题。The legal issues addressed by the teams had been those addressed at the Twenty-sixth Willem C. Vis International Commercial Arbitration Moot.
共有来自13个法域的33支赛队登记参赛。A total of 33 teams from 13 jurisdictions had registered to participate.
6.6.
实习方案Internship programme
269.269.
委员会欢迎继续实施实习方案。The Commission welcomed the continuation of the internship programme.
委员会注意到,如报告所述,大多数申请人来自西欧及其他国家区域组,秘书处在吸引非洲和拉丁美洲国家人选以及通晓阿拉伯语人选方面面临困难,委员会请各国和观察员组织提醒感兴趣者留意贸易法委员会的实习机会,并考虑提供奖学金以吸引最有资格在贸易法委员会实习的人。Noting that the majority of applicants came from the regional group of Western Europe and Other States, and the Secretariat’s difficulties in attracting candidates from African and Latin American countries, as well as candidates with fluent Arabic language skills, as reported, the Commission requested States and observer organizations to bring the possibility of an internship at UNCITRAL to the attention of interested persons and to consider granting scholarships for the purpose of attracting those most qualified for an internship at UNCITRAL.
委员会还请秘书处审查,短期实习是否会鼓励任职人数偏低区域有更多候选人申请。The Commission also requested the Secretariat to review whether internships of short duration might encourage more candidates from underrepresented regions to apply.
7.7.
一般评论General comments
270.270.
The Commission noted that:
委员会注意到,(a)尤其是发展中国家在确保有足够人力和其他资源用于商法改革方面面临挑战,从而强调了发展中国家与捐助界各方建立伙伴关系对于加强技术援助与能力建设活动的执行工作的重要性;(a) developing States, in particular, encountered challenges in securing sufficient human and other resources for commercial law reform, underscoring the importance of partnerships between them and various members of the donor community to enhance the delivery of technical assistance and capacity-building activities;
(b)秘书处审查了各国颁布贸易法委员会法规的情况,并在其网站上报告了反映或基于这些法规的立法。and (b) the Secretariat reviewed national enactments of UNCITRAL texts and reported enactments that reflected or were based on those texts on its website.
271.271.
委员会对秘书处在技术合作与能力建设活动方面开展的工作表示赞赏。The Commission expressed its appreciation for the work undertaken by the Secretariat in its technical cooperation and capacity-building activities.
委员会还对秘书处努力加强这些活动的执行和成效表示赞赏。The Commission also expressed its appreciation for the efforts of the Secretariat to enhance the delivery and effectiveness of those activities.
B.B.
贸易法委员会在亚洲和太平洋区域的存在UNCITRAL presence in the Asia and Pacific region
272.272.
委员会收到了秘书处关于亚洲及太平洋区域中心区域中心自上次于2018年向委员会提交此种报告(A/CN.9/947)以来所开展活动的说明(A/CN.9/988)。The Commission had before it a note by the Secretariat on the activities undertaken by the UNCITRAL Regional Centre for Asia and the Pacific (A/CN.9/988) in the period since the last such report to the Commission, in 2018 (A/CN.9/947).
273.273.
委员会对由于秘书处通过区域中心开展区域活动而在对贸易法委员会制定的统一和现代国际贸易法标准的了解、通过和执行程度上取得实实在在的进展表示赞许。The Commission commended the tangible progress made as a result of the regional activities of the Secretariat, through its Regional Centre, in the levels of awareness, adoption and implementation of harmonized and modern international trade law standards elaborated by UNCITRAL.
这一进展的例子包括巴布亚新几内亚加入《承认及执行外国仲裁裁决公约》(《1958年纽约公约》)、朝鲜民主主义人民共和国加入《联合国国际货物销售合同公约》(《联合国销售公约》),以及根据向泰国提供关于《贸易法委员会担保交易示范法》的建议进行改革。Examples of that progress included the accession by Papua New Guinea to the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (the 1958 New York Convention); the accession by the Democratic People’s Republic of Korea to the United Nations Convention on Contracts for the International Sale of Goods (the United Nations Sales Convention); and reforms based on the advice given to Thailand on the UNCITRAL Model Law on Secured Transactions.
(其他与条约有关的行动和颁布情况另见下文第十九章)。 委员会还强调了区域中心对于从亚洲太平洋区域为贸易法委员会的工作筹集捐款所起的作用。(For other treaty-related actions and enactments, see chapter XIX below.) The Commission also highlighted the impact of the Regional Centre in mobilizing contributions to the work of UNCITRAL from the Asia-Pacific region.
274.274.
委员会注意到,区域中心员工包括一名专业人员、一名方案助理、一名团队助理和两名法律专家,其核心项目预算允许偶尔聘请专家和顾问。The Commission noted that the Regional Centre was staffed with one professional, one programme assistant, one team assistant and two legal experts, and that its core project budget allowed for the occasional employment of experts and consultants.
在本报告所涉期间,区域中心接待了14名实习生。During the reporting period, the Regional Centre had received 14 interns.
委员会还注意到,区域中心完全依赖于仁川都会向贸易法委员会专题讨论会信托基金提供的年度财政捐款,以支付其业务和方案费用(2011至2016年每年50万美元,2017年起每年45万美元),委员会对仁川市表示感谢。The Commission also noted that the Regional Centre relied fully on the annual financial contribution from the Incheon Metropolitan City to the Trust Fund for UNCITRAL Symposia to meet the cost of its operations and programmes ($500,000 annually from 2011 to 2016 and $450,000 annually from 2017) and expressed its gratitude to the city of Incheon.
委员会还表示感谢大韩民国司法部和中国香港特别行政区政府延长两名无偿借调法律专家的工作期限。The Commission further expressed its gratitude to the Ministry of Justice of the Republic of Korea and to the Government of the Hong Kong Special Administrative Region of China for the extension of their contribution of two legal experts on non-reimbursable loans.
275.275.
委员会赞扬区域中心在本报告所述期间继续开展旗舰活动,即贸易法委员会第四届贸易法论坛(2018年9月10日至12日,仁川),其间包括关于投资人与国家间争端解决制度改革的第一次闭会期间区域会议、第七次亚洲太平洋非诉讼争议解决会议(2018年11月5日至6日,首尔)以及第五次贸易法委员会亚太日。The Commission commended the Regional Centre for having continued to deliver flagship activities during the reporting period, namely the fourth edition of the UNCITRAL Trade Law Forum (Incheon, 10–12 September 2018), which had included the first intersessional regional meeting on investor-State dispute settlement reform, the seventh edition of the Asia-Pacific Alternative Dispute Resolution (ADR) Conference (Seoul, 5–6 November 2018) and the fifth edition of the UNCITRAL Asia-Pacific Day.
关于后者,委员会欢迎该区域各大学在2018年最后一个季度举办的活动,与往年一样,这些活动在支持区域中心的活动和目标方面非常成功,委员会还获悉泰国朱拉隆功大学将参与合作举办2019年版亚太日。Regarding the latter, the Commission welcomed the events held by various universities in the region during the last quarter of 2018 which, as in previous years, had proved highly successful in supporting the activities and objectives of the Regional Centre, and heard that Chulalongkorn University of Thailand would be among those collaborating in the delivery of the 2019 edition of the Asia-Pacific Day.
276.276.
委员会赞赏地注意到区域中心通过秘书处的参与所组织或支持的其他活动以及公共、私人和民间社会倡议,以及向该区域各国、国际和区域组织及开发银行提供的技术援助和能力建设服务。The Commission noted with appreciation the additional events and public, private and civil society initiatives that the Regional Centre had organized or supported through Secretariat participation, and the technical assistance and capacity-building services provided to States, international and regional organizations and development banks in the region.
277.277.
委员会还表示大力支持区域中心继续与区域内各利益攸关方、开发银行和积极参与贸易法改革的其他机构进行协调与合作,并与活跃于该区域的联合国各基金、方案和专门机构进行协调与合作。It also expressed strong support for the Regional Centre’s continued coordination and cooperation efforts with regional stakeholders, development banks and other institutions active in trade law reform, and with United Nations funds, programmes and specialized agencies active in the region.
278.278.
委员会欢迎大韩民国解释其已启动继续并扩大对区域中心的财政支持的程序的声明,并鼓励秘书处继续寻求合作,包括通过正式协议寻求合作,以确保协调和对区域中心技术援助和能力建设活动的供资。The Commission welcomed a statement from the Republic of Korea explaining that it was engaged in a process to continue and expand its financial support to the Regional Centre, and encouraged the Secretariat to continue to seek cooperation, including through formal agreements, to ensure coordination and funding for the technical assistance and capacity-building activities of the Regional Centre.
委员会再次呼吁所有国家、国际组织和其他感兴趣的实体考虑与大韩民国合作,支持该区域中心并考虑向贸易法委员会信托基金捐款,以便能够继续开展其活动。It reiterated its call upon all States, international organizations and other interested entities to consider cooperating with the Republic of Korea in supporting the Regional Centre, and to consider making contributions to the UNCITRAL trust funds to enable the continued delivery of its activities.
C.C.
贸易法委员会在其他区域的存在UNCITRAL presence in other regions
279.279.
委员会听取了关于在世界其他地区建立区域存在的两项建议的进展情况的口头报告。The Commission heard an oral report on the development of two proposals to establish a regional presence in other parts of the world.
鉴于亚洲及太平洋区域中心自2012年以来的成功活动,以及委员会重申区域存在对于促进贸易法委员会法规的重要性的声明,秘书处探讨了在其他区域建立存在的各种备选方案。In view of the successful activities of the Regional Centre for Asia and the Pacific since 2012 and the Commission’s reiterated statements on the importance of a regional presence for the promotion of UNCITRAL texts, the Secretariat had explored various options to establish a presence in other regions.
280.280.
委员会回顾了喀麦隆政府关于建立非洲区域中心的建议,以及巴林争端解决商会与巴林政府合作提出的关于建立中东和北非区域中心的建议。The Commission recalled a proposal by the Government of Cameroon to establish a regional centre for Africa and a proposal by the Bahrain Chamber of Dispute Resolution in cooperation with the Government of Bahrain to establish a regional centre for the Middle East and North Africa.
据回顾,委员会曾要求秘书处随时向其通报进展情况,包括资金和预算情况。It was also recalled that the Commission had requested the Secretariat to keep it informed of developments, including the funding and budget situations.
281.281.
委员会回顾,喀麦隆代表在第五十一届会议上告知委员会,喀麦隆政府仍在审查所涉经费问题和在该国设立贸易法委员会区域中心的可行性。The Commission recalled that it had been informed by the delegate of Cameroon at its fifty-first session that the Government of Cameroon had continued to examine the financial implications and the feasibility of establishing a UNCITRAL regional centre in the country.
282.282.
委员会还获悉,秘书处进行了一次访问,以评估为中东和非洲增设一个区域中心的可取性、可行性和可持续性。The Commission was further informed that the Secretariat had conducted a mission to assess the desirability, feasibility and sustainability of establishing a regional centre for the Middle East and North Africa.
会上提到,进行评估是为了评价秘书处建立和监督这种区域存在的活动所需要的资源,同时铭记这类项目可能对秘书处履行其为委员会及其工作组提供服务的核心责任的能力所产生的影响。It was mentioned that the assessment had been conducted to evaluate the resources needed by the Secretariat to establish and supervise the activities of such a regional presence, bearing in mind the impact that such a project could have on the Secretariat’s ability to discharge its core responsibility of servicing the Commission and its working groups.
委员会回顾,委员会于2018年鼓励秘书处继续进行协商,并认真考虑高效管理任何新的区域中心并确保维也纳工作人员予以适当监督和与维也纳工作人员进行协调所需要的秘书处资源水平。The Commission recalled that, in 2018, it had encouraged the Secretariat to continue its consultations, and to consider carefully the level of Secretariat resources needed for the efficient management of any new regional centre and for ensuring adequate supervision by, and coordination with, Vienna-based staff.
283.283.
委员会进一步回顾,其批准设立区域中心是基于这样的关键理解,即有关活动不应取代秘书处对其立法活动的支持。The Commission further recalled that its approval of the establishment of the Regional Centre had been based on the key understanding that the activities concerned should not displace Secretariat support for its legislative activities.
因此,建立地区存在必须完全依靠预算外资源,不能对秘书处本已有限的资源造成负担。 另外,建立一个区域中心所带来的益处应大于秘书处工作人员在这类活动上花费的时间所涉及的任何相关费用。Therefore, the establishment of a regional presence would have to rely entirely on extrabudgetary resources and not entail a burden on the already limited resources of the Secretariat, and the benefits arising from the establishment of a regional centre should outweigh any related costs associated with the time spent by the Secretariat staff on such activities.
284.284.
委员会获悉,建立更多的区域中心并对其运作进行监测,包括项目人员招聘和培训、活动协调和各种行政方面,都需要秘书处在维也纳的工作人员大量参与,而其工作人员数量近年来没有增加。The Commission was informed that the establishment of additional regional centres and the monitoring of their operation, including the recruitment and training of project personnel, the coordination of activities and various administrative aspects, required the substantial involvement of the Secretariat staff in Vienna, the number of which had not increased in recent years.
回上还提到,委员会要求秘书处处理的项目数量最近有所增加。It was also mentioned that the number of projects that the Commission had requested to be handled by the Secretariat had increased recently.
还指出,另一个需要考虑的因素是可能与现有的区域中心覆盖中东部分地区的活动重叠。It was further noted that another element to be considered was the possible overlap with the activities of the existing Regional Centre, which covered part of the Middle East region.
委员会获悉,鉴于所有这些考虑,秘书处与法律事务厅协商后得出的结论是:The Commission was informed that, in the light of all such considerations, the conclusions reached by the Secretariat, in consultation with the Office of Legal Affairs, were that:
(a)(a)
秘书处在中东建立和监测区域中心所需的资源很可能超过由此带来的益处,特别是在预算紧张时期;the resources required for the Secretariat to establish and monitor a regional centre in the Middle East would be likely to outweigh the benefit derived from it, in particular in a period of budgetary constraints;
(b)在亚洲及太平洋区域中心的支持下,维也纳秘书处可以有效地处理该区域各国的相关能力建设活动。and (b) relevant capacity-building activities for States in that region could effectively be handled by the Secretariat from Vienna, with the support of the Regional Centre for Asia and the Pacific.
285.285.
委员会注意到秘书处的评估意见并表示同意。The Commission took note of and concurred with the assessment by the Secretariat.
委员会进一步鼓励秘书处在与政府和其他合作伙伴协商时,加强技术援助和能力建设,并且认真考虑秘书处的资源水平以及维持区域存在所需要的其他费用。It further encouraged the Secretariat, in its consultations with governments and other partners, to increase or enhance technical assistance and capacity-building, and to carefully consider the level of Secretariat resources and other costs needed to maintain a regional balance.
十九.XIX.
贸易法委员会各项法规的现状和推广Status and promotion of UNCITRAL legal texts
A.A.
一般性讨论General discussion
286.286.
委员会以秘书处的一份说明(A/CN.9/979)为基础,审议了由委员会工作产生的各项公约和示范法的现状以及《纽约公约》的现状。The Commission considered the status of the conventions and model laws emanating from its work and the status of the 1958 New York Convention, on the basis of a note by the Secretariat (A/CN.9/979).
委员会赞赏地注意到自委员会第五十一届会议以来收到的关于条约行动和颁布立法的信息。The Commission noted with appreciation the information on treaty actions and legislative enactments received since its fifty-first session.
287.287.
委员会还注意到,在提交秘书处说明之后,列支敦士登加入了《联合国销售公约》(91个缔约国)。The Commission also noted that following the submission of the Secretariat’s note, Liechtenstein acceded to the United Nations Sales Convention (91 States parties).
288.288.
委员会获悉,秘书处正在技术援助活动框架内规划一系列举措和活动,于2020年庆祝《联合国销售公约》通过四十周年。The Commission was informed that the Secretariat, in the framework of its technical assistance activities, was planning a series of initiatives and events to celebrate the fortieth anniversary of the adoption of the United Nations Sales Convention, in 2020.
会上解释说,这些活动追求两个主要目标:鼓励各国更广泛的参与,包括达到该《公约》100个缔约国的目标;It was explained that those activities and events pursued two main objectives: to encourage broader State participation, including by aiming at reaching 100 States parties to that Convention;
支持在该《公约》和贸易法委员会相关法规使用和统一解释方面的能力建设,包括使用在经过更新的法规判例法系统框架内制作的工具(见上文第十七章)。and to support capacity-building on the use and uniform interpretation of the Convention and of related UNCITRAL texts, including by using the tools prepared in the framework of the renewed CLOUT system (see chapter XVII above).
补充说,这些活动还将有利于结合与数字经济有关的某些法律问题方面(如智能合同和人工智能的使用),评估《联合国销售公约》和《联合国国际合同使用电子通信公约》(2005年)的运作情况。It was added that those activities and events would also enable the assessment of the operation of the United Nations Sales Convention and of the United Nations Convention on the Use of Electronic Communications in International Contracts (2005) vis-à-vis certain legal issues relating to the digital economy such as the use of smart contracts and artificial intelligence.
会上表示,计划在年度维斯国际商事仲裁模拟辩论赛和维斯(东方)国际商事仲裁模拟辩论赛之前分别在维也纳和香港举行两项重大活动。It was indicated that two major events were planned to be held in Vienna and Hong Kong before the annual Willem C. Vis International Commercial Arbitration Moot and the Willem C. Vis (East) International Commercial Arbitration Moot competitions, respectively.
邀请各国和各组织向秘书处表达其为庆祝活动作出贡献的意向。States and organizations were invited to express to the Secretariat their interest in contributing to the celebrations.
289.289.
委员会感谢大会对贸易法委员会的活动特别是贸易法委员会在促进传播国际商法方面的独特作用所提供的支持。The Commission expressed appreciation to the General Assembly for the support it provided to UNCITRAL in its activities and in particular for its distinct role in furthering the dissemination of international commercial law.
尤其是,委员会提到大会的长期惯例,即在就贸易法委员会法规采取行动时建议各国积极考虑贸易法委员会法规并请秘书长以联合国六种正式语文发布贸易法委员会法规,包括以电子方式发布,并采取其他措施尽可能广泛地向各国政府和其他所有相关利益攸关方传播贸易法委员会法规。In particular, the Commission referred to the long-established practice of the General Assembly, upon acting on UNCITRAL texts, of recommending to States to give favourable consideration to UNCITRAL texts and requesting the Secretary-General to publish UNCITRAL texts, including electronically, in the six official languages of the United Nations, and to take other measures to disseminate UNCITRAL texts as broadly as possible to Governments and all other relevant stakeholders.
B.B.
透明度存储处的运作Functioning of the transparency repository
290.290.
委员会回顾,已根据委员会2013年第四十六届会议通过的《贸易法委员会投资人与国家间基于条约仲裁透明度规则》第8条设立了根据《透明度规则》所公布信息的存储处。The Commission recalled that the repository of published information under the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration, adopted at its forty-sixth session in 2013, had been established under article 8 of the Rules on Transparency.
委员会还回顾了前几届会议提供的关于透明度存储处的报告。The Commission also recalled reports on the transparency repository that had been provided at its previous sessions.
291.291.
委员会还回顾了本届会议提交的说明,其中提供了关于《透明度规则》和透明度储存库的最新情况(A/CN.9/979)。The Commission also recalled the note from the current session which provided an update on the Rules on Transparency and the transparency repository (A/CN.9/979).
292.292.
委员会欢迎关于透明度存储处的报告,并表示支持存储处继续作为促进投资人与国家间仲裁透明度的关键机制运作。The Commission welcomed the report on the transparency repository and expressed its support for continued operation of the repository as a key mechanism for promoting transparency in investor-State arbitration.
C.C.
与贸易法委员会工作有关的近期著述目录Bibliography of recent writings related to the work of UNCITRAL
293.293.
委员会回顾,贸易法委员会法律图书馆专长于国际贸易法,馆藏包括这一领域联合国六种正式语文的重要书目和网上资源。The Commission recalled that the UNCITRAL Law Library specialized in international commercial law and its collection featured important titles and online resources in that field in the six United Nations official languages.
委员会注意到,2018年,图书馆工作人员对来自40多个国家的约460项查询请求作出了回应,并接待了超过30个国家的研究人员。The Commission took note that, in 2018, library staff had responded to approximately 460 reference requests, originating from over 40 countries, and hosted researchers from over 30 countries.
294.294.
考虑到贸易法委员会法规更加广泛的影响,委员会注意到与贸易法委员会工作有关的最新著述目录(A/CN.9/977),以及学术文献和专业文献所描述的贸易法委员会立法指南、实用指南及合约文本所产生的影响。Considering the broader impact of UNCITRAL’s texts, the Commission took note of the bibliography of recent writings related to the work of UNCITRAL (A/CN.9/977) and the influence of UNCITRAL legislative guides, practice guides and contractual texts as described in academic and professional literature.
委员会注意到便利以综合办法建立著述目录的重要性,以及不断了解活跃于国际贸易法领域非政府组织的活动的必要性。The Commission noted the importance of facilitating a comprehensive approach to the creation of the bibliography and the need to remain informed of activities of non-governmental organizations active in the field of international trade law.
在这方面,委员会回顾并重申其请求,即请受邀参加委员会年会的非政府组织向贸易法委员会法律图书馆捐赠其期刊、报告和其他出版物,以便进行审阅。In that regard, the Commission recalled and repeated its request that non-governmental organizations invited to the Commission’s annual session donate copies of their journals, reports and other publications to the UNCITRAL Law Library for review.
委员会向所有提供赠阅材料的非政府组织表示感谢。The Commission expressed appreciation to all non-governmental organizations that donated materials.
二十.XX.
贸易法委员会当前在促进法治方面的作用Current role of UNCITRAL in promoting the rule of law
A.A.
导言Introduction
1.295.
委员会回顾,该项目自2008年第四十一届会议以来一直列入委员会议程,因为大会请委员会在提交大会的报告中就其当前在促进法治方面的作用发表评论意见。The Commission recalled that the item had been on the agenda of the Commission since its forty-first session, in 2008, in response to the General Assembly’s invitation to the Commission to comment, in its report to the General Assembly, on the Commission’s current role in promoting the rule of law.
委员会进一步回顾,在分别于2008至2018年举行的第四十一届至第五十一届会议上,委员会在提交大会的年度报告中转呈了关于委员会在包括冲突后重建情况下促进国内和国际法治方面的作用的评论意见。The Commission further recalled that, at its forty-first to fifty-first sessions, in 2008 to 2018, respectively, the Commission, in its annual reports to the General Assembly, transmitted comments on its role in promoting the rule of law at the national and international levels, including in the post-conflict reconstruction context.
2.296.
委员会还回顾,委员会认为通过法治股与法治协调和资源小组定期进行对话至关重要,而且必须随时了解在贸易法委员会工作融入联合国共同法治活动方面取得的进展。The Commission also recalled that it had considered it essential to maintain a regular dialogue with the Rule of Law Coordination and Resource Group through the Rule of Law Unit and to keep abreast of progress made in the integration of the work of UNCITRAL into the United Nations joint rule-of-law-activities.
委员会回顾,为此,委员会请秘书处每两年在贸易法委员会于纽约举行届会时安排由法治股通报情况。The Commission recalled that, to that end, it requested the Secretariat to organize briefings by the Rule of Law Unit biennially, when sessions of the Commission were held in New York.
因此,分别在2012年、2014年、2016年、2018年举行委员会第四十五届、第四十七届、第四十九届、第五十一届会议期间举行了通报会。The Commission recalled that the briefings had consequently been held at the Commission’s forty-fifth, forty-seventh, forty-ninth and fifty-first sessions, in 2012, 2014, 2016 and 2018, respectively.
3.297.
委员会还回顾,在其第五十一届会议上,委员会审议了关于在委员会内部就议程项目“贸易法委员会在促进国内和国际法治方面的作用”展开讨论并改进委员会处理这一议程项目的方式的建议。The Commission also recalled that, at its fifty-first session, it had considered the proposal to generate discussion within the Commission on the agenda item “Role of UNCITRAL in promoting the rule of law at the national and international levels” and to improve the way the Commission handled that agenda item.
委员会审议了这样的可能性,即扩大关于委员会在促进国内和国际法治方面的作用的讨论范围,以讨论贸易法委员会的工作与《2030年可持续发展议程》和《可持续发展目标》的关系,这两个方面既涉及贸易法委员会制定的文书也涉及协助各国实现这些《目标》。The Commission considered the possibility of broadening the discussion of its role in promoting the rule of law at the national and international levels to a discussion of the way the work of UNCITRAL relates to the 2030 Agenda for Sustainable Development and the Sustainable Development Goals, both with regard to the instruments developed by UNCITRAL and with regard to assistance to States in their achievement of the Goals.
会上提出,为了使委员会更有意义地审议这一议程项目,秘书处不妨编写一份文件,概述贸易法委员会文书和法规与《可持续发展目标》的关系并确定委员会将讨论的具体问题。It was suggested that, in order for the Commission to achieve a more meaningful consideration of that agenda item, the Secretariat could prepare a paper outlining the way that the UNCITRAL instruments and texts relate to the Sustainable Development Goals and identifying concrete issues to be discussed by the Commission.
进一步提出,这份文件还可历数委员会几届会议上有关法治的议程项目的演变情况,并评估委员会如何才能确保其工作反映整个联合国系统更广泛的发展议程。It was further suggested that that paper could also take stock of the evolution of the agenda item relating to the rule of law over several Commission sessions and how the Commission could ensure that its work reflected the broader development agenda of the United Nations as a whole.
会上进一步决定,将在委员会2019年第五十二届会议上以秘书处将编写的这份报告为基础上进行讨论。It was further decided that a discussion would take place at the fifty-second session of the Commission, in 2019, on the basis of the report to be prepared by the Secretariat.
4.298.
在本届会议上,委员会注意到秘书处编写的关于贸易法委员会在促进国内和国际法治方面的作用的说明中提出的问题(A/CN.9/985),其中概括了大会最近与审议贸易法委员会在促进法治方面的作用有关的决议(第二章),评估了委员会审议该程项目的演变过程(第三章及附件),概述了提交委员会本届会议审定和通过的案文对于促进法治和落实《可持续发展目标》的相关性(第四章),并就委员会本届会议在本议程项目下采取行动提出建议(第五章)。At the current session, the Commission took note of the issues raised in the note by the Secretariat on the role of UNCITRAL in promoting the rule of law at the national and international levels (A/CN.9/985), which summarized the most recent resolutions of the General Assembly relevant to the consideration of the role of UNCITRAL in the promotion of the rule of law (chapter II), took stock of the evolution of the consideration of the agenda item in the Commission (chapter III and annex), outlined the relevance of the texts that were before the Commission for finalization and adoption at the current session to the promotion of the rule of law and the implementation of the Sustainable Development Goals (chapter IV) and suggested actions by the Commission under that agenda item at the current session (chapter V).
委员会听取了强调贸易法委员会通过其文书协助各国促进法治和实现《可持续发展目标》的作用的发言。The Commission heard a statement underscoring the role of UNCITRAL in assisting States through its instruments to promote the rule of law and implement the Sustainable Development Goals.
5.299.
注意到大会第73/207号决议并响应其中所载的邀请——即在其提交大会的报告中继续就其当前在促进法治方面的作用发表评论意见,委员会考虑到第六委员会在关于法治的议程项目下即将举行的辩论将侧重于“交流最佳做法和想法,促进各国尊重国际法”这一分专题。Taking note of General Assembly resolution 73/207 and responding to the invitation contained therein to continue to comment, in its report to the General Assembly, on its current role in promoting the rule of law, the Commission took into account that the upcoming debates of the Sixth Committee under the agenda item on the rule of law would focus on the subtopic “Sharing best practices and ideas to promote the respect of States for international law”.
委员会回顾其在2009年、2010年和2015-2018年届会上审议了与这一分专题有关的问题(见A/CN.9/985的附件)。The Commission recalled its consideration of issues relevant to that subtopic at its sessions in 2009, 2010 and 2015–2018 (see A/CN.9/985, annex).
6.300.
委员会请各国、秘书处、各组织和各机构继续努力,以增进对贸易法委员会标准和活动对于促进国内和国际法治和落实《可持续发展目标》作用的认识。The Commission requested States, the Secretariat, organizations and institutions to continue their efforts towards increasing awareness of the role of UNCITRAL standards and activities for the promotion of the rule of law at the national and international levels and the implementation of the Sustainable Development Goals.
委员会注意到,出现这样的机会特别与以下场合相关:The Commission noted that such opportunities had in particular arisen in conjunction with the following:
(a)(a)
可持续发展问题高级别政治论坛——“赋予人民权力并确保包容性和平等”(2019年7月9日至15日,纽约),与委员会本届会议平行举行,其间就与贸易法委员会相关的若干可持续发展目标(如目标8、10、16和17)的落实情况进行了深入审查;The High-Level Political Forum on Sustainable Development “Empowering people and ensuring inclusiveness and equality” (New York, 9–15 July 2019), which was held in parallel with the current session of the Commission and in which an in-depth review was conducted of the implementation of several Sustainable Development Goals of relevance to UNCITRAL, such as Goals 8, 10, 16 and 17;
(b)(b)
大会关于预防和打击腐败以及加强国际合作的挑战和措施的特别会议,将于2021年上半年举行,筹备进程在《联合国反腐败公约》缔约国会议的主持下进行。A special session of the General Assembly on challenges and measures to prevent and combat corruption and strengthen international cooperation, which would be held in the first half of 2021, with the preparatory process undertaken under the auspices of the Conference of States Parties to the United Nations Convention against Corruption.
7.301.
委员会重申下述看法,即在商业关系中促进法治应当是促进国内和国际法治这一更广泛的联合国议程的一个组成部分,包括在秘书长办公厅法治股的支持下通过法治协调和资源小组加以促进。The Commission reiterated its view that the promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels, including through the Rule of Law Coordination and Resource Group, supported by the Rule of Law Unit in the Executive Office of the Secretary-General.
8.302.
委员会注意到,新推出的方案预算规划和业绩框架要求每个联合国实体的方案与《可持续发展目标》密切协调一致,以此作为《联合国宪章》所载联合国长期宗旨的当代体现。The Commission noted that the newly introduced programme budget planning and performance framework required a close alignment of the programme of each United Nations entity with the Sustainable Development Goals as the contemporary embodiment of the long-term purposes of the United Nations enshrined in the United Nations Charter.
联合国系统的内部监督机构定期评价联合国各实体执行《可持续发展目标》的情况(法律事务厅,包括国际贸易法司,是2018年此类评价的主体,上文第240和255段就此作了说明)。The internal oversight bodies of the United Nations system periodically evaluate United Nations entities against the implementation of the Sustainable Development Goals (the Office of Legal Affairs, including the International Trade Law Division, was the subject of such an evaluation in 2018, as noted in paras. 240 and 255 above).
B.B.
贸易法委员会向大会提出的评论意见UNCITRAL comments to the General Assembly
1.303.
委员会以其本届会议最后确定和通过的法规为例,着重说明了委员会当前促进法治与落实《可持续发展目标》的相关性。The Commission highlighted the relevance of its current work to the promotion of the rule of law and the implementation of the Sustainable Development Goals, with reference to the texts finalized and adopted at the current session.
委员会注意到,关于通过这些法规的决定(见上文第71、101、110和116段)进一步表明了在商业关系中促进法治与可持续经济发展之间的相互关系。The Commission noted that the decisions adopting those texts (see paras. 71, 101, 110 and 116 above) demonstrated the interrelationship between the promotion of the rule of law in commercial relations and sustained economic development.
2.304.
委员会特别表示相信,公私伙伴关系可以在改善基础设施和公共服务的提供和健全管理方面发挥重要作用,并为政府实现《可持续发展目标》的努力提供支持,特别是目标1、8、9、10、12、16和17。The Commission notably expressed its conviction that public-private partnerships could play an important role in improving the provision and sound management of infrastructure and public services, and support government efforts to achieve the Sustainable Development Goals, in particular goals 1, 8, 9, 10, 12, 16 and 17.
3.305.
委员会进一步认识到,有效的破产制度越来越被视为鼓励经济发展和投资以及促进创业活动和保持就业的一种手段,预计关于企业集团破产的案文将有助于实现可持续发展目标8、10和17。The Commission further recognized that effective insolvency regimes are increasingly seen as a means of encouraging economic development and investment, as well as fostering entrepreneurial activity and preserving employment, and that texts on enterprise group insolvency were expected to contribute to the implementation of Sustainable Development Goals 8, 10 and 17.
4.306.
委员会还认识到,建立起高效担保交易制度并配备可供公众查询的担保权登记处,有可能增加获得可负担的担保信贷的机会,从而促进经济增长、可持续发展、法治和金融普惠,并有助于消除贫穷。It also recognized that an efficient secured transactions regime with a publicly accessible security rights registry was likely to increase access to affordable secured credit and thus promote economic growth, sustainable development, the rule of law and financial inclusion, as well as assist in combating poverty.
据指出,《贸易法委员会担保交易示范法》支持并便利在担保交易中作为抵押品使用动产(如库存品和应收款融资)。It was noted that the UNCITRAL Model Law on Secured Transactions enabled and facilitated the use of movable assets (e.g., inventory and receivables financing) as collateral in secured transactions.
此类资产可能是某些企业(如微型、小型和中型企业)所拥有的主要或唯一资产。Such assets might be the main or only type of asset that some businesses, such as micro, small and medium-sized enterprises, had.
因此,《示范法》及其《实务指南》促进企业特别是微型、小型和中型企业获得金融服务,包括费用可负担的信贷,预计将有助于可持续发展目标8、9和17的落实。The Model Law and its Practice Guide thus promoted the access of businesses, in particular micro, small and medium-sized enterprises, to financial services, including affordable credit and were expected to contribute to the implementation of Sustainable Development Goals 8, 9 and 17.
5.307.
委员会进而认为,《关于云计算合同主要问题的说明》与可持续发展目标8和9有关,因其可能对各方谈判云计算合同以及对客户审查供应商提供的标准条款以确定这些条款是否充分满足客户需求有用。The Commission then considered that the notes on the main issues of cloud computing contracts were relevant to Sustainable Development Goals 8 and 9, as they might be useful for parties negotiating a cloud computing contract, as well as for customers reviewing standard terms offered by providers to determine whether those terms sufficiently addressed the customer’s needs.
作为一种在线工具,《说明》在方便预期用户使用上可能更有效,因此预计将有助于落实上述可持续发展目标。As an online tool, the notes might reach intended users in a more effective way and were thus expected to contribute to the implementation of the aforementioned Sustainable Development Goals.
6.308.
委员会注意到,委员会正在进行的简化微型、小型和中型企业注册手续、快速仲裁程序、投资人与国家间争端解决制度改革、电子商务(身份管理和信任服务)、小微实体破产以及船舶司法拍卖方面的工作预期都将有助于可持续发展。The Commission noted the expected contribution to sustainable development of its ongoing work on simplified incorporation for micro, small and medium-sized enterprises, expedited arbitration proceedings, investor-State dispute settlement reform, electronic commerce (identity management and trust services), the insolvency of micro and small enterprises and the judicial sale of ships.
二十一.XXI.
大会的相关决议Relevant General Assembly resolutions
309.309.
委员会回顾,在其2017年第五十届会议上,委员会曾请秘书处将向委员会提出的关于大会相关决议的口头报告改为在届会前印发书面报告。The Commission recalled that, at its fiftieth session, in 2017, it had requested the Secretariat to replace an oral report to the Commission on relevant General Assembly resolutions with a written report to be issued before the session.
根据这一要求,委员会第五十一届会议收到了秘书处的一份说明(A/CN.9/983),其中概要介绍了大会下述决议执行段的内容:关于贸易法委员会第五十一届会议工作报告的第73/197号决议、关于《联合国关于调解所产生的国际和解协议公约》的第73/198号决议、关于《贸易法委员会国际商事调解和调解所产生的国际和解协议示范法》的第73/199决议和关于《贸易法委员会关于承认和执行与破产有关的判决的示范法》的第73/200决议。Pursuant to that request, the Commission had before it at its fifty-second session a note by the Secretariat (A/CN.9/983) summarizing the content of operative paragraphs of General Assembly resolutions 73/197, on the report of UNCITRAL on the work of its fifty-first session, 73/198, on the United Nations Convention on International Settlement Agreements Resulting from Mediation, 73/199, on the UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation, and 73/200, on the UNCITRAL Model Law on Recognition and Enforcement of Insolvency‑Related Judgments.
310.310.
委员会注意到大会的这些决议,并注意到没有通过任何关于《贸易法委员会企业登记处关键原则立法指南》的决议。The Commission took note of those General Assembly resolutions and noted that no resolution had been adopted on the UNCITRAL Legislative Guide on Key Principles of a Business Registry.
二十二.XXII.
其他事项Other business
A.A.
扩大贸易法委员会成员数目Enlargement of UNCITRAL membership
311.311.
委员会收到了以色列和日本政府的以下建议:The Commission had before it the following proposal by the Governments of Israel and Japan:
“1.“1.
2018年12月17日,大会选举30名成员加入联合国国际贸易法委员会。On 17 December 2018, the General Assembly elected 30 members to the United Nations Commission on International Trade Law.
在当选的30名成员中,7名成员来自亚太国家组(中国、印度尼西亚、日本、马来西亚、大韩民国、新加坡、越南),7名成员来自西欧和其他国家组(比利时、加拿大、芬兰、法国、德国、瑞士、联合王国),都是以不记名投票方式选出的。Of the 30 members elected, 7 members from the Group of Asia-Pacific States (China, Indonesia, Japan, Malaysia, Republic of Korea, Singapore and Viet Nam) and 7 members from the Group of Western Europe and Other States (Belgium, Canada, Finland, France, Germany, Switzerland and United Kingdom) were elected by secret ballot.
虽然关于委员会成员选举的惯例是各区域组提名的候选人数量与每个组应填补的席位数量相对应,但亚太国家组提名了9名候选人,西欧和其他国家组提名了8名候选人参加2018年选举。While it had been customary, with regard to elections for the Commission’s members, that the number of candidates nominated by regional groups corresponded to the number of seats to be filled by each group, 9 candidates were nominated by the Group of Asia-Pacific States and 8 candidates were nominated by the Group of Western Europe and Other States for the elections in 2018.
至于亚太国家组,11个国家最初提出了参加同次选举的候选人,2个国家在选举前撤回了候选人。As for the Group of Asia-Pacific States, 11 States initially presented their candidature for the same elections and 2 States withdrew their candidature before the elections.
“2.“2.
与全球经济日益相互依存的情况相对应,委员会发挥的作用越来越重要。Corresponding to the increasing interdependence of the global economy, the role played by the Commission has become increasingly important.
委员会最近的活动包括旨在建立或改进法律框架的活动,除其他外,这些法律框架旨在进一步加强数字经济,改革作为确保外国投资的重要机制的投资人与国家间争端解决制度,减少微型、小型和中型企业面临的障碍,以及通过国际破产程序协助从陷入困境的企业中收回价值。The most recent activities of the Commission include those aimed at establishing or improving legal frameworks designed for, inter alia, further enhancing the digital economy, reforming the investor-State dispute settlement system, which is an essential mechanism to secure foreign investments, reducing obstacles faced by micro, small and medium-sized enterprises, and assisting in the recovery of value from troubled businesses through international insolvency processes.
应该强调的是,委员会的工作不仅对于促进国际贸易和投资,而且对于实现和平、安全和善政也是重要的。It should be underlined that the Commission’s work is important not only to facilitating international trade and investment but also to achieving peace, security and good governance.
“3.“3.
虽然我们高度评价委员会邀请非成员国参加会议并在没有进行正式表决的情况下以协商一致方式作出决定的做法,但我们认为,这种做法不应削弱各国在致力于委员会工作时获得成员资格的重要性。While we highly value the Commission’s practice of inviting non-member States to participate in the meetings and reaching decisions by consensus without a formal vote, we think this practice should not diminish the significance for States of obtaining membership as they commit to the work of the Commission.
基于一项谅解,即成员国将比非成员国更有条件为筹备和参与委员会的讨论调动资源,普遍承认,成员国比非成员国更有可能派代表出席委员会及其工作组的会议。On the basis of the understanding that a member State will be better placed than a non-member State to mobilize resources for the purpose of preparing for and engaging in the Commission’s discussions, it is broadly acknowledged that a member State will be more likely than a non-member State to be represented at meetings of the Commission and its working groups.
鉴于积极参加委员会会议分享最佳做法和经验有助于提高各国解决经济快速变化所产生的新问题的能力,实现对委员会及其工作组会议的更广泛参与对于提升委员会的效能至关重要。Given that active participation in the Commission’s meetings, where best practices and experience are shared, serves to develop the capacity of States to address those novel issues arising from a rapidly changing economy, it is essential to achieve broader participation in meetings of the Commission and its working groups to further the effectiveness of the Commission.
“4.“4.
如果将2018年的选举说成是清楚地表明了成员国对作为成员为委员会工作作出贡献的意愿更加强烈,那将是一种公平的评估。It would be a fair assessment to state that the 2018 elections clearly demonstrated the increased willingness of Member States to contribute to the work of the Commission as members.
因此,我们认为,出于上述原因,委员会有正当理由建议大会考虑增加委员会成员。Thus, it is our view that, for the reasons outlined above, the Commission has legitimate grounds to recommend to the General Assembly to consider increasing the membership of the Commission.
“5.“5.
2002年11月19日,大会通过了第57/20号决议,将委员会成员数目从36个国家增加到60个国家。On 19 November 2002, the General Assembly adopted resolution 57/20, in which it increased the membership of the Commission from 36 to 60 States.
在通过这项决议之前,委员会在2001年6月和7月举行的第三十四届会议上建议大会批准将委员会成员数目从36个国家增加到72个国家。Prior to the adoption of that resolution, the Commission, at its thirty-fourth session, held June and July 2001, recommended that the General Assembly approve an increase in the membership of the Commission from 36 to 72 States.
然而,考虑到所表达的关切,例如,成员数目增加一倍可能过多,大会未能将成员数目增加到72个国家。The General Assembly, however, fell short of increasing the membership to 72 States, taking into account concerns expressed, such as that doubling the number might be excessive.
不过,我们认为,就目前来看,这种关切基本上是不适用的。We nevertheless think that, at present, such concerns basically do not apply.
鉴于上述增加委员会成员数目的必要性,并根据委员会第三十四届会议的建议,我们建议委员会向大会重申其关于将委员会成员数目增加到72个国家的建议。In the light of the above-mentioned necessity to increase the Commission’s membership, and on the basis of the Commission’s recommendation at its thirty-fourth session, we suggest that the Commission reiterate its recommendation to the General Assembly to increase the membership of the Commission to 72 States.
“6.“6.
委员会在通过第三十四届会议的建议之前被告知,委员会成员数目从36个国家增加到72个国家将不会产生财政影响。The Commission was informed in advance of the adoption of the recommendation at its thirty-fourth session that the increase in membership of the Commission from 36 to 72 States would not entail financial implications.
因此,我们相信,目前关于将委员会成员数目增加到72个国家的建议在大会获得通过后将不会产生财政影响,并请秘书处予以确认。As such, we are convinced that the current proposal to increase the membership of the Commission to 72 States, when adopted by the General Assembly, will have no financial implications and ask the Secretariat for confirmation.
“7.“7.
我们提交以下建议草案供委员会审议:We submit the following draft recommendation for consideration by the Commission:
‘联合国国际贸易法委员会,‘The United Nations Commission on International Trade Law,
‘回顾大会1966年12月17日第2205 (XXI)号决议设立联合国国际贸易法委员会,其任务授权是促进国际贸易法之逐渐协调与统一,根据该决议,委员会需念及各国人民,尤其是发展中国家人民在国际贸易广泛发展中的利益,‘Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, by which the Assembly established the Commission and its mandate of furthering the progressive harmonization and unification of the law of international trade and pursuant to which the Commission is to bear in mind the interests of all peoples, and particularly those of developing countries, in the extensive development of international trade,
‘还回顾大会2002年11月19日第57/20号决议,其中将委员会成员数目从36个国家增加到60个国家,‘Recalling also General Assembly resolution 57/20 of 19 November 2002, by which it increased the membership of the Commission from 36 to 60 States,
‘对邀请不是委员会成员的国家及相关政府间组织和国际非政府组织作为观察员参加委员会及其工作组届会并参与委员会拟订案文的做法以及不通过正式表决以协商一致方式达成决定的做法感到满意,‘Being satisfied with the practice of inviting States not members of the Commission and relevant intergovernmental and international non-governmental organizations to participate as observers in sessions of the Commission and its working groups and to take part in the formulation of texts by the Commission, as well as with the practice of reaching decisions by consensus without a formal vote,
‘注意到有相当多的国家作为观察员参加并对委员会的工作作出了宝贵贡献,这表明除目前的60个委员会成员国之外,还存在着积极参与委员会的兴趣,‘Observing that the considerable number of States that have participated as observers and made valuable contributions to the work of the Commission indicates that there exists an interest in active participation in the Commission beyond the current 60 States that are members of the Commission,
‘深信各国更广泛地参与委员会的工作将促进委员会工作的进展,委员会成员的增加将进一步激发对委员会工作的兴趣,‘Convinced that wider participation of States in the work of the Commission would further the progress of its work and that an increase in the membership of the Commission would further stimulate interest in its work,
‘获悉增加委员会成员不会对便利委员会工作所需要的秘书处服务产生足以量化的重大影响,因此这一增加不会产生财政影响,‘Being informed that the impact of an increase in membership of the Commission on the secretariat services required to facilitate the work of the Commission would not be material enough to quantify and that therefore the increase would have no financial implications,
‘回顾委员会第三十四届会议期间在2001年7月11日会议上通过的旨在将委员会成员数目从36个国家增加到72个国家的建议,‘Recalling its recommendation adopted at the meeting on 11 July 2001 during the thirty-fourth session of the Commission, aimed at increasing the membership of the Commission from 36 to 72 States,
‘建议大会批准将委员会成员数目从目前的60个国家增加到72个。‘Recommends that the General Assembly approve an increase in the membership of the Commission from the current 60 States to 72.’”
’”
312.312.
会上对扩大贸易法委员会成员数目的想法表示广泛支持。Broad support was expressed for the idea of enlarging the membership of UNCITRAL.
强调了贸易法委员会席位公平地域分配原则的重要性。The importance of the principle of equitable geographical distribution of seats in UNCITRAL was underscored.
据指出,扩大成员数目可以是提高贸易法委员会知名度、增进对其工作的了解、接受其法规和调动商法专门知识的一种手段。Membership enlargement, it was said, could be a means of increasing the visibility of UNCITRAL, awareness about its work, acceptance of its texts and mobilization of commercial law expertise.
会上还将扩大成员数目看作是处理地域分配问题、某些区域代表性不足以及发展中国家不能积极参与贸易法委员会的机会。Membership enlargement was also seen as an opportunity to address geographical distribution issues, the underrepresentation of certain regions and the lack of active participation by developing countries in UNCITRAL.
313.313.
一些代表团质疑扩大成员数目的必要性,并表示担心扩大成员数目可能对委员会的效能和效率产生负面影响,因此建议就这些问题举行进一步讨论。Some delegations questioned the need for enlargement and expressed concerns that enlargement might produce a negative impact on the effectiveness and efficiency of the Commission and therefore suggested to hold further discussions on those issues.
其他代表团认为,扩大成员数目并不一定会导致在委员会中代表性偏低的区域或国家集团的积极参与。Other delegations were of the view that enlargement of membership would not necessarily lead to active participation by regions or groups of countries underrepresented in the Commission.
不过,其他代表团原则上支持这一想法,但不准备在委员会本届会议上讨论或就此作出决定,因为还有若干问题需要审议。Yet other delegations supported the idea in principle but were not ready to discuss it or take a decision on it at the current session of the Commission, as there were still several questions to be considered.
314.314.
委员会注意到与该建议有关的许多问题尚未解决。The Commission noted many issues that remained open in relation to the proposal.
因此,一些代表团认为,在联合国大会提出扩大贸易法委员会成员数目的建议尚不成熟。For that reason, some delegations considered it premature to submit a proposal for enlargement of UNCITRAL membership to the United Nations General Assembly.
会上提议举行非正式磋商,包括在维也纳各区域组之间磋商,以期以扩大成员数目的理由和时机以及席位的地域分配等问题为侧重点制定建议。Suggestions were made to hold informal consultations, including among regional groups in Vienna, with a view to developing the proposal, focusing on such issues as the reasons for the enlargement, its timing and the geographical distribution of seats.
虽然不反对非正式磋商,但一些代表团认为,在委员会届会期间讨论这些问题会更有效。While not opposing informal consultations, some delegations were of the view that it would be more effective to discuss those issues during Commission sessions.
有意见认为,贸易法委员会第五十三届会议上的讨论可以与在纽约举行的各区域组之间的非正式磋商结合起来。The view was expressed that discussions at the fifty-third session of UNCITRAL could be combined with informal consultations among regional groups in New York.
另一种意见是,非正式磋商不应无限期进行,而应有时间限制,并应着眼于到2020年已向委员会建议一项具体行动方针,即使这一行动方针意味着把委员会到2020年仍无法解决的问题推迟到大会再作决定。Another view was that informal consultations should not run indefinitely but should be time-bound and aimed at recommending a specific course of action to the Commission already in 2020, even if that course of action meant deferral to the General Assembly of decisions on the issues that the Commission would not be able to resolve in 2020.
315.315.
委员会鼓励各成员国在闭会期间就该建议相互进行磋商并与有关国家进行磋商,并请秘书处为这些磋商提供便利。The Commission encouraged its member States to consult with each other and other interested States on the proposal during the intersessional period and requested the Secretariat to facilitate those intersessional consultations.
B.B.
工作方法Methods of work
316.316.
会上对秘书处在安排会议时考虑到各国在委员会第五十一届会议上提出的改进建议表示赞赏。Appreciation was expressed to the Secretariat for having taken into account, in the organization of the session, the improvements that were suggested by States at the fifty-first session of the Commission.
有意见认为,第五十二届会议应作为贸易法委员会今后届会的模式。The view was expressed that the fifty-second session should serve as a model for future UNCITRAL sessions.
317.317.
委员会回顾,在委员会第五十一届会议上请求提供出席委员会和工作组会议的代表团的电子邮件联系方式,以便利代表们在闭会期间进行接触和讨论。The Commission recalled the request made at its fifty-first session that email contacts for the delegations attending the Commission and the working groups be made available with a view to facilitating intersessional contacts and discussions among delegates.
秘书处确认已编制与会代表联系方式信息清单,并在贸易法委员会网站为各国保留的网页上公布,该网页可在https://uncitral.un.org/en/about上通过链接“UNCITRAL: Information for Member States”访问。The Secretariat confirmed that a list of delegates’ contact information had been prepared and published on the web page of the UNCITRAL website reserved for States, which was accessible through the link “UNCITRAL: Information for Member States” at https://uncitral.un.org/en/about.
对此,会上提议,应在贸易法委员会网站主页上更明显地显示这类信息并方便查取。In response, it was suggested that such information should be made more visible on and easily available from the home page of the UNCITRAL website.
318.318.
几个代表团对会议结果表示满意,会议期间偶尔涉及就表达了截然不同观点的问题作出的决定。Several delegations expressed their satisfaction with the outcome of the session, which occasionally involved decisions on issues in respect of which contrasting views had been expressed.
这些代表团回顾了设在维也纳的各组织通过建设性对话寻求折中从而作出决定的做法。Those delegations recalled the practice by Vienna-based organizations of taking decisions by seeking compromise through a constructive dialogue.
会上认为,这种精神应当继续在贸易法委员会发扬光大。It was considered that that spirit should continue to prevail in UNCITRAL.
C.C.
评价秘书处在便利委员会工作上发挥的作用Evaluation of the role of the Secretariat in facilitating the work of the Commission
319.319.
委员会获悉,由于预算框架发生变化,贸易法委员会秘书处的预期成绩中不再列出“便利贸易法委员会工作”。The Commission was informed that, as a result of changes introduced in the budgetary framework, “facilitating the work of UNCITRAL” was not listed among the planned results of the UNCITRAL secretariat.
委员会回顾,此项预期成绩的业绩衡量指标是贸易法委员会对其秘书处所提供服务的满意度,从1至5级(5级为最高分)的评分可以看出这一点。The Commission recalled that “facilitating the work of UNCITRAL” was listed among the expected accomplishments of the UNCITRAL secretariat in the old budgetary framework and the performance metric for that expected accomplishment had been the level of satisfaction of UNCITRAL with the services provided by its secretariat, as evidenced by a rating on a scale ranging from 1 to 5 (5 being the highest rating).
委员会还回顾,秘书处过去分发了一份评价问卷,征求各国对贸易法委员会秘书处向贸易法委员会提供服务的满意度的答复。The Commission also recalled that the Secretariat had in the past circulated an evaluation questionnaire to elicit responses from States regarding the level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat.
320.320.
委员会获悉,虽然在新的预算框架下继续这种做法已不再必要,但贸易法委员会秘书处打算在贸易法委员会届会期间继续分发调查问卷,以便进行自我评价。The Commission was informed that, although continuing that practice was no longer necessary in the context of the new budgetary framework, the UNCITRAL secretariat intended to continue circulating a questionnaire during the sessions of UNCITRAL for self-evaluation.
本届会议收到了66份答复,如这些答复所示,对贸易法委员会秘书处向贸易法委员会提供的服务的满意度仍然很高(53名答复者在5级中给了5分,12名答复者在5级中给了4分,1名答复者在5级中给了3分)。At the current session, 66 responses had been received and the level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat, as indicated in those responses, remained high (53 respondents gave 5 out of 5, 12 respondents gave 4 out 5 and 1 respondent gave 3 out of 5).
321.321.
委员会表示感谢秘书处为服务贸易法委员会所做的工作。The Commission expressed appreciation to the Secretariat for its work in servicing UNCITRAL.
还指出,各国就委员会报告向大会第六委员会所作的说明中通常会包含它们对贸易法委员会秘书处在服务委员会方面所做工作的看法。It was also noted that States, in their statements to the Sixth Committee of the General Assembly on the report of the Commission, often included their views on the work of the UNCITRAL secretariat in servicing the Commission.
据指出,这类声明也应被视为各国对贸易法委员会秘书处业绩的反馈意见的重要来源。It was noted that such statements should also be considered the essential source of States’ feedback about the UNCITRAL secretariat’s performance.
二十三.XXIII.
今后会议的日期和地点Date and place of future meetings
322.322.
委员会回顾,在其2003年第三十六届会议上,委员会商定:The Commission recalled that, at its thirty-sixth session, in 2003, it had agreed that:
(a)(a)
各工作组一般应每年举行两次会议,每次会议为期一周;working groups should normally meet for a one-week session twice a year;
(b)如果需要额外时间,可从另一工作组未使用的配额中调拨,条件是这种安排不能造成目前分配给委员会所有六个工作组届会每年总共12周的会议服务时间增加;(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 in the total number of 12 weeks of conference services per year currently allotted to sessions of all six working groups of the Commission;
(c)如果某一工作组对额外时间的任何请求会导致12周的分配量增加,应当由委员会加以审查,该工作组应就为何需要改变会议安排办法提出适当理由。and (c) if any request by a working group for extra time would result 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.
323.323.
在本届会议上,委员会达成一项谅解,即如果需要,也可从委员会届会未使用时间中调拨额外会议服务时间给工作组。At the current session, the Commission reached the understanding that extra time for conference services, if required, could also be allocated to working groups from the unused time of the Commission session.
委员会注意到,由于委员会第五十二届会议缩短一周时间,有五天未使用的会议服务可供工作组使用或满足委员会的其他需要。The Commission noted that, as a result of the shortening of the fifty-second session of the Commission by one week, five days of unused conference services had become available for use by working groups or other needs of the Commission.
324.324.
委员会回顾,委员会收到了第三工作组(投资人与国家间争端解决制度改革)的一项请求,即鉴于预期工作量,请委员会考虑在2019年给该工作组额外调拨一周会议时间(见上文第163段)。The Commission recalled that it had before it a request from Working Group III (Investor-State Dispute Settlement Reform) that the Commission consider allocating an additional week of conference time available in 2019 to the Working Group in the light of the anticipated workload (see para. 163 above).
委员会还回顾,第三工作组进一步请求,如果今后腾出更多会议时间,委员会届时将考虑将这些时间调拨给该工作组(A/CN.9/970,第86段)。The Commission also recalled that Working Group III had further requested that, if and when additional conference time were to become available in the future, the Commission at that point would consider allocating that time to the Working Group (A/CN.9/970, para. 86).
325.325.
委员会确认其下述理解,即工作组关于额外调拨会议服务时间的请求将由委员会在个案基础上进行审议,同时考虑到提出请求的工作组的需要、其他工作组的需要以及委员会在特定时间的其他需要,并考虑到贸易法委员会所有成员国的意见。The Commission confirmed its understanding that requests by working groups for additional time for conference services would be considered by the Commission on a case-by-case basis, taking into account the needs of the requesting working group, the needs of other working groups and the other needs of the Commission at the given time, and taking into account the views of all member States of UNCITRAL.
委员会还持这样的理解,即工作组的请求本身不应被视为批准请求的充分理由;The Commission was also of the understanding that the request from a working group should not by itself be treated as a sufficient ground for granting the request;
在每一种情况下,请求都必须有适当依据。in each case, the request had to be properly substantiated.
326.326.
对于在委员会第五十三届会议之前给第三工作组额外调拨一周时间是否可取,会上表达了不同意见。Different views were expressed on the desirability of allocating an additional week to Working Group III before the fifty-third session of the Commission.
如果调拨额外时间,还就应在2019年还是2020年调拨以及应举行一次两周会议还是举行两次一周会议(中间留出一段时间)的问题表达了不同的意见。Different views were also expressed on the question of, if the time were to be allocated, whether it should be allocated in 2019 or in 2020 and whether a two-week session or two one-week sessions with some time in between should be held.
327.327.
委员会重申其以协商一致方式作出决定的做法。The Commission reiterated its practice of taking decisions by consensus.
经过讨论形成的一致意见是,第三工作组将在贸易法委员会第五十三届会议之前举行三届会议:2019年10月在维也纳举行一届会议,2020年1月或2月在维也纳举行一届会议,2020年4月在纽约举行一届会议,但有一项理解,即不会以此为第三工作组(投资人与国家间争端解决制度改革)或贸易法委员会任何其他工作组的会议模式确立先例。After discussion, agreement emerged that Working Group III would hold three sessions before the fifty-third session of UNCITRAL: one session in October 2019 in Vienna, one session in January or February 2020 in Vienna and one session in April 2020 in New York, on the understanding that that would not set a precedent for the meeting pattern of Working Group III (Investor-State Dispute Settlement Reform) or any other UNCITRAL working group.
328.328.
一个代表团声明,其将支持上述一致意见,条件是(除上文第325段以及第327段第一句中所反映的理解之外):One delegation declared that it would support that agreement on the condition that (in addition to the understanding that had been reflected in para. 325 and the first sentence of para. 327 above):
(a)(a)
应提前告知各国和贸易法委员会所有工作组是否有额外时间;States and all UNCITRAL working groups should be informed about the availability of extra time well in advance;
(b)
2020年只应举行三届第三工作组会议。and that (b) only three sessions of Working Group III should be held in 2020.
329.329.
经讨论后,委员会商定,所有工作组将在2020年委员会第五十三届会议之前举行两次一周会议,但第三工作组(投资人与国家间争端解决制度改革)除外,该工作组将于2020年1月或2月在维也纳额外举行一届会议(见下文B.1节中的会期表)。After discussion, the Commission agreed that all working groups would meet for two one-week sessions before its fifty-third session, in 2020, except for Working Group III (Investor-State Dispute Settlement Reform), which would meet for an additional session in January or February 2020 in Vienna (see the table in section B.1 below).
委员会请秘书处在现有资源范围内于2020年1月或2月为第三工作组额外安排一届会议,但有一项理解,即如果贸易法委员会秘书处与大会和会议管理部协商确定了提交和处理文件的时间表以及会议日期方可做到这一点。The Commission requested the Secretariat to organize the additional session of Working Group III in January or February 2020 within the existing resources, with the understanding that that could be achieved if the timelines for the submission and processing of documentation, as well as the dates of the meeting, were determined in consultation between the UNCITRAL secretariat and the Department for General Assembly and Conference Management.
委员会请秘书处在确定该工作组额外届会的适当日期时确保这些日期不与第二工作组2020年2月届会的日期重合。The Commission requested the Secretariat, in identifying appropriate dates for the additional session of the Working Group, to ensure that those dates did not coincide with the dates of the session of Working Group II in February 2020.
330.330.
委员会进一步回顾,在其2017年第五十届会议上,委员会注意到大会关于会议时地分配办法的各项决议,其中公布了关于重大节日的政策,这些节日期间联合国总部和维也纳国际中心仍将办公,但请联合国机构避免在这些节日举行会议。The Commission further recalled that, at its fiftieth session, in 2017, it had taken note of General Assembly resolutions on the pattern of conferences promulgating policies regarding significant holidays on which United Nations Headquarters and the Vienna International Centre remained open but United Nations bodies were invited to avoid holding meetings.
委员会同意在考虑今后会议日期时尽量考虑到这些政策。The Commission had agreed to take into account those policies as far as possible when considering the dates of its future meetings.
委员会注意到,下文已核准的今后会议日期不含重大节日。The Commission noted that the dates approved for future sessions presented below did not include significant holidays.
但是,委员会注意到,第四工作组(电子商务)将于2020年4月举行为期四天的会议,因为2020年4月10日是联合国的法定假日,该日联合国不办公。However, it noted that Working Group IV (Electronic Commerce) would hold a four-day session in April 2020, as 10 April 2020 was a United Nations official holiday, thus on that date the United Nations would be closed.
A.A.
委员会第五十三届会议Fifty-third session of the Commission
331.331.
委员会核准其第五十三届会议于2020年7月6日至17日在纽约举行,为期两周,但如果该届会议的工作量需要,可将该届会议再延长一周。The Commission approved the holding of its fifty-third session in New York for two weeks, from 6 to 17 July 2020, subject to the possible extension of that session for an additional week if the workload of the session warranted such an extension.
委员会确认其下述理解,即两周的届会一般足够,每届年度会议的持续时间将根据预期工作量具体确定。The Commission confirmed its understanding that two-week sessions would generally be sufficient and that the duration of each annual session was to be determined on a case-by-case basis depending on the expected workload.
B.B.
工作组届会Sessions of working groups
1.1.
委员会第五十二届和五十三届会议之间的工作组届会Sessions of working groups between the fifty-second and fifty-third sessions of the Commission
2019年下半年 (维也纳)Second half of 2019 (Vienna)
2020年上半年 (纽约,除非另作说明)First half of 2020 (New York, unless otherwise noted)
第一工作组(微型、小型和中型企业)Working Group I (Micro, Small and Medium-sized Enterprises)
第三十三届会议 2019年10月7日至11日Thirty-third session, 7–11 October 2019
第三十四届会议 2020年3月23日至27日Thirty-fourth session, 23–27 March 2020
第二工作组(争议解决)Working Group II (Dispute Settlement)
第七十届会议 2019年9月23日至27日Seventieth session, 23–27 September 2019
第七十一届会议 2020年2月3日至7日Seventy-first session, 3–7 February 2020
第三工作组(投资人与国家间 争端解决制度改革)Working Group III (Investor-State Dispute Settlement Reform)
第三十八届会议 2019年10月14日至18日Thirty-eighth session, 14–18 October 2019
第三十九届会议 2020年1月或2月(维也纳)Thirty-ninth session, January or February 2020 (in Vienna);
第四十届会议 2020年3月30日至4月3日Fortieth session, 30 March–3 April 2020
第四工作组(电子商务)Working Group IV (Electronic Commerce)
第五十九届会议 2019年11月25日至29日Fifty-ninth session, 25–29 November 2019
第六十届会议 2020年4月6日至9日(会期四天,2020年4月10日联合国不办公,该日为联合国法定假日)Sixtieth session 6–9 April 2020 (a four-day session; the United Nations will be closed on 10 April 2020, that day being a United Nations official holiday)
第五工作组(破产法)Working Group V (Insolvency Law)
第五十六届会议 2019年12月2日至6日Fifty-sixth session, 2–5 December 2019;
民事资产追查和追回专题讨论会 2019年12月6日Colloquium on civil asset tracing and recovery: 6 December 2019
第五十七届会议 2020年5月11日至14日Fifty-seventh session, 11–14 May 2020;
破产程序适用法律专题讨论会 2020年5月15日Colloquium on applicable law in insolvency proceedings: 15 May 2020
第六工作组(船舶司法拍卖)Working Group VI (Judicial Sale of Ships)
第三十六届会议Thirty-sixth session,
2019年11月18日至22日18–22 November 2019
第三十七届会议Thirty-seventh session,
2020年4月20日至24日20–24 April 2020
2.2.
委员会第五十三届会议之后工作组2020年届会暂定安排,须经委员会该届会议核准:Tentative arrangements for sessions of working groups in 2020 after the fifty-third session of the Commission, subject to the approval by the Commission at that session
2020年下半年(维也纳) (有待委员会2020年第五十三届会议确认)Second half of 2020 (Vienna) (to be confirmed by the Commission at its fifty-third session, in 2020)
第一工作组(微型、小型和中型企业)Working Group I (Micro, Small and Medium-sized Enterprises)
第三十五届会议 2020年9月28日至10月2日Thirty-fifth session, 28 September–2 October 2020
第二工作组(争议解决)Working Group II (Dispute Settlement)
第七十二届会议 2020年9月21日至25日Seventy-second session, 21–25 September 2020
第三工作组(投资人与国家间争端解决 制度改革)Working Group III (Investor-State Dispute Settlement Reform)
第四十一届会议 2020年10月5日至9日Forty-first session, 5–9 October 2020
第四工作组(电子商务)Working Group IV (Electronic Commerce)
第六十一届会议 2020年10月19日至23日Sixty-first session, 19–23 October 2020
第五工作组(破产法)Working Group V (Insolvency Law)
第五十八届会议 2020年12月7日至11日Fifty-eighth session, 7–11 December 2020
第六工作组(船舶司法拍卖)Working Group VI (Judicial Sale of Ships)
第三十八届会议 2020年12月14日至18日 附件一Thirty-eighth session, 14–18 December 2020 Annex I
贸易法委员会公私伙伴关系示范立法条文UNCITRAL Model Legislative Provisions on Public-Private Partnerships
一般规定General provisions
示范条文第1条 公私伙伴关系指导原则Model provision 1. PPP Guiding Principles
备选案文1Option 1
鉴于[……][政府][议会]希望授权在发展基础设施和向公众提供相关服务方面利用公私伙伴关系;WHEREAS the [Government] [Parliament] of [...] wishes to enable the use of public-private partnerships in infrastructure development and the provision of associated services to the public;
鉴于为此目的,[政府][议会]认为应当规范公私伙伴关系,以提高透明度、公平性、稳定性和可预测性;WHEREAS, for those purposes, the [Government] [Parliament] considers it desirable to regulate public-private partnerships so as to enhance transparency, fairness, stability and predictability;
促进妥善管理、廉正; 竞争和经济性;promote proper management, integrity, competition and economy;
并确保长期可持续性;and ensure long-term sustainability;
[颁布国可能希望申明的其他目标;[Other objectives that the enacting State might wish to state];
]
兹颁布如下规定:Be it therefore enacted as follows:
备选案文2Option 2
本法规定按照透明度、公平性、稳定性、妥善管理、廉正、竞争、经济性和长期可持续性原则批准、授予和实施公私伙伴关系项目的程序。This law establishes the procedures for the approval, award and implementation of public-private partnership projects, in accordance with the principles of transparency, fairness, stability, proper management, integrity, completion, economy, and long-term sustainability.
示范条文第2条 定义Model provision 2.
在本法中:Definitions For the purposes of this law:
(a)(a)
公私合作伙伴关系系指在订约当局或设施用户付款的情况下,订约当局和私营实体就实施一个项目订立的协议,其中既包括需要将需求风险转移给私人伙伴的项目(“特许权公私伙伴关系”),也包括不需要这种风险转移的其他类别公私伙伴关系(“非特许权公私伙伴关系”);Public-private partnership (PPP) means an agreement between a contracting authority and a private entity for the implementation of a project, against payments by the contracting authority or the users of the facility, including both those projects that entail a transfer of the demand risk to the private partner (“concession PPPs”) and those other types of PPPs that do not entail such risk transfer (“non-concession PPPs”);
(b)(b)
“基础性设施”系指直接或间接向一般公众提供服务的有形设施和系统;“Infrastructure facility” means physical facilities and systems that directly or indirectly provide services to the general public;
(c)(c)
“基础设施项目”系指新的基础性设施的设计、建造、开发和运营或现有基础性设施的翻修、现代化更新、扩建或运营;“Infrastructure project” means the design, construction, development and operation of new infrastructure facilities or the rehabilitation, modernization, expansion or operation of existing infrastructure facilities;
(d)(d)
“订约当局”系指有权[根据本法的条文]订立公私伙伴关系合同的公共当局;“Contracting authority” means the public authority that has the power to enter into a PPP contract [under the provisions of this law];
(e)(e)
“私人伙伴”系指订约当局留下以根据公私伙伴关系合同实施项目的私营实体; (f)“Private Partner” means the private entity retained by the contracting authority to carry out a project under a PPP contract; (f)
“公私伙伴关系合同”系指订约当局与私人伙伴之间订立的载列实施某一公私伙伴关系的条款和条件的有相互约束力的协议;“PPP contract” means the mutually binding agreement or agreements between the contracting authority and the private partner that set forth the terms and conditions for the implementation of a PPP;
(g)(g)
“投标人”系指授予公私伙伴关系合同的筛选程序的参加者,包括参加者群体;“Bidder” or “bidders” means persons, including groups thereof, that participate in selection proceedings for the award of the PPP contract;
(h)(h)
“非应标建议书”系指非因响应订约当局在筛选程序内发出的一项请求或邀请而提交的与实施一个基础设施项目有关的任何建议书; (i)“Unsolicited proposal” means any proposal relating to the implementation of an infrastructure project that is not submitted in response to a request or solicitation issued by the contracting authority within the context of a selection procedure; (i)
“管理机构”系指获得授权负责就基础性设施或有关服务的提供而发布和执行规则和条例的公共当局。“Regulatory agency” means a public authority that is entrusted with the power to issue and enforce rules and regulations governing the infrastructure facility or the provision of the relevant services.
示范条文第3条 订立公私伙伴关系合同的权力Model provision 3. Authority to enter into PPP contracts
下列公共当局有权为实施属于其各自权限范围的基础设施项目而订立公私伙伴关系合同: [颁布国列举东道国可订立公私伙伴关系合同的有关公共当局,详尽或作为示例列出公共当局名称一览表、公共当局的类别或种类一览表,或名称兼类别]。The following public authorities have the power to enter into PPP contracts for the implementation of infrastructure projects falling within their respective spheres of competence: [the enacting State lists the relevant public authorities of the host country that may enter into PPP contracts by way of an exhaustive or indicative list of public authorities, a list of types or categories of public authority or a combination thereof].
示范条文第4条 合适的基础设施部门Model provision 4. Eligible infrastructure sectors
下列部门的有关当局可以订立公私伙伴关系合同:[颁布国详尽或作为示例列出有关部门]。PPP contracts may be entered into by the relevant authorities in the following sectors: [the enacting State indicates the relevant sectors by way of an exhaustive or indicative list].
II.
.项目规划和准备Project planning and preparation
示范条文第5条 公私伙伴关系项目建议书Model provision 5. PPP project proposals
1.1.
设想通过公私伙伴关系发展基础设施或服务的订约当局,应当进行或促成可行性研究,以评估项目是否满足[这些条文]所列的批准条件。A contracting authority envisaging to develop infrastructure or services through a PPP shall carry out or procure a feasibility study to assess whether the project meets the conditions for approval set for in [these provisions].
2.2.
可行性研究应当:The feasibility study shall:
(a)(a)
查明拟通过拟议公私伙伴关系项目满足的公共基础设施和服务需求,以及项目如何符合国家或地方关于发展公共基础设施和服务的优先事项;Identify the public infrastructure or service needs to be met by the proposed PPP project and how the project meets relevant national or local priorities for the development of public infrastructure and services;
(b)(b)
评估订约当局可用来满足这些需求的各种备选办法,并确定性地证明以公私伙伴关系形式实施的比较优势、战略和业务方面的益处,尤其是项目:Assess the various options available to the contracting authority to satisfy those needs and conclusively demonstrate the comparative advantage, strategic and operational benefits of implementation as PPP, in particular that the project:
(i)
以公私伙伴关系形式实施,与项目由订约当局或另一公共机构采购和实施相比,可以提供更具经济性和更高效的解决办法(“物有所值”);Offers a more economic and efficient solution as a PPP than if it were to be procured and carried out by the contracting authority or another public body (“value for money”);
以及and
(ii)
不会给公共部门带来意外的财务责任(“财政风险”)。Will not lead to unexpected financial liabilities for the public sector (“fiscal risk”).
3.3.
除了可行性研究,公私伙伴关系项目申请书应当:In addition to the feasibility study, the request for approval of a PPP project shall:
(a)(a)
评估项目的社会、经济和环境影响;Assess the project’s social, economic and environmental impact;
(b)(b)
确定技术方面的要求和预期的投入和交付成果;Identify the technical requirements and expected inputs and deliverables;
(c)(c)
考虑在多大程度上私人伙伴可在与订约当局订立的合同下执行项目活动;Consider the extent to which the project activities can be performed by a private partner under a contract with the contracting authority;
(d)(d)
确定与项目的批准或实施有关,订约当局或其他任何公共当局可能需要颁发的执照、许可证或授权书;Identify the licences, permits or authorizations that the contracting authority or any other public authority may be required to issue in connection with the approval or implementation of the project;
(e)(e)
查明和评估项目的主要风险,并说明在合同下拟议的风险分配办法;Identify and assess the main project risks and describe the proposed risk allocation under the contract;
(f)(f)
确定拟议为项目实施提供政府支持的形式;Identify any proposed form of Government support for the implementation of the project;
(g)(g)
确定订约当局有效执行合同的能力,包括能够监测和管理项目的实施和私人伙伴的绩效;Determine the capacity of the contracting authority to effectively enforce the contract, including the ability to monitor and regulate project implementation and the performance of the private partner;
(h)(h)
确定授予合同的适当程序。Identify the appropriate procedure for contract award.
示范条文第6条 公私伙伴关系项目建议书的批准Model provision 6. Approval of PPP project proposals
1.1.
[由颁布国指明的主管机构]应当负责[批准订约当局向其提交的拟议公私伙伴关系项目][就拟议公私伙伴关系项目是否符合[这些条文]所列的批准条件向[由颁布国指明的主管机构]提出建议]。The [the enacting State indicates the competent body] shall be responsible for [approving proposed PPP projects submitted to it by contracting authorities] [advising the [the enacting State indicates the competent body] as to whether a proposed PPP project meets the approval conditions set forth in [these provisions].
2.2.
[由颁布国指明的主管机构]尤其应当负责:The [the enacting State indicates the competent body] shall be responsible, in particular for:
(a)(a)
审查订约当局提交的公私伙伴关系项目建议书和可行性研究报告,以确定拟议项目是否值得以公私伙伴关系形式实施以及是否满足[这些条文]所规定的要求;Reviewing PPP project proposals and feasibility studies submitted by contracting authorities for purposes of ascertaining whether a proposed project is worthwhile being carried out as a PPP and meets the requirements set forth in [these provisions];
(b)(b)
审查订约当局是否有开展项目的能力并提出适当的建议;Reviewing the contracting authority’s capability for carrying out the project and making appropriate recommendations;
(c)(c)
审查订约当局编写的征求建议书草案,确保与核准的项目建议书和可行性研究报告相一致;Reviewing the draft requests for proposal prepared by contract authorities to ensure conformity with the approved proposal and feasibility study;
(d)(d)
就与公私伙伴关系有关的行政程序向政府提出建议;Advising the Government on administrative procedures relating to PPPs;
(e)(e)
制定与公私伙伴关系有关的准则;Developing guidelines relating to PPPs;
(f)(f)
就开展可行性和其他研究的方法向订约当局提出建议; (g)Advising contracting authorities on the methodology for conducting feasibility and other studies; (g)
编写标准招标文件和合同文件供订约当局使用;Preparing standard bidding and contract documents for use by contracting authorities;
(h)(h)
就实施公私伙伴关系项目发布咨询意见;Issuing advice in connection with the implementation of PPP projects;
(i)(i)
必要时协助订约当局,确保公私伙伴关系按照[这些条文]实施; (j)Assisting contracting authorities as required to ensure that PPPs are carried out in accordance with [these provisions]; and (j)
履行[由颁布国指明发布实施示范条文的条例的主管机构]可能赋予的与公私伙伴关系有关的任何其他职能。Performing any other functions in connection with PPPs that the [the enacting States indicates the competent body to issue regulations implementing the model provisions] may assign to it.
示范条文第7条 行政协调Model provision 7. Administrative coordination
[由颁布国指明的主管机构]应当[设立][向[由颁布国指明的主管机构]建议设立]机构机制,对负责根据关于有关类型基础性设施的建造和运营的法规或管理规定颁发实施公私伙伴关系项目所要求的批准书、执照、许可证或授权书的各公共当局开展的活动进行协调。The [the enacting State indicates the competent body] shall [establish] [propose to the [the enacting State indicates the competent body] the establishment of] institutional mechanisms to coordinate the activities of the public authorities responsible for issuing approvals, licences, permits or authorizations required for the implementation of PPP projects in accordance with statutory or regulatory provisions on the construction and operation of infrastructure facilities of the type concerned.
III.
三.授予合同Contract award
示范条文第8条 一般规则Model provision 8. General rules
订约当局挑选私人伙伴,应当根据示范条文第9至22条(或例外情况下根据示范条文第23至28条)和示范条文第29至32条进行,对于其中未规定的事项,则根据[颁布国指明其法律中就相当于《贸易法委员会公共采购示范法》所规定的透明和高效的竞争性公共采购程序作出规定的条文]进行。The contract authority shall select the private partner in accordance with model provisions 9–22 (or exceptionally model provisions 23–28) and model provisions 29–32, and, for matters not provided herein, in accordance with [the enacting State indicates the provisions of its laws that provide for transparent and efficient competitive public procurement procedures equivalent to those set forth in the UNCITRAL Model Law on Public Procurement].
1.1.
投标人的预选Pre-selection of bidders
示范条文第9条 预选的目的和程序Model provision 9. Purpose and procedure of pre-selection
1.1.
为了向数目有限的供应商或承包商征求建议书,订约当局应当进行预选程序,以便确定有适当资格实施所设想的项目的投标人。For the purpose of limiting the number of suppliers or contractors from which to request proposals, the contracting authority shall engage in pre-selection proceedings with a view to identifying bidders that are suitably qualified to implement the envisaged project.
2.2.
应当根据[颁布国指明其法律中关于公布有关参加供应商和承包商资格预审程序的邀请书的规定]公布参加预选程序邀请书。The invitation to participate in the pre-selection proceedings shall be published in accordance with [the enacting State indicates the provisions of its laws governing publication of invitation to participate in proceedings for the pre-qualification of suppliers and contractors].
3.3.
[颁布国指明其采购程序法中关于参加供应商和承包商资格预审程序邀请书的内容的规定]尚未作出要求的,参加预选程序邀请书应当至少包括下列内容:To the extent not already required by [the enacting State indicates the provisions of its laws on procurement proceedings that govern the content of invitations to participate in proceedings for the pre-qualification of suppliers and contractors], the invitation to participate in the pre-selection proceedings shall include at least the following:
(a)(a)
对基础设施、设施或服务系统的描述,视情况而定;A description of the infrastructure, facility or service systems, as appropriate;
(b)(b)
指明项目其他主要要素,例如拟由私人伙伴提供的服务,订约当局设想的财务安排(例如,项目是否完全由使用费或收费供资,或是否可能向私人伙伴提供诸如直接付款、贷款或担保等公共资金);An indication of other essential elements of the project, such as the services to be delivered by the private partner, the financial arrangements envisaged by the contracting authority (for example, whether the project will be entirely financed by user fees or tariffs or whether public funds such as direct payments, loans or guarantees may be provided to the private partner);
(c)(c)
摘要说明已知的拟订立公私伙伴关系合同必须有的主要条款;Where already known, a summary of the main required terms of the PPP contract to be entered into;
(d)(d)
参加预选申请书的提交方式和地点以及提交截止期限,应当指明具体日期和时间,让投标人有充足的时间准备和提交申请书;The manner and place for the submission of applications for pre-selection and the deadline for the submission, expressed as a specific date and time, allowing sufficient time for bidders to prepare and submit their applications;
and
(e)(e)
征求预选文件的方式和地点。The manner and place for solicitation of the pre-selection documents.
4.4.
[颁布国指明其采购程序法中关于拟在供应商和承包商资格预审程序中提供给供应商和承包商的预选文件的内容的规定]尚未作出要求的,预选文件应当至少包括以下资料:To the extent not already required by [the enacting State indicates the provisions of its laws on procurement proceedings that govern the content of the pre-selection documents to be provided to suppliers and contractors in proceedings for the pre-qualification of suppliers and contractors], the pre-selection documents shall include at least the following information:
(a)(a)
示范条文第10条规定的预选标准; (b)The pre-selection criteria in accordance with model provision 10;
(b)
订约当局是否有意放弃示范条文第11条所规定对联合体参加的限制;Whether the contracting authority intends to waive the limitations on the participation of consortia set forth in model provision 11;
(c)(c)
订约当局是否有意根据示范条文第12条第2款在完成预选程序之后仅要求最符合预选文件所规定的预选标准的有限数目通过预选的投标人提交建议书;Whether the contracting authority intends to request only a limited number of pre-selected bidders that best meet the pre-selection criteria specified in the pre-selection documents to submit proposals upon completion of the pre-selection proceedings in accordance with model provision 12, paragraph 2;
如果是,将向其征求建议书的通过预选投标人的最大数目,以及选定该数目的方式。if so, the maximum number of pre-selected bidders from which the proposals will be requested and the manner in which the selection of that number will be carried out.
在确定该最大数目时,订约当局应当考虑到确保有效竞争的必要性;In establishing the maximum number, the contracting authority shall bear in mind the need to ensure effective competition;
(d)(d)
订约当局是否有意根据示范条文第...条要求中标投标人建立一个依照[本颁布国]法律建立和注册的法律实体。Whether the contracting authority intends to require the successful bidder to establish an independent legal entity established and incorporated under the laws of [the enacting State] in accordance with model provision ….
5.5.
对于本[示范条文]未予规定的事项,应当根据[颁布国指明其政府采购法中关于如何进行供应商和承包商资格预审程序或预选程序的规定]进行预选程序。For matters not provided for in this model provision, the pre-selection proceedings shall be conducted in accordance with [the enacting State indicates the provisions of its laws on government procurement governing the conduct of proceedings for the pre-qualification or pre-selection of suppliers and contractors].
示范条文第10条 预选标准Model provision 10. Pre-selection criteria
有兴趣的投标人必须符合订约当局认为适当并与特定项目相关的下列标准:Interested bidders must meet such of the following criteria as the contracting authority considers appropriate and relevant for the particular contract:
(a)(a)
具备执行项目所有阶段包括设计、建造、运营和维护所必需的专业、技术和环境方面的资格、专业和技术能力、财政资源、设备和其他有形设施、管理能力、可靠性、经验和人员;That they have the necessary professional, technical and environmental qualifications, professional and technical competence, financial resources, equipment and other physical facilities, managerial capability, reliability, experience and personnel as necessary to carry out all the phases of the project, including design, construction, operation and maintenance;
(b)(b)
具备管理项目财务方面的足够能力和维持项目的财务需要的能力;That they have sufficient ability to manage the financial aspects of the project and capability to sustain its financing requirements;
(c)(c)
符合[本国]适用的道德标准和其他标准;That they meet ethical and other standards applicable in [this State];
(d)(d)
具有订立公私伙伴关系合同的法律行为能力;That they have the legal capacity to enter into the PPP contract;
(e)(e)
不是处于无清偿能力、财产被接管、破产或清理状态,其事务目前不是由法院或司法人员管理,其业务活动未被中止,并且其未因上述任何状况而成为法律诉讼主体; (f)That they are not insolvent, in receivership, bankrupt or being wound up, their affairs are not being administered by a court or a judicial officer, their business activities have not been suspended and they are not the subject of legal proceedings for any of the foregoing; (f)
履行了缴纳[本国]税款和社会保障款的义务;That they have fulfilled their obligations to pay taxes and social security contributions in [this State];
(g)(g)
它们及其董事或高管人员在授予合同程序之前……年期限[颁布国规定具体期限]内未曾被判犯有涉及职业操守或涉及假报虚报资格订立采购合同的任何刑事罪,也未曾因中止或暂停资格的行政程序而被取消其他资格。That they have not, and their directors or officers have not, been convicted of any criminal offence related to their professional conduct or the making of false statements or misrepresentations as to their qualifications to enter into a procurement contract within a period of ... years [the enacting State specifies the period of time] preceding the commencement of the contract award proceedings, or have not been otherwise disqualified pursuant to administrative suspension or debarment proceedings.
示范条文第11条 联合体的参加Model provision 11. Participation of consortia
1.1.
订约当局在最初邀请投标人参加筛选程序时,应当允许这些投标人组成投标联合体。The contracting authority, when first inviting the participation of bidders in the selection proceedings, shall allow them to form bidding consortia.
要求投标联合体成员根据示范条文第10条为证明资格而提供的资料应当既涉及整个联合体,又涉及联合体的各个参加者。The information required from members of bidding consortia to demonstrate their qualifications in accordance with model provision 10 shall relate to the consortium as a whole as well as to its individual participants.
2.2.
Unless otherwise [authorized by ...
除非[经……[颁布国指明有关当局]另有授权]和]预选文件中另有说明,否则,无论是直接参加还是间接参加,联合体的每一成员在同一时间只能参加一个联合体。[the enacting State indicates the relevant authority] and] stated in the pre-selection documents, each member of a consortium may participate, either directly or indirectly, in only one consortium at a time.
违反这项规则的,导致联合体和各别成员均被取消资格。A violation of this rule shall cause the disqualification of the consortium and of the individual members.
3.3.
在审议投标联合体的资格时,订约当局应当考虑联合体每个成员的能力,并评估联合体各成员的资格合起来是否足以满足项目所有阶段的需要。When considering the qualifications of bidding consortia, the contracting authority shall consider the capabilities of each of the consortium members and assess whether the combined qualifications of the consortium members are adequate to meet the needs of all phases of the project.
示范条文第12条 就预选作出决定Model provision 12. Decision on pre-selection
1.1.
订约当局应当就提交预选申请书的每一投标人的资格作出决定。The contracting authority shall make a decision with respect to the qualifications of each bidder that has submitted an application for pre-selection.
订约当局在作出这项决定时应当采用预选文件中规定的标准、要求和程序。In reaching that decision, the contracting authority shall apply only the criteria, requirements and procedures that are set forth in the pre-selection documents.
订约当局应当邀请通过预选的所有投标人根据示范条文第13至22条提交建议书。All pre-selected bidders shall thereafter be invited by the contracting authority to submit proposals in accordance with model provisions 13–22.
2.2.
虽有第1款的规定,订约当局在预选文件中作出适当说明,表明其保留仅请最符合预选标准的数目有限的投标人提交建议书的权利的,订约当局应当根据评估投标人资格时所采用的标准对这些投标人进行评分,并拟定在预选程序结束后将邀请其提交建议书的投标人名单,该名单限于预选文件所列明的最高数目,但如有可能至少应为三个。Notwithstanding paragraph 1, where the contracting authority has indicated through an appropriate statement in the pre-selection documents that it reserved the right to request proposals only from a limited number of bidders that best meet the pre-selection criteria, the contracting authority shall rate the bidders on the basis of the criteria applied to assess their qualifications and draw up the list of bidders that will be invited to submit proposals upon completion of the pre-selection proceedings up to the maximum number specified in the pre-selection documents but at least three, if possible.
订约当局在拟定该名单时应当仅采用预选文件中规定的标准和评分方式。In drawing up the list, the contracting authority shall apply only criteria and the manner of rating that are set forth in the pre-selection documents.
2.2.
征求建议书的程序Procedures for requesting proposals
示范条文第13条 选择筛选程序Model provision 13. Choice of selection procedure
1.1.
如果订约当局经评估认为,需要与投标人进行讨论,以细化采购标明说明的各个方面,并按[颁布国指明其法律中关于如《贸易法委员会公共采购示范法》第10条所规定的建议征求书的内容的条款]要求的详细程度拟订采购标的说明,并且使订约当局获得对其采购需要的最满意解决办法,则订约当局可以根据[颁布国指明其法律中就相当于《贸易法委员会公共采购示范法》第48条所规定的两阶段招标的采购方法作出规定的条款],以两阶段征求建议书的方式为公私伙伴关系项目选择私人伙伴。A contracting authority may select the private partner for a PPP project by means of a two-stage request for proposals in accordance with [the enacting State indicates the provisions of its laws that provide for a procurement method equivalent to the two-stage tendering provided for in article 48 of the UNCITRAL Model Law on Public Procurement] where the contracting authority assesses that discussions with bidders are needed to refine aspects of the description of the subject matter of the procurement and to formulate them with the detail required under [the enacting State indicates the provisions of its laws that govern the content of requests for proposals as in article 10 of the UNCITRAL Model Law on Public Procurement], and in order to allow the contracting authority to obtain the most satisfactory solution to its procurement needs.
2.2.
如果订约当局按照[颁布国指明其法律中关于如《贸易法委员会公共采购示范法》第10条所规定的建议征求书的内容的条款]拟订详细的采购标的并不可行,并且订约当局经过评估认为需要与投标人对话以获得对其采购需要的最满意解决办法,则订约当局可以根据[颁布国指明其法律中就相当于《贸易法委员会公共采购示范法》第49条所规定的通过对话征求建议书的采购方法作出规定的条款],以通过对话征求建议书的方式为公私伙伴关系项目选择私人伙伴。A contracting authority may select the private partner for a PPP project by means of a request for proposals with dialogue in accordance with [the enacting State indicates the provisions of its laws that provide for a procurement method equivalent to the request for proposals with dialogue provided for in article 49 of the UNCITRAL Model Law on Public Procurement] where it is not feasible for the contracting authority to formulate a detailed description of the subject matter of the procurement in accordance with [the enacting State indicates the provisions of its laws that govern the content of requests for proposals as in article 10 of the UNCITRAL Model Law on Public Procurement], and the contracting authority assesses that dialogue with bidders is needed to obtain the most satisfactory solution to its procurement needs.
示范条文第14条 建议征求书的内容Model provision 14. Content of the request for proposals
1.1.
订约当局应当提供一套建议征求书和有关文件,给支付这些文件任何费用的被邀请提交建议书的每一个投标人。The contracting authority shall provide a set of the request for proposals and related documents to each bidder invited to submit proposals that pays the price, if any, charged for those documents.
2.2.
除[颁布国指明其关于采购程序的法律中管辖建议征求书内容的条款]规定的任何其他要求外,建议征求书应当至少包括以下信息:In addition to any other information required by [the enacting State indicates the provisions of its laws on procurement proceedings that govern the content of requests for proposals], the request for proposals shall include the following information:
(a)(a)
投标人为编写和提交建议书可能需要的一般信息;General information as may be required by the bidders in order to prepare and submit their proposals;
(b)(b)
适当的项目规格和性能指标,包括订约当局对安全和安保标准和环境保护的要求;Project specifications and performance indicators, as appropriate, including the contracting authority’s requirements regarding safety and security standards and environmental protection;
(c)(c)
订约当局提议的合同条款,包括指明哪些条款被认为是不可谈判的;The contractual terms proposed by the contracting authority, including an indication of which terms are deemed to be non-negotiable;
(d)(d)
评审建议书的标准和订约当局为确定建议书不具响应性而规定的任何门槛;The criteria for evaluating proposals and the thresholds, if any, set by the contracting authority for identifying non-responsive proposals;
赋予每项评审标准的相对权重,或者按重要性递减顺序对所有评审标准的排列;the relative weight to be accorded to each evaluation criterion or the descending order of importance of all evaluation criteria;
在评审和拒绝建议书时适用标准和门槛的方式。and the manner in which the criteria and thresholds are to be applied in the evaluation and rejection of proposals.
示范条文第15条 投标担保Model provision 15. Bid securities
1.1.
订约当局要求投标人提交投标担保的,建议征求书应当载列对所需投标担保的出具人以及担保的性质、形式、数额和其他主要条款和条件的要求。When the contracting authority requires bidders to provide a bid security, the request for proposals shall set forth the requirements with respect to the issuer and the nature, form, amount and other principal terms and conditions of the required bid security.
2.2.
投标人根据要求可能提供的任何投标担保不得予以没收,除非:A bidder shall not forfeit any bid security that it may have been required to provide, other than in cases of:
(a)(a)
在规定的截止日期之前或之后撤回或修改建议书或最佳和最终报盘,前提是建议征求书中有此规定;If so stipulated in the request for proposals, withdrawal or modification of a proposal or a best and final offer before or after the stipulated deadline;
(b)(b)
未能依照示范条文第22条第1款同订约当局进行最后谈判;Failure to enter into final negotiations with the contracting authority pursuant to model provision 22, paragraph 1;
(c)(c)
未能依照示范条文第18条(e)款在订约当局规定的时限内提交最佳和最终报盘;Failure to submit its best and final offer within the time limit prescribed by the contracting authority pursuant to model provision 18, subparagraph (e);
(d)(d)
在建议书被接受后未能按照订约当局的要求签订公私伙伴关系合同;Failure to sign the PPP contract, if required by the contracting authority to do so, after the proposal has been accepted;
(e)(e)
未能在建议书或报盘被接受后为履行公私伙伴关系合同提供必要的履约担保或者未能履行建议征求书中规定的签署公私伙伴关系合同的任何其他前提条件。Failure to provide required security for the fulfilment of the PPP contract after the proposal or offer has been accepted or to comply with any other condition prior to signing the PPP contract specified in the request for proposals.
示范条文第16条 澄清和修改Model provision 16. Clarifications and modifications
订约当局可以主动也可以应投标人的澄清要求而审查和酌情修订示范条文第14条所规定的建议征求书的任何内容。The contracting authority may, whether on its own initiative or as a result of a request for clarification by a bidder, review and, as appropriate, revise any element of the request for proposals as set forth in model provision 14.
订约当局应当在根据示范条文第31条保持的筛选程序记录中说明修订建议征求书的理由。The contracting authority shall indicate in the record of the selection proceedings to be kept pursuant to model provision 31 the justification for any revision to the request for proposals.
任何这种删除、修改或增补应当在提交建议书截止日期前的合理时间内以与建议征求书相同的方式通知投标人。Any such deletion, modification or addition shall be communicated to the bidders in the same manner as the request for proposals at a reasonable time prior to the deadline for submission of proposals.
示范条文第17条 两阶段征求建议书Model provision 17. Two-stage request for proposals
(a)(a)
在根据[示范条文第14条]发布建议征求书之前,订约当局应当发布初步的建议征求书,在其中要求投标人在程序的第一阶段提交与项目规格、性能指标、资金需求或项目的其他特点以及与订约当局提议的主要合同条款有关的初始建议书;Prior to issuing the request for proposals in accordance with [model provision 14], the contracting authority issues an initial request for proposals calling upon the bidders to submit, in the first stage of the procedure, initial proposals relating to project specifications, performance indicators, financing requirements or other characteristics of the project as well as to the main contractual terms proposed by the contracting authority;
(b)(b)
对于初始建议书未因不具响应性或法律规定的其他理由而被拒绝的投标人,订约当局应召集投标人会议并与之进行讨论或对话。The contracting authority may convene meetings and hold discussions or dialogue with bidders whose initial proposals have not been rejected as non-responsive or for other grounds specified in law.
讨论可以涉及初始建议征求书或投标人提交的初始建议书和随附文件的任何方面;Discussions may concern any aspect of the initial request for proposals or the initial proposals and accompanying documents submitted by the bidders;
(c)(c)
在审查所收到的建议书之后,订约当局可以审查和酌情修订初始建议征求书,删除或修改初始项目规格、性能指标、资金需求或项目其他特点包括主要合同条款的任何方面,以及初始建议征求书中所载的评审和比较建议书及确定中标投标人的任何标准。Following examination of the proposals received, the contracting authority may review and, as appropriate, revise the initial request for proposals by deleting or modifying any aspect of the initial project specifications, performance indicators, financing requirements or other characteristics of the project, including the main contractual terms, and any criterion for evaluating and comparing proposals and for ascertaining the successful bidder, as set forth in the initial request for proposals, as well as by adding characteristics or criteria to it.
订约当局应当在根据示范条文第31条保持的筛选程序记录中说明修订建议征求书的理由。The contracting authority shall indicate in the record of the selection proceedings to be kept pursuant to model provision 31 the justification for any revision to the request for proposals.
任何此种删除、修改或增补,均应在提交最后建议书邀请书中告知投标人;Any such deletion, modification or addition shall be communicated in the invitation to submit final proposals;
(d)(d)
在程序的第二阶段,订约当局应当邀请投标人根据示范条文第14条针对单独一套项目规格、性能指标或合同条款提交最终的建议书。In the second stage of the proceedings, the contracting authority shall invite the bidders to submit final proposals with respect to a single set of project specifications, performance indicators or contractual terms in accordance with model provision 14.
示范条文第18条 通过对话征求建议书Model provision 18. Request for proposals with dialogue
根据[示范条文第13条第(2)款]采用通过对话征求建议书的:Where a request for proposals with dialogue is used in accordance with [model provision 13(2)]:
(a)(a)
凡是递交了具响应性建议书的投标人,订约当局均应在所适用的任何最高数目之内邀请其参加对话。The contracting authority shall invite each bidder that presented a responsive proposal, within any applicable maximum, to participate in the dialogue.
订约当局应当确保被邀请参加对话的投标人的数目足以确保有效竞争,如有可能至少应为三个;The contracting authority shall ensure that the number of bidders invited to participate in the dialogue, which shall be at least three, if possible, is sufficient to ensure effective competition;
(b)(b)
应当由订约当局的同一些代表在同一时间进行对话;The dialogue shall be conducted by the same representatives of the contracting authority on a concurrent basis;
(c)(c)
对话过程中,订约当局不得修改以下内容:项目标的、任何资格标准或评审标准、任何最低限要求、项目说明的任何要素或不属于建议征求书列明的对话内容的任何采购合同条款或条件。During the course of the dialogue, the contracting authority shall not modify the subject matter of the project, any qualification or evaluation criterion, any minimum requirements, any element of the description of the project or any term or condition of the procurement contract that is not subject to the dialogue as specified in the request for proposals;
(d)(d)
订约当局向某一投标人发送的对话期间产生的任何要求、准则、文件、澄清或其他信息,应当在平等基础上同时发送给其他所有参加对话的投标人,除非这些信息是特别针对或专门用于该供应商或承包商的,或者此种发送将违反[颁布国指明其法律中相当于《贸易法委员会公共采购示范法》第24条的条款]的保密规定;Any requirements, guidelines, documents, clarifications or other information generated during the dialogue that is communicated by the contracting authority to a bidder shall be communicated at the same time and on an equal basis to all other participating bidders, unless such information is specific or exclusive to that supplier or contractor or such communication would be in breach of the confidentiality provisions of [the enacting State indicates the provisions of its laws equivalent to article 24 of the UNCITRAL Model Procurement Law];
(e)(e)
对话之后,订约当局应当请求所有仍在程序中的投标人就其建议书的所有方面提出最佳和最终报盘。Following the dialogue, the contracting authority shall request all bidders remaining in the proceedings to present a best and final offer with respect to all aspects of their proposals.
该请求应当采用书面形式,并应当具体说明提出最佳和最终报盘的方式、地点和截止时间。The request shall be in writing and shall specify the manner, place and deadline for presenting best and final offers.
示范条文第19条 评审标准Model provision 19. Evaluation criteria
1.1.
评审和比较建议书的技术要素的标准应当至少包括下列各项:The criteria for the evaluation and comparison of the technical elements of the proposals shall include at least the following:
(a)(a)
技术合理性; (b)Technical soundness; (b)
符合环境标准;Compliance with environmental standards;
(c)(c)
运营可行性;Operational feasibility;
(d)(d)
服务质量和确保服务连续性的措施。Quality of services and measures to ensure their continuity.
2.2.
评审和比较建议书的财务和商业要素的标准应当酌情包括下列各项:The criteria for the evaluation and comparison of the financial and commercial elements of the proposals shall include, as appropriate:
(a)(a)
合同期内的拟议通行费、单位价格和其他收费的现值;The present value of the proposed tolls, unit prices and other charges over the contract period;
(b)(b)
提议由订约当局直接支付的任何款项的现值;The present value of the proposed direct payments by the contracting authority, if any;
(c)(c)
设计和建造活动的费用、每年运营和维护费用、资本费用和运营及维护费用的现值;The costs for design and construction activities, annual operation and maintenance costs, present value of capital costs and operating and maintenance costs;
(d)(d)
可望由[本颁布国]一公共当局提供的任何财政支持的规模;The extent of financial support, if any, expected from a public authority of [the enacting State];
(e)(e)
拟议财务安排的合理性; (f)The soundness of the proposed financial arrangements; (f)
对订约当局在建议征求书中提议的可以谈判的合同条款的接受程度;The extent of acceptance of the negotiable contractual terms proposed by the contracting authority in the request for proposals;
(g)(g)
建议书提供的社会和经济发展潜力。The social and economic development potential offered by the proposals.
示范条文第20条 建议书或报盘的比较和评审Model provision 20. Comparison and evaluation of proposals or offers
1.1.
订约当局应当根据建议征求书中规定的评审标准、赋予每项标准的相对权重或评审标准重要性的降序排列以及评审程序,对每份建议书进行比较和评审。The contracting authority shall compare and evaluate each proposal or offer in accordance with the evaluation criteria, the relative weight accorded to each such criterion or the descending order of importance of evaluation criteria and the evaluation process set forth in the request for proposals.
2.2.
为第1款的目的,订约当局可以确定质量、技术、财务和商业方面的门槛。For the purposes of paragraph 1, the contracting authority may establish thresholds with respect to quality, technical, financial and commercial aspects.
未达到门槛的建议书或报盘应当视为不具响应性,并被拒绝参加程序。Proposals or offers that fail to achieve the thresholds shall be regarded as non-responsive and rejected from the procedure.
示范条文第21条 再次证明符合资格标准Model provision 21. Further demonstration of fulfilment of qualification criteria
订约当局可以要求通过预选的任何投标人根据预选中使用的相同标准再次证明其资格。The contracting authority may require any bidder that has been pre-selected to demonstrate again its qualifications in accordance with the same criteria used for pre-selection.
经要求而不能再次证明其资格的任何投标人,订约当局应取消其资格。The contracting authority shall disqualify any bidder that fails to demonstrate again its qualifications if requested to do so.
示范条文第22条 授予合同Model provision 22. Contract award
1.1.
根据示范条文第13条第1款采用两阶段程序的:Where a two-stage procedure is used in accordance with model provision 13(1):
(a)(a)
订约当局应当根据评审标准排列所有具响应性建议书的名次,并邀请取得最佳排名的投标人进行公私伙伴关系合同的最后谈判。The contracting authority shall rank all responsive proposals on the basis of the evaluation criteria and invite for final negotiation of the PPP contract the bidder that has attained the best rating.
最后谈判不得涉及最后建议征求书中指明的不可谈判的任何合同条款;Final negotiations shall not concern those contractual terms, if any, that were stated as non-negotiable in the final request for proposals;
(b)(b)
如果订约当局认为与被邀请的投标人的谈判显然不会达成合同,订约当局应当通知该投标人终止谈判,并让该投标人有合理的时间提出其最佳和最终报盘;If it becomes apparent to the contracting authority that the negotiations with the bidder invited will not result in a contract, the contracting authority shall inform the bidder of termination of the negotiations and give the bidder reasonable time to formulate its best and final offer;
(c)(c)
如果订约当局认为该报盘不可接受,应当否决该报盘,并按照排名先后邀请其他投标人进行谈判,直到达成公私伙伴关系合同或否决所有其余的建议书;If the contracting authority does not find that offer acceptable, it shall reject that offer and invite for negotiations the other bidders in the order of their ranking until it arrives at a PPP contract or rejects all remaining proposals;
(d)(d)
订约当局不得在依照本款规定终止与一投标人谈判后恢复与该投标人的谈判。The contracting authority shall not resume negotiations with a bidder with which negotiations have been terminated pursuant to this paragraph.
2.2.
根据示范条文第13条第2款采用通过对话征求建议书的:Where a request for proposals with dialogue is used in accordance with model provision 13(2):
(a)(a)
订约当局不得就投标人提出的最佳和最终报盘与其进行谈判。No negotiations shall take place between the contracting authority and bidders with respect to their best and final offers;
(b)(b)
中选报盘应当是按照建议征求书列明的建议书评审标准和程序确定的最符合采购实体需要的报盘。The successful offer shall be the offer that best meets the needs of the procuring entity as determined in accordance with the criteria and procedure for evaluating the proposals set out in the request for proposals.
3.3.
与一个或多个投标人直接谈判公私伙伴关系合同Direct negotiation of PPP contracts with one or more bidders
示范条文第23条 准许直接谈判的情形Model provision 23. Circumstances authorizing direct negotiation
经[颁布国指明有关当局]批准,订约当局有权在下列情形下就公私伙伴关系合同进行谈判,而不采用示范条文第9至22条中规定的程序:Subject to approval by [the enacting State indicates the relevant authority], the contracting authority is authorized to negotiate a PPP contract without using the procedure set forth in model provisions 9 to 22 in the following cases:
(a)(a)
迫切需要确保连续提供服务,而采用示范条文第9至22条中规定的程序将不切实际,前提条件是引起紧迫性的情况既非订约当局所能预见,也非其工作拖延所致;When there is an urgent need for ensuring continuity in the provision of the service and engaging in the procedures set forth in model provisions 9 to 22 would be impractical, provided that the circumstances giving rise to the urgency were neither foreseeable by the contracting authority nor the result of dilatory conduct on its part;
(b)(b)
项目期限短,且预期初始投资额不超过[[颁布国具体规定一个最高金额]的][[颁布国指明其法律中具体规定低于某金额门槛可通过直接谈判授标的条款]中规定的]数额;Where the project is of short duration and the anticipated initial investment value does not exceed the amount [of [the enacting State specifies a monetary ceiling]] [set forth in [the enacting State indicates the provisions of its laws that specify the monetary threshold below which a project may be awarded through direct negotiations]];
(c)(c)
使用示范条文第9至22条所规定程序对于保护国家基本安全利益不合适;Where the use of the procedures set forth in model provisions 9–22 is not appropriate for the protection of essential security interests of the State;
(d)(d)
只有一个来源能够提供所需服务,例如这种服务的提供需要使用某人所有或占有的知识产权、商业秘密或其他专属权利;Where there is only one source capable of providing the required service, such as when the provision of the service requires the use of intellectual property, trade secrets or other exclusive rights owned or possessed by a certain person or persons;
(e)(e)
由于令人信服的公共利益原因而由[颁布国指明有关当局]授权作为例外的其他情形。In other cases where the [the enacting State indicates the relevant authority] authorizes such an exception for compelling reasons of public interest.
示范条文第24条 公私伙伴关系合同的谈判程序Model provision 24. Procedures for negotiation of a PPP contract
如果不使用示范条文第9至22条所规定的程序谈判公私伙伴关系合同,订约当局应当:Where a PPP contract is negotiated without using the procedures set forth in model provisions 9–22 the contracting authority shall:
(a)(a)
根据[颁布国指明关于采购程序的任何相关法律中管辖发布通知的条款],促成发布通知,表示其打算就公私伙伴关系合同开始谈判;Cause a notice of its intention to commence negotiations in respect of a PPP contract to be published in accordance with [the enacting State indicates the provisions of any relevant laws on procurement proceedings that govern the publication of notices];
(b)(b)
在情况允许的范围内与订约当局认为能够实施项目的尽可能多的人进行谈判;Engage in negotiations with as many persons as the contracting authority judges capable of carrying out the project as circumstances permit;
(c)(c)
确定据以评价建议书和排列名次的评审标准。Establish evaluation criteria against which proposals shall be evaluated and ranked.
4.4.
非应标建议书Unsolicited proposals
示范条文第25条 非应标建议书的可接受性Model provision 25. Admissibility of unsolicited proposals
作为示范条文第9至22条的例外情形,订约当局有权依照示范条文第26至28条规定的程序考虑非应标建议书,但此类建议书须不涉及已经启动或宣布筛选程序的项目。As an exception to model provisions 9 to 22, the contracting authority is authorized to consider unsolicited proposals pursuant to the procedures set forth in model provisions 26 to 28, provided that such proposals do not relate to a project for which selection procedures have been initiated or announced.
示范条文第26条 确定非应标建议书的可接受性的程序Model provision 26. Procedures for determining the admissibility of unsolicited proposals
1.1.
在收到并初步审查非应标建议书后,订约当局应当尽快通知提交人该项目是否被认为可能符合公共利益。Following receipt and preliminary examination of an unsolicited proposal, the contracting authority shall inform the proponent as soon as practicable whether or not the project is considered to be potentially in the public interest.
2.2.
如果根据第1款认为该项目可能符合公共利益,订约当局应当请提交人就拟议的项目提供此阶段可以提供的尽量多的资料,以便使订约当局能够对提交人的资格、项目在技术和经济上的可行性进行恰当的评价,并确定项目能否按订约当局可以接受的条款以所拟议的方式得到顺利实施。If the project is considered to be potentially in the public interest under paragraph 1, the contracting authority shall invite the proponent to submit as much information on the proposed project as is feasible at this stage to allow the contracting authority to make a proper evaluation of the proponent’s qualifications and the technical and economic feasibility of the project and to determine whether the project is likely to be successfully implemented in the manner proposed in terms acceptable to the contracting authority.
为此目的,提交人应当提交技术和经济可行性研究报告、环境影响研究报告以及关于建议书中设想的概念或技术的令人满意的资料。For this purpose, the proponent shall submit a technical and economic feasibility study, an environmental impact study and satisfactory information regarding the concept or technology contemplated in the proposal.
3.3.
订约当局在审议非应标建议书时,应当尊重建议书中所包含的、引起的或者提及的知识产权、商业秘密或者其他专属权利。In considering an unsolicited proposal, the contracting authority shall respect the intellectual property, trade secrets or other exclusive rights contained in, arising from or referred to in the proposal.
因此,除评审该建议书之外,订约当局不得使用由提交人自己或者其代表就非应标建议书提供的资料,但经提交人同意的除外。Therefore, the contracting authority shall not make use of information provided by or on behalf of the proponent in connection with its unsolicited proposal other than for the evaluation of that proposal, except with the consent of the proponent.
除非当事各方另有约定,如果该建议书被否决,订约当局应当向提交人退还提交人在整个程序期间提交和编写的文件原件及其任何副本。Except as otherwise agreed by the parties, the contracting authority shall, if the proposal is rejected, return to the proponent the original and any copies of documents that the proponent submitted and prepared throughout the procedure.
Model provision 27.
示范条文第27条 不涉及知识产权、商业秘密或其他 专属权的非应标建议书Unsolicited proposals that do not involve intellectual property, trade secrets or other exclusive rights
1.1.
除示范条文第23条所述情形外,订约当局如决定实施项目,应当在下列情形下依照示范条文第9至22条启动筛选程序:Except in the circumstances set forth in model provision 23, the contracting authority shall, if it decides to implement the project, initiate a selection procedure in accordance with model provisions 9 to 22 if the contracting authority considers that:
(a)(a)
订约当局认为不利用提交人所有或占有的知识产权、商业秘密或其他专属权利也可以达到项目的预期产出;The envisaged output of the project can be achieved without the use of intellectual property, trade secrets or other exclusive rights owned or possessed by the proponent;
and
(b)(b)
订约当局认为所提出的概念或技术并非真正独特或新颖。The proposed concept or technology is not truly unique or new.
2.2.
应当邀请该提交人参加订约当局依照第1款启动的筛选程序,并且可以以订约当局在建议征求书中所述的方式给予奖励或类似的好处,作为编写和提交建议书的报酬。The proponent shall be invited to participate in the selection proceedings initiated by the contracting authority pursuant to paragraph 1 and may be given an incentive or a similar benefit in a manner described by the contracting authority in the request for proposals in consideration for the development and submission of the proposal.
Model provision 28.
示范条文第28条 涉及知识产权、商业秘密或专属权的非应标建议书Unsolicited proposals involving intellectual property, trade secrets or other exclusive rights
1.1.
如果订约当局确定示范条文第27条第1款(a)项和(b)项的条件未得到满足,订约当局不必依照示范条文第9至22条进行筛选程序。If the contracting authority determines that the conditions of model provision 27, paragraph 1 (a) and (b), are not met, it shall not be required to carry out a selection procedure pursuant to model provisions 9 to 22.
然而,订约当局仍然可以根据本示范条文第2至4款中载列的规定设法获得用来比较非应标建议书的要素。However, the contracting authority may still seek to obtain elements of comparison for the unsolicited proposal in accordance with the provisions set out in paragraphs 2 to 4 of this model provision.
2.2.
如果订约当局打算获得用来比较非应标建议书的要素,订约当局应当公布建议书主要产出要素的说明,并邀请其他有兴趣的当事方在[一段合理期限][颁布国指明一段时间]内提交建议书。Where the contracting authority intends to obtain elements of comparison for the unsolicited proposal, the contracting authority shall publish a description of the essential output elements of the proposal with an invitation for other interested parties to submit proposals within [a reasonable period] [the enacting State indicates a certain amount of time].
3.3.
如果在[一段合理期限][上文第2款规定的时间]内没有收到回应依照本示范条文第2款发布的邀请书的任何建议书,订约当局可以同原始提交人进行谈判。If no proposals in response to an invitation issued pursuant to paragraph 2 of this model provision are received within [a reasonable period] [the amount of time specified in paragraph 2 above], the contracting authority may engage in negotiations with the original proponent.
4.4.
如果订约当局收到了回应依照第2款发布的邀请书的建议书,订约当局应当根据示范条文第24条中载列的规定邀请这些提交人参加谈判。If the contracting authority receives proposals in response to an invitation issued pursuant to paragraph 2, the contracting authority shall invite the proponents to negotiations in accordance with the provisions set forth in model provision 24.
如果订约当局收到的投标书数量足够多而且表面看来符合其需要,订约当局应当要求依照示范条文第9至22条提交建议书,但须给予非应标建议书提交人根据示范条文第27条第2款可以给予的任何奖励或其他好处。In the event that the contracting authority receives a sufficiently large number of proposals, which appear prima facie to meet its needs, the contracting authority shall request the submission of proposals pursuant to model provisions 9 to 22, subject to any incentive or other benefit that may be given to the person who submitted the unsolicited proposal in accordance with model provision 27, paragraph 2.
5.5.
杂项规定Miscellaneous provisions
示范条文第29条 保密Model provision 29. Confidentiality
订约当局在处理建议书时,应当避免将其内容披露给相竞争的投标人,或未被允许接触此类信息的其他任何人。The contracting authority shall treat proposals in such a manner as to avoid the disclosure of their content to competing bidders or to any other person not authorized to have access to this type of information.
订约当局依照示范条文第17条、第18条、第21条、第23条、第24条或第28条第3款和第4款同一投标人进行的任何讨论、通信和谈判均应当保密。Any discussions, communications and negotiations between the contracting authority and a bidder pursuant to model provisions 17, 18, 21, 23, 24 or 28, paragraphs 3 and 4, shall be confidential.
除非法律或者法院命令有要求,谈判一方未经另一方同意,不得向任何其他人披露与依照上述规定进行讨论、通信和谈判有关的任何技术、价格或其他信息。Unless required by law or by a court order, no party to the negotiations shall disclose to any other person any technical, price or other information in relation to discussions, communications and negotiations pursuant to the aforementioned provisions without the consent of the other party.
示范条文第30条 授予合同的通知Model provision 30. Notice of contract award
订约当局应当依照[颁布国指明其关于采购程序的法律中管辖公布授予合同的通知的规定],促成公布授予合同的通知。The contracting authority shall cause a notice of the contract award to be published in accordance with [the enacting State indicates the provisions of its laws on procurement proceedings that govern the publication of contract award notices].
该通知应当列明私人伙伴的名称,并摘要介绍公私伙伴关系合同的关键条款。The notice shall identify the private partner and include a summary of the essential terms of the PPP contract.
示范条文第31条 筛选和授予程序的记录Model provision 31. Record of selection and award proceedings
订约当局应当根据[颁布国指明其公共采购法律中关于采购程序记录的规定]保持与筛选和授标程序有关的信息的适当记录。The contracting authority shall keep an appropriate record of information pertaining to the selection and award proceedings in accordance with [the enacting State indicates the provisions of its laws on public procurement that govern the record of procurement proceedings].
示范条文第32条 复审程序Model provision 32. Review procedures
投标人声称由于订约当局采取的行动或决定被指称不符合法律规定而可能遭受了损失或损害,可以根据[颁布国指明其法律中关于复审采购程序中所作决定的规定]对有关决定或行动提出质疑。A bidder that claims to have suffered or claims that it may suffer loss or injury because of the alleged non-compliance of a decision or action of the contracting authority with the law may challenge the decision or action concerned in accordance with [the enacting State indicates the provisions of its laws governing the review of decisions made in procurement proceedings].
三.III.
公私伙伴关系合同的内容和实施Contents and implementation of the PPP contract
示范条文第33条 公私伙伴关系合同的内容和实施Model provision 33. Contents and implementation of the PPP contract
公私伙伴关系合同应当就当事各方认为适当的事项作出规定,其中包括:The PPP contract shall provide for such matters as the parties deem appropriate, such as:
(a)(a)
私人伙伴拟实施的工程和拟提供的服务的性质和范围(见第四章,第1段);The nature and scope of works to be performed and services to be provided by the private partner (see chap. IV, para. 1);
(b)(b)
提供这些服务的条件和公私伙伴关系合同下私人伙伴权利的任何排他性程度;The conditions for provision of those services and the extent of exclusivity, if any, of the private partner’s rights under the PPP contract;
(c)(c)
订约当局为私人伙伴获得实施基础设施项目所需要的执照和许可证而承诺向其提供的帮助;The assistance that the contracting authority has undertaken to provide to the private partner in obtaining licences and permits to the extent necessary for the implementation of the infrastructure project;
(d)(d)
对依照示范条文第35条组建的法律实体的任何设立和最低限度资本方面的要求(见示范条文第30条);Any requirements relating to the establishment and minimum capital of a legal entity incorporated in accordance with model provision 35 (see model provision 30);
(e)(e)
依照示范条文第36至39条,与项目有关的资产的所有权和当事方与酌情购置项目场地和任何必要地役权有关的义务(见示范条文第36至39条);The ownership of assets related to the project and the obligations of the parties, as appropriate, concerning the acquisition of the project site and any necessary easements, in accordance with model provisions 36 to 39 (see model provisions 36–39);
(f)(f)
私人伙伴的报酬由利用设施或提供服务的服务费和使用费等经营收入构成时:付款金额和方法、其细分情况、变动方式以及任何适用的公共补贴;Where the remuneration of the private partner consists of operational revenue such as tariffs and fees for the use of the facility or the provision of services: the amount and method of payment, their breakdown, the modalities of their variation and any public subsidies when applicable;
(g)(g)
私人伙伴的收入由订约当局支付的款项构成时:Where the remuneration of the private partner consists of payments made by the contracting authority:
向公共当局提供服务的总费用及其细分情况;the overall cost of the service rendered to the public authority and its breakdown;
此种付款的确定或调整方法和公式;the methods and formulas for the establishment or adjustment of such payments;
支付程序,特别是每年在什么条件下,订约当局应付私人伙伴的款项总额扣除私人伙伴可能因任何罚款、合同罚款或预定的损害赔偿金而应付的任何款项;the payment procedure, in particular the conditions under which, each year, the gross sums due by the contracting authority to the private partner are set off against any sums that the private partner may be liable to pay due to fines, contract penalties or liquidated damages if any;
(h)(h)
订约当局对工程设计、施工计划和技术标准的审查和批准程序,以及基础性设施的测试和最后检查、批准和验收程序;Procedures for the review and approval of engineering designs, construction plans and specifications by the contracting authority, and the procedures for testing and final inspection, approval and acceptance of the infrastructure facility;
(i)(i)
私人伙伴酌情确保为满足对服务的实际需求而改动服务并确保服务的连续性和以基本相同条件为所有用户提供服务的义务的程度(见示范条文第43条); (j)The extent of the private partner’s obligations to ensure, as appropriate, the modification of the service so as to meet the actual demand for the service, its continuity and its provision under essentially the same conditions for all users (see model provision 43); (j)
订约当局或其他公共当局对私人伙伴拟实施的工程和拟提供的服务进行监督的权利,以及订约当局或管理机构可以下令对工程和服务条件加以改动或采取其可能认为适当的其他合理行动以确保依照适用的法律要求和合同要求妥善运营基础性设施和提供服务的条件和程度;The contracting authority’s or other public authority’s right to monitor the works to be performed and services to be provided by the private partner and the conditions and extent to which the contracting authority or a regulatory agency may order variations in respect of the works and conditions of service or take such other reasonable actions as they may find appropriate to ensure that the infrastructure facility is properly operated and the services are provided in accordance with the applicable legal and contractual requirements;
(k)(k)
私人伙伴在多大程度上有义务酌情向订约当局或管理机构提供关于其运营情况的报告及其他资料;The extent of the private partner’s obligation to provide the contracting authority or a regulatory agency, as appropriate, with reports and other information on its operations;
(l)(l)
订约当局或另一公共当局下达任何与上文(i)项和(j)项有关的命令而可能造成的额外费用和其他后果的处理机制,包括私人伙伴可能有权得到的任何补偿;Mechanisms to deal with additional costs and other consequences that might result from any order issued by the contracting authority or another public authority in connection with subparagraphs (i) and (j) above, including any compensation to which the private partner might be entitled;
(m)(m)
订约当局对私人伙伴拟订立的重大合同的任何审批权,特别是与私人伙伴自己的股东或其他关联人士订立的重大合同;Any rights of the contracting authority to review and approve major contracts to be entered into by the private partner, in particular with the private partner’s own shareholders or other affiliated persons;
(n)(n)
私人伙伴为实施基础设施项目而应提供的履约担保和应保持的保险单;Guarantees of performance to be provided and insurance policies to be maintained by the private partner in connection with the implementation of the infrastructure project;
(o)(o)
任一当事方违约时可采用的补救方法;Remedies available in the event of default of either party;
(p)(p)
任一当事方由于其合理控制范围以外的情况而无法履行或推迟履行公私伙伴关系合同下的任何义务时可以免除赔偿责任的程度; (q)The extent to which either party may be exempt from liability for failure or delay in complying with any obligation under the PPP contract owing to circumstances beyond its reasonable control; (q)
公私伙伴关系合同的期限以及公私伙伴关系合同期满或终止时当事各方的权利和义务;The duration of the PPP contract and the rights and obligations of the parties upon its expiry or termination;
(r)(r)
依照示范条文第53条计算补偿的方式;The manner for calculating compensation pursuant to model provision 53; (s)
(s)
解决订约当局与私人伙伴之间可能出现的争端的管辖法律和机制(示范条文第34和54条);The governing law and the mechanisms for the settlement of disputes that may arise between the contracting authority and the private partner (model provisions 34 and 54);
(t)(t)
当事各方关于机密资料的权利和义务(见示范条文第29条)。The rights and obligations of the parties with respect to confidential information (see model provision 29).
示范条文第34条 管辖法律Model provision 34. Governing law
除非公私伙伴关系合同另有规定,公私伙伴关系合同由[本颁布国]的法律管辖。The PPP contract is governed by the law of [the enacting State] unless otherwise provided in the PPP contract.
示范条文第35条 私人伙伴的公司结构Model provision 35. Corporate structure of the private partner
订约当局可要求中标者建立一个根据[本颁布国]法律组建的法律实体,但需酌情在预选文件或建议征求书中对此加以说明。The contracting authority may require that the successful bidder establish a legal entity incorporated under the laws of [the enacting State], provided that a statement to that effect was made in the preselection documents or in the request for proposals, as appropriate.
公私伙伴关系合同应当按照建议征求书的条款,载明对此类法律实体的建立时限、最低限度资本、其章程和细则及章程和细则的重大更改获得订约当局批准的程序的任何要求。Any requirement relating to the time frame for establishing such legal entity, its minimum capital and the procedures for obtaining the approval of the contracting authority to its statute and by-laws and significant changes therein shall be set forth in the PPP contract consistent with the terms of the request for proposals.
示范条文第36条 资产的所有权Model provision 36. Ownership of assets
公私伙伴关系合同应当酌情指明哪些资产是或应当是公共财产,哪些资产是或应当是私人伙伴自己的财产。The PPP contract shall specify, as appropriate, which assets are or shall be public property and which assets are or shall be the private partner’s own property.
公私伙伴关系合同应当特别指明哪些资产属于下列类别:The PPP contract shall in particular identify which assets belong to the following categories:
(a)(a)
依照公私伙伴关系合同的规定,私人伙伴需要返还或移交给订约当局或由订约当局指定的另一实体的任何资产;Assets, if any, that the private partner is required to return or transfer to the contracting authority or to another entity indicated by the contracting authority in accordance with the terms of the PPP contract;
(b)(b)
订约当局可以选择向私人伙伴购买的任何资产;Assets, if any, that the contracting authority, at its option, may purchase from the private partner;
and
(c)(c)
在公私伙伴关系合同期满或终止时私人伙伴可以保留或处分的任何资产。Assets, if any, that the private partner may retain or dispose of upon expiry or termination of the PPP contract.
示范条文第37条 获得与项目场地相关的权利Model provision 37. Acquisition of rights related to the project site
1.1.
订约当局或者法律条款和公私伙伴关系合同规定的其他公共当局,应当向私人伙伴提供或酌情协助私人伙伴获得与实施项目所需项目场地相关的权利,包括项目场地的所有权。The contracting authority or other public authority under the terms of the law and the PPP contract shall make available to the private partner or, as appropriate, shall assist the private partner in obtaining such rights related to the project site, including title thereto, as may be necessary for the implementation of the project.
2.2.
凡是实施项目所需土地的强制征购,均应依照[颁布国指明本颁布国关于公共当局为公共利益而强制征购私有财产的法律规定]进行。Any compulsory acquisition of land that may be required for the implementation of the project shall be carried out in accordance with [the enacting State indicates the provisions of its laws that govern compulsory acquisition of private property by public authorities for reasons of public interest].
示范条文第38条 地役权Model provision 38. Easements
备选案文AVariant A
1.1.
订约当局或者法律条款和公私伙伴关系合同规定的其他公共当局,应当依照[颁布国指明本颁布国关于公用事业公司和基础设施运营人依法享有的地役权和其他类似权利的法律规定],向私人伙伴提供或酌情协助其享有酌情并视实施项目的需要而进入或穿过第三方的财产或在第三方的财产上施工或附设装置的权利。The contracting authority or other public authority under the terms of the law and the PPP contract shall make available to the private partner or, as appropriate, shall assist the private partner to enjoy the right to enter upon, transit through or do work or fix installations upon property of third parties, as appropriate and required for the implementation of the project in accordance with [the enacting State indicates the provisions of its laws that govern easements and other similar rights enjoyed by public utility companies and infrastructure operators under its laws].
备选案文BVariant B
1.1.
依照[颁布国指明本颁布国关于公用事业公司和基础设施运营人依法享有的地役权和其他类似权利的法律规定],私人伙伴应当拥有酌情并视实施项目的需要而进入或穿过第三方的财产或在第三方的财产上施工或安设装置的权利。The private partner shall have the right to enter upon, transit through or do work or fix installations upon property of third parties, as appropriate and required for the implementation of the project in accordance with [the enacting State indicates the provisions of its laws that govern easements and other similar rights enjoyed by public utility companies and infrastructure operators under its laws].
2.2.
实施项目所需要的任何地役权,应当依照[颁布国指明关于为公共利益而设置地役权的法律规定]设置。Any easements that may be required for the implementation of the project shall be created in accordance with [the enacting State indicates the provisions of its laws that govern the creation of easements for reasons of public interest].
示范条文第39条 财务安排Model provision 39. Financial arrangements
1.1.
如果私人伙伴根据公私伙伴关系合同运营供公众使用的设施或向公众提供服务,私人伙伴应当有权依照公私伙伴关系合同对利用设施或其服务征收、接受或收取服务费或使用费。Where the private partner operates a facility used by the public or provides a service to the public under the PPP contract, the private partner shall have the right to charge, receive or collect tariffs or fees for the use of the facility or its services in accordance with the PPP contract.
公私伙伴关系合同应当[依照主管管理机构制定的规则]就用来确定和调整这些服务费或使用费的方法和公式作出规定。The PPP contract shall provide for methods and formulas for the establishment and adjustment of those tariffs or fees [in accordance with the rules established by the competent regulatory agency].
2.2.
订约当局应当有权同意向私人伙伴直接付款,以此作为前款所述使用设施或其服务的服务费或使用费的替代或补充。The contracting authority shall have the power to agree to make direct payments to the private partner as a substitute for, or in addition to, tariffs or fees for the use of the facility or its services under the preceding paragraph.
3.3.
如果私人伙伴运营公众使用的设施或向订约当局或其他公共机构提供服务,私人伙伴应当有权根据公私伙伴关系合同,因为设施或其服务被实际使用或者因为提供设施或其服务而获得合同规定的租金、使用费或其他付款。Where the private partner operates a facility used by the public or provides a service to the contracting authority or other public body, the private partner shall have the right to the rental, usage fees or other payments set forth in the contract for the actual use or availability of the facility or its services in accordance with the PPP contract.
公私伙伴关系合同应当就用来确定和调整这些付款的方法和公式作出规定。The PPP contract shall provide for methods and formulas for the establishment and adjustment of those payments.
示范条文第40条 担保权益Model provision 40. Security interests
1.1.
在不违反公私伙伴关系合同可能载列的任何限制规定的情况下,视获得任何必要的项目融资所需,私人伙伴有权在其任何资产、权利或权益上设立担保权益,包括在与基础设施项目有关的资产、权利或权益上设立担保权益,其中特别包括:Subject to any restriction that may be contained in the PPP contract, the private partner has the right to create security interests over any of its assets, rights or interests, including those relating to the infrastructure project, as required to secure any financing needed for the project, including, in particular, the following:
(a)(a)
在私人伙伴拥有的动产或不动产或其在项目资产中的权益上设立担保;Security over movable or immovable property owned by the private partner or its interests in project assets;
(b)(b)
在私人伙伴应从利用其提供的设施或服务中得到的收益和应收款上设立质押。A pledge of the proceeds of, and receivables owed to the private partner for, the use of the facility or the services it provides.
2.2.
私人伙伴的股东应当有权在其在私人伙伴的股份上设立质押或设立任何其他担保权益。The shareholders of the private partner shall have the right to pledge or create any other security interest in their shares in the private partner.
3.3.
如果[本颁布国]法律不允许,则不得在公共财产或提供公共服务所需要的其他财产、资产或权利上设立第1款规定的担保。No security under paragraph 1 may be created over public property or other property, assets or rights needed for the provision of a public service, where the creation of such security is prohibited by the law of [the enacting State].
示范条文第41条 公私伙伴关系合同的转让Model provision 41. Assignment of the PPP contract
除示范条文第40条另有规定外,未经订约当局同意,公私伙伴关系合同规定的私人伙伴的权利和义务不得转让给第三方。Except as otherwise provided in model provision 40, the rights and obligations of the private partner under the PPP contract may not be assigned to third parties without the consent of the contracting authority.
公私伙伴关系合同应当载明订约当局应当同意转让公私伙伴关系合同规定的私人伙伴的权利和义务的条件,其中包括新的私人伙伴接受公私伙伴关系合同规定的所有义务和对于新的私人伙伴具备提供服务所需要的技术能力和财力的证明。The PPP contract shall set forth the conditions under which the contracting authority shall give its consent to an assignment of the rights and obligations of the private partner under the PPP contract, including the acceptance by the new private partner of all obligations thereunder and evidence of the new private partner’s technical and financial capability as necessary for providing the service.
示范条文第42条 私人伙伴控股权益的转移Model provision 42. Transfer of controlling interest in the private partner
除公私伙伴关系合同另有规定外,未经订约当局同意,私人伙伴的控股权益或者其参与项目公司被认为对项目的成功维护和运营至关重要的股东的权益不得转让给第三方。Except as otherwise provided in the PPP contract, a controlling interest in the private partner or the interest of a shareholder whose participation in the project company is deemed as essential for the successful maintenance and operation of the project may not be transferred to third parties without the consent of the contracting authority.
公私伙伴关系合同应当载明订约当局可能给予同意的条件。The PPP contract shall set forth the conditions under which consent of the contracting authority may be given.
示范条文第43条 基础设施的运营Model provision 43. Operation of infrastructure
1.1.
公私伙伴关系合同应当酌情载明私人伙伴下述义务的限度:The PPP contract shall set forth, as appropriate, the extent of the private partner’s obligations to ensure:
(a)(a)
确保改动服务使之满足服务要求的义务;The modification of the service so as to meet the demand for the service;
(b)(b)
确保服务连续性的义务;The continuity of the service;
(c)(c)
确保以基本相同的条件为所有用户提供服务的义务;The provision of the service under essentially the same conditions for all users;
(d)(d)
确保其他服务提供者酌情不受歧视地接入私人伙伴运营的任何公共基础设施网络。The non-discriminatory access, as appropriate, of other service providers to any public infrastructure network operated by the private partner.
2.2.
私人伙伴应当有权经订约当局或管理机构批准后颁布和执行设施的使用规则。The private partner shall have the right to issue and enforce rules governing the use of the facility, subject to the approval of the contracting authority or a regulatory body.
示范条文第44条 对立法具体变化的补偿Model provision 44. Compensation for specific changes in legislation
如果因具体适用于基础性设施或私人伙伴所提供服务的立法或规章发生变化,致使与原先设想的履约费用和履约价值相比,私人伙伴履行公私伙伴关系合同的费用显著增加,或者私人伙伴为此种履约收到的价值显著下降,公私伙伴关系合同应当载明私人伙伴有权为此获得补偿的程度。The PPP contract shall set forth the extent to which the private partner is entitled to compensation in the event that the cost of the private partner’s performance of the PPP contract has substantially increased or that the value that the private partner receives for such performance has substantially diminished, as compared with the costs and the value of performance originally foreseen, as a result of changes in legislation or regulations specifically applicable to the infrastructure facility or the services it provides.
示范条文第45条 公私伙伴关系合同的修正Model provision 45. Amendment of the PPP contract
1.1.
在不影响示范条文第44条的情况下,公私伙伴关系合同应进一步载明,因下列情形致使与原先设想的履约费用和履约价值相比,私人伙伴履行公私伙伴关系合同的费用显著增加或者私人伙伴为此种履约收到的价值显著下降的情况下,私人伙伴是否和在多大程度上有权要求修正公私伙伴关系合同:Without prejudice to model provision 44, the PPP contract shall further set forth the whether and to what extent the private partner is entitled to request the amendment of the PPP contract in the event that the cost of the private partner’s performance of the PPP contract has substantially increased or that the value that the private partner receives for such performance has substantially diminished, as compared with the costs and the value of performance originally foreseen, as a result of:
(a)(a)
经济或财务条件变化;Changes in economic or financial conditions;
or
(b)(b)
并非专门适用于基础性设施或其提供的服务的立法或规章变化;Changes in legislation or regulations not specifically applicable to the infrastructure facility or the services it provides;
但经济、财务、立法或规章的变化须是在下述情形下发生的:provided that the economic, financial, legislative or regulatory changes:
- 变化发生在合同订立之后;- Occur after the conclusion of the contract;
- 变化超出私人伙伴的控制范围;- Are beyond the control of the private partner;
and
- 变化的性质决定了按情理不能指望在公私伙伴关系合同谈判时私人伙伴已将这些变化考虑在内或者已规避或克服其后果。- Are of such a nature that the private partner could not reasonably be expected to have taken them into account at the time the PPP contract was negotiated or to have avoided or overcome their consequences.
2.2.
在不违反第5款规定的前提下,订约当局和私人伙伴可商定扩大公私伙伴关系合同的范围,以包括由私人伙伴提供额外工程或服务,这些工程或服务没有包括在初始合同中,但是已变得必要,并且选择另一个私人伙伴履行这些工程或服务不符合公共利益:Subject to the provisions of paragraph 5, the contracting authority and the private partner may agree to expand the scope of the PPP contract to include additional works or services to be provided by the private partner that were not included in the initial contract but have since become necessary and for the performance of which it would not be in the public interest to select another private partner:
(i)
因为经济或技术原因,如与根据初始合同采购的现有设备、服务或装置的互换性或互操作性要求;Because of economic or technical reasons such as requirements of interchangeability or interoperability with existing equipment, services or installations procured under the initial contract; and
(ii)
因为选择另一个私人伙伴将给订约当局造成很大的不便或带来大量的重复费用。Because the selection of another private partner would cause significant inconvenience or substantial duplication of costs for the contracting authority.
3.3.
公私伙伴关系合同应当确定根据第1和第2款修正公私伙伴关系合同的条款的程序。The PPP contract shall establish procedures for amending the terms of the PPP contract pursuant to paragraphs 1 and 2.
4.4.
订约当局应当要求,对公私伙伴关系合同任何符合下列条件的修正须经[颁布国指明公共机构或实体]批准:The contracting authority shall require the approval of [the enacting State indicates the public body or entity] for any amendments to the PPP contract:
(a)(a)
这种修正超过原始合同价值的[颁布国指明百分比];That exceed [the enacting State indicates the percentage] of the value of the original contract;
or
(b)(b)
这种修正规定根据第2款由私人伙伴提供未包括在初始合同中的额外工程或服务。That provide for additional works or services to be provided by the private partner that were not included in the initial contract pursuant to paragraph 2.
5.5.
凡第2款所述类别对公私伙伴关系合同的修正或修改使该合同在性质上与最初订立的合同有重大不同的,订约当局不得接受这样的修正或修改。The contracting authority may not accept any amendment or modification to the PPP contract of the type referred to in paragraph 2 that would render the contract substantially different in character from the one initially concluded.
在满足下述一个或多个条件的情况下,修改应视为重大修改:A modification shall be considered to be substantial where one or more of the following conditions is met:
(a)(a)
修正导致私人伙伴得到的报酬总价值超过合同期限内拟议通行费、使用费、单位价格和其他收费的现值与订约当局根据示范法条文第19条第2(a)和2(b)款评价各项建议书时考虑的拟议直接付款的现值之和的[颁布国指明百分比]。The total value of the remuneration of the private partner resulting from the amendment would exceed [the enacting State indicates the percentage] of the combined sum of the present value of the proposed tolls, fees, unit prices and other charges over the contract period and the present value of the proposed direct payments by the contracting authority, if any, as considered by the contracting authority to evaluate proposals in accordance with Model Provision 19, paragraph 2 (a) and (b).
在几次连续修改的情况下,该值的评估应当以[颁布国指明期望的时限内]几次连续修改的累计净值为基础。Where several successive modifications are made, the value shall be assessed on the basis of the net cumulative value of the successive modifications, in a period of [the enacting State indicates the desired time frame];
(b)(b)
修改引入了这样的条件,即如果这些条件是最初的合同授予程序的组成部分,将允许接纳最初选定的投标人以外的投标人,或允许接受最初接受的建议书以外的建议书,或将吸引更多参与方参与合同授予程序;The modification introduces conditions which, had they been part of the initial contract award procedure, would have allowed for the admission of bidders other than those initially selected or for the acceptance of a proposal other than that originally accepted or would have attracted additional participants in the contract award procedure;
(c)(c)
修改大大扩展了合同的范围;The modification extends the scope of the contract considerably;
(d)(d)
在示范条文第47条规定情形以外的其他情形下,新的私人伙伴取代订约当局最初授予合同的私人伙伴。Where a new private partner replaces the one to which the contracting authority had initially awarded the contract in other cases than those provided for under model provision 47.
示范条文第46条 订约当局接管基础设施项目Model provision 46. Takeover of an infrastructure project by the contracting authority
在公私伙伴关系合同载明的情形下,如果私人伙伴严重失职,未能履行义务,并且在订约当局通知其纠正违约情形后未能在一段合理期限内予以纠正,订约当局有权暂时接管设施的运营,以确保服务得到有效和不间断提供。Under the circumstances set forth in the PPP contract, the contracting authority has the right to temporarily take over the operation of the facility for the purpose of ensuring the effective and uninterrupted delivery of the service in the event of serious failure by the private partner to perform its obligations and to rectify the breach within a reasonable period of time after having been given notice by the contracting authority to do so.
示范条文第47条 替换私人伙伴Model provision 47. Substitution of the private partner
订约当局可以同基础设施项目的出资实体和私人伙伴约定,在私人伙伴严重违约或者发生其他事件因而本来应当终止公私伙伴关系合同或出现其他类似情形时,作出安排,由指定的新的实体或个人代替私人伙伴履行现有公私伙伴关系合同。The contracting authority may agree with the entities extending financing for an infrastructure project and the private partner to provide for the substitution of the private partner by a new entity or person appointed to perform under the existing PPP contract upon serious breach by the private partner or other events that could otherwise justify the termination of the PPP contract or other similar circumstances.
四.IV.
公私伙伴关系合同的期限、展期和终止Duration, extension and termination of the PPP contract
1.1.
公私伙伴关系合同的期限和展期Duration and extension of the PPP contract
示范条文第48条 公私伙伴关系合同的期限Model provision 48. Duration of the PPP contract
公私伙伴关系合同应当载明其有效期,该有效期应考虑到下列因素:The PPP contract shall set forth its duration, which shall take into account the following factors:
(a)(a)
需要私人伙伴提供的投资的性质和数额;The nature and amount of investment required to be made by the private partner;
(b)(b)
根据合同拟建设、扩建、改建或翻修的具体设施和装置的正常摊销期限;The normal amortization period for the particular facilities and installations to be built, expanded, refurbished or renovated under the contract;
(c)(c)
订约当局与相关设施或服务有关的需要和要求;The contracting authority’s needs and requirements in relation to the facilities or services concerned;
(d)(d)
适用的法律规章所规定的涉及相关基础设施或服务部门的竞争和市场结构的任何相关政策。Any relevant policies concerning the competition and market structure for the infrastructure or service sector concerns, as laid down in applicable laws and regulations.
示范条文第49条 公私伙伴关系合同的展期Model Provision 49. Extension of the PPP contract
除下列情形外,订约当局不得同意展延公私伙伴关系合同的期限:The contracting authority may not agree to extend the duration of the PPP contract except as a result of the following circumstances:
(a)(a)
因超出当事双方合理控制范围的情形而造成完工延误或运营中断; (b)Delay in completion or interruption of operation due to circumstances beyond the reasonable control of either party; (b)
由于订约当局或其他公共当局的行为而导致项目暂停;Project suspension brought about by acts of the contracting authority or other public authorities;
(c)(c)
订约当局提出公私伙伴关系合同原先未预见到的要求致使费用增加,如果不展延期限,则私人伙伴将无法收回这些费用;Increase in costs arising from requirements of the contracting authority not originally foreseen in the PPP contract, if the private partner would not be able to recover such costs without such extension;
或者or
(d)(d)
[颁布国列明的其他情形]。[Other circumstances, as specified by the enacting State].
2.2.
公私伙伴关系合同的终止Termination of the PPP contract
示范条文第50条 由订约当局终止公私伙伴关系合同Model provision 50. Termination of the PPP contract by the contracting authority
在下列情形下,订约当局可以终止公私伙伴关系合同:The contracting authority may terminate the PPP contract:
(a)(a)
出现破产、严重违约或其他情形,不能再合理预期私人伙伴仍将有能力或有意愿履行义务;In the event that it can no longer be reasonably expected that the private partner will be able or willing to perform its obligations, owing to insolvency, serious breach or otherwise;
(b)(b)
出于迫不得已的公共利益,但需按公私伙伴关系合同约定的补偿条件向私人伙伴支付补偿;For compelling reasons of public interest, subject to payment of compensation to the private partner, the terms of the compensation to be as agreed in the PPP contract;
(c)(c)
[颁布国可能希望添加的其他情形]。[Other circumstances that the enacting State might wish to add].
示范条文第51条 由私人伙伴终止公私伙伴关系合同Model provision 51. Termination of the PPP contract by the private partner
除下列情形外,私人伙伴不得终止公私伙伴关系合同:The private partner may not terminate the PPP contract except under the following circumstances:
(a)(a)
订约当局或其他公共当局严重违反与公私伙伴关系合同有关的义务,并且须经双方根据示范条文……或在合同中商定的争端解决机构作出最终裁定;In the event of serious breach by the contracting authority or other public authority of its obligations in connection with the PPP contract and subject to a final finding by the dispute settlement body agreed by the parties in accordance with model provision … or in the contract;
(b)(b)
示范条文第45条第1款规定的修订公私伙伴关系合同的条件得到满足,但当事各方未就公私伙伴关系合同的修订达成一致意见;If the conditions for a revision of the PPP contract under model provision 45, paragraph 1, are met, but the parties have failed to agree on a revision of the PPP contract;
或者or
(c)(c)
出于以下原因,期望私人伙伴继续履行合同明显不合理:If it would be manifestly unreasonable to expect the private partner to continue performing under the contract as a result of:
(i)
公共当局未能提供支持或实施公私伙伴关系合同或法律规定的实施项目所需的其他行为;Failure by a public authority to provide support or perform other acts which under the term of the PPP contract or the law are required for the implementation of the project;
或者or
(ii)
由于订约当局或其他公共当局的作为或不作为,例如示范条文第33条(h)和(i)项中提及的情形,私人伙伴履行公私伙伴关系合同的费用显著增加,或私人伙伴为此种履约收到的价款价值显著下降,而当事各方又未能根据示范条文第33条(l)项就公私伙伴关系合同的修订达成一致意见。A substantial increase in the cost of the private partner’s performance of the PPP contract or a substantial decrease of the value that the private partner receives for such performance as a result of acts or omissions of the contracting authority or other public authorities, for instance, pursuant to model provision 33, subparagraphs (h) and (i), and the parties have failed to agree on a revision of the PPP contract pursuant to model provision 33, subparagraph (l).
示范条文第52条 由任何一方终止公私伙伴关系合同Model provision 52. Termination of the PPP contract by either party
公私伙伴关系合同应规定,任何一方均可在发生超出其合理控制范围的情形从而导致其无法履行义务时,终止公私伙伴关系合同。The PPP contract shall provide for either party to terminate the PPP contract in the event that the performance of its obligations is rendered impossible by circumstances beyond either party’s reasonable control.
公私伙伴关系合同还应规定此类终止的程序,特别是应事先通知另一订约方。The PPP contract shall also set forth the procedure for such termination, in particular the prior notice to be given to the other contracting party.
当事各方还应有权经双方同意后终止公私伙伴关系合同。The parties shall also have the right to terminate the PPP contract by mutual consent.
3.3.
公私伙伴关系合同终止或期满时的安排Arrangements upon termination or expiry of the PPP contract
示范条文第53条 公私伙伴关系合同终止时的补偿Model provision 53. Compensation upon termination of the PPP contract
公私伙伴关系合同应当规定在公私伙伴关系合同终止时如何计算应付任何一方的补偿,在适当情况下就补偿公私伙伴关系合同下已完成工程的公允价值、任何一方产生的费用或遭受的损失酌情包括利润损失做出规定。The PPP contract shall stipulate how compensation due to either party is calculated in the event of termination of the PPP contract, providing, where appropriate, for compensation for the fair value of works performed under the PPP contract, costs incurred or losses sustained by either party, including, as appropriate, lost profits.
Model provision 54.
示范条文第54条 收尾和移交措施Wind-up and transfer measures
公私伙伴关系合同应当酌情就下列方面作出规定:The PPP contract shall provide, as appropriate, for:
(a)(a)
向订约当局移交资产的机制和程序;Mechanisms and procedures for the transfer of assets to the contracting authority;
(b)(b)
资产移交给订约当局或新的私人伙伴或由订约当局收购时,私人伙伴有权得到的补偿;The compensation to which the private partner may be entitled in respect of assets transferred to the contracting authority or to a new private partner or purchased by the contracting authority;
(c)(c)
运营设施所需要的技术转让;The transfer of technology required for the operation of the facility;
(d)(d)
对订约当局人员或继任私人伙伴进行设施运营和维护方面的培训;The training of the contracting authority’s personnel or of a successor private partner in the operation and maintenance of the facility;
(e)(e)
在设施移交给订约当局或继任私人伙伴之后的一段合理时间内,由私人伙伴提供持续的支持服务和资源,包括在需要时供应零部件。The provision, by the private partner, of continuing support services and resources, including the supply of spare parts, if required, for a reasonable period after the transfer of the facility to the contracting authority or to a successor private partner;
(f)(f)
基础设施退役机制和程序,包括制定退役计划,以及界定当事各方各自履行该计划的义务及其在这方面的财政义务。Mechanisms and procedures for the decommissioning of the infrastructure, including the preparation of a decommissioning plan and the parties’ respective obligations for carrying it out and their financial obligations in that respect.
五.V.
争端的解决Settlement of disputes
Model provision 55.
示范条文第55条 订约当局与私人伙伴之间的争端Disputes between the contracting authority and the private partner
订约当局与私人伙伴之间的任何争端应当通过当事各方在公私伙伴关系合同中约定的争端解决机制加以解决。Any disputes between the contracting authority and the private partner shall be settled through the dispute settlement mechanisms agreed by the parties in the PPP contract.
Model provision 56.
示范条文第56条 涉及基础性设施客户或用户或其他各方的争端Disputes involving customers or users of the infrastructure facility, or other parties
私人伙伴向公众提供服务或运营向公众开放的基础性设施的,订约当局可要求私人伙伴建立简化而高效的机制,处理基础性设施的客户或用户以及受项目影响的其他各方提出的权利要求。Where the private partner provides services to the public or operates infrastructure facilities accessible to the public, the contracting authority may require the private partner to establish simplified and efficient mechanisms for handling claims submitted by customers or users of the infrastructure facility, as well as by other parties affected by the project.
示范条文第57条 其他争端Model provision 57. Other disputes
1.1.
私人伙伴及其股东应可自由选择解决相互之间争端的适当机制。The private partner and its shareholders shall be free to choose the appropriate mechanisms for settling disputes among themselves.
2.2.
私人伙伴应可自由约定解决私人伙伴与其放款人、承包商、供应商和其他商业伙伴之间的争端的适当机制。The private partner shall be free to agree on the appropriate mechanisms for settling disputes between itself and its lenders, contractors, suppliers and other business partners.
附件二Annex II
贸易法委员会企业集团破产示范法UNCITRAL Model Law on Enterprise Group Insolvency
A部分 核心条款Part A. Core provisions
第1章 总则Chapter 1.
General provisions
序言Preamble
本法的目的是提供有效的机制,处理涉及企业集团成员的破产案件,以便促进达到下列目标:The purpose of this Law is to provide effective mechanisms to address cases of insolvency affecting the members of an enterprise group, in order to promote the objectives of:
(a)(a)
参与处理这些案件的我国法院及其他主管机关与外国法院及其他主管机关开展合作;Cooperation between courts and other competent authorities of this State and foreign States involved in those cases;
(b)(b)
我国任命的破产管理人和外国任命的破产管理人在这些案件中开展合作;Cooperation between insolvency representatives appointed in this State and foreign States in those cases;
(c)(c)
为整个企业集团或其中一部分制定一套集团破产解决方案,并在多个国家跨国界承认和实施这一解决方案;Development of a group insolvency solution for the whole or part of an enterprise group and cross-border recognition and implementation of that solution in multiple States;
(d)(d)
公正和高效管理涉及企业集团成员的破产案件,保护那些企业集团成员的所有债权人和其他利益关系人的利益,包括债务人的利益在内;Fair and efficient administration of insolvencies concerning enterprise group members that protects the interests of all creditors of those enterprise group members and other interested persons, including the debtors;
(e)(e)
保护受破产影响的企业集团成员和整个企业集团的资产和业务总体合计价值并使之达到最大化;Protection and maximization of the overall combined value of the assets and operations of enterprise group members affected by insolvency and of the enterprise group as a whole;
(f)(f)
为拯救陷入财务困境的企业集团提供便利,从而保护投资和维护就业;Facilitation of the rescue of financially troubled enterprise groups, thereby protecting investment and preserving employment;
以及and
(g)(g)
充分保护参加集团破产解决方案的企业集团每个成员的债权人利益和其他利益关系人的利益。Adequate protection of the interests of the creditors of each enterprise group member participating in a group insolvency solution and of other interested persons.
第1条 范围Article 1. Scope
1.1.
本法适用于对企业集团内一个或多个成员启动了破产程序时的企业集团,并处理这些破产程序的进行和管理,以及这些破产程序之间的跨国界合作。This Law applies to enterprise groups where insolvency proceedings have commenced for one or more of its members, and addresses the conduct and administration of those insolvency proceedings and cooperation between those insolvency proceedings.
2.2.
本法不适用于涉及[此处标明在我国须遵行某一特别破产制度且我国希望将其排除在本法之外的任何类别实体,例如银行或保险公司]的程序。This Law does not apply to a proceeding concerning [designate any types of entity, such as banks or insurance companies, that are subject to a special insolvency regime in this State and that this State wishes to exclude from this Law].
第2条 定义Article 2.
在本法中:Definitions For the purposes of this Law:
(a)(a)
“企业”指从事经济活动并可能受破产法管辖的任何实体,无论其法律形式如何;“Enterprise” means any entity, regardless of its legal form, that is engaged in economic activities and may be governed by the insolvency law;
(b)(b)
“企业集团”指通过控制权或大比重的所有权而相互关联的两个或多个企业;“Enterprise group” means two or more enterprises that are interconnected by control or significant ownership;
(c)(c)
“控制权”指可以直接或间接决定某一企业经营和财务政策的能力;“Control” means the capacity to determine, directly or indirectly, the operating and financial policies of an enterprise;
(d)(d)
“企业集团成员”指构成企业集团组成部分的某一企业;“Enterprise group member” means an enterprise that forms part of an enterprise group;
(e)(e)
“集团代表”指被授权担任计划程序代表的人或机构,包括临时任命的人或机构;“Group representative” means a person or body, including one appointed on an interim basis, authorized to act as a representative of a planning proceeding; (f)
(f)
“集团破产解决方案”指为重整、变卖或清算企业集团一个或多个成员的一些或全部资产和业务而在计划程序中拟定的一项建议或成套建议,目的是为了保全、维护、变现或提升企业集团那些成员的总体合计价值;“Group insolvency solution” means a proposal or set of proposals developed in a planning proceeding for the reorganization, sale or liquidation of some or all of the assets and operations of one or more enterprise group members, with the goal of protecting, preserving, realizing or enhancing the overall combined value of those enterprise group members;
(g)(g)
“计划程序”指对企业集团某一成员启动的一项主要程序,其中须符合下列条件:“Planning proceeding” means a main proceeding commenced in respect of an enterprise group member provided:
(i)
企业集团一个或多个其他成员参与该项主要程序,目的是为了制定和实施一套集团破产解决方案;One or more other enterprise group members are participating in that main proceeding for the purpose of developing and implementing a group insolvency solution;
(ii)
进入该项主要程序的企业集团成员很可能是这一集团破产解决方案的一个必要和组成整体的参与者;The enterprise group member subject to the main proceeding is likely to be a necessary and integral participant in that group insolvency solution;
以及and
(iii)
其中任命了一名集团代表;A group representative has been appointed;
在符合(g)项㈠至㈢的要求前提下,法院可承认对企业集团成员的主要程序拥有管辖权的法院所批准实施的程序为计划程序,目的是制定本法所指的集团破产解决方案;Subject to the requirements of subparagraphs (g)(i) to (iii), the court may recognize as a planning proceeding a proceeding that has been approved by a court with jurisdiction over a main proceeding of an enterprise group member for the purpose of developing a group insolvency solution within the meaning of this Law;
(h)(h)
“破产程序”指依照与破产有关的法律实施的集体司法程序或行政程序,包括临时程序,在这一程序中,为达到重整或清算目的,企业集团成员作为债务人,其资产和事务由法院或其他主管机关监控或监督;“Insolvency proceeding” means a collective judicial or administrative proceeding, including an interim proceeding, pursuant to a law relating to insolvency in which proceeding the assets and affairs of an enterprise group member debtor are or were subject to control or supervision by a court or other competent authority for the purpose of reorganization or liquidation;
(i)(i)
“破产管理人”指在破产程序中被授权管理企业集团成员作为债务人的资产或事务的重整或清算,或者被授权担任破产程序代表的人或机构,包括临时任命的人或机构; (j)“Insolvency representative” means a person or body, including one appointed on an interim basis, authorized in an insolvency proceeding to administer the reorganization or liquidation of the enterprise group member debtor’s assets or affairs or to act as a representative of the insolvency proceeding; (j)
“主要程序”指在企业集团成员作为债务人设有主要利益中心的当地国家进行的破产程序;“Main proceeding” means an insolvency proceeding taking place in the State where the enterprise group member debtor has the centre of its main interests;
(k)(k)
“非主要程序”指有别于主要程序的破产程序,该程序发生在企业集团成员作为债务人设有本条(l)项所指营业所的当地国家;“Non-main proceeding” means an insolvency proceeding, other than a main proceeding, taking place in a State where the enterprise group member debtor has an establishment within the meaning of subparagraph (l) of this article;
以及and
(l)(l)
“营业所”指企业集团成员作为债务人以人工和物资或服务进行某种非临时性经济活动的任何经营场所。“Establishment” means any place of operations where the enterprise group member debtor carries out a non-transitory economic activity with human means and goods or services.
第3条 我国的国际义务Article 3. International obligations of this State
我国作为一方同另一国或多国签订任何条约或其他形式的协定后对我国产生义务而本法与之相冲突的,以该条约或协定的规定为准。To the extent that this Law conflicts with an obligation of this State arising out of any treaty or other form of agreement to which it is a party with one or more other States, the requirements of the treaty or agreement prevail.
第4条 颁布国的管辖权Article 4. Jurisdiction of the enacting State
企业集团成员在我国拥有其主要利益中心的,本法的规定决不是为了达到下列任何目的:Where an enterprise group member has the centre of its main interests in this State, nothing in this Law is intended to:
(a)(a)
限制我国法院对企业集团该成员的管辖权;Limit the jurisdiction of the courts of this State with respect to that enterprise group member;
(b)(b)
就企业集团该成员参加另一国正在制定的集团破产解决方案而言,限制我国对此而要求办理的任何手续(包括任何许可、同意或批准);Limit any process or procedure (including any permission, consent or approval) required in this State in respect of that enterprise group member’s participation in a group insolvency solution being developed in another State;
(c)(c)
在按照规定行事或收到相关请求时,限制在我国启动破产程序;Limit the commencement of insolvency proceedings in this State, if required or requested;
或者or
(d)(d)
在不存在启动破产程序的义务情况下,设定这种义务,在我国对企业集团该成员启动破产程序。Create an obligation to commence an insolvency proceeding in this State in respect of that enterprise group member when no such obligation exists.
第5条 有管辖权的法院或权力机关Article 5. Competent court or authority
本法中提到的关于承认外国计划程序并与法院、破产管理人和任命的任何集团代表合作的职能,应由[此处具体指明颁布国有权履行这些职能的一个或多个法院或一个或多个权力机关]履行。The functions referred to in this Law relating to the recognition of a foreign planning proceeding and cooperation with courts, insolvency representatives and any group representative appointed shall be performed by [specify the court, courts, authority or authorities competent to perform those functions in the enacting State].
第6条 公共政策的例外Article 6. Public policy exception
在遵照本法采取的行动将明显违反我国公共政策的情况下,本法概不阻止法院拒绝采取这一行动。Nothing in this Law prevents the court from refusing to take an action governed by this Law if the action would be manifestly contrary to the public policy of this State.
第7条 解释Article 7. Interpretation
在解释本法时,应考虑到其国际渊源以及促进其统一适用和遵守诚信的必要性。In the interpretation of this Law, regard is to be had to its international origin and to the need to promote uniformity in its application and the observance of good faith.
第8条 其他法律下规定的进一步协助Article 8. Additional assistance under other laws
本法概不限制法院或破产管理人根据我国其他法律向集团代表提供进一步协助的权力。Nothing in this Law limits the power of a court or an insolvency representative to provide additional assistance to a group representative under other laws of this State.
第2章 合作与协调Chapter 2. Cooperation and coordination
第9条 我国法院与其他法院、破产管理人和任命的集团任何代表之间的合作和直接联系Article 9. Cooperation and direct communication between a court of this State and other courts, insolvency representatives and any group representative appointed
1.1.
在第1条所述事项中,法院须与其他法院、破产管理人和任命的集团任何代表开展尽可能最大限度的合作,无论是直接合作,还是通过在我国任命的破产管理人或被任命按照法院指示行事的人。In the matters referred to in article 1, the court shall cooperate to the maximum extent possible with other courts, insolvency representatives and any group representative appointed, either directly or through an insolvency representative appointed in this State or a person appointed to act at the direction of the court.
2.2.
法院有权直接与其他法院、破产管理人或任命的集团任何代表进行联系,或直接请求其提供信息或协助。The court is entitled to communicate directly with, or to request information or assistance directly from, other courts, insolvency representatives or any group representative appointed.
第10条 第9条下的尽可能最大限度合作Article 10. Cooperation to the maximum extent possible under article 9
就第9条而言,尽可能最大限度的合作可以通过任何适当的手段实施,包括:For the purposes of article 9, cooperation to the maximum extent possible may be implemented by any appropriate means, including:
(a)(a)
以法院认为适当的任何手段通报信息;Communication of information by any means considered appropriate by the court;
(b)(b)
参加与其他法院、破产管理人或任命的集团任何代表进行的联系;Participation in communication with other courts, an insolvency representative or any group representative appointed;
(c)(c)
协调企业集团成员事务的管理和监督;Coordination of the administration and supervision of the affairs of enterprise group members;
(d)(d)
协调对企业集团成员并行启动的破产程序;Coordination of concurrent insolvency proceedings commenced with respect to enterprise group members;
(e)(e)
任命一个按照法院指示行事的人或机构;Appointment of a person or body to act at the direction of the court;
(f)(f)
核准和实施关于企业集团两个或多个成员破产程序的协调协议,包括正在制定一套集团破产解决方案的情况下; (g)Approval and implementation of agreements concerning the coordination of insolvency proceedings relating to two or more enterprise group members, including where a group insolvency solution is being developed; (g)
法院之间就如何分摊和安排合作与联系而涉及的费用进行合作;Cooperation among courts as to how to allocate and provide for the costs associated with cooperation and communication;
(h)(h)
使用调解方式,或在当事各方的同意下,使用仲裁方式,解决企业集团成员之间的债权争议;Use of mediation or, with the consent of the parties, arbitration, to resolve disputes between enterprise group members concerning claims;
(i)(i)
核准企业集团成员之间债权的处理及其提交;Approval of the treatment and filing of claims between enterprise group members;
(j)(j)
认定企业集团成员及其债权人交叉提出的或以其名义交叉提出的债权;Recognition of the cross-filing of claims by or on behalf of enterprise group members and their creditors;
以及and
(k)(k)
[颁布国不妨列举更多的合作形式或示例]。[The enacting State may wish to list additional forms or examples of cooperation].
第11条 第9条下进行联系的效力局限性Article 11. Limitation of the effect of communication under article 9
1.1.
关于第9条下所述的联系,法院有权在任何时候对提交其审理的事项和出庭的当事方的行为行使其独立的管辖权和权力。With respect to communication under article 9, a court is entitled at all times to exercise its independent jurisdiction and authority with respect to matters presented to it and the conduct of the parties appearing before it.
2.2.
法院依照第9条第2款参加联系并不意味着:Participation by a court in communication pursuant to article 9, paragraph 2, does not imply:
(a)(a)
法院任何权力、责任或权限的放弃或减损;A waiver or compromise by the court of any powers, responsibilities or authority;
(b)(b)
对提交法院审理的任何事项作出实质性判定;A substantive determination of any matter before the court;
(c)(c)
任何当事方放弃其任何实体权利或程序权利;A waiver by any of the parties of any of their substantive or procedural rights;
(d)(d)
法院发布的任何命令效力减弱;A diminution of the effect of any of the orders made by the court;
(e)(e)
服从参加联系的其他法院的管辖权;Submission to the jurisdiction of other courts participating in the communication;
或者or
(f)(f)
参加联系的法院的管辖权有任何限制、延伸或扩大。Any limitation, extension or enlargement of the jurisdiction of the participating courts.
第12条 审理的协调Article 12. Coordination of hearings
1.1.
法院可与另一家法院协调进行审理。A court may conduct a hearing in coordination with another court.
2.2.
当事方的实体权利和程序权利,以及法院的管辖权,可由当事方通过就协调审理办案的管辖条件达成协议以及法院核准该项协议而加以保障。The substantive and procedural rights of the parties and the jurisdiction of the court may be safeguarded by the parties reaching agreement on the conditions to govern the coordinated hearing and the court approving that agreement.
3.3.
虽然协调审理办案,但法院仍负责对所受理的事项作出自己的裁定。Notwithstanding the coordination of the hearing, the court remains responsible for reaching its own decision on the matters before it.
第13条 集团代表、破产管理人和法院之间的合作和直接联系Article 13. Cooperation and direct communication between a group representative, insolvency representatives and courts
1.1.
我国任命的集团代表须在行使其职能时并在法院的监督下,与其他法院和企业集团其他成员的破产管理人开展尽可能最大限度的合作,以便利制定和实施一套集团破产解决方案。A group representative appointed in this State shall, in the exercise of its functions and subject to the supervision of the court, cooperate to the maximum extent possible with other courts and insolvency representatives of other enterprise group members to facilitate the development and implementation of a group insolvency solution.
2.2.
集团代表有权在行使其职能时并在法院的监督下,直接与其他法院和企业集团其他成员的破产管理人进行联系,或直接请求其提供信息或协助。A group representative is entitled, in the exercise of its functions and subject to the supervision of the court, to communicate directly with or to request information or assistance directly from other courts and insolvency representatives of other enterprise group members.
第14条 我国任命的破产管理人、其他法院、集团其他成员的破产管理人和任命的集团任何代表之间的合作和直接联系Article 14. Cooperation and direct communication between an insolvency representative appointed in this State, other courts, insolvency representatives of other group members and any group representative appointed
1.1.
我国任命的破产管理人须在行使其职能时并在法院的监督下,与其他法院、企业集团其他成员的破产管理人和任命的集团任何代表开展尽可能最大限度的合作。An insolvency representative appointed in this State shall, in the exercise of its functions and subject to the supervision of the court, cooperate to the maximum extent possible with other courts, insolvency representatives of other enterprise group members and any group representative appointed.
2.2.
我国任命的破产管理人有权在行使其职能时并在法院的监督下,直接与其他法院、企业集团其他成员的破产管理人和任命的集团任何代表进行联系,或直接请求其提供信息或协助。An insolvency representative appointed in this State is entitled, in the exercise of its functions and subject to the supervision of the court, to communicate directly with or to request information or assistance directly from other courts, insolvency representatives of other enterprise group members and any group representative appointed.
第15条 第13条和第14条下的尽可能最大限度合作Article 15. Cooperation to the maximum extent possible under articles 13 and 14
就第13条和第14条而言,尽可能最大限度的合作可以通过任何适当的手段实施,包括:For the purposes of article 13 and article 14, cooperation to the maximum extent possible may be implemented by any appropriate means, including:
(a)(a)
在做好保护机密信息的适当安排情况下,共享和披露关于企业集团成员的信息;Sharing and disclosure of information concerning enterprise group members, provided appropriate arrangements are made to protect confidential information;
(b)(b)
谈判关于企业集团两个或多个成员破产程序的协调协议,包括正在制定一套集团破产解决方案的情况下;Negotiation of agreements concerning the coordination of insolvency proceedings relating to two or more enterprise group members, including where a group insolvency solution is being developed;
(c)(c)
在我国任命的破产管理人、集团其他成员的破产管理人和任命的集团任何代表之间划分责任;Allocation of responsibilities between an insolvency representative appointed in this State, insolvency representatives of other group members and any group representative appointed;
(d)(d)
协调对企业集团成员事务的管理和监督;Coordination of the administration and supervision of the affairs of the enterprise group members;
以及and
(e)(e)
在适用的情况下,协调集团破产解决方案的制定和实施。Coordination with respect to the development and implementation of a group insolvency solution, where applicable.
第16条 订立关于破产程序协调协议的权力Article 16. Authority to enter into agreements concerning the coordination of insolvency proceedings
破产管理人和任命的集团任何代表可订立关于企业集团两个或多个成员破产程序的协调协议,包括正在制定一套集团破产解决方案的情况下。An insolvency representative and any group representative appointed may enter into an agreement concerning the coordination of insolvency proceedings relating to two or more enterprise group members, including where a group insolvency solution is being developed.
第17条 任命单独一个或同一个破产管理人Article 17. Appointment of a single or the same insolvency representative
关于任命和承认单独一个或同一个破产管理人负责管理和协调涉及同一企业集团各成员的破产程序,法院可与其他法院进行协调。A court may coordinate with other courts with respect to the appointment and recognition of a single or the same insolvency representative to administer and coordinate insolvency proceedings concerning members of the same enterprise group.
第18条 企业集团成员参加在我国启动的破产程序Article 18. Participation by enterprise group members in an insolvency proceeding commenced in this State
1.1.
以第2款为限,在我国对主要利益中心所在地在我国的企业集团成员启动了破产程序的,企业集团任何其他成员均可参加该项破产程序,目的是为了便利根据本法开展的合作与协调,包括为了制定和实施一套集团破产解决方案。Subject to paragraph 2, if an insolvency proceeding has commenced in this State with respect to an enterprise group member that has the centre of its main interests in this State, any other enterprise group member may participate in that insolvency proceeding for the purpose of facilitating cooperation and coordination under this Law, including developing and implementing a group insolvency solution.
2.2.
主要利益中心所在地在另一国家的企业集团成员,可以参加第1款所述的破产程序,除非该另一国家的法院禁止其这样做。An enterprise group member that has the centre of its main interests in another State may participate in an insolvency proceeding referred to in paragraph 1 unless a court in that other State prohibits it from so doing.
3.3.
企业集团任何其他成员是否参加第1款所述的破产程序属于自愿。Participation by any other enterprise group member in an insolvency proceeding referred to in paragraph 1 is voluntary.
企业集团成员可在这一程序的任何阶段开始参加或选择退出。An enterprise group member may commence its participation or opt out of participation at any stage of such a proceeding.
4.4.
参加第1款所述破产程序的企业集团成员有权出庭、提交书面材料和在该程序中就涉及企业集团该成员利益的事项作出陈述,并参加制定和实施一套集团破产解决方案。An enterprise group member participating in an insolvency proceeding referred to in paragraph 1 has the right to appear, make written submissions and be heard in that proceeding on matters affecting that enterprise group member’s interests and to take part in the development and implementation of a group insolvency solution.
仅凭企业集团成员参加该项程序这一事实,并不导致因为与这种参加无关的任何理由而使企业集团该成员受到我国法院的管辖。The sole fact that an enterprise group member is participating in such a proceeding does not subject the enterprise group member to the jurisdiction of the courts of this State for any purpose unrelated to that participation.
5.5.
参加程序的企业集团成员应当得到通知,获悉就制定一套集团破产解决方案而采取的行动情况。A participating enterprise group member shall be notified of actions taken with respect to the development of a group insolvency solution.
第3章 在我国进行的计划程序中任命一名集团代表和可以得到的救济Chapter 3. Appointment of a group representative and relief available in a planning proceeding in this State
第19条 任命一名集团代表和寻求救济的权力Article 19. Appointment of a group representative and authority to seek relief
1.1.
在符合第2条(g)项㈠和㈡的要求情况下,法院可任命一名集团代表。When the requirements of article 2, subparagraphs (g)(i) and (ii), are met, the court may appoint a group representative.
获得任命后,集团代表应寻求制定和实施一套集团破产解决方案。Upon that appointment, a group representative shall seek to develop and implement a group insolvency solution.
2.2.
为支持制定和实施一套集团破产解决方案,集团代表有权依照本条和第20条在我国寻求救济。To support the development and implementation of a group insolvency solution, a group representative is authorized to seek relief pursuant to this article and article 20 in this State.
3.3.
集团代表有权代表计划程序在外国行事,特别是:A group representative is authorized to act in a foreign State on behalf of the planning proceeding and, in particular, to:
(a)(a)
寻求对计划程序的承认和寻求救济,以支持制定和实施一套集团破产解决方案;Seek recognition of the planning proceeding and relief to support the development and implementation of a group insolvency solution;
(b)(b)
寻求参加对参加计划程序的企业集团成员进行的外国程序;Seek to participate in a foreign proceeding relating to an enterprise group member participating in the planning proceeding;
以及and
(c)(c)
寻求参加对未参加计划程序的企业集团成员进行的外国程序。Seek to participate in a foreign proceeding relating to an enterprise group member not participating in the planning proceeding.
第20条 可为一项计划程序提供的救济Article 20. Relief available to a planning proceeding
1.1.
在需要保持制定或实施一套集团破产解决方案的可能性或保全、维护、变现或提升面临计划程序处理或参加计划程序的企业集团成员的资产价值或企业集团该成员的债权人利益的限度内,法院可根据集团代表的请求,给予任何适当的救济,包括:To the extent needed to preserve the possibility of developing or implementing a group insolvency solution or to protect, preserve, realize or enhance the value of assets of an enterprise group member subject to or participating in a planning proceeding or the interests of the creditors of such an enterprise group member, the court, at the request of the group representative, may grant any appropriate relief, including:
(a)(a)
中止对企业集团该成员资产的执行措施;Staying execution against the assets of the enterprise group member;
(b)(b)
暂停对企业集团该成员任何资产的转让权、抵押权或其他处分权;Suspending the right to transfer, encumber, or otherwise dispose of any assets of the enterprise group member;
(c)(c)
中止启动或中止继续进行对企业集团该成员资产、权利、义务或负债的个别诉讼或个别程序;Staying the commencement or continuation of individual actions or individual proceedings concerning the assets, rights, obligations, or liabilities of the enterprise group member;
(d)(d)
委托集团代表或法院指定的另一人管理或变现企业集团该成员位于我国的所有或部分资产,以便保全、维护、变现或提升资产的价值;Entrusting the administration or realization of all or part of the assets of the enterprise group member located in this State to the group representative or another person designated by the court, in order to protect, preserve, realize or enhance the value of assets;
(e)(e)
就企业集团该成员的资产、事务、权利、义务或负债,安排查询证人、提取证据或传送信息;Providing for the examination of witnesses, the taking of evidence, or the delivery of information concerning the assets, affairs, rights, obligations, or liabilities of the enterprise group member;
(f)(f)
中止对参加计划程序的企业集团成员进行的任何破产程序;Staying any insolvency proceeding concerning a participating enterprise group member;
(g)(g)
核准对企业集团该成员的供资安排,并授权根据这些供资安排提供融资;Approving arrangements concerning the funding of the enterprise group member and authorizing the provision of finance under those funding arrangements;
以及and
(h)(h)
给予破产管理人根据我国法律可以获得的任何其他救济。Granting any additional relief that may be available to an insolvency representative under the laws of this State.
2.2.
对于参加计划程序的企业集团任何成员,如未进入破产程序的,不得为其位于我国的资产和业务给予本条规定下的救济,除非不启动破产程序是根据本法为了尽可能减少启动破产程序。Relief under this article may not be granted with respect to the assets and operations located in this State of any enterprise group member participating in a planning proceeding if that enterprise group member is not subject to an insolvency proceeding, unless an insolvency proceeding was not commenced for the purpose of minimizing the commencement of insolvency proceedings in accordance with this Law.
3.3.
对于企业集团成员主要利益中心所在地在另一国家而其资产和业务位于我国境内的情况,只有当本条规定下的救济不对正在该另一国进行中的破产程序在管理上造成干扰时,才可给予该项救济。With respect to the assets and operations located in this State of an enterprise group member that has the centre of its main interests in another State, relief under this article may only be granted if that relief does not interfere with the administration of insolvency proceedings taking place in that other State.
第4章 对外国计划程序的承认和救济Chapter 4. Recognition of a foreign planning proceeding and relief
第21条 申请承认一项外国计划程序Article 21. Application for recognition of a foreign planning proceeding
1.1.
被任命担任计划程序的集团代表,可在我国申请对该项外国计划程序的承认。A group representative may apply in this State for recognition of the foreign planning proceeding to which the group representative was appointed.
2.2.
申请承认时须附上下列任何一项证明:An application for recognition shall be accompanied by:
(a)(a)
关于任命集团代表时所作决定的正式副本证明;A certified copy of the decision appointing the group representative;
或者or
(b)(b)
外国法院任命集团代表的证明;A certificate from the foreign court affirming the appointment of the group representative;
或者or
(c)(c)
无(a)项和(b)项所述证明的,任何可为法院所采信的关于任命集团代表的其他凭证。In the absence of evidence referred to in subparagraphs (a) and (b), any other evidence concerning the appointment of the group representative that is acceptable to the court.
3.3.
申请承认时还须附上:An application for recognition shall also be accompanied by:
(a)(a)
一份说明,其中列明参加外国计划程序的企业集团每一成员;A statement identifying each enterprise group member participating in the foreign planning proceeding;
(b)(b)
一份说明,其中列明该企业集团的所有成员和集团代表所知的对参加外国计划程序的企业集团成员启动的所有破产程序;A statement identifying all members of the enterprise group and all insolvency proceedings that are known to the group representative that have been commenced in respect of enterprise group members participating in the foreign planning proceeding;
以及and
(c)(c)
一份说明,其中指明面临外国计划程序处理的企业集团成员设有主要利益中心的所在国是正在进行该项计划程序的国家,而且该程序很可能为面临该程序处理或参加该程序的企业集团成员带来总体合计价值的增加。A statement to the effect that the enterprise group member subject to the foreign planning proceeding has the centre of its main interests in the State in which that planning proceeding is taking place and that that proceeding is likely to result in added overall combined value for the enterprise group members subject to or participating in that proceeding.
4.4.
法院可要求申请承认时提供的证明文件翻译成我国的一种官方语言。The court may require a translation of documents supplied in support of the application for recognition into an official language of this State.
5.5.
仅凭集团代表依照本法向我国法院提出申请这一事实,并不导致集团代表因所提申请以外的其他任何理由而受到我国法院的管辖。The sole fact that an application pursuant to this Law is made to a court in this State by a group representative does not subject the group representative to the jurisdiction of the courts of this State for any purpose other than the application.
6.6.
法院有权推定在申请承认时提交的证明文件为真实文本,无论其是否经过认证。The court is entitled to presume that documents submitted in support of the application for recognition are authentic, whether or not they have been legalized.
第22条 申请承认一项外国计划程序时可给予的临时救济Article 22. Provisional relief that may be granted upon application for recognition of a foreign planning proceeding
1.1.
自提出申请承认外国计划程序时起,至对申请作出裁定时止,在紧急需要保持制定或实施一套集团破产解决方案的可能性或为面临计划程序处理或参加计划程序的企业集团成员保全、维护、变现或提升其资产价值或保护企业集团该成员的债权人利益的情况下,法院可根据集团代表的请求,给予临时性救济,包括:From the time of filing an application for recognition of a foreign planning proceeding until the application is decided upon, where relief is urgently needed to preserve the possibility of developing or implementing a group insolvency solution or to protect, preserve, realize or enhance the value of assets of an enterprise group member subject to or participating in a planning proceeding or the interests of the creditors of such an enterprise group member, the court may, at the request of the group representative, grant relief of a provisional nature, including:
(a)(a)
中止对企业集团该成员资产的执行措施;Staying execution against the assets of the enterprise group member;
(b)(b)
暂停对企业集团该成员任何资产的转让权、抵押权或其他处分权;Suspending the right to transfer, encumber, or otherwise dispose of any assets of the enterprise group member;
(c)(c)
中止对企业集团该成员进行的任何破产程序;Staying any insolvency proceeding concerning the enterprise group member;
(d)(d)
中止启动或中止继续进行对企业集团该成员资产、权利、义务或负债的个别诉讼或个别程序;Staying the commencement or continuation of individual actions or individual proceedings concerning the assets, rights, obligations, or liabilities of the enterprise group member;
(e)(e)
为保全、维护、变现或提升因本身性质或因为其他情形而易腐、易贬值或有其他危险的资产的价值,委托由我国任命的破产管理人负责管理或变现企业集团该成员位于我国的所有或部分资产。In order to protect, preserve, realize or enhance the value of assets that, by their nature or because of other circumstances, are perishable, susceptible to devaluation, or otherwise in jeopardy, entrusting the administration or realization of all or part of the assets of the enterprise group member located in this State to an insolvency representative appointed in this State.
在该破产管理人不能管理或变现企业集团该成员位于我国的所有或部分资产的情况下,可以委托集团代表或法院指定的另一人担任该项工作;Where that insolvency representative is not able to administer or realize all or part of the assets of the enterprise group member located in this State, the group representative or another person designated by the court may be entrusted with that task;
(f)(f)
就企业集团该成员的资产、事务、权利、义务或负债,安排查询证人、提取证据或传送信息;Providing for the examination of witnesses, the taking of evidence, or the delivery of information concerning the assets, affairs, rights, obligations, or liabilities of the enterprise group member;
(g)(g)
核准对企业集团该成员的供资安排,并授权根据这些供资安排提供融资;Approving arrangements concerning the funding of the enterprise group member and authorizing the provision of finance under those funding arrangements;
以及and
(h)(h)
给予破产管理人根据我国法律可以获得的任何其他救济。Granting any additional relief that may be available to an insolvency representative under the laws of this State.
2.2.
[此处插入颁布国关于通知的规定。[Insert provisions of the enacting State relating to notice.]
]
3.3.
除非根据第24条第1款(a)项予以延长,否则根据本条给予的救济在就申请承认作出裁定时即告终止。Unless extended under article 24, paragraph 1 (a), the relief granted under this article terminates when the application for recognition is decided upon.
4.4.
对于参加外国计划程序的企业集团任何成员,如其未进入破产程序的,不得为其位于我国的资产和业务给予本条规定下的救济,除非不启动破产程序是根据本法为了尽可能减少启动破产程序。Relief under this article may not be granted with respect to the assets and operations located in this State of any enterprise group member participating in a foreign planning proceeding if that enterprise group member is not subject to an insolvency proceeding, unless an insolvency proceeding was not commenced for the purpose of minimizing the commencement of insolvency proceedings in accordance with this Law.
5.5.
根据本条给予的救济将对参加外国计划程序的企业集团成员主要利益中心所在地进行的破产程序在管理上造成干扰的,法院可拒绝给予此种救济。The court may refuse to grant relief under this article if such relief would interfere with the administration of an insolvency proceeding taking place where an enterprise group member participating in the foreign planning proceeding has the centre of its main interests.
第23条 对外国计划程序的承认Article 23. Recognition of a foreign planning proceeding
1.1.
在下列条件下,外国计划程序应当获得承认:A foreign planning proceeding shall be recognized if:
(a)(a)
所提申请符合第21条第2款和第3款的要求;The application meets the requirements of article 21, paragraphs 2 and 3;
(b)(b)
程序是第2条(g)项所指的计划程序;The proceeding is a planning proceeding within the meaning of article 2, subparagraph (g);
以及and
(c)(c)
该项申请已提交第5条所述的法院。The application has been submitted to the court referred to in article 5.
2.2.
应尽早针对提出的承认外国计划程序申请作出裁定。An application for recognition of a foreign planning proceeding shall be decided upon at the earliest possible time.
3.3.
如情况表明给予承认的理由完全或部分告缺,或已不复存在的,可修改或终止作出的承认。Recognition may be modified or terminated if it is shown that the grounds for granting it were fully or partially lacking or have ceased to exist.
4.4.
就第3款而言,集团代表应将在提出申请承认后外国计划程序地位或其本人任职状况发生的重大变化以及可能对根据承认而给予的救济造成影响的变化通知法院。For the purposes of paragraph 3, the group representative shall inform the court of material changes in the status of the foreign planning proceeding or in the status of its own appointment occurring after the application for recognition is made, as well as changes that might bear upon the relief granted on the basis of recognition.
第24条 承认一项外国计划程序时可给予的救济Article 24. Relief that may be granted upon recognition of a foreign planning proceeding
1.1.
一旦承认一项外国计划程序,在需要保持制定或实施一套集团破产解决方案的可能性或保全、维护、变现或提升面临外国计划程序处理或参加该项程序的企业集团成员的资产价值或企业集团该成员的债权人利益的情况下,法院可根据集团代表的请求,给予下列任何适当的救济,包括:Upon recognition of a foreign planning proceeding, where necessary to preserve the possibility of developing or implementing a group insolvency solution or to protect, preserve, realize or enhance the value of assets of an enterprise group member subject to or participating in the foreign planning proceeding or the interests of the creditors of such an enterprise group member, the court, at the request of the group representative, may grant any appropriate relief, including:
(a)(a)
延长已根据第22条第1款给予的任何救济;Extending any relief granted under article 22, paragraph 1;
(b)(b)
中止对企业集团该成员资产的执行措施;Staying execution against the assets of the enterprise group member;
(c)(c)
暂停对企业集团该成员任何资产的转让权、抵押权或其他处分权;Suspending the right to transfer, encumber, or otherwise dispose of any assets of the enterprise group member;
(d)(d)
中止对企业集团该成员进行的任何破产程序;Staying any insolvency proceeding concerning the enterprise group member;
(e)(e)
中止启动或中止继续进行对企业集团该成员资产、权利、义务或负债的个别诉讼或个别程序; (f)Staying the commencement or continuation of individual actions or individual proceedings concerning the assets, rights, obligations, or liabilities of the enterprise group member; (f)
为保全、维护、变现或提升资产价值以便制定或实施一套集团破产解决方案而委托由我国任命的破产管理人管理或变现企业集团该成员位于我国的所有或部分资产。In order to protect, preserve, realize or enhance the value of assets for the purpose of developing or implementing a group insolvency solution, entrusting the administration or realization of all or part of the assets of the enterprise group member located in this State to an insolvency representative appointed in this State.
在该破产管理人不能管理或变现企业集团该成员位于我国的所有或部分资产的情况下,可以委托集团代表或法院指定的另一人担任该项工作;Where that insolvency representative is not able to administer or realize all or part of the assets of the enterprise group member located in this State, the group representative or another person designated by the court may be entrusted with that task;
(g)(g)
就企业集团该成员的资产、事务、权利、义务或负债,安排查询证人、提取证据或传送信息;Providing for the examination of witnesses, the taking of evidence, or the delivery of information concerning the assets, affairs, rights, obligations, or liabilities of the enterprise group member;
(h)(h)
核准对企业集团该成员的供资安排,并授权根据这些供资安排提供融资;Approving arrangements concerning the funding of the enterprise group member and authorizing the provision of finance under those funding arrangements;
以及and
(i)(i)
给予破产管理人根据我国法律可以获得的任何其他救济。Granting any additional relief that may be available to an insolvency representative under the laws of this State.
2.2.
为保全、维护、变现或提升资产价值以便制定或实施一套集团破产解决方案,可以委托由我国任命的破产管理人分配企业集团该成员位于我国的所有或部分资产。In order to protect, preserve, realize or enhance the value of assets for the purposes of developing or implementing a group insolvency solution, the distribution of all or part of the enterprise group member’s assets located in this State may be entrusted to an insolvency representative appointed in this State.
在该破产管理人不能分配企业集团该成员位于我国的所有或部分资产的情况下,可以委托集团代表或法院指定的另一人担任该项工作。Where that insolvency representative is not able to distribute all or part of the assets of the enterprise group member located in this State, the group representative or another person designated by the court may be entrusted with that task.
3.3.
对于参加外国计划程序的企业集团任何成员,如未进入破产程序的,不得为其位于我国的资产和业务给予本条规定下的救济,除非不启动破产程序是根据本法为了尽可能减少启动破产程序。Relief under this article may not be granted with respect to the assets and operations located in this State of any enterprise group member participating in a foreign planning proceeding if that enterprise group member is not subject to an insolvency proceeding, unless an insolvency proceeding was not commenced for the purpose of minimizing the commencement of insolvency proceedings in accordance with this Law.
4.4.
根据本条给予的救济将对参加外国计划程序的企业集团成员主要利益中心所在地进行的破产程序在管理上造成干扰的,法院可拒绝给予此种救济。The court may refuse to grant relief under this article if such relief would interfere with the administration of an insolvency proceeding taking place where an enterprise group member participating in the foreign planning proceeding has the centre of its main interests.
第25条 集团代表参加我国的程序Article 25. Participation of a group representative in proceedings in this State
1.1.
一旦外国计划程序获得承认,集团代表即可参加对正在参加该项外国计划程序的企业集团成员进行的任何程序。Upon recognition of a foreign planning proceeding, the group representative may participate in any proceeding concerning an enterprise group member that is participating in the foreign planning proceeding.
2.2.
法院可批准集团代表参加在我国对未参加外国计划程序的企业集团成员进行的任何破产程序。The court may approve participation by a group representative in any insolvency proceeding in this State concerning an enterprise group member that is not participating in the foreign planning proceeding.
Article 26.
第26条 核准集团破产解决方案Approval of a group insolvency solution
1.1.
集团破产解决方案涉及企业集团某一成员而其主要利益中心或营业所在我国的,一旦其收到根据我国法律规定的任何核准和确认后,集团破产解决方案中涉及企业集团该成员的部分即在我国具有效力。Where a group insolvency solution affects an enterprise group member that has the centre of its main interests or an establishment in this State, the portion of the group insolvency solution affecting that enterprise group member shall have effect in this State once it has received any approvals and confirmations required in accordance with the law of this State.
2.2.
集团代表有权直接向我国法院申请就有关核准和实施集团破产解决方案的问题进行庭审。A group representative is entitled to apply directly to a court in this State to be heard on issues related to approval and implementation of a group insolvency solution.
第5章 对债权人的保护Chapter 5. Protection of creditors and other interested persons
第27条 保护债权人和其他利益关系人Article 27. Protection of creditors and other interested persons
1.1.
在给予、拒绝给予、修订或终止根据本法提供的救济时,法院必须确信,面临计划程序处理或参加该程序的企业集团每一成员的债权人和其他利益关系人的利益,包括将被给予救济的企业集团成员的利益,都得到充分的保护。In granting, denying, modifying or terminating relief under this Law, the court must be satisfied that the interests of the creditors of each enterprise group member subject to or participating in a planning proceeding and other interested persons, including the enterprise group member subject to the relief to be granted, are adequately protected.
2.2.
法院可规定,根据本法给予的救济须满足法院认为适当的条件,包括提供担保。The court may subject relief granted under this Law to conditions it considers appropriate, including the provision of security.
3.3.
法院可根据集团代表提出的或受到根据本法给予的救济影响的人提出的请求,或法院自己主动而修订或终止此类救济。The court may, at the request of the group representative or a person affected by relief granted under this Law, or at its own motion, modify or terminate such relief.
第6章 外国债权的处理Chapter 6. Treatment of foreign claims
第28条 对于外国债权待遇的承诺:非主要程序Article 28. Undertaking on the treatment of foreign claims: non-main proceedings
1.1.
为在企业集团破产时尽可能减少启动非主要程序或便利对债权的处理,对于企业集团成员的债权人可在另一国非主要程序中提出的债权,在下列条件下,可在我国启动的主要程序中按照该债权在该项非主要程序中将被给予的待遇处理:To minimize the commencement of non-main proceedings or facilitate the treatment of claims in an enterprise group insolvency, a claim that could be brought by a creditor of an enterprise group member in a non-main proceeding in another State may be treated in a main proceeding commenced in this State in accordance with the treatment it would be accorded in the non-main proceeding, provided:
(a)(a)
在我国的主要程序中任命的破产管理人作出给予此种待遇的承诺。An undertaking to accord such treatment is given by the insolvency representative appointed in the main proceeding in this State.
在任命了集团代表的情况下,承诺应由破产管理人和集团代表共同作出;Where a group representative is appointed, the undertaking should be given jointly by the insolvency representative and the group representative;
(b)(b)
如果我国规定了任何形式要求,该项承诺符合这些要求;The undertaking meets the formal requirements, if any, of this State;
以及and
(c)(c)
法院核准在主要程序中给予这一待遇。The court approves the treatment to be accorded in the main proceeding.
2.2.
在第1款下作出的承诺应当可对主要程序的破产财产加以执行和对之具有约束力。An undertaking given under paragraph 1 shall be enforceable and binding on the insolvency estate of the main proceeding.
第29条 我国法院对于第28条下所作承诺的处理权力Article 29. Powers of the court of this State with respect to an undertaking under article 28
破产管理人或来自正在进行主要程序的另一国的集团代表已作出第28条下所述承诺的,我国的法院可以:If an insolvency representative or a group representative from another State in which a main proceeding is pending has given an undertaking in accordance with article 28, a court in this State, may:
(a)(a)
核准外国主要程序中将对可在我国非主要程序中另外提起的债权提供的债权待遇;Approve the treatment to be provided in the foreign main proceeding to the claims that might otherwise be brought in a non-main proceeding in this State;
以及and
(b)(b)
中止或谢绝启动非主要程序。Stay or decline to commence a non-main proceeding.
B部分 补充条款Part B. Supplemental provisions
第30条 对于外国债权待遇的承诺:主要程序Article 30. Undertaking on the treatment of foreign claims: main proceedings
为尽可能减少启动主要程序,或为便利处理债权人可在另一国的破产程序中另外提出的债权,企业集团成员的破产管理人或我国任命的集团代表可以承诺在我国给予这些债权其在该另一国的破产程序中原本将可得到的待遇,我国法院可以核准该项待遇。To minimize the commencement of main proceedings or to facilitate the treatment of claims that could otherwise be brought by a creditor in an insolvency proceeding in another State, an insolvency representative of an enterprise group member or a group representative appointed in this State may undertake to accord to those claims the treatment in this State that they would have received in an insolvency proceeding in that other State and the court in this State may approve that treatment.
我国如规定了任何形式要求的,这些承诺须满足这些要求,并应当可对破产财产加以执行和对之具有约束力。Such undertaking shall be subject to the formal requirements, if any, of this State and shall be enforceable and binding on the insolvency estate.
第31条 我国法院对于第30条下所作承诺的处理权力Article 31. Powers of a court of this State with respect to an undertaking under article 30
破产管理人或来自正在进行破产程序的另一国的集团代表已作出第30条下所述承诺的,我国的法院可以:If an insolvency representative or a group representative from another State in which an insolvency proceeding is pending has given an undertaking under article 30, a court in this State may:
(a)(a)
核准在外国破产程序中对可在我国程序中另外提起的债权给予的待遇;Approve the treatment in the foreign insolvency proceeding of the claims that might otherwise be brought in a proceeding in this State;
以及and
(b)(b)
中止或谢绝启动主要程序。Stay or decline to commence a main proceeding.
第32条 额外救济Article 32. Additional relief
1.1.
在承认外国计划程序时,如果法院确信所涉及的企业集团成员的债权人利益将在该程序中受到充分保护,特别是已作出第28条或第30条下所述承诺的,法院除给予第24条所述任何救济外,还可中止或谢绝启动在我国对参加外国计划程序的企业集团任何成员进行的破产程序。If, upon recognition of a foreign planning proceeding, the court is satisfied that the interests of the creditors of affected enterprise group members would be adequately protected in that proceeding, particularly where an undertaking under article 28 or 30 has been given, the court, in addition to granting any relief described in article 24, may stay or decline to commence an insolvency proceeding in this State with respect to any enterprise group member participating in the foreign planning proceeding.
2.2.
尽管有第26条的规定,但在集团代表提交拟议的集团破产解决方案后,如果法院确信所涉及的企业集团成员的债权人利益受到或将受到充分保护,法院可核准集团破产解决方案中的相关部分,并给予按第24条所述为实施集团破产解决方案所必需的任何救济。Notwithstanding article 26, if, upon submission of a proposed group insolvency solution by the group representative, the court is satisfied that the interests of the creditors of the affected enterprise group member are or will be adequately protected, the court may approve the relevant portion of the group insolvency solution and grant any relief described in article 24 that is necessary for implementation of the group insolvency solution.
附件三Annex III
委员会第五十二届会议收到的文件清单List of documents before the Commission at its fifty-second session
文号Symbol
标题或说明Title or description
A/CN.9/962A/CN.9/962
第五十二届会议临时议程、临时议程说明和会议时间安排Provisional agenda, annotations thereto and scheduling of meetings of the fifty-second session
A/CN.9/963A/CN.9/963
第一工作组(微型、小型和中型企业)第三十一届会议工作报告Report of Working Group I (Micro, Small and Medium-sized Enterprises) on the work of its thirty-first session
A/CN.9/964A/CN.9/964
第三工作组(投资人与国家间争端解决制度改革)第三十六届会议工作报告Report of Working Group III (Investor-State Dispute Settlement Reform) on the work of its thirty-sixth session
A/CN.9/965A/CN.9/965
第四工作组(电子商务)第五十七届会议工作报告Report of Working Group IV (Electronic Commerce) on the work of its fifty-seventh session
A/CN.9/966A/CN.9/966
第五工作组(破产法)第五十四届会议工作报告Report of Working Group V (Insolvency Law) on the work of its fifty-fourth session
A/CN.9/967A/CN.9/967
第六工作组(担保权益)第三十四届会议工作报告Report of Working Group VI (Security Interests) on the work of its thirty-fourth session
A/CN.9/968A/CN.9/968
第一工作组(微型、小型和中型企业)第三十二届会议工作报告Report of Working Group I (Micro, Small and Medium-sized Enterprises) on the work of its thirty-second session
A/CN.9/969A/CN.9/969
第二工作组(争议解决)第六十九届会议工作报告Report of Working Group II (Dispute Settlement) on the work of its sixty-ninth session
A/CN.9/970A/CN.9/970
第三工作组(投资人与国家间争端解决制度改革)第三十七届会议工作报告Report of Working Group III (Investor-State Dispute Settlement Reform) on the work of its thirty-seventh session
A/CN.9/971A/CN.9/971
第四工作组(电子商务)第五十八届会议工作报告Report of Working Group IV (Electronic Commerce) on the work of its fifty-eighth session
A/CN.9/972A/CN.9/972
第五工作组(破产法)第五十五届会议工作报告Report of Working Group V (Insolvency Law) on the work of its fifty-fifth session
A/CN.9/973A/CN.9/973
第六工作组(担保权益)第三十五届会议工作报告Report of Working Group VI (Judicial Sale of Ships) on the work of its thirty-fifth session
A/CN.9/974A/CN.9/974
云计算合同所涉主要问题说明草案Draft notes on the main issues of cloud computing contracts
A/CN.9/975A/CN.9/975
审查贸易法委员会秘书处关于云计算合同主要问题的说明草案—与制作载有法律案文的在线工具有关的考虑Review of draft UNCITRAL secretariat notes on the main issues of cloud computing contracts: considerations relating to the preparation of an online tool containing a legal text
A/CN.9/976A/CN.9/976
促进对贸易法委员会法规的了解、认识和使用Promotion of awareness, understanding and use of UNCITRAL texts
A/CN.9/977A/CN.9/977
与贸易法委员会工作有关的近期著述目录Bibliography of recent writings related to the work of UNCITRAL
A/CN.9/978A/CN.9/978
协调活动Coordination activities
A/CN.9/979A/CN.9/979
公约和示范法现状Status of conventions and model laws
A/CN.9/980/Rev.1A/CN.9/980/Rev.1
技术合作与援助Technical cooperation and assistance
A/CN.9/981A/CN.9/981
委员会的工作方案Work programme of the Commission
A/CN.9/982/Rev.1A/CN.9/982/Rev.1
公私伙伴关系:对《贸易法委员会私人融资基础设施项目立法指南》的拟议增订Public-private partnerships (PPPs): Proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects
A/CN.9/982/Add.1A/CN.9/982/Add.1
公私伙伴关系:对《贸易法委员会私人融资基础设施项目立法指南》的拟议增订(经修订的导言)Public-private partnerships (PPPs): Proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (revised Introduction)
A/CN.9/982/Add.2A/CN.9/982/Add.2
公私伙伴关系:对《贸易法委员会私人融资基础设施项目立法指南》的拟议增订(经修订的第一和第二章)Public-private partnerships (PPPs): Proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (revised chapters I and II)
A/CN.9/982/Add.3A/CN.9/982/Add.3
公私伙伴关系:对《贸易法委员会私人融资基础设施项目立法指南》的拟议增订(经修订的第三章)Public-private partnerships (PPPs): Proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (revised chapter III)
A/CN.9/982/Add.4/Rev.1A/CN.9/982/Add.4/Rev.1
公私伙伴关系:对《贸易法委员会私人融资基础设施项目立法指南》的拟议增订(经修订的第四章)Public-private partnerships (PPPs): Proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (revised Chapter IV)
A/CN.9/982/Add.5/Rev.1A/CN.9/982/Add.5/Rev.1
公私伙伴关系:对《贸易法委员会私人融资基础设施项目立法指南》的拟议增订(经修订的第五章)Public-private partnerships (PPPs): Proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (revised chapter V)
A/CN.9/982/Add.6/Rev.1A/CN.9/982/Add.6/Rev.1
公私伙伴关系:对《贸易法委员会私人融资基础设施项目立法指南》的拟议增订(经修订的第六章)Public-private partnerships (PPPs): Proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (revised chapter VI)
A/CN.9/982/Add.7/Rev.1A/CN.9/982/Add.7/Rev.1
公私伙伴关系:对《贸易法委员会私人融资基础设施项目立法指南》的拟议增订(经修订的第七章)Public-private partnerships (PPPs): Proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (revised chapter VII)
A/CN.9/983A/CN.9/983
大会的有关决议Relevant General Assembly resolutions
A/CN.9/984A/CN.9/984
协调与合作:获邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织Coordination and cooperation: international governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups
A/CN.9/985A/CN.9/985
贸易法委员会在促进国内和国际法治方面的作用Role of UNCITRAL in promoting the rule of law at the national and international levels
A/CN.9/986A/CN.9/986
国际商事调解:贸易法委员会调解规则草案International commercial mediation: draft UNCITRAL mediation rules
A/CN.9/987A/CN.9/987
国际商事调解:贸易法委员会调解安排说明草案International commercial mediation: draft UNCITRAL notes on mediation
A/CN.9/988A/CN.9/988
贸易法委员会亚洲及太平洋区域中心的活动Activities of the UNCITRAL Regional Centre for Asia and the Pacific
A/CN.9/989A/CN.9/989
关于第五工作组(破产法)第五十四届会议工作报告(A/CN.9/966)附件所载企业集团破产示范法草案的评论意见汇编Compilation of comments on the draft model law on enterprise group insolvency as contained in an annex to the report of Working Group V (Insolvency Law) on the work of its fifty-fourth session (A/CN.9/966)
A/CN.9/989/Add.1A/CN.9/989/Add.1
关于第五工作组(破产法)第五十四届会议工作报告(A/CN.9/966)附件所载企业集团破产示范法草案的评论意见汇编Compilation of comments on the draft model law on enterprise group insolvency as contained in an annex to the report of Working Group V (Insolvency Law) on the work of its fifty-fourth session (A/CN.9/966)
A/CN.9/WG.V/WP.165A/CN.9/WG.V/WP.165
企业集团破产:颁布指南草案Enterprise group insolvency: draft guide to enactment
A/CN.9/990A/CN.9/990
最后审定并通过破产法领域的案文—关于临近破产期间企业集团公司董事义务的案文草案Finalization and adoption of texts in the area of insolvency law: draft text on obligations of directors of enterprise group companies in the period approaching insolvency
A/CN.9/991A/CN.9/991
契约型网络和其他形式公司间合作专题讨论会的报告Report of the Colloquium on contractual networks and other forms of inter-firm cooperation
A/CN.9/992A/CN.9/992
今后在仓单上可能开展的工作Possible future work on warehouse receipts
A/CN.9/993A/CN.9/993
贸易法委员会担保交易示范法实务指南草案Draft Practice Guide to the UNCITRAL Model Law on Secured Transactions
A/CN.9/994A/CN.9/994
审议担保权益领域的问题—最后审定并通过《贸易法委员会担保交易示范法》实务指南Consideration of issues in the area of security interests: finalization and adoption of a practice guide to the UNCITRAL Model Law on Secured Transactions
A/CN.9/995A/CN.9/995
工作方案:欧洲联盟的建议Work programme: proposal of the European Union
A/CN.9/996A/CN.9/996
工作方案:美利坚合众国的建议Work programme: proposal by the United States of America
A/CN.9/997A/CN.9/997
今后可能在高技术相关国际交易争端解决领域开展的工作:以色列和日本政府的建议Possible future work in the field of dispute resolution in international high-tech related transactions: proposal by the Governments of Israel and Japan
A/CN.9/998A/CN.9/998
工作方案:今后可能开展的关于铁路运单的工作:中华人民共和国政府的建议Work programme: possible future work regarding railway consignment notes: proposal by the Government of the People’s Republic of China
A/CN.9/999A/CN.9/999
最后审定并通过关于公私伙伴关系的示范立法条文及随附立法指南Finalization and adoption of model legislative provisions on public-private partnerships with an accompanying legislative guide
A/CN.9/1000A/CN.9/1000
公私伙伴关系:对《贸易法委员会私人融资基础设施项目立法指南》的 拟议修订—阿尔及利亚政府的评论意见Public-private partnerships (PPPs): Proposed updates to the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects – comments by the Government of Algeria
11
根据大会第2205 (XXI)号决议,委员会成员经选举产生,任期六年。Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years.
在现任成员中,23个由大会第七十届会议于2015年11月9日选出,5个由大会第七十届会议于2016年4月15日选出,2个由大会第七十届会议于2016年6月17日选出,30个由大会第七十三届会议于2018年12月17日选出。Of the current membership, 23 were elected by the Assembly on 9 November 2015, at its seventieth session, five were elected by the Assembly on 15 April 2016, also at its seventieth session, two were elected by the Assembly on 17 June 2016, again at its seventieth session, and 30 were elected by the Assembly on 17 December 2018, at its seventy-third session.
大会在其第31/99号决议中改变了成员资格的迄止日期,决定所有当选成员国应从其当选后紧接着召开的委员会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。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.
22
《大会正式记录,第七十届会议,补编第17号》(A/70/17),第363段;Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 363;
同上,《第七十一届会议,补编第17号》(A/71/17),第360、362段。and ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 360 and 362.
33
联合国出版物,出售品编号:E.1.V.4。United Nations publication, Sales No. E.01.V.4.
44
《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第362段。Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), para. 362.
55
联合国出版物,出售品编号:E.4.V.11。United Nations publication, Sales No. E.04.V.11.
66
《大会正式记录,第七十二届会议,补编第17号》(A/72/17),第448段。Official Records of the General Assembly, Seventy-second Session, Supplement No. 17 (A/72/17), para. 448.
77
专题讨论会上宣读的文件以及讨论摘要报告的英文本可在专题讨论会网站查阅:https://uncitral.un.org/en/colloquia/procurement/2017_colloquia。The documents presented at the colloquium and a summary report of the discussions are available in English at the colloquium website: https://uncitral.un.org/en/colloquia/procurement/2017_colloquia.
88
《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第136-137段。Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17), paras. 136–137.
99
乌拉圭河纸浆厂(阿根廷诉乌拉圭),判决,《2010年国际法院的报告》,第14页,第204段。Pulp Mills on the River Uruguay (Argentina v. Uruguay), Judgment, I.C.J. Reports 2010, p. 14, para. 204.
1010
联合国出版物,出售品编号:E.17.V.1。United Nations publication, Sales No.: E.17.V.1.
1111
《大会正式记录,第六十六届会议,补编第17号》(A/66/17),附件一。Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), annex I.
1212
联合国出版物,出售品编号:E.01.V.4。United Nations publication, Sales No. E.01.V.4.
1313
联合国出版物,出售品编号:E.04.V.11。United Nations publication, Sales No. E.04.V.11.
1414
《大会正式记录,第七十四届会议,补编第17号》(A/74/17)。Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 17 (A/74/17).
1515
A/CN.9/982/Add.1、A/CN.9/982/Add.2、A/CN.9/982/Add.3、A/CN.9/982/Add.4/Rev.1、A/CN.9/ 982/Add.5/Rev.1、A/CN.9/982/Add.6/Rev.1、A/CN.9/982/Add.7/Rev.1。A/CN.9/982/Add.1, A/CN.9/982/Add.2, A/CN.9/982/Add.3, A/CN.9/982/Add.4/Rev.1, A/CN.9/982/Add.5/Rev.1, A/CN.9/982/Add.6/Rev.1 and A/CN.9/982/Add.7/Rev.1.
1616
《大会正式记录,第七十四届会议,补编第17号》(A/74/17),第17至70段。Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 17 (A/74/17), paras. 17 to 70.
1717
同上,第227、449段。Ibid., paras. 227 and 449.
1818
同上,《第七十三届会议,补编第17号》(A/73/17),第163、238(e)段。Ibid., Seventy-third Session, Supplement No. 17 (A/73/17), paras. 163 and 238 (e).
1919
关于工作组这几届会议的报告,见A/CN.9/932、A/CN.9/938和A/CN.9/967。For the reports of Working Group VI on those sessions, see documents A/CN.9/932, A/CN.9/938 and A/CN.9/967.
2020
大会第56/81号决议,附件。General Assembly resolution 56/81, annex.
2121
联合国出版物,出售品编号:E.9.V.12。United Nations publication, Sales No. E.09.V.12.
2222
联合国出版物,出售品编号:E.11.V.6。United Nations publication, Sales No. E.11.V.6.
2323
联合国出版物,出售品编号:E.14.V.6。United Nations publication, Sales No. E.14.V.6.
2424
联合国出版物,出售品编号:E.17.V.1。United Nations publication, Sales No. E.17.V.1.
2525
《大会正式记录,第七十二届会议,补编第17号》(A/72/17),第216段。Official Records of the General Assembly, Seventy-second Session, Supplement No. 17 (A/72/17), para. 216.
2626
同上,第227、449段。Ibid., paras. 227 and 449.
2727
同上,《第七十三届会议,补编第17号》(A/73/17),第163段。Ibid., Seventy-third Session, Supplement No. 17 (A/73/17), para. 163.
2828
关于工作组这几届会议的报告,见A/CN.9/932、A/CN.9/938、A/CN.9/967。For the reports of those sessions of the Working Group, see A/CN.9/932, A/CN.9/938 and A/CN.9/967.
2929
A/CN.9/967,第11、79段。A/CN.9/967, paras. 11 and 79.
3030
《大会正式记录,第七十四届会议,补编第17号》(A/74/17),第78-98段。Official Records of the General Assembly, Seventy-fourth Session, Supplement No. 17 (A/74/17), paras. 78–98.
3131
大会第52/158号决议,附件。General Assembly resolution 52/158, annex.
3232
《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第233段。Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 233.
3333
联合国出版物,出售品编号:E.10.V.6。United Nations publication, Sales No. E.10.V.6.
3434
《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第155段。Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 155.
3535
关于工作组这些届会的报告,见A/CN.9/803、A/CN.9/829、A/CN.9/835、A/CN.9/864、A/CN.9/870、A/CN.9/898、A/CN.9/903、A/CN.9/931、A/CN.9/937、A/CN.9/966和A/CN.9/972。For the reports of Working Group V on those sessions, see A/CN.9/803, A/CN.9/829, A/CN.9/835, A/CN.9/864, A/CN.9/870, A/CN.9/898, A/CN.9/903, A/CN.9/931, A/CN.9/937, A/CN.9/966 and A/CN.9/972.
3636
《大会正式记录,第五十二届会议,补编第17号》(A/52/17),第221段。Official Records of the General Assembly, Fifty-second Session, Supplement No. 17 (A/52/17), para. 221.
3737
同上,《第六十五届会议,补编第17号》(A/65/17),第233段。Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 233.
3838
同上,《第六十九届会议,补编第17号》(A/69/17),第155段。Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 155.
3939
同上,《第七十四届会议,补编第17号》(A/74/17),附件二。Ibid., Seventy-fourth Session, Supplement No. 17 (A/74/17), annex II.
4040
同上,《第六十八届会议,补编第17号》(A/68/17),第204段。Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 204.
4141
同上,《第七十四届会议,补编第17号》(A/74/17),第116段。Ibid., Seventy-fourth Session, Supplement No. 17 (A/74/17), para. 116.
4242
大会第52/158号决议,附件。General Assembly resolution 52/158, annex.
4343
大会第73/200号决议和《大会正式记录,第七十三届会议,补编第17号》(A/73/17),附件三。General Assembly resolution 73/200 and Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17), annex III.
4444
《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第204段。Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 204.
4545
关于第五工作组这几届会议的报告,见A/CN.9/829、A/CN.9/835、A/CN.9/870、A/CN.9/931和A/CN.9/966。For the reports of Working Group V on those sessions, see A/CN.9/829, A/CN.9/835, A/CN.9/870, A/CN.9/931 and A/CN.9/966.
4646
《大会正式记录,第七十届会议,补编第17号》(A/70/17),第235段。Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 235;
同上,《第七十一届会议,补编第17号》(A/71/17),第243段;ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 243;
以及同上,《第七十二届会议,补编第17号》(A/72/17),第269段。and ibid., Seventy-second Session, Supplement No. 17 (A/72/17), para. 269.
4747
同上,《第七十三届会议,补编第17号》(A/73/17),第132段。Ibid., Seventy-third Session, Supplement No. 17 (A/73/17), para. 132.
4848
《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第204段。Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 204.
4949
同上,《第六十五届会议,补编第17号》(A/65/17),第233段。Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 233.
5050
同上,《第七十四届会议,补编第17号》(A/74/17),第110段和附件二。Ibid., Seventy-fourth Session, Supplement No. 17 (A/74/17), para. 110 and annex II.
5151
同上,《第三十五届会议,补编第17号》(A/35/17),第五章,A节,第106段。Ibid., Thirty-fifth Session, Supplement No. 17 (A/35/17), chap. V, sect. A, para. 106.
另见《联合国国际贸易法委员会年鉴》,第十一卷:1980年,第三部分,附件二(联合国出版物,出售品编号:E.81.V.8)。See also Yearbook of the United Nations Commission on International Trade Law, vol. XI, 1980, part three, annex II (United Nations publication, Sales No. E.81.V.8).
5252
《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第246段。Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17), para. 246.
5353
同上,第49段和附件一。Ibid., para. 49 and annex I.
5454
同上,第68段和附件二。Ibid., para. 68 and annex II.
5555
同上,第254段。Ibid., para. 254.
5656
《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第150段;Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 150;
同上,《第七十届会议,补编第17号》(A/70/17),第358段;ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 358;
同上,《第七十一届会议,补编第17号》(A/71/17),第229段;and ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 229.
5757
同上,《第七十一届会议,补编第17号》(A/71/17),第235、353段;Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 235 and 353;
同上,《第七十二届会议,补编第17号》(A/72/17),第127段。and ibid., Seventy-second Session, Supplement No. 17 (A/72/17), para. 127.
5858
同上,《第七十三届会议,补编第17号》(A/73/17),第150段。Ibid., Seventy-third Session, Supplement No.17 (A/73/17), para. 150.
5959
同上,第155段。Ibid., para. 155.
6060
同上,《第六十八届会议,补编第17号》(A/68/17),第321段;Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 321;
在《大会正式记录,第七十届会议,补编第17号》(A/70/17)第220和225段中重申了这一宗旨。the mandate was also reiterated in ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 220 and 225.
6161
《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第111段。Official Records of the General Assembly, Seventy-third session, Supplement No. 17 (A/73/17), para. 111.
6262
同上,第253 (c)段。Ibid., para. 253 (c).
专题讨论会议事情况见A/CN.9/991所载报告。The proceedings of the colloquium are reported in A/CN.9/991.
6363
同上,《第七十三届会议,补编第17号》(A/73/17),第252段。Ibid., Seventy-third Session, Supplement No. 17 (A/73/17), para. 252.
6464
同上,《第七十二届会议,补编第17号》(A/72/17),第264段。Ibid., Seventy-second Session, Supplement No. 17 (A/72/17), para. 264.
6565
《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第159段。Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17), para. 159.
6666
同上,《第六十八届会议,补编第17号》(A/68/17),第326段。Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 326.
6767
同上,《第七十一届会议,补编第17号》(A/71/17),第246段。Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 246.
6868
同上,《第六十八届会议,补编第17号》(A/68/17),第321、322段。Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 321 and 322.
6969
同上,《第七十三届会议,补编第17号》(A/73/17),第268段。Ibid., Seventy-third Session, Supplement No. 17 (A/73/17), para. 268.
7070
《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第252段。Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17), para. 252.
7171
《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第310段。Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 310.
7272
同上,《第七十一届会议,补编第17号》(A/71/17),第124段(知识产权许可)和第125段(其他专题);Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 124 (intellectual property licensing) and 125 (other topics);
同上,《第七十二届会议,补编第17号》(A/72/17),第225段(仓单以及担保交易中的非诉讼争议解决)和第229段(其他专题)。and ibid., Seventy-second Session, Supplement No. 17 (A/72/17), paras. 225 (warehouse receipt and alternative dispute resolution in secured transactions) and 229 (other topics).
7373
同上,《第六十八届会议,补编第17号》(A/68/17),第321段。Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 321.
7474
同上,第294、295段。Ibid., paras. 294 and 295.
7575
同上,《第七十三届会议,补编第17号》(A/73/17),第249、253 (a)段。Ibid., Seventy-third Session, Supplement No. 17 (A/73/17), paras. 249 and 253 (a).
7676
联合国出版物,出售品编号:E.17.V.5。United Nations publication, Sales No. E.17.V.5.
7777
《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第253 (c)段。Official Records of the General Assembly, Seventy-third session, Supplement No. 17 (A/73/17), para. 253 (c).
7878
同上,第253 (d)段。Ibid., para. 253 (d).
7979
同上,第251段。Ibid., para. 251.
8080
同上,《第七十三届会议,补编第17号》(A/73/17),第247段。Ibid., Seventy-third Session, Supplement No. 17 (A/73/17), para. 247.
8181
同上,第253 (b)段。Ibid, para. 253 (b).
8282
关于秘书处以前向委员会提交的这一项目的报告,见《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第176-177段。For an earlier report on this project by the Secretariat to the Commission, see Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17), paras. 176–177.
8383
《大会正式记录,第七十二届会议,补编第17号》(A/72/17),第112-114段。Official Records of the General Assembly, Seventy-second Session, Supplement No. 17 (A/72/17), paras. 112–114.
8484
《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第288-298段;Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 288–298;
同上,《第六十七届会议,补编第17号》(A/67/17),第174-178段;ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 174–178;
同上,《第六十八届会议,补编第17号》(A/68/17),第257-261段;ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 257–261;
同上,《第六十九届会议,补编第17号》(A/69/17),第205-207段;ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 205–207;
同上,《第七十届会议,补编第17号》(A/70/17),第279-281段;ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 279–281;
同上,《第七十一届会议,补编第17号》(A/71/17),第286-290段;ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 286–290;
同上,《第七十二届会议,补编第17号》(A/72/17),第360-364段。and ibid., Seventy-second Session, Supplement No. 17 (A/72/17), paras. 360–364.
8585
同上,《第七十届会议,补编第17号》(A/70/17),第280段。Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 280.
8686
同上,《第七十一届会议,补编第17号》(A/71/17),第290段。Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 290.
8787
同上,《第七十二届会议,补编第17号》(A/72/17),第364段。Ibid., Seventy-second Session, Supplement No. 17 (A/72/17), para. 364.
8888
《内部监督事务厅关于评估法律事务厅的报告》(E/AC.51/2019/9)。Report of the Office of Internal Oversight Services on evaluation of the Office of Legal Affairs (E/AC.51/2019/9).
8989
《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第188段。Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17), para. 188.
9090
同上,第188-189段。Ibid., paras. 188–189.
9191
委员会似宜注意到,联合国与欧洲联盟之间的协定规定为第三工作组届会提供旅费,无论有关的发展中国家是否为贸易法委员会成员。The Commission may wish to note that the agreement between the United Nations and the European Union provides for funds to travel to the sessions of Working Group III regardless of whether the developing countries concerned are members of UNCITRAL.
9292
查阅网址:https://uncitral.un.org/en/about/sdg。Available at https://uncitral.un.org/en/about/sdg.
9393
《大会正式记录,第七十届会议,补编第17号》(A/70/17),第247段。Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 247.
9494
大会第69/115号决议,第21段;General Assembly resolutions 69/115, para. 21;
第70/115号决议,第21段;70/115, para. 21;
第71/135号决议,第23段;71/135, para. 23;
第72/113号决议,第29段;72/113, para. 29;
第73/197号决议,第26段。and 73/197, para. 26.
9595
查阅网址:www.linkedin.com/company/uncitral。Available at www.linkedin.com/company/uncitral.
9696
大会第61/32号决议,第17段;General Assembly resolutions 61/32, para. 17;
第62/64号决议,第16段;62/64, para. 16;
第63/120号决议,第20段;63/120, para. 20;
第69/115号决议,第21段;69/115, para. 21;
第70/115号决议,第21段;70/115, para. 21;
第71/135号决议,第23段;71/135, para. 23;
第72/113号决议,第29段;72/113, para. 29;
第73/197号决议,第26段。and 73/197, para. 26.
9797
联合国,《条约汇编》,第330卷,第4739号,第3页。United Nations, Treaty Series, vol. 330, No. 4739, p. 3.
9898
同上,第1489卷,第25567号,第3页。Ibid., vol. 1489, No. 25567, p. 3.
9999
《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第197段。Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17), para. 197.
100100
《大会正式记录,第七十二届会议,补编第17号》(A/72/17),第292-293段。Official Records of the General Assembly, Seventy-second Session, Supplement No. 17 (A/72/17), paras. 292–293.
101101
同上,第295-296段。Ibid., paras. 295–296.
102102
《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第200段。Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17), para. 200.
103103
同上。Ibid.
104104
同上,《第六十六届会议,补编第17号》(A/66/17),第265段。Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 265.
105105
大会第60/21号决议,附件。General Assembly resolution 60/21, annex.
106106
《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第107-110段;Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 107–110;
同上,《第七十届会议,补编第17号》(A/70/17),第152-161段;ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 152–161;
同上,《第七十一届会议,补编第17号》(A/71/17),第166-173段;ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 166–173;
同上,《第七十二届会议,补编第17号》(A/72/17),第308-321段;ibid., Seventy-second Session, Supplement No. 17 (A/72/17), paras. 308–321;
《第七十三届会议,补编第17号》(A/73/17),第204-208段。and ibid., Seventy-third Session, Supplement No. 17 (A/73/17), paras. 204–208.
107107
同上,《第七十届会议,补编第17号》(A/70/17),第264段。Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 264.
108108
关于委员会将该项目列入议程的决定,见《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第二部分,第111-113段。For the decision of the Commission to include the item on its agenda, see Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part two, paras. 111–113.
109109
大会第62/70号决议,第3段;General Assembly resolutions 62/70, para. 3;
第63/128号决议,第7段;63/128, para. 7;
第64/116号决议,第9段;64/116, para. 9;
第65/32号决议,第10段;65/32, para. 10;
第66/102号决议,第12段;66/102, para. 12;
第67/97号决议,第14段;67/97, para. 14;
第68/116号决议,第14段;68/116, para. 14;
第69/123号决议,第17段;69/123, para. 17;
第70/118号决议,第20段;70/118, para. 20;
71/148, para. 22;
第71/148号决议,第22段,第72/119号决议,第25段,第73/207号决议,第20段。72/119, para. 25; and 73/207, para. 20. 110
110
《大会正式记录,第六十三届会议,补编第17号》和更正(A/63/17及Corr.1),第386段;Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 386;
同上,《第六十四届会议,补编第17号》(A/64/17),第413-419段;ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 413–419;
同上,《第六十五届会议,补编第17号》(A/65/17),第313-336段;ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 313–336;
同上,《第六十六届会议,补编第17号》(A/66/17),第299-321段;ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 299–321;
同上,《第六十七届会议,补编第17号》(A/67/17),第195-227段;ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 195–227;
同上,《第六十八届会议,补编第17号》(A/68/17),第267-291段;ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 267–291;
同上,《第六十九届会议,补编第17号》(A/69/17),第215-240段;ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 215–240;
同上,《第七十届会议,补编第17号》(A/70/17),第318-324段;ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 318–324;
同上,《第七十一届会议,补编第17号》(A/71/17),第317-342段;ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 317–342;
同上,《第七十二届会议,补编第17号》(A/72/17),第435-441段;ibid., Seventy-second Session, Supplement No. 17 (A/72/17), paras. 435–441;
同上,《第七十三届会议,补编第17号》(A/73/17),第232-233段。and ibid., Seventy-third Session, Supplement No. 17 (A/73/17), paras. 232–233.
111111
《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第335段。Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 335.
112112
同上,《第六十七届会议,补编第17号》(A/67/17),第199-210段;Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 199–210;
同上,《第六十九届会议,补编第17号》(A/69/17),第229-233段;ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 229–233;
同上,《第七十一届会议,补编第17号》(A/71/17),第313-317段,《第七十三届会议,补编第17号》(A/73/17),第230-231段。ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 313–317; and Seventy-third Session, Supplement No. 17 (A/73/17), paras. 230–231.
113113
同上,《第七十三届会议,补编第17号》(A/73/17),第264-267段。Ibid., Seventy-third Session, Supplement No. 17 (A/73/17), paras. 264–267.
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大会第73/207号决议,第20段。General Assembly resolution 73/207, para. 20.
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E/AC.51/2019/9。E/AC.51/2019/9.
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《大会正式记录,第七十二届会议,补编第17号》(A/72/17),第480段。Official Records of the General Assembly, Seventy-second Session, Supplement No. 17 (A/72/17), para. 480.
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《大会正式记录,第七十三届会议,补编第17号》(A/73/17),第258-267段。Official Records of the General Assembly, Seventy-third Session, Supplement No. 17 (A/73/17), paras. 258–267.
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同上,第268段。Ibid., para. 268.
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A/62/6(第8节)及Corr.1,表8.19 (d)。A/62/6 (Sect. 8) and Corr.1, table 8.19 (d).
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《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第275段。Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275.
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同上,《第七十二届会议,补编第17号》(A/72/17),第485段。Ibid., Seventy-second Session, Supplement No. 17 (A/72/17), para. 485.
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应当指出的是,本定义仅与订立公私伙伴关系合同的权力有关。It should be noted that this definition relates only to the power to enter into PPP contracts.
视颁布国的管理制度而定,(i)项中称作“管理机构”的某一单独机构可能负责发布关于提供相关服务的规则和条例。Depending on the regulatory regime of the enacting State, a separate body, referred to as “regulatory agency” in subpara. (i), may have responsibility for issuing rules and regulations governing the provision of the relevant service.
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“投标人”一词视情况而定,既包括已要求应邀参加预选程序者,也包括响应订约当局的征求建议书而提交了建议书者。The term “bidder” or “bidders” encompasses, according to the context, both persons that have sought an invitation to take part in preselection proceedings or persons that have submitted a proposal in response to a contracting authority’s request for proposals.
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可能需要在专门立法中处理这种管理机构的组成、结构和职能(见第……段)。The composition, structure and functions of such a regulatory agency may need to be addressed in special legislation (see paras. …).
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应建立机构机制,协调负责根据关于有关类别基础性设施的建造和运营的法规或管理规定签发实施公私伙伴关系所要求的批准书、执照、许可证或授权书的公共当局的活动(见第二章“项目规划和准备”,第……段)。 除此之外,对那些在考虑为公私伙伴关系项目提供特定形式政府支持的国家来说,相关法律,例如关于获授权提供政府支持的实体的活动的立法或条例,可能有必要明确指出哪些实体有权提供这种支持以及可以提供何种支持(见第二章“项目规划和准备”,第……段)。It is advisable to establish institutional mechanisms to coordinate the activities of the public authorities responsible for issuing the approvals, licences, permits or authorizations required for the implementation of PPP in accordance with statutory or regulatory provisions on the construction and operation of infrastructure facilities of the type concerned (see chap. II, “Project planning and preparation”, paras. …).
In addition, for countries that contemplate providing specific forms of government support to PPP projects, it may be useful for the relevant law, such as legislation or a regulation governing the activities of entities authorized to offer government support, to identify clearly which entities have the power to provide such support and what kind of support may be provided (see chap. II, “Project planning and preparation”, paras. …).
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对于如何完成此项示范条文,颁布国一般可有两种选择。Enacting States may generally have two options for completing this model provision.
一种方法是,可在示范条文或拟附在其后的附表中提供一份有权订立公私伙伴关系合同的当局的名称一览表。One alternative may be to provide a list of authorities empowered to enter into PPP contracts, either in the model provision or in a schedule to be attached thereto.
另一种方法是,颁布国可指明有权订立这种合同的政府级别,而无需给出有关公共当局的名称。Another alternative might be for the enacting State to indicate the levels of government that have the power to enter into those contracts, without naming relevant public authorities.
例如,在一个联邦制国家,这种授权条款可提及“联邦、州[或省]和市”。In a federal State, for example, such an enabling clause might refer to “the Union, the states [or provinces] and the municipalities”.
无论如何,那些希望载列一份详尽的当局名称一览表的颁布国不妨考虑建立可根据需要修订此一览表的机制。In any event, it is advisable for enacting States that wish to include an exhaustive list of authorities to consider mechanisms allowing for revisions of such a list as the need arises.
为达到这一目的,可将该名称一览表列入法律的一个附表之中或可能根据法律发布的条例之中。One possibility to that end might be to include the list in a schedule to the law or in regulations that may be issued thereunder.
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那些希望载列一份详尽的部门名称一览表的颁布国不妨考虑建立可根据需要修订此一览表的机制。It is advisable for enacting States that wish to include an exhaustive list of sectors to consider mechanisms allowing for revisions of such a list as the need arises.
为达到这一目的,可将该名称一览表列入法律的一个附表之中或可能根据法律发布的条例之中。One possibility to that end might be to include the list in a schedule to the law or in regulations that may be issued thereunder.
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请读者注意私人伙伴筛选程序与颁布国授予政府合同的一般立法框架之间的关系。The reader’s attention is drawn to the relationship between the procedures for the selection of the private partner and the general legislative framework for the award of government contracts in the enacting State.
虽然有可能用到传统采购方法中存在的结构性竞争的一些要素,但是需要对这些要素作一些修改,以顾及公私伙伴关系项目的特殊需要,例如,明确界定的预选阶段、拟订建议征求书的灵活性、特殊评审标准以及与投标人谈判的某种范围。While some elements of structured competition that exist in traditional procurement methods may be usefully applied, a number of adaptations are needed to take into account the particular needs of PPP projects, such as a clearly defined pre-selection phase, flexibility in the formulation of requests for proposals, special evaluation criteria and some scope for negotiations with bidders.
本章反映的筛选程序在很大程度上依据贸易法委员会2011年6月27日至7月8日在维也纳举行的第四十四届会议通过的《贸易法委员会公共采购示范法》中的征求建议书、两阶段招标、竞争性谈判和单一来源采购方法的特征。The selection procedures reflected in this chapter are based largely on the features of the request for proposals, two-stage tendering, competitive negotiations and single-source procurement methods under the UNCITRAL Model Law on Public Procurement, which was adopted by UNCITRAL at its forty-fourth session, held in Vienna from 27 June to 8 July 2011.
关于挑选私人伙伴的示范条文无意取代或照搬颁布国关于政府采购的全部规则,而是协助其本国立法者制订适合于挑选私人伙伴的特殊规则。The model provisions on the selection of the private partner are not intended to replace or reproduce the entire rules of the enacting State on government procurement, but rather to assist domestic legislators in developing special rules for the selection of the private partner.
示范条文假定,颁布国存在关于授予政府合同的一般框架,其中以符合《示范采购法》的标准的方式就透明和高效的竞争性程序作出规定。The model provisions assume that there exists in the enacting State a general framework for the award of government contracts providing for transparent and efficient competitive procedures in a manner that meets the standards of the Model Procurement Law.
因此,示范条文并不涉及一般见于合适的一般采购制度的一些程序性实际步骤。Thus, the model provisions do not deal with a number of practical procedural steps that would typically be found in an adequate general procurement regime.
这方面的例子包括下列事项:发布通知的方式、发布建议征求书的程序、采购过程的记录保持、公众对信息的获取和质疑程序。Examples include the following matters: manner of publication of notices, procedures for issuance of requests for proposals, record-keeping of the procurement process, accessibility of information to the public and challenge procedures.
这些示范条文的脚注酌情提请读者参考《采购示范法》的规定,这些规定经适当变通后可作为对示范条文中所述筛选程序实际要素的补充。Where appropriate, the notes to these model provisions refer the reader to provisions of the Model Procurement Law, which may, mutatis mutandis, supplement the practical elements of the selection procedure described herein.
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一般载于参加资格预审程序邀请书的要素一览表可见于《采购示范法》第18条第3款。A list of elements typically contained in an invitation to participate in pre-qualification proceedings can be found in article 18, paragraph 3, of the Model Procurement Law.
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一般载于资格预审文件的要素一览表可见于《采购示范法》第18条第5款。A list of elements typically contained in pre-qualification documents can be found in article 18, paragraph 5, of the Model Procurement Law.
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在有些国家,关于筛选程序的实用指南鼓励本国订约当局尽可能减少预期的建议书数量,以足可确保有意义的竞争为限(例如三份或四份)。In some countries, practical guidance on selection procedures encourages domestic contracting authorities to limit the prospective proposals to the lowest possible number sufficient to ensure meaningful competition (for example, three or four).
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关于资格预审程序和预选程序的程序性步骤,包括对请求澄清进行处理的程序和对订约当局关于投标人资格的决定的披露要求,见《采购示范法》第18条和第49条第(3)款。Procedural steps on pre-qualification and pre-selection proceedings, including procedures for handling requests for clarifications and disclosure requirements for the contracting authority’s decision on the bidders’ qualifications, can be found in article 18 and 49, para. 3, of the Model Procurement Law.
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某些国家的法律规定对本国实体给予某种优惠待遇,或者对承诺使用本国货物或雇用当地劳力的投标人给予特别待遇。The laws of some countries provide for some sort of preferential treatment for domestic entities or afford special treatment to bidders that undertake to use national goods or employ local labour.
本国优惠所产生的种种问题在《指南》中作了讨论(见第三章“授予合同”,第44-45段)。The various issues raised by domestic preferences are discussed in the Guide (see chapter III, “Contract award”, paras. 44–45).
《指南》建议,希望为本国供应商提供某些激励的国家,似宜以特别评审标准的形式而不是通过完全排斥外国供应商的做法来实施这种优惠。The Guide suggests that countries that wish to provide some incentive to national suppliers may wish to apply such preferences in the form of special evaluation criteria, rather than by a blanket exclusion of foreign suppliers.
无论如何,如要考虑国内优惠,应当事先宣布,最好是在筛选程序一开始(即在预选程序邀请书中)予以宣布。In any event, where domestic preferences are envisaged, they must be announced at the outset of the selection proceedings (i.e. in the invitation to the pre-selection proceedings).
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禁止投标人参加旨在为同一个项目提交建议书的一个以上联合体,理由是为了减少泄露信息或相竞争的联合体之间相互串通的风险。The rationale for prohibiting the participation of bidders in more than one consortium to submit proposals for the same project is to reduce the risk of leakage of information or collusion between competing consortia.
然而,本条示范条文考虑到了这条规则特殊例外的可能性,例如预期只有一家公司或者只有数目有限的公司能够提供执行项目所必不可少的特定货物或服务。Nevertheless, the model provision contemplates the possibility of ad hoc exceptions to this rule, for instance, in the event that only one company or only a limited number of companies could be expected to deliver a specific good or service essential for the implementation of the project.
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《采购示范法》第47和49条中载有建议征求书中通常包含的内容清单。A list of elements typically contained in a request for proposals can be found in articles 47 and 49 of the Model Procurement Law.
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关于投标担保的一般规定,见《贸易法委员会公共采购示范法》第17条。General provisions on bid securities can be found in article 17 of the UNCITRAL Model Law on Public Procurement.
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例如,腐败、串通和利益冲突。For example, corruption, collusion and conflict of interest.
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关于澄清建议征求书和举行投标人会议的一般规定见《贸易法委员会公共采购示范法》第15条。General provisions on clarification of request for proposals and the conduct of meetings with bidders can be found in article 15 of the UNCITRAL Model Law on Public Procurement.
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见《贸易法委员会公共采购示范法》第9条第8款。See UNCITRAL Model Law on Public Procurement, art. 9, para. 8.
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规定就公私伙伴关系合同进行直接谈判须经上级当局批准,理由是为了确保订约当局只在适当情况下才利用这种特殊处理手段。The rationale for subjecting the direct negotiation of a PPP contract to the approval of a higher authority is to ensure that the contracting authority makes use of this exception only in the appropriate circumstances.
因此,本示范条文建议,颁布国应当指明一个有权授权在本条示范条文所载各种情形下进行谈判的有关当局。The model provision therefore suggests that the enacting State indicate a relevant authority that is competent to authorize negotiations in all cases set forth in the model provision.
然而,颁布国可能为本示范条文中的每一款规定不同的批准要求。The enacting State may provide, however, for different approval requirements for each subparagraph of the model provision.
例如,在某些情形下,颁布国可以规定,进行这种谈判的权力直接来自法律。In some cases, for instance, the enacting State may provide that the authority to engage in such negotiations derives directly from the law.
在另外一些情形下,颁布国可以规定,视拟提供的服务或者有关基础设施部门的性质而定,须经不同的上级当局批准才能进行谈判。In other cases, the enacting State may make the negotiations subject to the approval of different higher authorities, depending on the nature of the services to be provided or the infrastructure sector concerned.
在这些情形下,颁布国可能需要根据这些批准要求调整本示范条文,在有关款项增加具体的批准要求,或者增加一些文字,提及本国法律中载列这种批准要求的规定。In those cases, the enacting State may need to adapt the model provision to these approval requirements by adding the particular approval requirement to the subparagraph concerned, or by adding a reference to provisions of its law where these approval requirements are set forth.
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作为对(b)和(c)项中规定的除外情形的一种替代,颁布国可以考虑为低于该最低金额的项目的建议征求书拟定一种简化程序,例如,如《贸易法委员会公共采购示范法》第35条第2款所设想,允许在示范条文第9至22条所述程序中使用直接邀请办法。As an alternative to the exclusion provided for in subparas. (b) and (c), the enacting State may consider devising a simplified procedure for request for proposals for projects falling thereunder, for instance by allowing direct solicitation in the procedures described in model provisions 9 to 22, as envisaged in art. 35, para. 2, of the UNCITRAL Model Law on Public Procurement.
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认为在特殊情况下授权使用谈判程序较为可取的颁布国似宜在实施本条示范条文时保留(g)项。Enacting States that deem it desirable to authorize the use of direct negotiation procedures on an ad hoc basis may wish to retain subpara. (g) when implementing the model provision.
希望限制第9至22条所设想的竞争性筛选程序的例外情形的颁布国可不选择列入本项。Enacting States wishing to limit exceptions to the selection procedures envisaged in model provisions 9–22 may prefer not to include the subparagraph.
在任何情况下,为透明度起见,颁布国似应在本条示范条文的此处或别处指明任何其他例外情形,在这些情形下,允许使用具体法规规定的直接谈判程序。In any event, for purposes of transparency, the enacting State may wish to indicate here or elsewhere in the model provision other exceptions, if any, authorizing the use of direct negotiation procedures that may be provided for under specific legislation.
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见《贸易法委员会公共采购示范法》第7条。See UNCITRAL Model Law on Public Procurement, art. 7.
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希望提高使用直接谈判程序的透明度的颁布国可通过具体条例确立按示范条文第23和24条获邀请参加谈判的人必须达到的资格标准。Enacting States wishing to enhance transparency in the use of direct negotiation procedures may establish, by specific regulations, qualification criteria to be met by persons invited to negotiations pursuant to model provisions 23 and 24.
示范条文第10条对可能确立的资格标准作了说明。An indication of possible qualification criteria is contained in model provision 10.
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本示范条文假设,受理非应标建议书的权力属于订约当局。The model provision assumes that the power to entertain unsolicited proposals lies with the contracting authority.
然而,视颁布国的体制和行政安排而定,可能会是订约当局以外的一个机构负责处理非应标建议书,或者负责例如审议非应标建议书是否符合公共利益。However, depending on the institutional and administrative arrangements of the enacting State, a body separate from the contracting authority may have the responsibility for handling unsolicited proposals or for considering, for instance, whether an unsolicited proposal is in the public interest.
在这种情形下,颁布国应当仔细考虑需要如何协调这种机构与订约当局的职能(见脚注1、3和19以及其中提及的参考资料)。In such a case, the manner in which the functions of such a body may need to be coordinated with those of the contracting authority should be carefully considered by the enacting State (see footnotes 1, 3 and 19 and the references cited therein).
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确定拟议项目是否符合公共利益涉及到谨慎地判断该项目对公众提供的潜在好处以及它与政府关于有关部门的政策的关系。The determination that a proposed project is in the public interest entails a considered judgment regarding the potential benefits to the public that are offered by the project, as well as its relationship to the Government’s policy for the sector concerned.
为了确保确定非应标建议书的可接受性的程序具有公正性、透明度和可预测性,颁布国似宜在条例或其他文件中就用来确定非应标建议书是否符合公共利益的标准提供指导,其中可以包括评估合同安排是否恰当和拟议的项目风险分配是否合理的标准。In order to ensure the integrity, transparency and predictability of the procedures for determining the admissibility of unsolicited proposals, it may be advisable for the enacting State to provide guidance, in regulations or other documents, concerning the criteria that will be used to determine whether an unsolicited proposal is in the public interest, which may include criteria for assessing the appropriateness of the contractual arrangements and the reasonableness of the proposed allocation of project risks.
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颁布国似宜在条例中提出提交人需要达到的资格标准。The enacting State may wish to provide in its regulations the qualification criteria that need to be met by the proponent.
示范条文第10条说明了为此目的需要考虑的要素。Elements to be taken into account for that purpose are indicated in model provision 10.
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《贸易法委员会公共采购示范法》第23条。See UNCITRAL Model Law on Public Procurement, art. 23.
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示范条文所设想的各类项目授标记录的内容,以及其中所载信息在多大程度上可为公众获取,载于《采购示范法》第25条。The content of such a record for the various types of project award contemplated in the model provisions, as well as the extent to which the information contained therein may be accessible to the public, is set out in art. 25 of the Model Procurement Law.
颁布国的法律未充分论及这些问题的,则颁布国应当通过这方面的法规或条例。If the laws of the enacting State do not adequately address these matters, the enacting State should adopt legislation or regulations to that effect.
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颁布国似宜注意,在公私伙伴关系合同中纳入关于本条示范条文所列某些事项的规定是其他示范条文规定的一项强制性要求。Enacting States may wish to note that the inclusion in the PPP contract of provisions dealing with some of the matters listed in this model provision is mandatory pursuant to other model provisions.
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关于公私伙伴关系合同当事方可否选择东道国法律以外的法律作为合同的管辖法律问题,各种法律制度的解决办法有所不同。Legal systems provide varying answers to the question as to whether the parties to a PPP contract may choose as the governing law of the contract a law other than the laws of the host country.
另外,正如《立法指南》所述(见第四章,“公私伙伴关系的实施:法律框架和公私伙伴关系合同”,第5-8段),在一些国家,公私伙伴关系合同可能由行政法管辖,而在另一些国家,公私伙伴关系合同可能由私法管辖(另见《立法指南》,第七章,“其他有关的法律领域”,第25-28段)。Furthermore, as discussed in the Legislative Guide (see chap. IV, “PPP implementation: legal framework and PPP contract”, paras. 5–8), in some countries the PPP contract may be subject to administrative law, while in others the PPP contract may be governed by private law (see also chap. VII, “Other relevant areas of law”, paras. 25–28).
管辖法律还包括适用于公私伙伴关系项目执行期间出现的各种问题的其他法律领域的法律规则(一般论述,见第七章,“其他有关的法律领域”,B节)。The governing law also includes legal rules of other fields of law that apply to the various issues that arise during the implementation of a PPP project (see generally chap. VII, “Other relevant areas of law”, sect. B).
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私营部门对基础设施和公共服务项目的参与可以采取不同的形式(见“导言和公私伙伴关系的背景信息”,第48-55段)。Private sector participation in infrastructure and public service projects may be devised in a variety of different forms (see “Introduction and background information on PPPs”, paras. 48–55).
这项一般政策通常决定了对项目相关资产所有权的立法方式。The general policy typically determines the legislative approach for ownership of project-related assets.
不管东道国的一般政策或部门政策如何,所涉各种资产的所有权制度应得到明确界定并以充分的立法授权为依据。Irrespective of the host country’s general or sectoral policy, the ownership regime of the various assets involved should be clearly defined and based on sufficient legislative authority.
这方面清晰明确至关重要,因为这将直接影响到私人伙伴能否为项目融资目的而在项目资产上设立担保权益。Clarity in this respect is important, as it will directly affect the private partner’s ability to create security interests in project assets for the purpose of raising financing for the project.
本示范条文与各种法律制度所采取的灵活做法相一致,并不设想将所有资产无条件地移交给订约当局,而是允许加以区分,分清哪些是必须移交给订约当局的资产,哪些是订约当局可以选择购买的资产,哪些是公私伙伴关系合同期满或终止时或任何其他时间私人伙伴保留的私有财产。Consistent with the flexible approach taken by various legal systems, the model provision does not contemplate an unqualified transfer of all assets to the contracting authority but allows a distinction between assets that must be transferred to the contracting authority, assets that may be purchased by the contracting authority, at its option, and assets that remain the private property of the private partner, upon expiry or termination of the PPP contract or at any other time.
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如果颁布国没有这种立法,关于公私伙伴关系的具体法律应当作出这方面的规定。If the enacting State does not have such legislation, the specific law on PPP should so provide.
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私人伙伴可直接购置为项目相关目的而在邻接财产上通过或穿行的权利,或在这些财产上施工的权利,也可由公共当局在强制征购项目场地的同时强制征购这些权利。The right to transit on or through adjacent property for project-related purposes or to do work on such property may be acquired by the private partner directly or may be compulsorily acquired by a public authority simultaneously with the project site.
一种略为不同的变通办法是,如备选案文B所反映,由法律本身授权公共服务提供者视公共基础设施的施工、运营和维修的需要,进入或通过第三方财产或在第三方财产上施工或附设装置。A somewhat different alternative, which is reflected in variant B, might be for the law itself to empower public service providers to enter, pass through or do work or fix installations upon the property of third parties, as required for the construction, operation and maintenance of public infrastructure.
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应付给私人伙伴的通行费、使用费、价款或其他费用,在本《立法指南》中称作“服务费”,在订约当局或其他公共当局不提供补贴或付款的情况下,可能是收回项目投资的主要(有时甚至是唯一)收入来源(见第二章,“项目规划和准备”,第56-86段)。Tolls, fees, prices or other charges accruing to the private partner, which are referred to in the Legislative Guide as “tariffs”, may be the main (sometimes even the sole) source of revenue to recover the investment made in the project in the absence of subsidies or payments by the contracting authority or other public authorities (see chap. II, “Project planning and preparation, paras. 56–86).
对提供公共服务收取费用,通常是政府基础设施政策的一个组成部分,同时也是广大公众直接关心的事项。The cost at which public services are provided is typically an element of the Government’s infrastructure policy and a matter of immediate concern for large sections of the public.
因此,许多国家有关提供公共服务的管理框架包括专门的服务费控制规则。Thus, the regulatory framework for the provision of public services in many countries includes special tariff-control rules.
此外,有些法律制度中的成文法规定或一般法律规则还规定了货物或服务的定价标准,例如要求收费必须符合“合理性”、“公正性”或“公平”等某些标准。Furthermore, statutory provisions or general rules of law in some legal systems establish parameters for pricing goods or services, for instance by requiring that charges meet certain standards of “reasonableness”, “fairness” or “equity”.
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这些限制规定可能特别涉及与基础设施项目的资产有关的权利或权益的执行。These restrictions may, in particular, concern the enforcement of the rights or interests relating to assets of the infrastructure project.
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“控股权益”概念一般指任命公司管理层和影响或决定其业务的权力。The notion of “controlling interest” generally refers to the power to appoint the management of a corporation and influence or determine its business.
不同法律制度中,甚至在同一法律制度的不同法律门类中也有可能使用不同的标准,其中有形式标准,将控股权益定为在公司各类股票表决权总和中占有一定数量(通常超过50%),也有更加复杂的标准,将公司的实际管理结构考虑进去。Different criteria may be used in various legal systems or even in different bodies of law within the same legal system, ranging from formal criteria attributing a controlling interest to the ownership of a certain amount (typically more than 50 per cent) of the total combined voting power of all classes of stock of a corporation to more complex criteria that take into account the actual management structure of a corporation.
对“控股权益”一词尚无法定定义的颁布国可能需要在为实施本示范条文而发布的条例中对这个词加以定义。Enacting States that do not have a statutory definition of “controlling interest” may need to define the term in regulations issued to implement the model provision.
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根据彼此间约定的条件由放款人提议并经订约当局接受,用另一实体替换私人伙伴,目的是使当事各方有机会避免因终止公私伙伴关系合同而造成的破坏性后果(见第四章,“公私伙伴关系的实施:法律框架和公私伙伴关系合同”,第162-165段)。The substitution of the private partner by another entity, proposed by the lenders and accepted by the contracting authority under the terms agreed by them, is intended to give the parties an opportunity to avert the disruptive consequences of termination of the PPP contract (see, chap. IV, “PPP implementation: legal framework and PPP contract”, paras. 162–165).
当事各方似宜首先诉诸其他切实可行的措施,可能的话按先后顺序,例如由放款人或由放款人指定的临时管理人暂时接管项目,或者执行放款人在私人伙伴公司股份上享有的担保权,将这些股份出售给订约当局可以接受的第三方。The parties may wish first to resort to other practical measures, possibly in a successive fashion, such as temporary takeover of the project by the lenders or by a temporary administrator appointed by them, or enforcement of the lenders’ security over the shares of the private partner company by selling those shares to a third party acceptable to the contracting authority.
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颁布国似宜考虑,在订约当局根据示范条文第31条保持的记录表明有必要时,可否在法律上出于公共利益考虑而允许按公私伙伴关系合同的条款以合意方式展延公私伙伴关系合同。The enacting State may wish to consider the possibility of having the law authorize a consensual extension of the PPP contract pursuant to its terms, for reasons of public interest, as justified in the record to be kept by the contracting authority pursuant to model provision 31.
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《立法指南》第五章“公私伙伴关系合同的期限、展延和终止”第29-30段讨论了构成迫不得已的公共利益考虑的可能情形。Possible situations constituting a compelling reason of public interest are discussed in the Legislative Guide, chap. V, “Duration, extension and termination of the PPP contract”, paras. 29–30.
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颁布国可在本国立法中规定最适合公私伙伴关系需要的争端解决机制。The enacting State may provide in its legislation dispute settlement mechanisms that are best suited to the needs of PPPs.