更正应作在印发的记录上，由有关的代表团成员一人署名，送交逐字记录处处长（C-154A）。
They should be incorporated in a copy of the record and sent under the signature of a member of the delegation concerned to the Chief of the Verbatim Reporting Service, room C-154A.
联合国国际贸易法委员会
* The late submission of this document is due to the need to accommodate the completion of consultations.
2006年1月23日至27日，纽约
Settlement of commercial disputes
拟订仲裁协议书面形式的统一条文
Preparation of uniform provisions on written form for arbitration agreements
《承认及执行外国仲裁裁决公约》（1958年，纽约）第二(2)条
Article II(2) of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958)
秘书处的说明
Note by the Secretariat
导言
Introduction
1. 贸易法委员会在其第三十二届会议（1999年5月17日至6月4日，维也纳）上，收到了一份题为“国际商事仲裁未来可进行的工作”的说明（A/CN.9/460；该文件与以下列出的贸易法委员会所有其他文件都可在贸易法委员会网站www.uncitral.org上获得）。
At its thirty-second session (Vienna, 17 May-4 June 1999), the Commission had before it a note entitled “Possible future work in the area of international commercial arbitration” (A/CN.9/460; this document is available, along with all other documents of UNCITRAL listed hereafter, on the UNCITRAL website at www.uncitral.org).
提出供审议的主题之一是在仲裁协议的订立方面需要使《承认及执行外国仲裁裁决公约》（1958年，纽约）（以下称“《纽约公约》”）实现什么程度的现代化。
One of the topics raised for consideration was the extent to which modernization of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958) (hereafter referred to as “the New York Convention”) was needed in respect of the formation of the arbitration agreement.
贸易法委员会决定，未来关于《纽约公约》第二(2)条（以下称为“第二(2)条”）的工作需要实现现代化。
The Commission decided that future work on article II(2) (hereafter referred to as “article II(2)”) of the New York Convention which required that the arbitration agreement be in written form “in a contract or an arbitration agreement signed by the parties or contained in an exchange of letters or telegrams” needed to be modernized.
第二(2)条要求仲裁协议为书面形式，载于“当事人所签订的合同或仲裁协议中，或载于函电往来中”。
The Commission felt that work might be needed on two general issues addressed in the note by the Secretariat (A/CN.9/460, paras.
贸易法委员会认为，可能需要就秘书处的说明中所涉两个普遍问题（A/CN.9/460，第22至31段）进行工作，即书面形式要求及其对现代通信手段和电子商务的影响问题，以及在函电往来中不含仲裁协议情况下仲裁协议当事方表示同意的问题。
22-31), namely the issue of the written form requirement and its implications with respect to modern means of communication and electronic commerce, and the issue of consent by the parties to an arbitration agreement where the arbitration agreement was not embodied in an exchange of letters or telegrams.
贸易法委员会还指出，可能有必要特别关注使《纽约公约》引起严重问题的具体现实情况，其中包括：默认或口头接受书面订单或书面售货确认书；提及书面一般条件的口头合同，或某种经纪人通知书以及向非签约第三方转移权利或义务的其他文书或合同。
As well, the Commission pointed out that special attention might need to be given to specific fact situations that posed serious problems under the New York Convention, including tacit or oral acceptance of a written purchase order or a written sales confirmation, an orally concluded contract referring to written general conditions or certain brokers' notes and other instruments or contracts transferring rights or obligations to non-signing third parties.
(1)条（以下称为“第七(1)条”）更加有利的法律规定通过示范立法取代第二(2)条；除了这类示范立法外，还可以通过拟订指导方针或其他不具约束力的材料来指导各国法院使用《纽约公约》；或在《纽约公约》之外拟订一项新的公约，以处理不属《纽约公约》适用范围的那些情形，包括（但不一定局限于）仲裁协议未能满足第二(2)条所规定的形式要求的情形。
Various views were expressed as to the means through which modernization of the New York Convention could be sought, including: by way of additional protocol; indirectly revising article II(2) by adopting model legislation to supersede that article in reliance of the more favourable law provision of article VII(1) (hereafter referred to as “article VII(1)”) of the New York Convention; additionally to such model legislation, by preparing guidelines or other non-binding materials to guide State courts in the application of the New York Convention; or by drafting a new convention separate from the New York Convention to deal with those situations which arose outside the sphere of application of the New York Convention, including (but not necessarily limited to) situations where the arbitration agreement failed to meet the form requirement established in article II(2).
3. 贸易法委员会将这些问题委托给仲裁工作组，该工作组在其第三十二届会议（2000年3月20日至31日，维也纳）上对问题作了研究。
The Commission referred the issues to the Working Group on Arbitration, which studied the issues at its thirty-second session (Vienna, 20-31 March 2000).
4. 工作组在其第三十二届会议上讨论了更广义地解释第二(2)条的可选办法，正如贸易法委员会所概括，这些办法是以下其中之一：(a)通过一项宣言、决议或说明，解决对《纽约公约》的解释问题，并规定为避免疑问，第二(2)条意在涵盖某些情形或具有某种效力；(b)鼓励仿效某些国家法院按照《贸易法委员会国际商业仲裁示范法》 （以下称为《贸易法委员会仲裁示范法》）解释第二(2)条的办法，从宽解释《纽约公约》；(c)如A/CN.9/WG.II/WP.108/Add.1号文件第33和34段讨论的那样，拟定实践指导原则或说明，规定将《贸易法委员会仲裁示范法》第7条用作一种解释工具，以澄清第二(2)条的适用范围。
At its thirty-second session, the Working Group discussed possible alternative ways of achieving a broader interpretation of article II(2), as had been outlined by the Commission, by either: (a) adopting a declaration, resolution or statement addressing the interpretation of the New York Convention and providing that, for the avoidance of doubt, article II(2) was intended to cover certain situations or to have a certain effect; or (b) encouraging a broader interpretation of the New York Convention by following the approach of some State courts of interpreting article II(2) in the light of the UNCITRAL Model Law on International Commercial Arbitration (hereafter “the UNCITRAL Arbitration Model Law”); or (c) preparing practice guidelines or notes which could set out the use of article 7 of the UNCITRAL Arbitration Model Law as an interpretation tool to clarify the application of article II(2), along the lines discussed in paragraphs 33 and 34 of document A/CN.9/WG.II/WP.108/Add.1.
5. 在工作组第三十二届会议上占主导地位的观点是，既然正式修正《纽约公约》或订立公约议定书很可能加重目前解释不一的状况，而且一些国家通过这种议定书或修正案需要好几年时间，在此期间会产生更多不确定性，那么这种方法基本上是不可行的。
The view that prevailed at the thirty-second session of the Working Group was that, since formally amending or creating a protocol to the New York Convention was likely to exacerbate the existing lack of harmony in interpretation and that adoption of such a protocol or amendment by a number of States would take a significant number of years and, in the interim, create more uncertainty, that approach was essentially impractical.
工作组认为，对第二(2)条的解释指南应有助于实现确保达成适应国际贸易需要的统一解释这一目标，因此工作组决定，关于《纽约公约》解释问题的宣言、决议或声明将反映对形式要求的广义理解，对此应该作进一步研究，以便确定最佳办法。
Taking the view that guidance on interpretation of article II(2) would be useful in achieving the objective of ensuring uniform interpretation that responded to the needs of international trade, the Working Group decided that a declaration, resolution or statement addressing the interpretation of the New York Convention that would reflect a broad understanding of the form requirement should be further studied to determine the optimal approach.
6. 工作组在其第三十三届（2000年11月20日至12月1日，维也纳）和第三十四届（2001年5月21日至6月1日，纽约）会议上讨论了有关第二(2)条的解释性声明的初步草案。
At its thirty-third (Vienna, 20 November-1 December 2000) and thirty-fourth (New York, 21 May-1 June 2001) sessions, the Working Group discussed preliminary drafts of an interpretative declaration relating to article II(2).
7. 工作组在其第三十六届会议（2002年3月4日至8日，纽约）上收到了在第三十四届会议上通过的声明草案案文并在审议该解释性声明的修订草案之前，重新审查了处理第二(2)条实际使用时产生的困难可采取的各种选择。
At its thirty-sixth session (New York, 4-8 March 2002), the Working Group had before it the text of the draft declaration as adopted at its thirty-fourth session and reassessed the various options available to deal with difficulties that had arisen in the practical application of article II(2), before considering the revised draft interpretative declaration.
8. 工作组详细审议了支持修订《纽约公约》的各种论点和支持通过解释性声明的各种论点。
The Working Group considered at length the various arguments that were put forward in support of proposals to amend the New York Convention and the adoption of the interpretative declaration.
工作组承认，其在目前阶段不能就究竟是拟定《纽约公约》的一项修正议定书还是解释性声明达成共识，对这两种选择均应不作决定，由工作组或委员会在以后的阶段进行审议。
The Working Group acknowledged that it could not, at that stage, reach a consensus on whether to prepare an amending protocol or an interpretative declaration to the New York Convention and that both options should be kept open for consideration by the Working Group or the Commission at a later stage.
同时，工作组一致认为，应就《纽约公约》书面要求的解释和适用提供指导，以便实现更大程度上的统一。
In the meantime, the Working Group agreed that it would be useful to offer guidance on interpretation and application of the form requirement in the New York Convention with a view to achieving a higher degree of uniformity.
《贸易法委员会仲裁示范法》第7条修改草案的颁行指南可为此目的作出有价值的贡献，该指南是秘书处根据要求编制的，供工作组今后进行审议，在工作组就如何最好地处理与公约第二(2)条适用有关的问题做出最后决定之前，指南在该条款中提出的创新内容和《纽约公约》之间建立了一座“友好的桥梁”。
A valuable contribution to that end could be made in the guide to enactment of the draft text revising article 7 of the UNCITRAL Arbitration Model Law, which the Secretariat was requested to prepare for future consideration by the Working Group, by establishing a “friendly bridge” between the new provisions of the UNCITRAL Arbitration Model Law and the New York Convention, pending a final decision by the Working Group on how to best deal with the application of article II(2).