联合国可转让货物单证公约解释性说明
第四章 关于电子可转让货物单证的特殊条件
Special conditions for electronic negotiable cargo documents
第十四条 对签名的要求
Signature requirements
187. 第二章和第三章中的若干条文规定，可转让货物单证（NCD）或其批注必须经签名。例如，第二条第5款中“可转让货物单证”的定义要求单证须由运输经营人签名；第三条第2款则要求运输单证上的批注必须由运输经营人签名。第十四条明确了在电子记录环境下满足上述签名要求的具体方式。
Several provisions in chapters II and III require an NCD or an annotation thereto to be signed. For example, the definition of “negotiable cargo document” in article 2(5) requires the NCD to be signed by the transport operator, while article 3(2) requires an annotation entered on a transport document to be signed by the transport operator. Article 14 specifies how those requirements are met with respect to an electronic record.
188. 第十四条以《电子可转让记录示范法》第9条为蓝本并作了必要调整。该条规定，“电子签名”须通过一种“可靠方法”（见上文第169段）来确保满足以下两个条件：(a)识别签名人身份；及(b)表明签名人在加附电子签名时的意图。
Article 14 is modelled on article 9 of the Model Law on Electronic Transferable Records, with the necessary adaptations. It specifies two conditions for an “electronic signature” that are to be assured through the use of a “reliable method” (see para. 169 above), namely: (a) the signatory is identified; and (b) the intention of the signatory when affixing the electronic signature is indicated.
189. 贸易法委员会编写的其他多部电子商务立法文本中均包含“识别”签名人及签名人“意图”（针对所签电子记录中的信息）的概念。这些概念适用于各类贸易相关文件，签名在不同文件中可能服务于不同目的。签名人的“意图”主要涉及签名人与所签电子记录内容之间的关联。在《公约》及要求运输经营人对可转让货物单证和批注进行签名的背景下，这一概念通常预设：运输经营人加盖电子签名即表明其为该单证或批注内容的发端人（但不一定是信息的原始来源）。
The notions of “identifying” the signatory and of the signatory’s “intention” (in respect of the information contained in the electronic record being signed) are found in several other legislative texts on electronic commerce prepared by UNCITRAL, which in turn apply to a broad range of trade-related documents for which different purposes might be pursued through the use of a signature. The notion of the signatory’s “intention” is essentially concerned with the association of the signatory with the content of the electronic record being signed.
In the context of the Convention and the requirement for NCDs and annotations to be signed by the transport operator, the notion ordinarily presupposes that, by affixing an electronic signature, the transport operator indicates that it is the originator of the contents of the NCD or annotation, as the case may be (but not necessarily the source of the information).
190. 与第四章其他规则一致，第十四条并未强制要求在电子记录签名中使用特定技术，例如基于公钥基础设施加密技术的电子签名（常称为“数字签名”）。此类数字签名可用于满足第十四条的条件，同时还能实现其他功能（如确保所签电子记录的完整性）。虽然其他法律可能要求运输经营人使用数字签名或其他特定类型的电子签名，但这些法律不得将使用此类特定类型的电子签名作为电子可转让货物单证具有效力或有效性的前提条件。
Like the other rules in chapter IV, article 14 does not mandate the use of a particular technology to sign an electronic record, such as an electronic signature using cryptography supported by public key infrastructure, sometimes known as a “digital signature”. Such digital signatures can be used to fulfil the conditions in article 14 while also fulfilling other functions (e.g. assuring the integrity of the electronic record being signed).
The use of a digital signature or other particular type of electronic signature by the transport operator may be mandated by other law, but that other law cannot make the effect or validity of an eNCD conditional upon the use of such a particular type of electronic signature.
NCD公约中英对照文本