1、Unit 4 Clarifying the Contents 明確合同內容 Topical Highlights單元要點Theme Presentation主題描述 1.Validity Clauses of Contracts合同的效力條款 2.Definition and Whereas定義與鑒于條款 3.Assignment and Guaranty轉讓與擔保條款 4.Rescission and Termination解除與終止條款 5.Default and Escape違約與免責條款 6.Arbitration and Jurisdiction仲裁與法律適用 Useful Word

2、s and Phrases常用詞語 Reflections and Practice思考與實踐 BACK Theme Presentation主題描述 關于國際商務合同的內容，在第三單元中我們已作了部分介紹，主要是從合同結構的角度討論的。本章將對合同條款作具體的例述，并提出起草時的注意事項。 1. Validity Clauses 0f Contracts合同的效力條款 這部分內容涉及合同生效的基本條件，在法律上具有重要的意義。合同效力的內容主要由兩組條款組成，分別寫在合同的開始和結尾(參見第三單元)。 第一組條款寫在合同的開始，在結構上稱“前言條款”(Preface Clause)，其主要內

3、容為： (1)合同的名稱：主要寫明合同的準確名稱，如“購貨合同”(Purchase Contract)，“銷售合同”(Sales Contract)，“聯合生產和同”(Contract for Co-production)，“成套設備技術引進合同” (Contract for Introduction of Complete Plant and Technology )，“中外合資經營企業合同”(Contract for Sino-foreign Joint Ventures)等； (2)合同各方名稱及法定地址：合同各方的名稱第一次在合同中出現時一定要寫全名，不能縮寫，只有在后面重復出現時才能

4、用簡稱，簡稱為甲方或乙方，買方或賣方，許可方或被許可方(hereinafter referred to as Party A or Party B; the Buyer or the Seller; the Licensor or Licensee)等；法定地址，主要指營業地、住所地、或居所所在地； (3)訂約日期及地點：訂約日期和地點是關系到合同發生糾紛時適用法律的問題，必須寫明； (4)合同雙方法律關系，主要是在明確了當事人全稱后，指明誰是買方誰是賣方，或出讓方、受讓方，貸款人或借款人等等； (5)同意訂約的詞句，如“雙方同意按下述條款買賣下列貨物”(Both parties agree

5、to buy and sell the following goods on the terms and conditions as below)。 【例1】本合同由依法律成立的ABC(全稱)公司，其登記注冊地在_，法定地址為(以下簡稱買方)和依_法律成立的DEF(全稱)公司，其登記注冊地在_，法定地址為(以下簡稱賣方)于1998年10月16日在中國北京訂立，雙方同意按下述條款買賣下列貨物： This Contract is made this 16th date of Oct，1998 in Beijing, China by and between ABC (Full Name) Comp

6、any under the Law of_, having its registered address in_, its legal address is_ (hereinafter referred to as the “Buyer" )and DEF (Full Name) Company under the Law of_, having its registered address in_, its legal address Is_ (hereinafter referred to as the “Seller"); whereby the Buyer agre

7、es to buy and the Seller agrees to sell the following goods on the terms and conditions as below： 第二組條款寫在合同的結尾部分，在結構上稱“結尾條款”(concluding clauses)，其主要內容為：合同使用的文字，合同的份數，各種文本的效力，合同的生效時間，對合同修改補充的效力，雙方當事人簽字等。如果合同中包括附件，還應在合同中規定： “附件是合同不可分割的部分”(The annex shall form an integral part of this Contract)，否則，就不具備

8、構成合同附件的條件。 【例2】本合同用中文和英文書就，一式二份，雙方各執一份中文正本和一份英文正本。兩種文本具有同等效力。本合同自雙方授權代表簽字之日起生效，第十章中列出的附件為本合同不可分割的組成部分。 對本合同的任何修改和/或補充，只有在雙方授權代表在書面簽字后方為有效，并成為本合同不可分割的組成部分。 This Contract is made out in duplicate in Chinese and in English Language, one Chinese original copy and one English original copy for each Party

9、, both texts being equally authentic (valid). This contract shall come into force from the date it is signed by the authorized representatives of both parties. The annexes as listed in Article 10 shall form an integral part to this Contract Any amendment andor supplement to this contract will be val

10、id only after the authorized representatives of both parties have signed written documents, forming integral parts of the Contract Notes 2. Definition and Whereas定義與鑒于條款 1) Definition Clauses定義條款 為了避免對涉外合同中使用的某些重要的名詞、概念的理解發生爭議，使雙方對合同中使用的重要名詞有統一的認識，對合同中重復出現的有特殊意義的且容易引起爭議的名詞概念作專門的解釋，是非常必要的。 在訂立定義條款時要考

11、慮兩方面問題：首先，應確定對合同中的哪些名詞術語進行定義。確定的標準是：在合同中重復出現，具有特殊意義，并且對確定當事人的權利和義務有關鍵性作用的名詞術詞；其次，應確定以何種形式對合同中的專用名詞進行定義。在實踐中，一般對合同中重復出現的關鍵名詞列出專章或專款進行解釋。 定義條款常見于下列類型的合同中，如“合作生產合同”(Contract for Co-production)，“專有技術合同”(Contract for Know-how)，“成套設備技術引進合同”(Contract for Introduction of Complete Plant and Technology)，“合資經營

12、企業合同”(Contract for Joint Ventures)，“國際土建工程合同”(International Contract for Civil Works)，“國際借款合同”(International Loans Contract)等。 【例3】本合同中下列詞語的含義為： (1)“專利”，是指乙方目前擁有的或未來獲得的和/或有權或可能有權控制的，或在本合同有效期間在世界任何國家許可轉讓的，適用于或可能適用于制造本合同產品的專利，實用新型及專利申請。 (2)“技術資料”，是指乙方擁有的和/或此后獲得的和/或在協議有效期間乙方有權或可能有權控制并提供給甲方的秘密技術資料、圖紙、設計

13、說明書、生產程序、小冊子、目錄以及生產、操作、銷售、維修合同產品所需要的其他資料。 (3)“獨占區域”，是指下列國家：澳大利亞、新西蘭、墨西哥、荷蘭、加拿大和巴西。 (4)“凈銷售價”，是指在扣除合同產品的包裝費、安裝費、運輸費、商業和數量折扣、傭金、保險費和商品稅之后，乙方通常銷售合同產品的價格。若產品被乙方或其附屬公司使用時，為確定本合同所規定的到期付款項，其“銷售凈價”應等同于乙方通常在善意交易中向顧客出售的類似產品的“凈銷售價”。 For the purpose of this Contract, the following terms have the following meani

14、ngs： (1) "Patents" means those letters patent, unity models and applications therefor presently owned or hereafter acquired by Party B and / or which Party B has or may have the right to control or grant License thereof during the term hereof in any or all countries of the world and which

15、are applicable to or may be used in the manufacture of the Product. (2) "Technical Information" means confidential engineering data, drawings, specifications and production procedures, brochures, catalogs and all other technical information necessary to the manufacture, operation, sale and

16、 service of the product, which are owned or hereafter acquired by Party B and/or which Party B has or may have the right to control and furnish to Party A during the term of this Contract. (3) "Exclusive Territory" means the following Countries: Australia, Brazil, Canada, New Zealand, Neth

17、erlands and Mexico. (4) "Net Selling Price" means the price at which the Product is sold by Party B from time to time, after deduction of packaging, installation and freight charges, trade and quantity discount, commission, insurance and commodity tax, if any, directly applicable to the Pr

18、oduct. In the event the Product is used by Party B or its subsidiaries, "Net Selling Price" of such product, for the purpose of determining the payment due hereunder with respect thereto, shall be the same as "Net Selling Price" at which Party B customarily sells comparable produ

19、ct to its customer in bona fide business transactions. 2) Whereas Clauses鑒于條款 鑒于條款常用于技術貿易合同之中(但不限于技術貿易合同)，用以說明當事人訂立合同的背景、目的、意圖以及雙方當事人確認合同的簽訂是在互利互惠的基礎上進行的。 鑒于條款的法律意義在于：它可以說明合同雙方轉讓技術的合法性，以便發生糾紛時，作為仲裁機關或法院解釋合同正文的依據。“鑒于條款”一般寫在前言的后部作為向合同正文的過渡。 【例4】本合同于1998年12月24日在北京簽訂。 一方為：中國北京市公司(以下簡稱“受讓方”)，在中國北京登記注冊，其法

20、定地址在_。 另一方為：_國_市_公司(以下簡稱“許可方”)，在_國_地登記注冊，其法定地址在_。 鑒于許可方擁有專有技術的所有權，有權設計、生產、安裝以及進行銷售； 鑒于許可方有權且愿意將以上專有技術轉讓給受讓方； 鑒于受讓方愿意使用許可方的專有技術進行設計、生產、銷售以及出口 _ 。 因此，根據以上情況及雙方的意愿，經受讓方與許可方協商，達成如下合同條款： The Contract is signed in Beijing, China on Dec. 24, 1998 by and between_ Company (hereinafter referred to as the” Lic

21、ensee") on the one hand, having its registered address in Beijing, China, its legal address is _ and _ Company (hereinafter referred to as the "Licensor") on the other hand, having its registered address in _, its legal address is_ Whereas the Licensor possesses know-how for the desig

22、ning, manufacturing, installing and marketing of_; Whereas the Licensor has the right and desires to transfer the above-signed know-how to the Licensee; Whereas the Licensee desires to design, manufacture, sell and export _by using Licensor's know-how. Therefore, in consideration of the premises

23、 and the mutual conveniences, the Licensee and the Licensor, through consultation, agree to enter into this contract under the terms and conditions set forth as follows: 3. Assignment Clauses轉讓與擔保條款 1) Assignment Clauses轉讓條款 合同的轉讓是當事人一方將合同的權利和義務的全部或部分轉讓給第三方(A party assigns, wholly or in part, its co

24、ntractual rights and obligations to a third party)。第三方是合同轉讓的受讓人(assignee)，合同的轉讓(assignment of contracts)不同于合同的變更(modification of contracts)，它是合同的主體。 中華人民共和國合同法第79條規定：“債權人可以將合同的權利全部或者部分轉讓給第三人，但有下列情形之一的除外(The creditor may transfer all or part of its rights in a contract to a third party， except in any

25、 of the following situations)：(一)根據合同性質不得轉讓(The contract may not be transferred, according to its nature)；(二)按照當事人約定不得轉讓(according to an agreement made by the parties)；(三)依照法律規定不得轉讓(according to the provisions of laws)。第84條規定：“債務人將合同的義務全部或者部分轉移給第三人，應當經債權人同意(The transfer to a third party of all or pa

26、rt of the debtor's obligations as prescribed in the contract shall be approved by the creditor)。第87條規定：“法律、行政法規規定轉讓權利或者轉移義務應當辦理批準、登記等手續的，依照其規定” (If the transfer of rights or obligations shall go through the approval and registration procedures according to the provisions of laws or administrativ

27、e regulations， the parties shall act accordingly)。 合同權利和義務的全部或部分的轉讓或轉移常見于中外合資經營企業合同之中。根據中外合資經營企業法實施條例(Regulations for the Implementation of the Law of the People's Republic of China on Sino-foreign Joint Ventures)規定：合營一方向第三方轉讓全部或部分出資額必須符合以下條件：1.須經合營他方同意，并經審批機構批準；2.合營一方轉讓其全部或部分出資額時，合營他方有優先購買權(Pre

28、-emptive right)：3.合營一方向第三方轉讓出資額的條件，不得比向合營他方轉讓的條件優惠。違反上述條件的，其轉讓無效(No assignment shall be effective)。 【例5】轉讓 公司的任何一方未經董事會一致通過及中國主管審批部門的批準，不得向第三方轉讓、抵押、出售或以其他方式處置其全部或部分股份。若一方要轉讓股份，必須遵守以下規定： (1)公司的一方希望轉讓其在公司的全部或部分股份時，公司他方有優先購買權； (2)享有優先購買權的一方應在轉讓方提出書面轉讓要求后30天內作出答復，否則轉讓方有權向第三方轉讓； (3)公司一方向第三方轉讓其全部或部分投資時，第三

29、方的資格和信譽必須獲得他方的書面認可，轉讓的條件不得比向公司他方轉讓的條件優惠，轉讓方應將其受讓方關于轉讓的相應部分權利和義務的書面協議兩份副本提交給公司他方； (4)轉讓期間不得使公司的工作受妨礙或組織機構受到影響；在批準轉讓后，公司應在30天內向工商行政管理局辦理變更登記手續。 Assignment Either Party of the Joint Venture Company may not assign, pledge, sell or otherwise dispose of all or part of its investment subscribed to a third

30、party without the unanimous approval of the Board of Directors and the consent by the appropriate Chinese Government Approving Department. In case that assignment is effected by one Party, the following stipulations must be observed. (1) When one Party intends to assign all or part of its investment

31、 subscribed, the other Party shall have the Pre-emptive right; (2) In the event that the Party who holds the Pre-emptive right fails to make response to the assignor within thirty (30) days of the assignor's request for assignment, the assignor shall have the right to effect assignment to a thir

32、d party; (3) If one Party intends to assign all or part of its investment to a third party, confirmation of the qualification and reputation of the third Party shall be obtained from the remaining Party and the conditions given shall not be more favorable than those given to the other Party. The ass

33、ingnor shall submit 2 copies of the written agreement concerning the relevant portion of rights and obligations so assigned to the other Party of the company. (4) The business of the Joint Venture Company shall not be interrupted or the organizational structure be affected during the assignment. Aft

34、er assignment has taken place, registration procedures for changes shall be conducted with the Administrative Bureau for Industry and Commerce within thirty (30) days. 在起草轉讓條款時，應注意以下幾個問題： (1)合同中應明確訂有“除事先取得另一方的書面同意外，任何一方均不得將本合同的權利與義務轉讓給第三方”(Neither of the Parties hereto shall assign this contractual

35、rights and obligations to a third Party unless prior consent of the other party is given in writing)的限制性條款。 (2)對于未經對方同意，另一方單方面將合同轉讓給第三方的情況，應約定“違反上述規定，其轉讓無效”(No assignment shall be effective should there be any violation of the above stipulations)。 (3)對于按合同規定接受合同權利和義務的合法的第三方(繼承人或受讓人)來說，他可以依法享有和承擔轉讓給他

36、的權利和義務。因此，在合同中應寫明：“本合同對雙方當事人的合法繼承人或受讓人都有約束力。轉讓后受讓人享有讓與人的一切權利，并負擔讓與人的一切義務” (This Contract shall be binding upon the lawful successor or the legitimate assigns of either of parties hereto. On any such assignment, the assignee shall have all the rights and be subject to all the obligations of the assig

37、nor hereunder)。 Notes 2) Warranty Clause擔保條款 中華人民共和國擔保法第2條規定：“在借貸、買賣、貨物運輸、加工承攬等經濟活動中，債權人需要以擔保方式保障其債權實現的，可以依照本法設定擔保”(In such economic activities as loans, sales, goods freight and hire of processing work, etc., where the creditor needs to safeguard the realization of his obligatory right by the way o

38、f guarantee,  a guarantee may be established in accordance with the provisions of this aw)。國際商務合同中的當事人可以在合同中約定擔保，擔保人在約定的擔保范圍內承擔責任(In the contract the parties may agree to provide a guaranty。 The guarantor shall be held liable within the agreed scope of guaranty)。在國際商務合同中設立擔保的法律意義在于：督促債務人(obligo

39、r)履行債務，或在債務人不能履行時，使債權人(obligee) creditor的權利得到一定補償。 按照各國的法律，擔保可以分為物的擔保和人的擔保兩類，分屬不同的法律范疇，物的擔保屬于財產法的范疇，大陸法將關于物權擔保的規定歸人民法物權篇；而人的擔保則屬于債法的范疇，大陸法將其歸人民法債權篇，在英美法中關于人的擔保規定在合同法內。從我國訂立的國際商務合同的實際情況來看，涉外合同中約定的擔保，一般指品質擔保(guaranty of quality)、權利擔保(guaranty of right)和履約擔保(guaranty of performance)，這與中華人民共和國擔保法中規定的擔保方

40、式有所不同。 (1)Guaranty of Quality(品質擔保) 品質擔保主要指合同的一方就合同標的物的品質向合同的另一方所作的擔保。擔保條款常見于國際貨物買賣合同和國際技術轉讓合同中，前者主要是合同中的賣方就貨物的品質向買方作出的擔保，在起草時應著重約定，賣方所提供的貨物必須符合合同規定的質量、規格和性能(correspond in all respects with the quality， specifications and performance as stipulated in the contract)，同時還應約定貨到目地港之日起·定時限的質量保證期；后者主要是

41、合同中的出讓方向受讓方保證的有關出讓方所提供技術資料是出讓方實際使用的最好資料；以及向受讓方保證的所提供的技術資料的完整性、正確性和清晰性(completeness， correctness and legibility)等。 【例6】賣方保證所交貨物是用最上等的材料和高超工藝制成，全新、未曾用過的并完全符合合同規定的質量、規格和性能。賣方并保證貨物在正確安裝、正確使用和維護的情況下，自貨物到達目的地之日起兩年內運轉良好。 The Seller shall guarantee that the goods supplied by the Seller are made of the best

42、materials, with first-class workmanship, brand new, unused and correspond in all respects with the quality, specifications and performance as stipulated in this Contract. The Seller shall also guarantee that the goods when correctly mounted and properly operated and maintained, shall gave satisfacto

43、ry performance for a period of two(2)years starting from the date on which the goods arrive at the port of destination 【例7】乙方保證所提供的技術資料是乙方實際使用的最新技術資料，并保證在合同有效期內向甲方及時提供任何關于合中列出的改進和發展的技術資料。 乙方保證所提供的技術資料是完整、正確、清晰的，并保證按合同規定的時間及時交付； 如果乙方提供的技術資料不符合本合同附件的規定，乙方必須在收到甲方書面通知后30天內免費將所缺的技術資料，或正確、清晰的技術資料寄給甲方。 Par

44、ty B guarantees that the Document supplied by Party B shall be of the latest technical documentation being used by Party B. Party B shall also supply to Party A during the validity term of the Contract, the technical information relevant to any development and improvement of the Contract Product. Pa

45、rty B guarantees that the Documentation supplied by Party B shall be complete, correct, legible and dispatched within the stipulated period in this Contract; If the Documentation supplied by Party B is not in conformity with the stipulations in the Annex to this Contract, Party B shall within the sh

46、ortest possible time but not later than thirty (30) days after receipt of the Party A's written notice, dispatch free of charge to the Party A the missing or the correct and legible Documentation. 品質擔保條款的設立，應根據不同的標的物，采用靈活的擔保約定。除以上兩類合同中一般訂立品質擔保條款外，在“來料加工合同” Contract for Business of Processing (on

47、e Party's) Material into Finished Products、“工程合同”Contract for Work等以“物”作為標的物的合同中，都可以訂立擔保條款。如在一份“安裝工程合同”(Contract for Installation Work)中，就應訂立“工程保證條款” (Warranty of work)，規定為： “乙方應在甲方驗收后保證工程質量良好_年”(Party B shall warrant the promised condition of the work withinyears after the date of receiving the

48、 work by Party A)。 (2)Guaranty of Right (權利擔保) 國際商務合同中的權利擔保與擔保法中的權利擔保(權利質押)的內容和性質是根本不同的。擔保法中的權利擔保(權利質押)是指出質人將票據、債券、存款、倉單、提單、股票、股份以及知識產權中的財產權向質權人出質，擔保債務人履行債務，當債務人不履行債務時，債權人有權依法處置上述權利；國際商務合同中的權利擔保主要指合同的一方當事人保證他所轉移的標的物的合法性、完整性及有效性，即提供標的物的一方必須對該標的物享有所有權(ownership)。權利擔保的內容合法的權利，包括標的物未設抵押以及標的物所使用的工業產權的合法性

49、等，還主要應用于國際技術轉讓合同中，即供方對其所提供的技術享有合法的權利的擔保。中華人民共和國合同法第349條規定：“技術轉讓合同的讓與人應當保證自己是所提供的技術的合法擁有者，并保證所提供的技術完整、無誤、有效，能夠達到約定的目標” (Under a technology transfer contract， the transferor shall guarantee that it is the lawful owner of the technology provided and that the technology provided is complete， without mis

50、takes and effective, and can reach the goal as stipulated in the contract)。因此，我國簽訂的有關技術引進方面的合同，都應依法約定權利保證條款。在實踐中，合同中已訂有權利保證條款，仍發生合同以外的第三方指控受讓方侵權，這時還應在合同中明確規定“如發生第三方指控侵權，由出讓方承擔全部責任”(If accusation of infringing the rights of third parties occurs。 the Licensor shall bear full responsibilities arising t

51、herefrom)。 【例8】乙方保證是本合同規定提供的一切專有技術和技術資料的合法所有者并有權向甲方轉讓，如果發生第三方指控侵權，由乙方負責與第三方交涉并承擔法律上和經濟上的全部責任。 Party B guarantees that Party B is the legitimate owner of all the exclusive know-how and technical information supplied to Party A according to the stipulations of the Contract, and that Party B is Lawfull

52、y in a position to transfer the know-how to Party A. If accusation of infringing the rights of third parties occurs. Party B shall be responsible for dealing with the third parties and bear the full legal and financial responsibilities arising therefrom 權利擔保在我國的技術引進合同中屬法定擔保。其與貨物買賣合同中的瑕疵擔保責任十分相似，目的是保

53、證受讓人對技術成果的擁有或者使用不因技術成果本身的情況或者權利方面的問題所阻礙。 (3)Guaranty of Performance (履約擔保) 履約擔保是指擔保人(合同的一方或第三方)和債權人(合同的另一方)約定，當債務人(合同的一方)不履行合同的債務或承擔合同責任時，由擔保人按照約定履行債務或承擔責任的行為。國際商務合同中設立擔保的法律意義在于：促進涉外合同的全面履行，保障債權的實現。 履約擔保通常指保證人(銀行)的承諾。如果被擔保人(債務人)不履行他與受益人(債權人)之問訂立的合同，由保證人在約定的金額限度內向受益人(Beneficiary)付款。為了安全地實現債權，各類涉外合同都可

54、以設立“履約擔保”。銀行出具的“履約擔保書”一般稱“保函”(Letter of Guarantee，簡稱LG)，它是保證合同雙方按合同規定履行各項義務的保證書，如任何一方不能履行合同規定的義務時，應由擔保銀行履行其義務。在實踐中，銀行通常只對簽訂的國際貨物買賣、國際工程承包及國際借款合同出具履約擔保函(Letter of Guarantee for Performance)。委托銀行出具保函，應在雙方簽訂的合同中約定明確的履約擔保的內容。例如：“中標者在收到中標函后于兩周內自費取得履約保證，辦理有信譽銀行的履約保證。其金額為合同價格的××，保證按時履行本合同。”(The s

55、uccessful tender shall， within two weeks of the issue of a Letter of Acceptance， at his own expense obtain in the form of a performance Bond， the guarantee of a reputed bank in a sum equivalent to XX percent of the contract price for the due performance of the contract) 由于合同中雙方當事人的權利與義務是對等的，一方的權利是另一

56、方的義務，同時，一方的義務又是另一方的權利。因此，合同各方為確保自己權利的實現，都可以要求另一方設立履約擔保”(銀行保函)。在銀行的保函中，應明確合同規定的各項義務和時間以及擔保銀行的保證條件等。下面是一例銀行 【例9】 保證函 日期：1998年8月8日 開函銀行                (全稱) 致            

57、;                (合同的一方) 根據ABC公司(以下簡稱甲方)和XYZ公司(以下簡稱乙方)于1998年7月29日所簽合同，貴公司有權按合同第_條和附件規定在_ (地點)制造_ (產品)。 作為這種權利的第一期付款，貴公司須按合同第_條規定向_支付凈金額_美元。 在“銀行”處署名的敝行，在此向貴公司保證若簽合同方(_公司)未能及時履行規定的義務，敝行將憑貴公司出具的書面通知，將上述款項即第一期付款的凈金額_美元償還給貴公司。 順致

58、敬意 銀行 行長簽字 Letter of Guarantee Issued by:                              Date: Aug. 8, 1998 To:          &#

59、160;                             (one party of a contract) According to the Contract between ABC Company (hereinafter called Party A) and XYZ Company (hereinaft

60、er called Party B) on the 29th of July, 1998, your company will be granted the right in_ (place) to manufacture_ (products) specified in Article _ and Appendix to the contract. As remuneration for the first phase of this right, your company shall pay to _ in accordance with Article _ to the Contract, a Net Sum of USD_. We, the und