第二章 国际商事合同结构.ppt

1、第二章 国际商事合同结构,Structure of a Typical International Commercial Contract,第一节 国际商事合同的首部,序言,（non-operative part of an international commercial contract） 五官: “人、事、时、地、物” 两方面的内容： 第一 合同当事人的基本信息，如合同当事人的名称（姓名）、国籍、住所； 第二 合同签订的基本信息，如合同签订的日期、地点、目的。,一 导入部分（Non-operative part）,1合同的封面 DATED MARCH 8，2011 X CO., LTD.

2、 AND Y CO., LTD LICENSE AGREEMENT,2合同标题（title of the contract） 页眉:合同的名称 页脚: 页码(第几页,共几页) 合同标题通常不写具体当事方 3 合同编号,目录contents,4 签约日期（the date of signing of the contract） 签字日（date of execution） “订立日”(“As of” date) 生效日(effective date) 在草拟合同时,通常日期先空出不写,等最后一版供双方签署的时候再写上。 约定合同生效日期早于签字日期：This AGREEMENT shall be

3、 effective retroactively to September 1，2010. 与倒签合同的区别 约定合同生效日期晚于签字日期：This AGREEMENT shall take effect on the date of , 2010.,注意美国英文的年月日表达与英国年月日 时间的表达方式： 2011年3月12日 12March11，12.03.2011, 12.03.11, 2011.03.12, 03.12.11, 120311建议使用月份的名称而不要使用数字.美语: 月/日/年 英语: 日/月/年注意中国台湾地区的年份表达 台湾地区使用的是民国年.民国元年为1912年. 今

4、年为民国103年.用年份2014-1911=103,5 签约地点（ the place of signing of the contract） 与合同适用法律的关系,6 合同当事方的名称（the corporate or personal names of the parties to the contract） 合同当事方的名称第一次在合同中出现一定要写全称，只有在后面重复出现时才能用简称，如甲方、乙方；买方、卖方；许可方、被许可方。 Hereinafter referred to as Party A or Party B；the Buyer or the Seller；the Licen

5、sor or Licensee）。,合同当事人是法人的，应写上主要机构所在地、法律上的名称、法人的种类和公司设立的准据法。 (核对营业执照,公司登记证) 在国际贸易中，当事人大多为股份有限公司，法律上规定股份有限公司在公司结尾之后，英国加上Limited或Ltd.，美国加上Corporation，Incorporation或Inc. 。,公司名称国别 有限责任公司 股份有限公司 英国 Ltd. PLC/plc 美国 LLC Corporation/Inc 德国 GmbH AG 意大利 S.R.I. S.P.A. 丹麦 APS A/S 荷兰 BV NV,特定使用: 1 Lines 轮船, 航空,

6、航运等公司 Atlantic Container Line 大西洋集装箱海运公司 Hawaiian Air Lines 夏威夷航空公司 2 Agency 代理公司 China Ocean Shipping Agency 中国外轮代理公司,Company 与corporation的区别 1 corporation规模大于Company,但也例外: Boeing Company ; Shell Oil Company 2 company在使用上比corporation广 3 在我国,翻译国有大企业使用corporation的居多. 一般企业翻译成company. 4 Inc. PLC LIC 谨慎

7、使用.,按照中国现行的法律规定,在中国注册成立的企业都只有中文名称,其英文名称是未经注册的非正式名称。 把中英文名称都写上 把营业执照注册号写上,7 合同当事人的地址 注册地址( 联系地址)Registered office注册地 （ paper company） British virgin Islands（英属维京群岛） Principal office主营业地 （离岸公司 offshore company）,美参议员状告上帝,美国内布拉斯加州参议员厄尼钱伯斯2007年9月一纸诉状将上帝告上法庭，他指控上帝给人类带来诸多灾难而且毫无悔意。 钱伯斯在诉状中列举了许多上帝所犯的“罪”，包括洪水

8、、飓风、龙卷风、地震、瘟疫、饥荒、种族灭绝战争和人们先天的残疾。诉状中还说，有着很多名称、无所不在的被告既没有展示出同情，也没有表现出自责，反而在灾难来临时幸灾乐祸。钱伯斯请求法庭下令永久性地禁止上帝给地球上的亿万居民带来“死亡、破坏和恐怖”。,道格拉斯郡地方法院的法官马伦波克日前作出判决，对钱伯斯状告上帝的诉讼请求予以驳回。波克法官说，根据内布拉斯加州法律，原告必须能“接触到”被告，同时相关文件能够传达给被告以使诉讼进行下去，但本案中作为被告的上帝没有法定地址。波克在判决文件中写道：“如果法庭发现被告根本无法完成诉讼过程，那么原告的起诉将被视为未经查证的错误判断而予以驳回。”,但是钱伯斯不认

9、同法官的判决理由。他说：“法庭承认上帝的存在，那么也就是承认上帝无所不知，既然上帝知道一切，那么上帝自然能接到诉讼通知。”钱伯斯还表示，因为上帝“无处不在”，所以被告也亲自出庭了。,二 说明条款,1 鉴于条款（whereas clause） Whereas本义是When in fact, considering that, that being the case. 记载内容属于既定事实 “意思表示禁反语”（estoppel by representation） 背景条款（background）: 说明过去的情况,例句： “鉴于许可方拥有 专有技术的所有权，有权设计、生产、安装以及进行销售； W

10、hereas the Licensor has the right and desires to transfer the above-signed know-how to the Licensee;鉴于许可方有权且愿意将以上专有技术转让给受让方；Whereas the Licensor possesses know-how for the designing, manufacturing, installing and marketing of ;,鉴于受让方愿意使用许可方的专有技术进行设计、生产、销售以及出口 Whereas the Licensee desires to design,

11、manufacture, sell and export by using Licensors know-how.因此，根据以上情况及双方的意愿，经受让方与许可方协商，达成如下合同条款 Therefore, in consideration of the premises and the mutual conveniences, through consultation, agree to enter into this contract under the terms and conditions set forth as follows:”,中国式的鉴于条款,双方本着平等互利的原则，经友好

12、协商，同意按照相关法律以及本合同的条款After friendly consultations conducted in accordance with the principles of equality and mutual benefit, the Parties have agreed to ( describe subject matter of contract) in accordance with application laws and the provisions of this Contract.,2 缘由recitals recitals = whereas claus

13、e + consideration This Contract is signed in （place）on （day，month，year），by and between on one hand and on the other hand。（本合同由 为一方和 为另一方于 （时间）在 （地点）签订）。,This contract is made in duplicate in ， ，between ， a corporation corporated under the laws of and having its Head Office and a place of business in

14、 ， party of the first part and ， a corporation having its Head Office and a place of business in ， party of the second part witnesses that：In consideration of ， it is agreed by and between and as follows：（本合同由 按 法律建立，并由在 设有总部和营业地的 为甲方与在 设有总部和营业地 为乙方在 签订，一式两份，兹协定如下：考虑到 ， 与 同意以下条款：,只要有the parties agre

15、e as follows 或we agree 就符合英美法的对价要求，不一定要明确写上consideration.,NOW THESE PRESENTS WITNESS that it is hereby agreed between the parties hereto as follows 兹特立约为据，并由订约双方协议如下,KNOW ALL MEN by these presents that 有人翻译为: “地球人皆知” 相当于说: “by posting this properly in a public place in accordance with the law it is

16、safe for me to assume that everyone in the whole world know the following“ 根据本文件，特此宣布,KNOW ALL MEN BY THESE PRESENTS: This AGREEMENT, entered into by and among the following and hereunder listed, namely:,我国合同法第94条：有下列情况之一的，当事人可以解除合同：（2）当事人一方迟延履行债务或者有其他违约行为致使不能实现合同目的； “包括鉴于条款中的不实陈述”,第二节 国际商事合同的正文,ope

17、rative part of an international commercial contract Habendum 国际商事合同的正文是记载合同当事人各方具体权利、义务的地方 它是由条款（clause）组成的。条款是合同的最小单位。英文合同使用的单位可能有“article”、“section”、“paragraph”，甚至还可以分“sub-section”、“sub-paragraph”。,合同条款排列,章（chapter）A，B，C 节/条（article/section/clause）：1，2，3 段/款： （paragraph/subsection/subclause） （1），（

18、2），（3）使用款时，其以下内容必须构成一段文章 项： （subparagraph） （a），（b），（c） 目/号： （I），（ii），（iii）号是自身不能构成一段文章的句子。Section 10.5 = 第10条第5款 Section 1.2.6.10(A)(a) 直接翻译为第1.2.6.10(A)(a) 条 一般不用两个小数点以上的序号：1.1.1.2,条款安排要有逻辑性： 重要到次要 全面到具体 常设到临时 当前到将来,Headings,关于合同条款使用的标题的法律效力： 合同条款使用的标题名称仅为阅读方便而设的，其本身不是合同协议的一部分。不影响其临近条款或该条款规定的解释。 Th

19、e headings of the various sections and subsections hereof are for convenience of reference only, do not constitute a part hereof and shall not affect the nearing or construction of any provision hereof.,一 规定合同必须履行的债务内容的条款 1 各种合同共通的条款定义条款（ definition clauses） 该条款是对国际商事合同中重复出现的有特殊意义的名词、概念，做专门的解释，避免在理解

20、上发生争议。如写：“本合同中下列词语的含义为”（For the purpose of this Contract， the following terms have the following meanings）。,“除从上下文理解明显带有其它意思之外，在本合同中以下概念的意思如下：”（In this Agreement the following terms have the following meaning unless the context clearly requires otherwise：）。,定义条款要注意的问题： 1 不要把具体权利义务作为定义加以规定，因为定义条款的目的是

21、解释术语的含义，而不是操作性的合同条款。 2 要避免循环定义，即在两个术语的定义中相互援引。 Third Party means a party other than a Party to this Contract. 3 如果一个词语的通常含义就足以表达其意思，就没有必要在合同中进行定义。 Calendar Day means any day on the Gregorian calendar.,一般五个以上定义词，才会安排专门定义部分条款。,Agreement AGREEMENT The Agreement 本合同中文没有大小写, 可以用黑体、斜体或引号表示。,如“关联企业”？ 持股50%

22、? 25%? PRC Means the Peoples Republic of China( for the purpose of this Agreement, not including the Hong Kong, Macau Special Administrative Regions and Taiwan).排列:以下简称( hereinafter referred to as ),注意缩写,合伙律师问：什么是PM？ 复旦实习生：？ （处于羞愧神情中） 合伙律师答：Project Manager 合伙律师问：什么是PMA？ 实习生：？ （处于尴尬神情中） 合伙律师答：Project

23、 Manager Assistant 实习生反问：什么是PMP？ 合伙律师：？ 实习生：Pai拍 Ma马 Pi 屁 （处于得意神情中）,合同期间条款（duration）,合同期间指合同生效期及终止期，这是合同必须明确的内容。如果没有特别表示，生效期一般根据合同整体的解释，推测当事人的意思而确定，通常指最后一方当事人在合同书上签名的日子，如果这个日子不明确，则以合同的制作日期为准。如果合同要在一定条件下才能生效，一定要写明。合同到期会自动失效，如需更新，一定要明确写明更新手续及延长期限。,“本合同从中国政府批准之日起生效，合同期限为5年” 。 （This Agreement comes into

24、 force on the date on which it approved by the Chinese Government and continues for five years.） “在合同期届满前6个月，甲方可向乙方发出书面通知，将本合同再续期3年” 。 （On the expiry of the period X may continue this Agreement for further three years by six month prior written notice to Y）,合同有期限,便于合同管理. 如保密协议 合同终止前产生的义务和责任并不因此而终止.

25、合同终止,但保密义务仍然继续(三年),通知条款,在一定情况下，合同一方在一定行为发生之前有义务向另一方发出通知。该条款要写明：收件人地址：如果通知的收件人地址与当事人的住址不一致，一般选择最适合当事人收到通知的地点。 通知的方法：一般是航空信件或挂号航空信件。 通知的生效时间：要明确是在通知发出时，还是在通知收到时。,例句： Any notice，request， consent， offer or demand required or permitted to be given in this Agreement，must be in writing and must be sufficie

26、ntly given if delivered in person or sent by registered airmail or by fax or telex confirmed by registered airmailed letter. Notice is deemed to have been given on the date of mailing except the notice of change of address which is deemed to have been given when received.,终止条款（termination clause）,所有

27、有期限的合同都应该有个终止条款。该条款可以规定一个期限或日期为合同自动终止。该条款也应规定单方面提前终止的情况。 “ This contract is valid until December 31,2012 and will be automatically renewed for another year provided that there has been no earlier written termination of the contract by either party.,我国合同法第91条：“有下列情形之一的，合同的权利义务终止” （In any of the follo

28、wing situations, the rights and obligations under a contract shall be terminated）,(一) 债务已经按照约定履行；（liabilities have all been met as contracted） (二) 合同解除；(the contract is dissolved) (三) 债务相互抵消；( liabilities are offset against each other) (四) 债务人依法将标的物提存；(the debtor has deposited the targeted matter ac

29、cording to law) (五) 债权人免除债务；( the creditor grants exemption from liabilities) (六) 债权债务同归于一人；( both creditors rights and liabilities are undertaken by one same person) (七) 法律规定或者当事人约定终止的其他情形。( other situations as provided for by law or stipulated by the parties),转让债权/接受债务条款( assignment),1 转让合同的权利一般规定

30、,只要对债务人没有不利影响,债权人可把权利转让给第三方。如果要禁止这种转让，应在合同中写明。 我国合同法第79条：债权人可以将合同的权利全部或者部分转让给第三人，但有下列情形之一的除外： （一） 根据合同性质不得转让； （二） 按照当事人约定不得转让； （三） 依照法律规定不得转让。,2 接受合同的义务法律一般规定，没有债权人的同意不许接受合同的义务。但债务人可以把合同中应履行的义务委托给第三方。如果要禁止这种委托关系，须在合同中约定（如翻译合同）。 我国合同法第84条：债务人将合同的义务全部或者部分转移给第三人的，应当经债权人同意。 例句：Neither Party shall, witho

31、ut the prior written consent of the other Party, assign any of its rights or delegate any of its duties under this Contract to any third party.,二 履行合同过程中出现问题时的处理条款,解除合同的条款对于违约行为，只要满足一定的必要条件，不管合同中有无约定，当事人一方都可以行使合同解除权，没有必要在合同中写明。但问题是满足什么条件适用合同解除权。 我国合同法第94条：,Seller may terminate this Agreement forthwi

32、th by notice in writing upon the occurrence of any of the following: (a) if Buyer fails to obtain the approval of the appropriate Government Department to make any payment provided for by this Agreement to Seller. (b) If any payment due under this Agreement is in arrears for sixty(60) days after for

33、mal demand. (经过催告60日以后，买方没有支付合同规定的款项。),(c) If Buyer fails or becomes unable to observe or perform any of its obligations under this Agreement and such default or inability is not cured within sixty(60) days of notice of the same by Seller. (d) If Buyer has a receiver（收益管理人） appointed over all or any

34、 part of its assets, or if any order is made or resolution passed for the winding up of Buyer unless such order or resolution is for the purpose of reconstruction or amalgamation.,Termination of this Agreement is without prejudice to（不影响） any claim for any antecedent breach and to the right of Selle

35、r to recover compensation on all sums payable under this Agreement.,修改/变更合同的条款( amendments ),This Agreement is not changed, modified or amended by the parties of this Agreement provided that such change, modification or amendment is in writing and signed by both parties.,三 合同出现变更时的处理条款,FM条款？ 不可抗力条款（

36、force majeure clause） Force Majeure= superior force：extraordinary events independent of the partiess will that cannot be foreseen or averted by them due diligence，being beyond their control and preventing the contracting party from fulfilling the obligation undertaken in the contract。,1 应明确约定不可抗力的范围

37、和种类 确定不可抗力的范围有三种方式，即概括式，列举式，和综合式。 Fire, flood, strikes, labor troubles(劳动争议) or other industrial disturbances(劳资关系的纠纷), inevitable accidents, war(declared or undeclared), embargoes, blockades legal restrictions, riots(骚扰), insurrections(内乱), or any other causes beyond the control of the parties 2 应约

38、定不可抗力事件发生后，责任方通知对方的方式、时限以及出具不可抗力事件证明文件的方式等。 3 确定不可抗力事件所引起的法律后果。,ICC FORCE MAJEURE CLAUSE 2003,1 Unless otherwise agreed in the contract between the parties expressly or impliedly, where a party to a contract fails to perform one or more of its contractual duties, the consequences set out in paragrap

39、hs 4 to 9 of this Clause will follow if and to the extent that that party proves: that its failure to perform was caused by an impediment beyond its reasonable control; and that it could not reasonably have been expected to have taken the occurrence of the impediment into account at the time of the

40、conclusion of the contract; and that it could not reasonably have avoided or overcome the effects of the impediment.,2 Where a contracting party fails to perform one or more of its contractual duties because of default by a third party whom it has engaged to perform the whole or part of the contract

41、, the consequences set out in paragraphs 4 to 9 of this Clause will only apply to the contracting party: if and to the extent that the contracting party establishes the requirements set out in paragraph 1 of this Clause; and if and to the extent that the contracting party proves that the same requir

42、ements apply to the third party.,3 In the absence of proof to the contrary and unless otherwise agreed in the contract between the parties expressly or impliedly, a party invoking this Clause shall be presumed to have established the conditions described in paragraph 1 a and b of this Clause in case

43、 of the occurrence of one or more of the following impediments:,1war (whether declared or not), armed conflict or the serious threat of same (including but not limited to hostile attack, blockade; military embargo), hostilities, invasion, act of a foreign enemy, extensive military mobilisation; 2civ

44、il war, riot rebellion and revolution, military or usurped power, insurrection, civil commotion or disorder, mob violence, act of civil disobedience; 3act of terrorism, sabotage or piracy; 4act of authority whether lawful or unlawful, compliance with any law or governmental order, rule, regulation o

45、r direction, curfew restriction, expropriation, compulsory acquisition, seizure of works, requisition, nationalisation; 5act of God, plague, epidemic, natural disaster such as but not limited to violent storm, cyclone, typhoon, hurricane, tornado, blizzard, earthquake, volcanic activity, landslide,

46、tidal wave, tsunami, flood, damage or destruction by lightning, drought; 6explosion, fire, destruction of machines, equipment, factories and of any kind of installation, prolonged break-down of transport, telecommunication or electric current; 7general labour disturbance such as but not limited to b

47、oycott, strike and lock-out, go-slow, occupation of factories and premises.,4 A party successfully invoking this Clause is, subject to paragraph 6 below, relieved from its duty to perform its obligations under the contract from the time at which the impediment causes the failure to perform if notice

48、 thereof is given without delay or, if notice thereof is not given without delay, from the time at which notice thereof reaches the other party. 5 A party successfully invoking this Clause is, subject to paragraph 6 below, relieved from any liability in damages or any other contractual remedy for br

49、each of contract from the time indicated in paragraph 4.,6 Where the effect of the impediment or event invoked is temporary, the consequences set out under paragraphs 4 and 5 above shall apply only insofar, to the extent that and as long as the impediment or the listed event invoked impedes performa

50、nce by the party invoking this Clause of its contractual duties. Where this paragraph applies, the party invoking this Clause is under an obligation to notify the other party as soon as the impediment or listed event ceases to impede performance of its contractual duties. 7 A party invoking this Clause is under an obligation to take all reasonable means to limit the effect of the impediment or event invoked upon performance of its contractual duties.,