International Business Law

International Business Law
国际商法 International Business Law

Introduction of International Business Law
国际商法概述 Introduction of International Business Law

本章要点 1、国际商法的概念 2、国际商法的渊源 3、两大法系及其民商法的特点 4、中国民商法的主要特点

KEY TERMS 1. International business law 2. Civil Law 3. Common Law
4. Precedent 5.CISG (United Nations Convention on Contracts for the International Sales of Goods) 6. Trade custom and usage

第一节商法概念的导入一、商法的定义 1、什么是商（1）词义学上的解释（2）经济学上的解释（3）文化意义上的商（4）法学上的商
① 内涵 ② 外延 2、商法的定义商法是调整市场经济中商事主体在商业活动中所形成的商事关系的法律规范的总称。

二、商事关系的特征 1、商事关系是人与人之间的社会关系。 2、商事关系是在商事交易中产生的。 3、商事关系是一种财产关系。三、商行为商行为是商事主体在商业活动中的法律行为。四、现代商法的发展趋势 1、单行化 2、公法化 3、国际化

第二节国际商法的概念一、Definition of International Business Law 1.国际商法的概念
国际商法是调整国际商事关系的法律规范的总称。由于国际商法调整的国际商事关系既包括国际商事交易关系，又包括国际商事组织关系，所以，它通常又被认为是调整国际商事交易和国际商事组织的法律规范的总称。 It refers to the body of legal rules and norms that regulates international commercial trade and international business organizations.

2、对国际性的理解 The Meaning of “international” 在国际商事法律关系的主体、客体和内容三要素中，至少有一个方面是跨越国界的。 A commercial transaction is international if: (1)the parties have their places of business in different States or Countries; (2)the parties have their nationalities from different countries; (3)the commercial activities are performed in a State or District outside the Country or Countries of one or more parties; (4)the object of the commercial relationship is located in a State or District outside the Country or Countries of one or more parties.

3、对商事的理解 The Meaning of “Commercial” 有关国际组织或国家大多采取广义的解释。 The term “commercial” should be given a wide interpretation so as to cover matters arising from all relationships of a commercial nature, whether contractual or not. Relationships of a commercial nature include, but are not limited to, the following transactions: any trade transaction for the supply or exchange of goods or services; distribution agreement; commercial representation or agency; factoring; leasing; construction of works; consulting; engineering; licensing; investment; financing; banking; insurance; exploitation agreement or concession; joint venture and other forms of industrial and business co-operation; carriage of goods or passengers by air, sea, rail or road.

第三节国际商法的渊源 Sources of International Business Law 国际商法的渊源国际商法的渊源是指国际商法产生的依据及其表现形式，主要有三个方面：国际商事条约、国际商事惯例和各国商事立法。 The basic sources of international business law include international conventions and treaties, international customs and usages, and international business laws.

一、国际商事条约（International Treaties and Conventions)
国际商事条约是指作为国际商事主体的国家和国际组织缔结的有关国际商业额贸易的条约或公约，它是国际商法的主要渊源。条约对缔约方有约束力，根据“约定必须遵守”的国际法原则，缔约国家必须遵守条约。Agreement must be kept 国际商法具有私法性，明显提现当事人“意思自治”原则。在某些情况下，有的国际条约只有在当事人之间的法律行为中予以采用时，才适用于当事人之间的法律关系。 Under some circumstances, only when the parties of an international business transaction have willingly chosen a treaty, the treaty is binding upon the legal relationship between them.

国际商法上的主要国际条约 1、调整代理的国际公约 2、调整国际货物买卖关系的条约 3、调整国际货物运输的国际条约 4、调整国际票据关系的国际公约 5、调整产品责任的国际公约 6、保护知识产权的公约 7、国际商事仲裁的公约

二、International Trade Custom and Usage
1、国际商事惯例的概念 International trade custom and usage means the general rules and practices in international trade activities that have become generally adopted through unvarying habit and common use. 国际商事惯例是指具有相对确定的内容、对当事人不具有当然约束力但在一定领域内为大家所普遍遵循的商事性规范。

2、国际商事惯例应具备的条件： a. 具有确定的商事内容，即具体包括了确定参加国际商事活动的当事人权利和义务的规则； b. 已成为国际商事活动中反复使用的习惯； c. 是各国普遍承认具有拘束力的通例。

3、国际商事惯例的效力（Effectiveness)
As rules and principles developed gradually from the international business practices in the long-turn, international trade customs are, by nature, not law: neither international treaties or conventions, nor national legislations. An international trade custom does not have any legal binding effect until the parties of an international business transaction choose it to apply to their contract, and the court and arbitration institution may decide or enforce accordingly.

4、国际商法相关的主要国际商事惯例 a. Warsaw-Oxford Rules 1932 b. Revised American Foreign Trade Definitions 1941 c. INCOTERMS 2000 d. UCP600

三、Domestic Business Law
各国的商事立法 The national sources of international business law are business laws found within the legal systems of different countries. 一方面，国际条约、国际惯例的适用、效力皆来自于国内立法的规定；另一方面，国内法也直接调整国际贸易或商事关系。再者，当事人从事跨国经贸和商事活动，也可能选择某国的国内法作为准则，此时该商事关系的内容、当事人之间的权利义务等就由该国内法进行调整。

一、英美法系（Common-Law System）
第四节两大法系的特点一、英美法系（Common-Law System） Common law refers to law and the corresponding legal system developed through decisions of courts and similar tribunals, rather than through legislative statutes or executive action. 其形成于英国，主要代表是英国和美国，其他国家和地区还有加拿大、澳大利亚、马来西亚、爱尔兰、新加坡、巴基斯坦、我国香港地区等等。

Common Law developed from the rules and principles that judges traditionally followed in deciding court cases. Judges based their decisions on earlier court rulings in similar cases. But judges could expand precedents to make them suit particular cases. Judges could also reject any precedents that they considered to be in error or outdated. Common law countries have kept the basic feature of the English legal system, which is the power of judges to make laws.

二、大陆法系（Civil-Law System)
Civil law is often compared with common law. The main difference is that common law draws abstract rules from specific cases, whereas civil law starts with abstract rules, which judges must then apply to the various cases before them.

大陆法系渊源于罗马，形成于西欧，主要代表是法国和德国，其他国家和地区还有瑞士、意大利、比利时、卢森堡、西班牙、葡萄牙、荷兰、日本、整个拉丁美洲、非洲近东一些国家、美国路易斯安那州、加拿大魁北克省等。
我国也属大陆法系国家。

1. Different Ways of Reasoning and Determining the Binding Legal Rules
三、两大法系的比较 1. Different Ways of Reasoning and Determining the Binding Legal Rules In civil law, the main principles and rules are contained in codes and statutes. Civil law is based on the theory of separation of powers, whereby the role of legislator is to legislate, while the courts should apply the law. Lawyers tend to be more conceptual. In common law, the law has been dominantly created by judicial decisions, while a conceptual structure is often lacking. And the courts are given the main task in creating the law. Lawyers are considered to be more pragmatic.

2、Different Roles of Case Law and Precedent One of the main differences is the binding force of precedents. The courts apply and interprete legal norms. The case law does not have binding force. The courts decisions are not binding on lower courts in subsequent cases, and it is not uncommon for courts to reach opposite conclusions in similar cases. The courts do not creat the law, but only apply and interpret it. The courts are supposed not only to decide disputes between particular parties but also to provide guidance as to how similar disputes should be settled in the future. The interpretation of a legislation given by a court in specific case is binding on lower courts. The courts decisions will make the basis for interpretation of legislation.

Civil Law 3. General Characteristics of the Two Major Legal System
Content Civil Law Common Law Theoretical basis Positive law Natural law Status of law Independent of government Superior to government Legal rules Based on general principles Based on specific circumstances Scope Private law Private law, Public law Basic source Codes Case law Most influenced by Legislators Judges Reasoning Deductive Inductive Procedural Inquisitorial Adversarial Fact finder Judge Jury Use of case law as precedents Respected Required Constitutional review by Special agency or category of courts Regular courts(no written constitution in England) Review ofgovernment agencies Regular courts

四、国际商事交易中的法律风险 Legal Risk of International Business Transactions 1、Legal risk is risk from uncertainty due to legal actions or uncertainty in the applicability or interpretation of contracts, laws or regulations. 2、Four categories of international business risks: Cultural and language Currency Legal and political Analyzed transaction risks

国际代理法 Law of Agency

本章要点代理与国际商事代理的概念代理权的产生、无权代理、代理权的终止代理法律关系代理法律关系当事人的义务承担特别责任的代理人
我国代理法与外贸代理制

Key Terms Agency Agent Principal Fiduciary duty Independent contract
Agency law

第一节代理法概述一、代理的概念 1、代理的概念
代理，是指一方（代理人，又称受托人）按照另一方（被代理人，又称委托人或本人）的授权或法律的规定，代表被代表人同第三人订立合同或为其他的法律行为，由此而产生的权利与义务直接对被代理人发生效力。 Agency is “a fiduciary relationship by express or implied contract or by law, in which one party(the agent)may act on behalf of another party(the principal)and bind that other party by words and actions. The basic theory of the agency device is to enable a person, through the services of another, to broaden the scope of his activities and to receive the products of another’s efforts, paying such other for what he does but retaining for himself any net benefit resulting from the work performed.

大陆法系的代理制度建立在区别论的基础上（the theory of separation）：即把委任与授权严格区分开来。委任是代理人与被代理人之间的内部关系。授权则是代理人代表被代理人与第三人签订合同的权力，是代理人与被代理人和第三人之间的外部关系。授权外部大陆法系的代理制度的基础英美法系的代理制度是建立在等同论的基础上（the theory of identity），这个理论可以简单地概括为：通过他人去做的行为是同被代理人亲自所为的行为。 PK 被代理人代理人第三人被代理人代理人委任内部代理人与被代理人第三人

2、国际商事代理的概念国际商事代理，是指代理人为取得佣金，依被代理人的授权，为被代理人的利益与第三人为商行为，由此在具有国际因素的被代理人、代理人及第三人之间产生权利义务关系的法律制度。国际商事代理的法律基础一般是委托合同，代理人根据委托合同的授权，取得代理权。

3、Nature of Agency and Agency Law
(1) An agency is a relationship between two persons. Either can be natural human beings, artificial entities, or a combination of natural and artificial persons. An agency is defined as a fiduciary relationship. (2) Agency law is an area of commercial law dealing with a contractual or quasicontractual tripartite set of relationships when one person is authorized to act on behalf of another to create a legal relationship with a Third Party.

二、代理权的产生（Creation of Agency）
（一）大陆法系的规定代理权产生的原因意定代理 Voluntary 法定代理 Statutory

是指代理人根据被代理人的授权而产生的代理。基于被代理人的意思表示而产生。是代理关系中最常见且数量最多的一种代理关系。
1、意定代理（Voluntary）是指代理人根据被代理人的授权而产生的代理。基于被代理人的意思表示而产生。是代理关系中最常见且数量最多的一种代理关系。 2、法定代理（Statutory）是指被代理人于法律上或事实上不能为法律行为时，按照法律直接规定由他人代为进行法律行为的代理。根据法律规定享有根据法律的选任取得因私人的选任取得法定代理权产生的原因

（二）英美法系的规定英美法系上的代理主要是契约代理，也称委托代理。一般代理人与被代理人之间的代理关系可以通过协议产生，但在某些情况下，即使被代理人事实上并未授权给代理人，被代理人也受其代理人行为的约束，另外，代理关系还可以因时候追认而产生。实际授权（Agency by authority) 表见授权 (Apparent agency) 职业或惯常授权 (Agency by occupation) 必要的授权 (Agency by necessity) 追认授权 (Agency by ratification)

1、实际授权是指被代理人和代理人之间通过协议或合同，在实际上给予代理人的代理权。它包括明示授权和默示授权。（1）明示授权（ express authority）是指被代理人和代理人之间以明确的意思表示达成建立代理关系的协议，代理人通过被代理人的明示指定或委任而实际享有的代理权。这是英美法系上产生代理权最基本的途径。 The agency relationship is always consensual. It usually is created by contract ,oral or written.

（2）默示授权（implied authority) 根据英美等国的判例法规则，代理人在明示授权外，还享有一定程度的默示授权，主要包括：
由默示而存在的授权从当事人在某一特定场合的行为或从当事人之间的某种关系中，可以推定当事人之间存在真实有效的代理关系。附带授权由于被代理人的明示委任并不一定能详尽地说明代理人在实际行动中所应具有的一切权力，因此受委托从事某种特殊任务的代理人，可以享有合理地附属于其履行明示代理权所必不可少的默示行为的权力。习惯授权在代理人被授权为被代理人在某一特殊市场进行活动情况下，他享有按该市场的先关习惯进行活动的默示代理权，无论被代理人是否知晓该习惯，被代理人均受其约束。

2、表见授权（Apparent agency）
又称不容否认的代理权，是指被代理人虽没有对代理人加以明示委托，但如果他处于故意或疏忽，通过其言行使第三人有理由相信某人是其代理人而采取行动时，则他便不能否认其言行，而必须视为已向该代理人授权，并不得否认该代理人为其设定的与第三人的权利和义务关系。 Apparent agency is conduct by one person that causes another person, reasonably relying on this conduct, to act to his or her detriment or to change his or her position. An agent cannot give himself apparent authority; instead, he acquires apparent authority from his/her principal if the principal, by his/her conduct, leads another to reasonably believe that the agent is in fact authorized to act on the principal’s behalf.

是指以某种代理行为为职业的人，其所享有的代理权可以扩大到这类代理人的职业通常所享有的权利范围。
3、职业或惯常授权是指以某种代理行为为职业的人，其所享有的代理权可以扩大到这类代理人的职业通常所享有的权利范围。 4、必要的授权（agency by necessity) 又称客观必要的代理权，是指在特定紧急情况下，某人依法律推定取得一种代理别人进行活动的代理权，他所实施的处分行为的结果及于被代理人。事由实际、确定、必需事由发生时，无法联系行为出于善意产生的四必要条件合理而谨慎的行为

5、追认授权（Agency by ratification)
是指代理人未经被代理人明示或默示授权或超越代理权，而以被代理人的名义实施代理行为，被代理人事后对此予以追认或不明示否认，代理人由此获得了追认的代理权。 There is no ratification unless the party that supposedly ratified: (1) was in existence when the “agent” acted; (2) had full knowledge of all material facts before it ratified; (3) ratified the entire act of a would-be agent, not simply the favorable parts.

三、无权代理（Unauthorized Agency）
无权代理是指欠缺代理权的人所作的代理行为。无权代理的产生有四种情形： without implied authority condition; invalid authority； beyond the scope of the authority； After the termination of agency

1、大陆法系的规定无权代理的问题，大陆法系各国大都在民法典中加以规定。无权代理人的责任，大陆法系各国法律的规定不完全相同。
无权代理人对第三人是否承担责任，大陆法系各国的法律规定一致：取决于第三人是否知道该代理人有没有代理权。如果第三人不知道该代理人没有代理权而与之订立了合同，无权代理人就要对第三人承担责任；反之，不承担责任。 2、英美法系的规定在英美法系中称为违反有代理权的默示担保（breach of implied warranty of authority）当代理人同第三人订立合同时，代理人对第三人有一项默示的担保，即保证他有代理权。因此，如果某人冒充是别人的代理人，但实际上并没有得到被代理人的授权，或者是越出了他的授权范围行事，则与其订立合同的第三人就可以以其违反有代理权的默示担保对他提起诉讼，该冒牌的代理人或越权的代理人就需要对第三人承担责任。

四、代理权的终止（Termination of Agency）
大陆法系英美法系法定代理 a.被代理人取得或恢复民事行为能力。 b.被代理人死亡、破产或丧失行为能力 c.代理人死亡、破产或丧失行为能力 d.其他原因委托代理 a.因被代理人或代理人的行为而终止。 b.因被代理人或代理人死亡或丧失行为能力而终止。 c.因条件或期限届满而终止。表见代理 a.被代理人以意思表示通知了第三人 b.被代理人以特别通知或公告通知第三人 c.代理人将被代理人给他的委托代理书展示给第三人基于法律程序 a.被代理人死亡 b.被代理人破产 c.被代理人精神失常 d.被代理人成为本国的敌对国公民基于当事人的行为两种特殊限制：对表见代理权的撤销 b. 对附条件代理权的撤销

第二节代理法律关系 Legal Relations in Agency
Agency law is mainly concerned with three types of relationships: Principal-agent Principal-the third party Agent-the third party 一、被代理人与代理人之间的法律关系（principal-agent) Principal-agent relationship is the arrangement that exists when one person or entity acts on behalf of another. In general, a contract is used to specify the terms of a principal-agent relationship. 二、代理人与第三人之间的法律关系（agent-3rd party relationship) The agent will be liable to the third party only when he or she acts without authority from the principal or beyond the limits of authority or in case of apparent authority.

三、被代理人与第三人之间的法律关系（Principal-3rd party relationship)
（一）大陆法系的规定 Under civil law, the relationship between principal and third party is divided into two kinds: direct agency and indirect agency. The principal owes quite different liabilities to the third party under the two kinds of agency. 1、直接代理 direct agency 即代理人在代理权限内以代理人的身份，与第三人订立合同的行为。 Agents contract with a third party in principal’s name within their authority and the contract directly binds on the principal and the third party. The parties to the contract are the principal and the third party. 2、间接代理 indirect agency 即代理人以自己的名义，但是为了被代理人的利益与第三人签订合同，日后再将其权利与义务通过另外一个合同让与被代理人的行为。 The agent contracts with the third party in his own name within his authority. The contract will not bind the principal unless the contractual rights and obligations are assigned and delegated to the principal. The parties to the contract are the agent and the third party.

（二）英美法系的规定 Under Common Law, the relationship between principal and the third party is divided into three kinds: agency for a named principal, agency for an unnamed principal and agency undisclosed. 1、显名代理 Agency for a named principal 是指代理人在订约时不但表明了自己的代理身份，而且还表明了被代理人的身份或姓名、商号。在这种情况下，所订立的合同就是被代理人与第三人之间的合同，被代理人应对合同负责，代理人不承担个人责任。 The agent acts on behalf of a principal and within the scope of its authority and the third party knows or should know that the agent is acting as an agent. In such agency, the acts of an agent directly affects the legal position of the principal to the third party. Thus a contract made by the agent directly binds the principal and the third party to each other. 2、隐名代理 Agency for an unnamed principal 即代理人在订约时只披露代理关系的存在，没有披露被代理人的姓名、商号。在这种情况下所订立的合同，仍被认为是第三人与被代理人之间的合同，应由被代理人对合同负责，代理人不承担个人责任。 The agent acts on behalf of a principal but not tell the third party the name of the principal. The contract will still bind the principal and the third party.

3、未披露被代理人身份的代理（Agency undisclosed)
即代理人在订约时根本不披露有代理关系的存在，既不表明自己的代理身份，也不标明被代理人的存在。在这种情况下，即使代理人得到了被代理人的授权，代理人原则上也要对第三人承担履行合同的责任。 Where an agent acts within his scope of its authority and the third party neither knew or should not have known that the agent was acting as agent, the acts of the agent shall only affect the relations between the agent and the third party, and do not directly bind the principal and the third party. Under an undisclosed agency, the principal has the right to intervene（介入权），claiming to assume liability directly to the third party. The third party has the right to the elect（选择权），choosing to bring an action directly against the principal.

第三节代理法律关系当事人的义务 Duties of the Parties in an Agency
一、代理人的义务 1. Duty of personal performance 亲自履行 Sub-agent(转委托） can be accepted unless: A. allowed by trade custom B. by necessity C. neither the agent or the principal can solve a certain problem. 2、Duty to obey instructions 按被代理人意志或利益履行 3、Duty of care 注意义务 4、Duty of loyalty 忠实义务 A. notify all information that is useful to the principal B. avoid conflict of interest C. avoid self-dealing 5、Duty to protect confidential information 严守商业秘密 6、Duty to account 汇报并结清账目

二、被代理人的义务 1、Duty to compensate 支付佣金 2、Duty to performance the contract 履行代理合同 3、Duty to reimburse and indemnify 弥补代理人因履行代理义务而产生的费用及损失 4、Duty to keep accounts 保留并允许代理人核查账册三、第三人的义务 In principle, once the contract is concluded, the principal and the third person undertakes the respective obligations according to the contract, the third party does not take personal responsibility for the agent.

第四节承担特别责任的代理人 Agent under Special Liabilities
一、对被代理人承担特别责任的代理人（ Credit Guarantee Agent）信用担保代理人的责任是：在他所介绍的买方（即第三人）不付货款时，由他赔偿被代理人因此遭受的损失。我介绍的，你放心。他不给钱，我赔你。万一买家不给钱咋办？自信侧漏的代理人不熟悉的第三人（买方）忧心忡忡的本人

二、对第三人承担特别责任的代理人 1、保付代理人（confirming agent）代理国外的买方（被代理人）向本国的卖方（第三人）订货，并在订单上加上保付代理人的保证，担保被代理人将履行合同，如果国外的被代理人不履行合同或拒绝支付货款，将由保付代理人向本国的买方（第三人）支付货款。 2、保兑银行（confirming bank）对L/C 进行保兑的银行 3、运输代理人（forwarding agent） a person, agency, or enterprise engaged in the collection, shipment, and delivery of goods 客户（被代理人），运输公司（第三人） 4、保险代理人（insurance agent）

第五节我国代理法与外贸代理制 Agency Law of China
一、我国的代理法律制度 General Principles of the Civil Law of China Article 63——Article 70 从法理上讲，这种代理制度是属于直接代理，其特点是代理人必须以被代理人的名义行事，从而才能使代理行为所产生的效力直接归属于被代理人。

二、我国外贸代理制 Contract Law of China Article402，403 Article 402 Agent's Act Binding on Principal; Exceptions Where the agent, acting within the scope of authority granted by the principal, entered into a contract in its own name with a third person who was aware of the agency relationship between the principal and agent, the contract is directly binding upon the principal and such third person, except where there is conclusive evidence establishing that the contract is only binding upon the agent and such third person. 然而，在实践中，外贸公司都是以自身的名义作为卖方或者买方，同外商签订进出口合同，而不是以被代理人的名义（国内供货或用货部门）订立进出口合同。这样一来，外贸公司在这种进出口合同中所处的地位就不是处于代理人的地位，而是处于合同当事人的地位（卖方或者买方），结果外贸公司就必须对这种进出口合同承担法律责任。对外贸公司来说，这种责任有时可能是很重的，与其所收取的佣金是不相称的。

Article 403 Agent's Non-performance toward Principal Due to Act of Third Person; Non-performance toward Third Person Due to Act of Principal Where the agent entered into a contract in its own name with a third person who was not aware of the agency relationship between the agent and the principal, if the agent failed to perform its obligation toward the principal due to any reason attributable to such third person, the agent shall disclose the third person to the principal, allowing it to exercise the agent's rights against such third person, except where the third person would not have entered into the contract with the agent had it known the identity of the principal. Where the agent failed to perform its obligation toward the third person due to any reason attributable to the principal, the agent shall disclose the principal to the third person, allowing the third person to select in alternative either the principal or the agent as the other contract party against whom to make a claim, provided that the third person may not subsequently change its selection of the contract party. Where the principal exercises the rights of the agent against the third person, the third person may avail itself of any defense it has against the agent. Where the third person selects the principal as the other party to the contract, the principal may avail itself of any defense it has against the agent as well as any defense the agent has against the third person.

International Contract Law
国际商事合同法 International Contract Law

本章要点合同的订立合同生效的必要条件合同的履行合同的变更和转让合同的消灭违约形式和救济方法

Key Terms Contract Offer Acceptance Counteroffer
Invitation to treat/invitation offer Withdrawal of offer Revocation of offer Consideration

Cause Promissory estoppel Misrepresentation Duress Remedy

第一节概述 Introduction Under Common Law, contract means a promise or set of promises, for breach of which the law gives a remedy. Under Civil Law, contract is a “mutual assent” or “meeting of minds”. Chinese Contract Law states that a contract is an agreement between natural persons, legal persons or other organizations with equal standing, for the purpose of establishing, altering, or discharging a relationship of civil rights and obligations.

第二节合同的订立 Formation of Contract
一、要约（Offer） 1、要约 An offer is a statement by one party of a willingness to enter into a contract on stated terms, provided that these terms are, in turn, accepted by the party or parties to whom the offer is addressed. 要约是一方当事人向对方提出愿意根据一定的条件与对方订立合同，并且包含了一旦该要约被对方承诺时就对提出要约的一方产生约束力的意思表示。

Under China Contract Law, an offer is a party’s manifestation of intention to enter into a contract with the other party, which shall comply with the following: a. Its terms are specific and definite; b. It indicates that upon acceptance by the offeree, the offeror will be bound thereby.

2、要约的要件（Requirements of offer) （1）要约必需是特定人的意思表示（2）要约必须表明要约人愿意按照要约所提条件订立合同的意向。 Contractual intention To make an offer, the offeror must appear to intend to create a binding Invitation to treaty It is an invitation to treat, which is used to invite others to make offer and lack of the intention to create a binding obligation. Generally, display of goods for sale, an advertisement in a newspaper, posted quotation, price list, catalogue, auction sales and tenders are all an invitation to treat.

(3). 要约的内容必须确定和完整。 An offer must be definite and certain. （4）
(3). 要约的内容必须确定和完整。 An offer must be definite and certain. （4）. 要约需向受要约人发出。 A proposal other than one addressed to one or more specific persons is to be considered merely as an invitation to make offers, unless the contrary is clearly indicated by the person making the proposal. （5）要约只有传达到受要约人处方有效。 An offer becomes effective when it reaches the offeree.

3、要约的约束力（binding of offer）
要约一旦生效后，对双方当事人的强制力。包含两个方面：对要约人的约束力和对受要约人的约束力。（1）对要约人的约束力所谓对要约人的约束力，是指要约人发出要约之后在对方承诺之前是否能反悔，是否能把要约的内容予以变更，或把要约撤回或撤销的问题。要约的撤回（withdrawal)，是指要约人在发出要约后，要约尚未生效前，要约人将要约取消，阻止其生效。要约的撤销（revocability），是指要约生效后，要约人将要约取消，从而使要约的效力丧失。（2）对受要约人的约束力一般来说，对受要约人无约束力

In civil law systems, an offer is binding on the offer so it is hardly to be revoked.
In common law systems, an ordinary offer may be revoked at any time before it is accepted even though the offeror has expressly promised that the offer will be good for a stated period and that period had not yet expired. It may also be revoked even though the offeror has expressly promised to the offeree that the offer would not be revoked before a specified later date. According to the CISG, an offer cannot be revoked, if: a. it indicates, whether by stating a fixed time for acceptance or otherwise, that it is irrevocable; or b. it was reasonable for the offeree to rely on the offer as being irrevocable and the offeree has acted in reliance on the offer.

4、要约的终止（Termination of offer）
要约的终止是指要约失去效力，无论是要约人还是受要约人不再受要约的约束。要约终止的原因：（1）因期限已过而失效；（lapse of time) （2）因要约人撤回或撤销而失效；(withdrawal or revoked by offeror) （3）因受要约人拒绝而失效；(rejected by offeree) （4）因实质性变更而失效。实质性变更是指受要约人更改了要约的重要条件。如果受要约人在承诺中对要约的条款做了扩充、限制或变更，其效果也是同对要约的拒绝，在法律上成为一项反要约（counter offer），须经原要约人承诺合同才能成立。

二、承诺（Acceptance） 1、承诺 The acceptance is the offeree’s manifestation of the intention to be bound to the terms of the offer. 承诺的实质是对要约表示同意。一项有效的承诺必须具备以下四个条件： Must be made by the offeree Must be made within the period of validity Must match the terms of the offer exactly and unequivocally Transfer mode must conform to the requirements of the offer.

2、承诺生效的时间 The mail-box rule is that the contract is formed when the letter of acceptance is placed in the mailbox. It applies only to acceptance. Under the rule, an acceptance is effective once the letter of acceptance is posted. It makes no difference whether the offeror actually receives the letter. The receipt rule is that the acceptance can e effective if it was communicated to the addressee. The difference between the two rules is the allocation of risk when an acceptance is lost or delayed. Under China Contract Law, a notice of acceptance becomes effective once it reaches the offeror.

3、承诺的撤回承诺必须在其生效之前撤回，其一旦生效，合同即告成立，承诺人就不得撤回其承诺。 According to CISG, an acceptance may be withdrawn if the withdrawal reaches the offeror before or at the same time as the acceptance would have become effective. 4、合同成立的时间与地点与承诺的生效时间与地点是一致的。 A contract is concluded at the moment when an acceptance of an offer becomes effective .

三、对价与约因（Consideration and Cause）
1、对价 Consideration is a controversial requirement for contracts under common law. The idea is that both parties to a contract must bring something to the bargain. Common law did not want to allow gratuitous offers, those made without anything offered in exchange(such as gifts), to be given the protection of contract law.

对价的规则 Rules of Consideration
（1）Must be given. (2)Must be referable to the promise. (3)Must be sufficient, but need not adequate. (4)Must move from the promisee. (5)Must not be from the past. (6)Performance of an existing contractual duty to the promisor is not consideration. (7)Part payment of a debt is not good consideration. (8)Performance of a public law duty is not good consideration.

对对价要求的例外（1）Sealed and written instruments. (2)Uniform Commercial Code。（3）Promissory estoppel （不得自食其言原则） a. a promise or a representation as to future conduct which is intended to affect the legal relations between the parties and which indicates that the promisor will not insist on his strict legal right against the promisee, b. a clear and unequivocal promise by words or conduct, c. evidence that there is a change in position of the promisee as a result of the promise. d. inequity if the promisor were to go back on the promise.

3、约因约因是罗马法的概念，后被法国等大陆法系国家沿用。 Cause is the reason why a party enters a contract and undertakes to perform contractual obligations. Cause is different from consideration as the reason why a party binds himself need not be to obtain something in return. In civil law a contract cannot exist without a lawful cause.

第三节合同的效力 Effectiveness of Contract
合同的效力是指已经成立的合同是否发生法律效力的问题。合同生效，即指合同在当事人之间产生了一定的法律效力。合同生效的要件： A. 合同当事人具有相应的民事行为能力； B. 当事人之间通过要约和承诺达成协议； C. 合同有对价或合法的约因； D. 当事人意思表示真实； E. 合同的内容合法。

一、合同当事人具有相应的民事行为能力 (Parties to a Contract Must Have the Capacity)
1、 Natural Person’s Contractual Capacity（自然人的民事行为能力） In common law, there are three classes of persons who are generally not considered to have sufficient capacity to be bound by their contract: (1) Minors （未成年人） (2) Mentally impaired or incompetent persons.（有精神缺陷的人） (3) Drunk Persons.（酗酒的人）

In civil law systems, for example, under French Civil Code, Articles 1124 and 488 provide persons who are incapable of entering into a contract: non-emancipated minors; Adults whom an impairing of his personal faculties places in the impossibility of providing alone for his interests is protected by the law, either on the occasion of a specific transaction, or in a continuous manner; Adults who because of his prodigality, insobriety or idleness, are in danger to fall into need or compromises the fulfillment of his family obligations.

2、Artificial Person’s Contractual Capacity (法人的民事行为能力） The extent of an artificial person’s capacity depends on the law of the place of incorporation and the enabling provisions included in the constitutive documents of incorporation. 根据各国法律规定，公司必须通过它授权的代理人才能订立合同，而且其经营范围不得超过公司章程的规定，否则就属于越权行为，该行为的责任由行为人承担。

二、当事人意思表示真实 Genuineness of Assent of the Parties
1、错误（Mistake）错误，是指当事人的认识与事实不相一致的行为。各国都认为，为了保障交易的安全，并非任何意思表示的错误，都足以使表意人主张合同无效或撤销合同。对何种情况下有错误一方可以要求撤销合同或主张合同无效，而什么情况下则不可以，各国法律有不同的规定和要求。（1）Common Law A. Common mistake A common mistake is that where the mistake is common to both parties, the parties have reach agreement, but the agreement is based on a fundamental mistaken assumption.

B. Unilateral mistake A unilateral mistake is that only one party to a contract is mistaken when the mistake is known to the other contracting party. C. Mutual mistake A mutual mistake occurs when the parties to a contract are both mistaken but about the same material fact within their contract.

(2)Civil Law Under French law, a mistake in contract affects the existence of the contract. A mistake in contract does not destroy consent: it merely negatives consent, or to simplify, the mistake concerns the validity of the contract. Under German law, a mistake did not affect consent in that a party had actually consented to the contract but an analysis had to be made at the distinction between the will and what preceded the outward declaration of the will.

2、欺诈（fraud）欺诈，是指一方当事人故意制造假象或隐瞒真相致使对方陷入误解或发生错误行为。各国法律都认为，凡是因受欺诈而订立的合同，蒙受欺骗的一方可以撤销合同或主张合同无效。大陆法规定，影响合同生效的欺诈必须符合一定的要件：（1）有欺诈行为的存在；（2）欺诈人主观上必须是故意的；（3）欺诈行为与表意人所陷入的错误以及因此所作的意思表示有因果关系。（4）欺诈行为必须达到有悖诚实信用的程度法国法规定欺诈是构成合同无效的原因。德国法规定欺诈的结果是导致合同被撤销。

Fraudulent Misrepresentation
英美法把欺诈成为欺骗性的不正确说明（fraudulent misrepresentation）和非故意的不正确说明（innocent misrepresentation） Fraudulent Misrepresentation The elements of fraudulent misrepresentation are as following: (1) a false representation is made; (2) which is material to the transaction; (3) which is made with knowledge of its falsity or reckless disregard as to whether it was true or false; (4) with the intention by the person making the representation that the recipient will be induced to act or refrain from acting; (5) which representation is justifiably relied upon by the recipient; (6) which reliance proximately causes the recipient to suffer damages.

Innocent Misrepresentation
Innocent misrepresentation involves a mistake that is not intentionally misleading, but results in another party entering into a contract. This type of representation primarily allows for a remedy of rescission, the purpose of which is put the parties back into a position as if the contract had never taken place.

3、胁迫（Duress）胁迫是指使用暴力或以暴力手段相威胁，使人发生恐怖为目的的一种故意行为。各国法律都认为，凡是在胁迫之下订立的合同，受胁迫的一方可以主张合同无效或撤销合同。 Duress means a threat of harm made to compel a person to do something against his or her will or judgment; especially a wrongful threat made by one to compel a manifestation of seeming assent by another person to a transaction without real volition. (1) Common Law 蒙受胁迫的一方可以撤销合同（2）Civil Law 构成合同无效的理由。

4、显失公平（grossly unfair）
显失公平的合同是指一方在紧迫或缺乏经验的情况下而订立的明显对自己有重大不利的合同。显失公平的合同往往是当事人双方的权利和义务极不对等，经济利益上不平衡，因而违反了公平合理原则。各国法律及判例均规定，在显失公平情况下订立的合同，准许遭受不利的一方请求撤销或予以变更。

三、合同的内容必须合法（Legality of Contract）
各国法律均要求合同内容必须合法，且不得违反公序良俗，否则就会导致合同无效。 1、英美法规定违法的合同有：（1）contrary to the public policy (2) immoral contract （3）contract illegal by statute

2、大陆法规定（1）法国法的规定 A. 交易的标的物是法律不允许进行交易的物品； The object of the transaction is not allowed to be traded by law B. 合同的约因不合法。illegal cause （2）德国法的规定着重于法律行为与整个合同的内容是否有违法的情况。 Focus on whether the legal action and the content of the contract is illegal.

第四节合同的履行 Performance of Contract
合同的履行，是指合同当事人实现合同内容的行为。各国的法律都认为，合同当事人在订立合同之后，都有履行合同的义务，如果违反应履行的合同的义务，就要根据不同的情况，承担相应的法律责任。 Performance under PICC Performance under CISG Performance under China’s Contract Law

一、全面履行（ fully perform)
The parties shall perform their obligations thoroughly according to the terms of the contract. 二、诚实信用履行（ good faith) The parties shall abide by the principle of good faith and perform the obligations of notice, assistance and maintaining confidentiality, etc,based on the character and purpose of the contract or the transaction practices.

Performance under PICC
(1)关于质量标准 Where the quality of performance is neither fixed by , nor determinable from, the contract a party is bound to render a performance of a quality that is reasonable and not less than average in the circumstances. (2)关于价格的确定 a. Where a contract does not fix or make provision for determining the price, the parties are considered, in the absence of any indication to the contrary, to have made reference to the price generally charged at the time of conclusion of the contract for such performance in comparable circumstances in the trade concerned or, if no such price is available, to a reasonable price. b. Where the price is to be determined by one party and that determination is manifestly unreasonable, a reasonable price shall be substituted notwithstanding any contract term to the contrary. c. Where the price is to be fixed by a third person, and that person cannot or will not do so, the price shall be a reasonable price. d. Where the price is to be fixed by reference to factors which do not exist or have ceased to exist or to be accessible, the nearest equivalent factor shall be treated as a substitute.

(3)关于履约期限 A contract for an indefinite period may be ended by either party by giving notice a reasonable time in advance. (4)关于履行地。 If the place of performance is neither fixed by, not determinable from, the contract, a party is to perform: a. a monetary obligation, at the obligee’s place of business; b, any other obligation, at its own place of business. A party must bear any increase in the expenses incidental to performance which is caused by a change in its place to business subsequent to the conclusion of the contract. (5)关于履行费用。 Each party shall bear the costs of performance of its obligations.

Performance under China Contract Law
　Where a relevant term of the contract was not clearly prescribed， and cannot be determined in accordance with Article 61 hereof， one of the following provisions applies：　　（a） If quality requirement was not clearly prescribed， performance shall be in accordance with the state standard or industry standard； absent any state or industry standard， performance shall be in accordance with the customary standard or any particular standard consistent with the purpose of the contract；　　（b） If price or remuneration was not clearly prescribed， performance shall be in accordance with the prevailing market price at the place of performance at the time the contract was　concluded， and if adoption of a price mandated by the government or based on government issued pricing guidelines is required by law， such requirement applies；

　（c） Where the place of performance was not clearly prescribed， if the obligation is payment of money， performance shall be at the place where the payee is located； if the obligation is delivery of immovable property， performance shall be at the place where the immovable property is located； for any other subject matter， performance shall be at the place where the obligor is located；　　（d） If the time of performance was not clearly prescribed， the obligor may perform， and the obligee may require performance， at any time， provided that the other party shall be given the time required for preparation；　　（e） If the method of performance was not clearly prescribed， performance shall be rendered in a manner which is conducive to realizing the purpose of the contract；　　（f） If the party responsible for the expenses of performance was not clearly prescribed， the obligor shall bear the expenses.

Where a contract is to be implemented at a price mandated by the government or based on government issued pricing guidelines， if the government adjusts the price during the　prescribed period of delivery， the contract price shall be the price at the time of delivery. Where a party delays in delivering the subject matter， the original price applies if the price has increased， and the new price applies if the price has decreased. Where a party delays in taking delivery or making payment， the new price applies if the price has increased， and the original price applies if the price has decreased.

第五节合同的变更与转让 Modification and Assignment of Contract
一、合同的变更（Modification of Contract）合同变更是指合同成立后，尚未履行完毕之前，当事人就合同的内容进行修订和补充。合同变更的特征： 1、合同的主体不变 The subjects of contract stay the same. 2、合同的变更须经当事人协商一致 A contract may be modified if the parties reach a consensus through consultation. 3、合同的变更是对合同内容的部分变更 The modification of contract is partly amended the content of contract.

二、合同的转让（ Assignment of Contract)
合同的转让是指由一方当事人将其合同的权利和义务全部或部分转让给第三人。在合同的转让中，合同的主体发生变更，但合同的客体，即内容保持不变。合同的转让有三种情形：合同权利的转让 Assignment 合同义务的转让 Delegation 合同权利和义务的概括转让 Concurrent Assignment and Delegation

1、合同权利的转让合同权利的转让是指合同债权人将合同的权利全部或部分转让给第三人，后者基于债权的转让成为新的债权人。不允许任意转让的情况：第一，根据合同权利性质不能转让的权利；第二，合同当事人约定不得转让的权利。第三，法律禁止转让的权利； The obligee may assign its rights under a contract in whole or in part to a third person， except where such assignment is prohibited：　　（a） in light of the nature of the contract；　　（b） by agreement between the parties；　　（c） by law.

2、合同义务的转让 Delegation 合同义务的转让，是指债权人或债务人与第三人之间达成转让债务的协议，由第三人取代原债务人承担责任。 Where the obligor delegates its obligations under a contract in whole or in part to a third person, such delegation is subject to consent by the obligee. 对于债务人与第三人达成的转让债务协议，一般都要求经过债权人的同意。债务人与第三人达成转让协议，一经债权人同意即发生效力。否则，无效。 Where the obligee assigns its rights， it shall notify the obligor. Such assignment is not binding upon the obligor if notice was not given.

3、合同权利义务的概括转让 Concurrent Assignment and Delegation 合同权利义务的概括转让，是指由原合同一方当事人将其在合同中的权利和义务一并转让给第三人，由第三人概括地继受这些债权和债务。各国法律要求需经过另一方当事人的同意方可成立生效。 Upon consent by the other party, one party may concurrently assign its rights and delegate its obligations under a contract to a third person.

第六节合同的消灭 Discharge of Contract
一、大陆法系各国对合同的消灭的有关规定清偿 payment 抵销 set-off 提存 deposit 免除 release 混同 merger

二、英美法关于合同消灭的法律规定因双方当事人的协议而消灭因依约履行而消灭因当事人违约而消灭依法消灭

第七节违约责任与救济方法 Breach and Damages
一、违约的概念及条件违约，是指合同依法或成立后，合同当事人由于某种原因不履行或者不完全履行合同义务的行为。 A breach of contract is defined as a failure to fulfill the duties under the agreed upon terms. A contract can be breached if: a. one party does no perform as promised; b. one party does something making it impossible for the other one to perform the duties of the contract; c. one party makes it clear that he or she will not perform the contract’s duties.

1、行为人有过错 perpetrator have fault
大陆法系各国以过错责任为前提。 principle of liability of fault 当事人不能履行或不完全履行合同义务是出于其故意或过失。（intention or negligence）故意，预见到不良结果，但有意使不良结果发生。过失，应当预见而因疏忽或行为上的失误，发生了不良后果。只有当存在可以归责于行为人的故意或过失时，才承担违约责任。如果仅仅证明债务人没有履行其合同的义务，还不足以构成违约，必须同时证明或推定债务人的上述行为有某种可以归责于他的故意或过失，才能使其承担违约责任。英美法系采取无过错责任的归责原则 principle of liability of no-fault 只要允诺人没有履行其合同义务，即使他没有任何过失，也构成违约，必须承担违约的后果。

2、不履行或不完全履行合同义务（reject to perform or not fully perform the obligations of the contract )
4、违约行为与损害结果之间必须有因果关系（causation between breach action and damage result）大陆法系，首先向债务人发出催告，（notice）然后才能使债务人承担延迟履约的责任。催告的作用：从催告之日起，不履约的风险完全由违约方一方承担；债权人有权就不履行合同请求法律上的救济从送达催告之日起，开始计算损害赔偿及其利息。英美法系没有催告的概念。如果合同规定了履行期限，则债务人必须根据合同的期限履行合同；如果合同美欧规定履行期限，则应于合理的期间内履行合同，否则即构成违约，债权人无须催告即可请求债务人赔偿由于延迟履约所造成的损失。 3、有财产上的损害事实（direct or indirect property damage）没有造成损害，无须赔偿，谈不上承担责任的问题。即使未造成损害，债权人无权要求实质性的损害赔偿，但可以要求名义上的赔偿。

二、违约的形式 Forms of Breach of Contract）
（一）大陆法系（以德国民法典为例） 1、给付不能（ supervening impossibility of performance) 债务人由于种种原因不可能履行其合同义务，而不是指有可能履行合同而不去履行。自始给付不能嗣后给付不能双方共同错误，合同无效给付不能一方当事人已知或应当知道该合同不能履行，过错方承担责任。非债务人的过失，债务人不担责。债务人的过失，债务人承担责任。不可归责于双方当事人的事由，双方均免除其义务。

2、给付延迟（delay in performance）
债务已届履行期，而且是可能履行的，但是债务人没有按其履行其合同义务。（二）英美法系（以英国法和美国法为例） 1、英国法（1)违反条件 breach of condition 即违反合同的重要的、根本性的条款 (vital or ressential article) 无过错的一方有权解除合同，并可以请求损害赔偿（2）违反担保 breach of warranty 即违反合同的次要的、附随性的条款 (minor or subsidiary article) 无过错的一方不能解除合同，只能要求损害赔偿

2、美国法（1）轻微违约（minor breach) 类似英国法中的违反担保（2）重大违约（material breach) 类似英国法中的违反条件 3、预期违约与履行不可能（1）预期违约（anticipatory breach of contract) (2) 履行不可能（ impossibility of performance)

(三）CISG 1、根本违约（fundamental breach of contract) 一方当事人违反合同的结果，如使另一方当事人蒙受损失，以至于实际上剥夺了他根据合同有权期待得到的东西，即为根本违反合同。 2、非根本违约（non-fundamental breach of contract) 在合同履行中，凡不具备构成根本违约的轻微违约。 3、提前违约 ( breach of contract in advance)

三、违约的救济 Remedies for Breach of Contract
1、实际履行 (specific performance) 又称为具体履行或依约履行，是指债权人要求债务人按合同的规定履行合同或者由债权人向法院提起实际履行之诉，由执行机关运用国家的强制力，使债务人按照合同的规定履行合同。（1）大陆法系 Specific performance is the generally applied remedy for breach of contract in civil law countries. The non-breaching party has the right to choose between specific performance and damages.

(2)英美法系 Specific performance in the Common Law is an order of the court requiring performance of a positive contractual obligation. Specific performance may be available in cases where money damages are inadequate, the items has particular sentimental or unique value, or alternatives are not readily available due to scarcity. In general the court will only grant specific performance where it would be must and equitable to do so. 在下列情况下，法院不会做出实际履行的判决：金钱损害赔偿可以作为充分的救济方法凡是属于提供个人劳务的合同法院不能监督其履行的而合同一方当事人为未成年人的合同如果实际履行会造成被告过分苛刻的负担（3）CISG 既允许按公约的规定，要求违约方实际履行，在司法救济上，又允许依据国内法进行裁决。

2、损害赔偿（damage）违约方因不履行或不完全履行合同义务而给对方造成损失，依法律或依合同约定而应当承担的责任。（1）损害赔偿责任的成立大陆法系：以过错责任为原则英美法系：只要有违约，就可以提起损害赔偿之诉 CISG：只要没有履行合同或公约义务，守约方即可要求损害赔偿。（2）损害赔偿的方法恢复原状金钱赔偿我国以金钱赔偿为主

（3）损害赔偿的范围实际损失 specific damages 间接损失 consequential damages 各国基本相同

3、解除合同 rescission 合同当事人依约或依法行使解除权终止合同的权利和义务的行为。（1）Common Law Under the common law, rescission is an equitable remedy that attempts to undo a contract from the beginning as if the contract had never existed. It is a general legal principle that a breach of contract must be so substantial and fundamental as to defeat the purpose of the contract.

(2)Civil Law French Civil Code, article 1184 provides that a condition subsequent is always implied in synallagmatic contracts, for the case where one of the two parties does not carry out his undertaking. German Civil Code provides two main situations for rescission: supervening impossibility of performance and delay in performance.

4、违约金 liquidated damages （1）违约金的性质：具有惩罚性质（德国）作为预定损害赔偿总额（法国、英美法国家）
以保证合同履行为目的，由双方当事人事先约定当债务人违反合同时，应向债权人支付的金钱。（1）违约金的性质：具有惩罚性质（德国）作为预定损害赔偿总额（法国、英美法国家）（2）PICC的规定：如果合同规定不履行的一方应就该不履行而向受损害方支付一定的金额，受损害方有权获得这一金额，无论实际损害如何；但金额显然过高，可将其减少到一个合理的数额。

The parties may prescribe that if one party breaches the contract， it will pay a certain sum of liquidated damages to the other party in light of the degree of breach， or prescribe a method for calculation of damages for the loss resulting from a party’s breach. Where the amount of liquidated damages prescribed is below the loss resulting from the breach， a party may petition the People’s Court or an arbitration institution to increase the amount； where the amount of liquidated damages prescribed exceeds the loss resulting from the breach， a party may petition the People’s Court or an arbitration institution to decrease the amount as appropriate. Where the parties prescribed liquidated damages for delayed performance， the breaching party shall， in addition to payment of the liquidated damages， render performance.

四、情势变更、合同落空和不可抗力 Changes of circumstance, Frustration of contract and Force Majeure
合同成立后，作为合同关系基础的情事，由于不可归责于当事人的原因，发生了非缔约当初所能预料得到的变化，如仍坚持原来的法律效力，将会产生显失公平的后果，有悖于诚信原则，因此应将合同作相应变更或解除的制度。情势变更是大陆法中的一项重要制度。 2、合同落空（frustration of contract) 合同成立后，非由于当事人自身的过失，而是因某种意外事件致使当事人在缔约时所谋求的商业目标受到挫折。在这种情况下，对于尚未履行的合同义务，当事人可以免除履行的责任。此为英美法术语，与大陆法中的情势变更类似

3、不可抗力（force majeure）当事人在缔结合同时不能预见、不能避免并不能克服的客官情况。不可抗力事故包括两种情况：（1）由自然原因引起的（2）由社会原因引起的三种法律后果：（1）全部免责（2）部分免责（3）延迟履行合同

Law of International Sale of Goods
国际货物买卖法 Law of International Sale of Goods

本章要点《联合国国际货物销售合同公约》的适用范围《联合国国际货物销售合同公约》排除某些货物的买卖《公约》的适用根据
《公约》没有涉及的几个法律问题买卖双方的义务违约及其救济方法货物所有权与风险的转移

Key Terms CISG Incoterms2000 Offer Acceptance Breach of Contract
Remedy

第一节概述 Introduction 一、联合国国际货物买卖合同公约（CISG） 1、CISG的生效
1988年1月1日起生效。中国为缔约国之一 CISG（United Nations Convention on Contracts for the International Sale of Goods)，which providing legal rules governing sales contracts for goods (not services or warranty work) between businesses from two different signatory nations, unless the parties’ contract excludes CISG provisions.

2、CISG的适用范围 (Scope of the CISG)
The CISG is composed of 101 Articles that are divided into four parts: The scope of application of the Convention and the general provisions; The rules govern the formation of contracts for the international sale of goods; The substantive rules for the sales contract The final clauses of the Convention concerning such matters as how and when it comes into force, the reservations and declarations.

CISG适用范围：（1）Applies to contracts of sale of goods between parties whose places of business are in different States 缔约国中营业地分处不同国家的当事人之间的货物买卖（2）Applies to the rules of private international law lead to the application of the law of a Contracting State. 由国际私法规则导致适用某一缔约国法律。（3）对货物买卖的排除 This Convention does not apply to sales: (a) of goods bought for personal, family or household use, unless the seller, at any time before or at the conclusion of the contract, neither knew nor ought to have known that the goods were bought for any such use; (b) by auction; (c) on execution or otherwise by authority of law; (d) of stocks, shares, investment securities, negotiable instruments or money; (e) of ships, vessels, hovercraft or aircraft; (f) of electricity. This Convention does not apply to contracts in which the preponderant part of the obligations of the party who furnishes the goods consists in the supply of labor or other services.

（4）公约不涉及的问题 This Convention governs only the formation of the contract of sale and the rights and obligations of the seller and the buyer arising from such a contract. In particular except as otherwise expressly provided in this Convention it is not concerned with: a .the validity of the contract or of any of its provisions or of any usage 合同的效力 b. the effect which the contract may have on the property in the goods sold. 合同对所有权的影响 c. the liability of the seller for death or personal injury caused by the goods to any person. 货物对人身造成伤亡或损害的产品责任

3、CISG的性质和效力公约虽然具有法律约束力，但只是一种任意性的规定，可以被合同当事人任意取舍，只受缔约国保留条款的影响。如果符合公约规定的当事人不对公约的适用做出明示排除，公约就可以自动予以适用。双方当事人可以约定不适用公约，虽然他们的营业地所在国是缔约国，他们也可以减损公约的任何规定或改变其效力，但必须尊重营业地所在缔约国已经做出的保留。 4、中国的两项保留（1）关于合同书面形式的保留（2）关于公约适用范围的保留仅限于双方营业地分处不同国家的当事人之间的货物买卖

二、INCOTERMS 2000 国际贸易术语属于国际贸易惯例，具有选择性、非强制性约束。同时，某些具体术语在不同的规则中有不同的含义。 Incoterms 2000 的分类 E组 EXW F组 FAS, FOB, FCA C组 CFR, CIF, CPT, CIP D组 DAF, DES, DEQ, DDU

第二节国际货物买卖合同 Contract for International Sale of Goods
一、合同当事人（Parties to Contract）自然人、法律人、国际组织和国家，都可以成为国际货物买卖合同的当事人。 CISG的要求： This Convention applies to contracts of sale of goods between parties whose places of business are in different States: (a) when the States are Contracting States; or (b) when the rules of private international law lead to the application of the law of a Contracting State

二、合同的形式 Form of Contract CISG对合同订立的形式，采取了不要式原则为主、要式原则为辅的原则，以做出保留为例外。 A contract of sale need not be concluded in or evidenced by writing and is not subject to any other requirement as to form. It may be proved by any means, including witnesses. Any provision of article 11, article 29 or Part II of this Convention that allows a contract of sale or its modification or termination by agreement or any offer, acceptance or other indication of intention to be made in any form other than in writing does not apply where any party has his place of business in a Contracting State which has made a declaration under article 96 of this Convention. The parties may not derogate from or vary the effect or this article.

三、要约与承诺（一）要约 1、CISG的定义 A proposal for concluding a contract addressed to one or more specific persons constitutes an offer if it is sufficiently definite and indicates the intention of the offer or to be bound in case of acceptance. A proposal is sufficiently definite if it indicates the goods and expressly or implicitly fixes or makes provision for determining the quantity and the price.

2、要约的撤回和撤销 (1) Until a contract is concluded an offer may be revoked if the revocation reaches the offeree before he has dispatched （发出） an acceptance. (2) However, an offer cannot be revoked: (a) if it indicates, whether by stating a fixed time for acceptance or otherwise, that it is irrevocable; or (b) if it was reasonable for the offeree to rely on the offer as being irrevocable and the offeree has acted in reliance on the offer.

3、要约的生效与失效（1）An offer becomes effective when it reaches the offeree. （2） An offer shall lose efficacy under any of the following circumstances: (a) the notice of rejection reaches the offeror; (b) the offeror revokes the offer in accordance with the law; (c) the offeree fails to dispatch an acceptance before the expiration of the time limit for acceptance; (d) the offeree makes substantial changes to the contents of the offer.

（二）承诺 1、CISG的定义 A statement made by or other conduct of the offeree indicating assent to an offer is an acceptance. Silence or inactivity does not in itself amount to acceptance. 2、承诺的方式 The acceptance shall be made in the form of a notice, except where acceptance may be made by an act on the basis of customary business practice or as expressed in the offer.

3、反要约（1）A reply to an offer which purports to be an acceptance but contains additions, limitations or other modifications is a rejection of the offer and constitutes a counter-offer. (2) However, a reply to an offer which purports to be an acceptance but contains additional or different terms which do not materially alter the terms of the offer constitutes an acceptance, unless the offeror, without undue delay, objects orally to the discrepancy or dispatches a notice to that effect. If he does not so object, the terms of the contract are the terms of the offer with the modifications contained in the acceptance. 　　 (3) Additional or different terms relating, among other things, to the price, payment, quality and quantity of the goods, place and time of delivery, extent of one party’s liability to the other or the settlement of disputes are considered to alter the terms of the offer materially

4、承诺的撤回 An acceptance may be withdrawn if the withdrawal reaches the offeror before or at the same time as the acceptance would have become effective.

5、承诺的生效 An acceptance of an offer becomes effective at the moment the indication of assent reaches the offeror. However, if, by virtue of the offer or as a result of practices which the parties have established between themselves or of usage, the offeree may indicate assent by performing an act, such as one relating to the dispatch of the goods or payment of the price, without notice to the offeror, the acceptance is effective at the moment the act is performed, provided that the act is performed within the period of time laid down in the preceding paragraph.

6、合同的成立 A contract is concluded at the moment when an acceptance of an offer becomes effective in accordance with the provisions of this Convention. For the purposes of this Part of the Convention, an offer, declaration of acceptance or any other indication of intention “reaches” the addressee when it is made orally to him or delivered by any other means to him personally, to his place of business or mailing address or, if he does not have a place of business or mailing address, to his habitual residence.

5、Inspection of the Goods by Buyer 6、Retention of Title
四、合同的主要条款 1、Goods Sold 2、Contract Price 3、Delivery Terms 4、Time of Delivery 5、Inspection of the Goods by Buyer 6、Retention of Title 7、Payment Conditions 8、Document

9、Cancellation Date 10、Liability for Delay 11、Limitation of Liability for Lack of Conformity 12、Limitation of Liability Where Non Conforming Goods are Retained By the Buyer 13、Force Majeure 14、Limitation of action 15、Applicable Law 16、 Resolution of Disputes

第三节买卖双方当事人的义务 Obligation of the Seller and Buyer
一、卖方义务 1、交付货物的时间和地点（1）交付地点未约定 If the seller is not bound to deliver the goods at any other particular place, his obligation to deliver consists: 　（a）if the contract of sale involves carriage of the goods - in handing the goods over to the first carrier for transmission to the buyer; (b) if, in cases not within the preceding subparagraph, the contract related to specific goods, or unidentified goods to be drawn from a specific stock or to be manufactured or produced, and at the time of the conclusion of the contract the parties knew that the goods were at, or were to be manufactured or produced at, a particular place - in placing the goods at the buyer’s disposal at that place; 　 (c) in other cases - in placing the goods at the buyer’s disposal at the place where the seller had his place of business at the time of the conclusion of the contract.

（2）有约定则从约定（3）交货时间 The seller must deliver the goods： (a) if a date is fixed by or determinable from the contract, on that date; 　　 (b) if a period of time is fixed by or determinable from the contract, at any time within that period unless circumstances indicate that the buyer is to choose a date; 　　 (c) in any other case, within a reasonable time after the conclusion of the contract.

2、交单 The delivery of documents is often the counter-condition to the payment of the price. If the seller is bound to hand over documents relating to the goods, he must hand them over at the time and place and in the form required by the contract. If the seller has handed over documents before that time, he may, up to that time, cure any lack of conformity in the documents, if the exercise of this right does not cause the buyer unreasonable inconvenience or unreasonable expense. However, the buyer retains any right to claim damages as provided for in this Convention.

3、品质担保 Defect Warranty (1) The seller must deliver goods which are of the quantity, quality and description required by the contract and which are contained or packaged in the manner required by the contract. (2) Except where the parties have agreed otherwise, the goods do not conform with the contract unless they: (a) are fit for the purposes for which goods of the same description would ordinarily be used； (b) are fit for any particular purpose expressly or impliedly made known to the seller at the time of the conclusion of the contract, except where the circumstances show that the buyer did not rely, or that it was unreasonable for him to rely, on the seller’s skill and judgment; (c) possess the qualities of goods which the seller has held out to the buyer as a sample or model; (d) are contained or packaged in the manner usual for such goods or, where there is no such manner, in a manner adequate to preserve and protect the goods。 (3) The seller is not liable under subparagraphs (a) to (d) of the preceding paragraph for any lack of conformity of the goods if at the time of the conclusion of the contract the buyer knew or could not have been unaware of such lack of conformity.

品质担保的时间 (1) The seller is liable in accordance with the contract and this Convention for any lack of conformity which exists at the time when the risk passes to the buyer, even though the lack of conformity becomes apparent only after that time (2) The seller is also liable for any lack of conformity which occurs after the time indicated in the preceding paragraph and which is due to a breach of any of his obligations, including a breach of any guarantee that for a period of time the goods will remain fit for their ordinary purpose or for some particular purpose or will retain specified qualities or characteristics.

4、权利担保 Assurance of the Ownership of the Goods
The seller must deliver goods which are free from any right or claim of a third party, unless the buyer agreed to take the goods subject to that right or claim. However, if such right or claim is based on industrial property or other intellectual property, the seller’s obligation is governed by article 42. Article 42 (1) The seller must deliver goods which are free from any right or claim of a third party based on industrial property or other intellectual property, of which at the time of the conclusion of the contract the seller knew or could not have been unaware, provided that the right or claim is based on industrial property or other intellectual property: 　 (a) under the law of the State where the goods will be resold or otherwise used, if it was contemplated by the parties at the time of the conclusion of the contract that the goods would be resold or otherwise used in that State; or (b) in any other case, under the law of the State where the buyer has his place of business. 　　 (2) The obligation of the seller under the preceding paragraph does not extend to cases where: 　　 (a) at the time of the conclusion of the contract the buyer knew or could not have been unaware of the right or claim; (b) the right or claim results from the seller’s compliance with technical drawings, designs, formulae or other such specifications furnished by the buyer.

二、买方义务 1、支付价款 The buyer must pay the price for the goods and take delivery of them as required by the contract and this Convention. The buyer’s obligation to pay the price includes taking such steps and complying with such formalities as may be required under the contract or any laws and regulations to enable payment to be made. The buyer must pay the price on the date fixed by or determinable from the contract and this Convention without the need for any request or compliance with any formality on the part of the seller.

2、接收货物 The buyer’s obligation to take delivery consists: 　　(a) in doing all the acts which could reasonably be expected of him in order to enable the seller to make delivery; and 　　(b) in taking over the goods. Pay attention to the difference between “receive” and “accept”

第四节违约及其救济方法 Remedies for Breach of Contract
一、违约的分类根据违约造成的后果和严重程度分为根本违约与一般违约；根据违约的时间分为预期违约与实际违约 1、根本违约 fundamental breach A breach （违背） of contract committed by one of the parties is fundamental if it results in such detriment to the other party as substantially to deprive him of what he is entitled to expect under the contract, unless the party in breach did not foresee and a reasonable person of the same kind in the same circumstances would not have foreseen such a result.

2、预期违约 anticipatory breach
(1) A party may suspend the performance of his obligations if, after the conclusion of the contract, it becomes apparent that the other party will not perform a substantial part of his obligations as a result of: (a) a serious deficiency in his ability to perform or in his creditworthiness; (b) his conduct in preparing to perform or in performing the contract. 如果在合同义务履行之前，明显看出一方当事人将根本违约，对方可以宣告合同无效。 If prior to the date for performance of the contract it is clear that one of the parties will commit a fundamental breach of contract, the other party may declare the contract avoided.

二、违约的主要救济方法买方的救济方法实际履行减少价金要求卖方对货物进行修补交付替代物宣告合同无效损害赔偿卖方的救济方法
请求损害赔偿要求支付利息停止交货留置货物停运再出售买方未付款时

1、损害赔偿的原则 Damages for breach of contract by one party consist of a sum equal to the loss, including loss of profit, suffered by the other party as a consequence of the breach. Such damages may not exceed the loss which the party in breach foresaw or ought to have foreseen at the time of the conclusion of the contract, in the light of the facts and matters of which he then knew or ought to have known, as a possible consequence of the breach of contract. 公约对损害赔偿采用无过错原则。 2、损害赔偿的范围赔偿范围=实际损失+利润损失

3、损害赔偿与其他救济方式并存（1）The buyer is not deprived of any right he may have to claim damages by exercising his right to other remedies. （2）The seller is not deprived of any right he may have to claim damages by exercising his right to other remedies. 4、防止损失扩大 A party who relies on a breach of contract must take such measures as are reasonable in the circumstances to mitigate the loss, including loss of profit, resulting from the breach. If he fails to take such measures, the party in breach may claim a reduction in the damages in the amount by which the loss should have been mitigated.

5、损害赔偿的计算方法（1）独立请求损害赔偿的计算方法请求损害赔偿额=实际损失+利润损失（2）宣告合同无效要求替代物交易并附带损害赔偿请求损害赔偿额=合同价格和替代交易之间的差价+其他损失（3）合同宣告无效没有替代交易请求损害赔偿额=合同价格+欠款利息

第五节货物所有权与风险转移 Passing of Ownership and Risks
一、货物所有权的转移 CISG不涉及，由各国国内法调整。各国法律对所有权的转移主要原则有：承认当事人约定优先以合同成立的时间为所有权转移时间以交货时间为所有权转移时间以货物特定化作为转移所有权的前提

二、风险转移的原则 1、当事人约定优先 CISG allows the parties to decide the place at which the risk passes and the agreement can opt out the application of the CISG. Especially Incoterms of the ICC are often applied. 2、划拨是风险转移的前提 If the contract relates to goods not then identified, the goods are considered not to be placed at the disposal of the buyer until they are clearly identified to the contract.

3、买卖合同涉及运输时风险转移时间 (1) If the contract of sale involves carriage of the goods and the seller is not bound to hand them over at a particular place, the risk passes to the buyer when the goods are handed over to the first carrier for transmission to the buyer in accordance with the contract of sale. If the seller is bound to hand the goods over to a carrier at a particular place, the risk does not pass to the buyer until the goods are handed over to the carrier at that place. The fact that the seller is authorized to retain documents controlling the disposition of the goods does not affect the passage of the risk. 　(2) Nevertheless, the risk does not pass to the buyer until the goods are clearly identified to the contract, whether by markings on the goods, by shipping documents, by notice given to the buyer or otherwise.

4、在途货物出售时风险的转移时间 The risk in respect of goods sold in transit passes to the buyer from the time of the conclusion of the contract. However, if the circumstances so indicate, the risk is assumed by the buyer from the time the goods were handed over to the carrier who issued the documents embodying the contract of carriage. Nevertheless, if at the time of the conclusion of the contract of sale the seller knew or ought to have known that the goods had been lost or damaged and did not disclose this to the buyer, the loss or damage is at the risk of the seller.

5、不涉及货物运输时的风险转移 (1) The risk passes to the buyer when he takes over the goods or, if he does not do so in due time, from the time when the goods are placed at his disposal and he commits a breach of contract by failing to take delivery. 　　(2) However, if the buyer is bound to take over the goods at a place other than a place of business of the seller, the risk passes when delivery is due and the buyer is aware of the fact that the goods are placed at his disposal at that place.

6、风险转移于买方后发生灭失或损坏的后果 Loss of or damage to the goods after the risk has passed to the buyer does not discharge him from his obligation to pay the price, unless the loss or damage is due to an act or omission of the seller. 7、根本违约对风险转移的影响 If the seller has committed a fundamental breach of contract, it does not impair the remedies available to the buyer on account of the breach.

International Cargo Transportation and Insurance
国际货物运输与保险 International Cargo Transportation and Insurance

本章要点国际货物的运输方式国际货物运输单据海运提单国际海上货运保险保险的原则

Key Terms Charter party Voyage charter Time charter Bareboat charter
Hague Rules Hamburg Rules A bill of loading Straight bills of loading

Bearer bills of lading Order bills of lading Antedated bills of lading Advanced bills of lading Through bills of lading Seaworthiness Policy of insurance Insurable interest Applicant/Policy holder Insurer Assured Premium

第一节国际货物运输法 Law of International Cargo Transportation
一、国际货物的运输方式（Methods） By sea、air、railroad and multimodal transportation （一）海运 Two types： liner transport and charter shipment 1、班轮运输 liner transport/ liner shipping Fixed sailing schedule Fixed routing Fixed ports Fixed freight rate The shipping company is liable to the loading fee

2、租船运输 charter shipment
通常是指包租整条船。包括程租、期租和光租。（1）程租（voyage charter） The charter hires the vessel for a single voyage. 它是船舶所有人按双方事先议定的运价与条件向租船人提供船舶全部或部分仓位，在指定的港口之间进行一个或多个航次运输指定货物的租船业务。

(2)期租（time charter） The vessel is hired for a specific amount of time. 船舶所有人把船舶出租给承租人使用一定时期的租船方式，在这期限内，承运人可以利用船舶的运载能力来安排货运。租期内的船舶燃料费，港口费用以及拖轮费用等营运费用，都由租船人负担，船东只负责船舶的维修，保险，配备船员和供给船员的给养和支付其他固定费用。（3）光船租船 bareboat charter The charter takes full control of the vessel along with the legal and financial responsibility for it. 按一定的期限租船，但与期租不同的是船东不提供船员，光一条船交租船人使用，由租船人自行配备船员，负责船舶的经营管理和航行各项事宜。在租赁其间，租船人实际上对船舶有着支配权和占有权。

(二）铁路运输（三）航空运输（四）邮包运输（五）国际多式货物联运（六）其他运输方式

二、国际货物运输的装运条款 Terms of shipment
（一）装运期 date of shipment 1、含义 The deadline by which the seller makes shipment of the contracted goods Note: the difference between Date of Shipment and Date of Delivery

2、装运期的规定方法（1）明确规定一个具体装运期限 Eg. during, not later than, at or before the end of （2）规定收到信用证后若干天装运 Eg. within **days after receipt of L/C （3）笼统规定 Eg. As soon as 银行将不予理会

（二）装运港和目的港 Port of shipment and Port of Destination
（三）分批装运和转运 Partial shipment and Transshipment 1、分批装运 or called shipment by installments Partial shipment means shipping the commodity under one contract in more than one lot. If a shipment by installments within given periods is stipulated in the credit and any installment is not drawn or shipped within the period allowed for that installment, the credit ceases to be available for that and any subsequent installment. 2、转运 transshipment Transshipment is the shipment of goods to an intermediate destination, and then from there to yet another destination.

（四）装运通知 Advice of shipment
买卖双方的责任（五）装卸时间、装卸率和滞期、速遣费条款 1、装卸时间 Lay time 装卸时间的起算取决于“准备装卸通知书”的送达时间。“准备装卸通知书”是指在船舶到达指定港或泊位，在各方面做好装卸准备后，由船长签署并向承租人发出的书面通知。金康合同规定，如果装卸通知于午前送达，则装卸时间从午后一点起算；如果通知书于午后送达，则从下一个工作日的上午6点起算。

关于装卸时间的规定方法，通常有下列几种：
①日或连续日 Day or Consecutive Days 在这种规定下星期日或节假日，都应计为装卸时间。 ②工作日或连续工作日 Working Day or Consecutive Working Days 在这种规定下，星期日和法定节假日不包括在内。 ③晴天工作日 Weather working days 在这种规定下，星期日和法定节假日或因天气不良而不能进行装卸作业的工作日，均不应计入装卸时间内。 ④24小时晴天工作日。Weather working days of 24 consecutive hours 在这种规定下，不论工作小时数跨及几天的时间，以累计24小时作为一个晴天工作日的表示装卸时间的方法。

2、装卸率 rate of discharging
3、滞期费和速遣费 demurrage and dispatch fee Demurrage refers to the charges that the charterer pays to the ship-owner for its extra use of the vessel. Officially, demurrage is a form of liquidated damages for breaching the laytime as it is stated in the governing contract (the charter party). The demurrage sometimes causes a loss to the seller as it increases cost of the total freight. 所谓速遣费，是指船舶在装卸时间届满前完成了装、卸货工作，船舶出租人支付给船舶承租人的约定金额。这种约定金额，通常是在考虑该船舶的燃料费、港口使费、营运成本费及其他营运损失后，按每天每载重量或每天每艘船若干元来确定，一般来说，速遣费通常是滞期费的一半。

第二节海运提单 Bill of Lading 一、定义
Bill of lading is one of the most important documents in international business. A Bill of Lading represents both a receipt for goods shipped and a contract for shipment between the shipping company and the shipper. It is also a document of entitlement to the goods, giving the holder or the assignee the right to possess the goods. It is issued and signed by a shipping company or its authorized agent.

二、提单的作用 1、 It is a cargo receipt made out by the ship owner; 它是船方填制的货物收据； 2、It is the evidence of a contract of carriage between the consignor and the shipping company; 是托运人与承运人间的运输合同证明； 3、 B/L is a document of title to the goods. 是货物所有权证明单据。

提单作为所有权凭证转让而发生货物的所有权的转移必须具备四个条件：
（1）提单必须是可转让的提单，即提单必须为不记名提单或指示提单；（2）提单背书转让时货物必须在运输的途中，但并非强调货物还是在海上运输中，只要货物还在承运人控制下而尚未在目的港将货物交给有权提货的人即可；（3）提单转让人应为提单的合法持有人，并对提单项下的货物具有所有权；（4）在转让提单时，提单转让人应有转让提单项下货物所有权的意图。

三、提单的分类 1、按签发提单时货物是否装船来分，有已装船提单（Shipped or on Broad B/L)和背运提单(Received for Shipment B/L) 2、按提单有无不良批注，分为清洁提单（Clean B/L)和不清洁提单（Unclean or Foul or Dirty B/L) 3、按提单收货人抬头分，有记名提单（Straight B/L）和不记名提单（Open B/L or Bearer)和指示提单（Order B/L) 4、按运输方式分，有直达提单（Direct B/L)和转运提单（Through B/L) 5、其他提单

四、提单在跟单信用证机制中的有关问题 1、伪造提单。 2、清洁提单与不清洁提单的问题。 3、倒签提单（Antedated B/L)和预借提单(Advanced B/L) 所谓倒签提单是指承运人在货物装船完毕，签发提单时，应托运人的请求将提单签发日期提前到信用证规定的日期。预借提单是当信用证规定的有效期即将届满，而货物还未装船时，托运人为了使提单上的装船日期与信用证规定的日期相符，要求承运人在货物装船前签发的已装船提单。 4、副本提单加保函提货的问题。

第三节有关提单统一的国际公约国际上缔结了三个关于提单运输的国际公约，即1924年的《海牙规则》、1968年的《维斯比规则》和1978年的《汉堡规则》。

1、承运人最低限度的义务：提供适航船舶，妥善管理货物
一、海牙规则 1、承运人最低限度的义务：提供适航船舶，妥善管理货物 The carrier shall be bound before and at the beginning of the voyage to exercise due diligence (a) Make the ship seaworthy. (b) Properly man, equip and supply the ship. (c) Make the holds, refrigerating and cool chambers, and all other parts of the ship in which goods are carried, fit and safe for their reception, carriage and preservation. the carrier shall properly and carefully load, handle, stow, carry, keep, care for, and discharge the goods carried.

2、承运人运输货物的责任期间：钩至钩 “Carriage of goods” covers the period from the time when the goods are loaded on to the time they are discharged from the ship. 3、承运人的赔偿责任限额承运人的赔偿责任限额是指对承运人不能免责的原因造成的货物灭失或损坏，通过规定单位最高赔偿额的方式，将其赔偿责任限制在一定的范围内。 4、承运人单位最高赔偿额.承运人单位最高赔偿额为100英镑。 Neither the carrier nor the ship shall in any event be or become liable for any loss or damage to or in connation with goods in an amount exceeding 100 pounds sterling per package or unit, or the equivalent of that sum in other currency unless the nature and value of such goods have been declared by the shipper before shipment and inserted in the bill of lading.

5、承运人的免责一类是过失免责；另一类是无过失免责。过失免责条款， Neither the carrier nor the ship shall be responsible for loss or damage arising or resulting from: Act, neglect, or default of the master, mariner, pilot, or the servants of the carrier in the navigation or in the management of the ship. 这种过失免责条款是其他运输方式责任制度中所没有的。很明显，《海牙规则》偏袒了船方的利益。

另一类是承运人无过失免责，主要有： ①不可抗力或承运人无法控制的免责 ②货方的行为或过失免责 ③特殊免责 ④承运人免责

6、索赔与诉讼时效《海牙规则》第三条第六款规定：承运人将货物交付给收货人时，如果收货人未将索赔通知用书面形式提交承运人或其代理人，则这种交付应视为承运人已按提单规定交付货物的初步证据。如果货物的灭失和损坏不明显，则收货人应在收到货物之日起3日内将索赔通知提交承运人。 If the loss or damage is not apparent, the notice must be given within three days of the delivery of the goods. 《海牙规则》有关诉讼时效的规定是：“除非从货物交付之日或应交付之日起一年内提起诉讼，承运人和船舶，在任何情况下，都应免除对灭失或损坏所负的一切责任。” In any event the carrier and the ship shall be discharged from all liability in respect of loss or damage unless suit is brought within one year after delivery of the goods or the date when the goods should have been delivered.

7、托运人的义务和责任 ①保证货物说明正确的义务。 The shipper shall be deemed to have guaranteed to the carrier the accuracy at the time of shipment of the marks, number, quantity and weight, as furnished by him, and the shipper shall indemnity the carrier against all loss, damages and expenses arising or resulting from inaccuracies in such particulars. The right of the carrier to such indemnity shall in no way limit his responsibility and liability under the contract of carriage to any person other than the shipper. ②不得擅自装运危险品的义务。 Goods of an inflammable, explosive or dangerous nature to the shipment whereof the carrier, master or agent of the carrier has not consented with knowledge of their nature and character, may at any time before discharge be landed at any place, or destroyed or rendered innocuous by the carrier without compensation and the shipper of such goods shall be liable for all damage and expenses directly or indirectly arising out of or resulting from such shipment. ③损害赔偿责任。

8、运输合同无效条款运输合同中的任何条款或协议，凡是解除承运人按该规则规定的责任或义务，或以不同于该规则的规定减轻这种责任或义务的，一律无效。 9、适用范围《海牙规则》第五条第二款规定：“本公约的规定，不适用于租船合同，但如果提单是根据租船合同签发的，则它们应符合公约的规定。”同时该规则第十条规定：“本公约的各项规定，应适用于在任何缔约国内所签发的一切提单。”

《海牙规则》存在的主要问题 a、较多地维护了承运人的利益，在免责条款和最高赔偿责任限额上表现尤为明显，造成在风险分担上的不均衡。
b、未考虑集装箱运输形式的需要。 c、责任期间的规定欠周密，出现装船前和卸货后两个实际无人负责的空白期间，不利于维护货方的合法权益。 d、单位赔偿限额太低，诉讼时效期间过短，适用范围过窄。 e、对某些条款的解释至今仍未统一，“管理船舶”与“管理货物”的差异；与货物有关的灭失或损坏的含义；作为赔偿责任限制的计算单位的解释等，因没有统一解释而容易引起争议。

当提单已经转让给善意第三人时，承运人不得提出与提单所载明事项相反的证据来否认提单所作的说明。
二、维斯比规则 1、扩大了规则的适用范围。 The provisions of these Rules shall not be applicable to charter-parties, but if bills of lading are issued in the case of a ship under a charter-party they shall comply with the terms of these Rules. Nothing in these Rules shall be held to prevent the insertion in a bill of lading of any lawful provision regarding general average. 2、明确了提单的证据效力。 Such a bill of lading shall be prima facie evidence of the receipt by the carrier of the goods as therein described in accordance with paragraphs 3(a), (b) and (c). However, proof to the contrary shall not be admissible when the bill of lading has been transferred to a third party acting in good faith. 当提单已经转让给善意第三人时，承运人不得提出与提单所载明事项相反的证据来否认提单所作的说明。

3、强调了承运人及其受雇人员的责任限制。规定承运人的责任限制和抗辩理由，适用于就运输合同所涉及的有关货物的灭失或损害对承运人所提起的任何诉讼，不论该诉讼是以合同为依据还是以侵权为依据；同时承运人的雇佣人员或代理人在索赔诉讼中可以享有与承运人相同的抗辩事由和责任限制。 4、提高了承运人对货物损害赔偿的限额。 5、增加了“集装箱条款”、核能损害责任的规定。 6、诉讼时效的延长。

三、汉堡规则 1、承运人的责任原则。承运人赔偿责任基础由不完全过失责任改为推定完全过失责任。除非承运人能够证明本人及代理人或所雇佣人员为避免事故的发生及其后果已经采取了一切合理要求的措施，否则承运人对在其掌管货物期间因货物灭失、损坏及延迟交货所造成的损失负赔偿责任。 The carrier is liable for loss resulting from loss of or damage to the goods, as well as from delay in delivery, if the occurrence which caused the loss, damage or delay took place while the goods were in his charge as defined in article 4, unless the carrier proves that he, his servants or agents took all measures that could reasonably be required to avoid the occurrence and its consequences. 2、承运人的责任期间：港至港 The responsibility of the carrier for the goods under this Convention covers the period during which the carrier is in charge of the goods at the port of loading, during the carriage and at the port of discharge. 3、承运人赔偿责任限额：835特别提款权或毛重每公斤2.5特别提款权 The liability of the carrier for loss resulting from loss of or damage to goods according to the provisions of article 5 is limited to an amount equivalent to 835 units of account per package or other shipping unit or 2.5 units of account per kilogramme of gross weight of the goods lost or damaged, whichever is the higher.

4、对迟延交付货物的责任。 Delay in delivery occurs when the goods have not been delivered at the port of discharge provided for in the contract of carriage by sea within the time expressly agreed upon or, in the absence of such agreement, within the time which it would be reasonable to require of a diligent carrier, having regard to the circumstances of the case. 5、承运人和实际承运人的赔偿责任：承担连带责任 Where and to the extent that both the carrier and the actual carrier are liable, their liability is joint and several.

6、托运人的责任。 The shipper is not liable for loss sustained by the carrier or the actual carrier, or for damage sustained by the ship, unless such loss or damage was caused by the fault or neglect of the shipper, his servants or agents. Nor is any servant or agent of the shipper liable for such loss or damage unless the loss or damage was caused by fault or neglect on his part. 7、保函的法律地位。对承运人、托运人之间有效，对包括受让人、收货人在内的第三方一概无效。 Any letter of guarantee or agreement by which the shipper undertakes to indemnify the carrier against loss resulting from the issuance of the bill of lading by the carrier, or by a person acting on his behalf, without entering a reservation relating to particulars furnished by the shipper for insertion in the bill of lading, or to the apparent condition of the goods, is void and of no effect as against any third party, including a consignee, to whom the bill of lading has been transferred.

8、索赔通知及诉讼时效。 Unless notice of loss or damage, specifying the general nature of such loss or damage, is given in writing by the consignee to the carrier not later than the working day after the day when the goods were handed over to the consignee, such handing over is prima facie evidence of the delivery by the carrier of the goods as described in the document of transport or, if no such document has been issued, in good condition.   Where the loss or damage is not apparent, the provisions of paragraph 1 of this article apply correspondingly if notice in writing is not given within 15 consecutive days after the day when the goods were handed over to the consignee. No compensation shall be payable for loss resulting from delay in delivery unless a notice has been given in writing to the carrier within 60 consecutive days after the day when the goods were handed over to the consignee. Any action relating to carriage of goods under this Convention is time-barred if judicial or arbitral proceedings have not been instituted within a period of two years.

9、管辖权的规定。被告主营业地、合同订立地、装卸货港
In judicial proceedings relating to carriage of goods under this Convention the plaintiff, at his option, may institute an action in a court which, according to the law of the State where the court is situated, is competent and within the jurisdiction of which is situated one of the following places:  (a) the principal place of business or, in the absence thereof, the habitual residence of the defendant; or  (b) the place where the contract was made provided that the defendant has there a place of business, branch or agency through which the contract was made; or  (c) the port of loading or the port of discharge; or  (d) any additional place designated for that purpose in the contract of carriage by sea.

10、仲裁的规定

第四节国际货物买卖法与海上货物运输法的衔接
第四节国际货物买卖法与海上货物运输法的衔接一、卖方的中途停运权的行使问题所谓卖方的中途停运权，是指未收到货款的卖方在没有保留货物所有权的情况下，遇到买方无力清偿或不愿清偿债务时，对于脱离其占有但尚处于运输中的货物要求承运人中止原定航次运输的行为。这是法律赋予未收到货款的卖方的一种救济方法。

二、关于货物运输保险合同的转让时间问题海运保险合同的转让是通过转让保险单来实现的。海上货物保险单的被保险人有权行使该项权利而无须征得保险人的同意。至于转让的时间，无论是海商法还是保险法，均未作规定。根据可保利益原则，被保险人必须在货物所有权转移前或开始转移时进行，在货物所有权转移后，被保险人对货物已无可保利益。因此按照以上分析，海上运输保险合同转移的时间应在所有权转移之前或开始转移时比较恰当。三、关于某些费用的承担问题（如装卸费用）

四、提货义务公约第53条规定：“买方必须按照合同和本公约的规定支付货物价款和收取货物。”
五、转船的概念跟单信用证统一惯例600号19条b款规定：“转运指根据信用证规定的装运港到卸货港之间的海运过程中，将货物从一船卸下并再装上另一船的运输。” 在海上货物运输合同中，转船是指由于船舶中途遭遇风险或其他以外情况而不得不中止运输时，承运人将货物交给其他承运人装船运输至目的港。

六、有权要求签发提单的人海商法第72条规定，货物由承运人接收或装船后，应托运人的要求承运人应签发提单，但是未明确应由何种托运人行使此权利。海商法下存在两种托运人，即契约托运人与实际托运人，在二类托运人都要求承运人签发提单时，实际托运人（买卖合同的卖方）应具有优先性。七、留置权海商法规定的承运人的留置权以被留置货物的所有权属于债务人为前提，也就是海商法第87条规定，“应当向承运人支付的运费、共同海损分摊、滞期费和承运人为货物垫付的必要费用以及应当向承运人支付的其他费用没有付清的，又没有提供适当担保的，承运人可以在合理范围内留置‘其’货物”。

八、损害赔偿的范围公约第74条规定：“一方当事人违约应负的赔偿额，应与另一方当事人因他违反合同而遭受的包括利润在内的损失额相等。这种损害赔偿不得超过违反合同一方在订立合同时，依照他当时已经知道或理应知道的事实和情况，对违反合同预料到或理应预料到的可能损失。” 海商法55条规定：“货物灭失的赔偿额，按照货物的实际价值计算；货物损坏的赔偿额，按照货物受损前后实际价值的差额或者货物的修复费用计算。货物的实际价值，按装船时的价值加保险费加运费计算。前款规定的货物实际价值，赔偿时应当减去因货物灭失或者损坏而少付或者免付的有关费用。”

第五节国际货物运输保险的基本原则一、可保利益原则 1、定义
第五节国际货物运输保险的基本原则一、可保利益原则 1、定义是指投保人或被保险人对其所保标的具有法律所承认的权益或利害关系。即在保险事故发生时，可能遭受的损失或失去的利益。 A person has an insurable interest in something when loss or damage to it would cause that person to suffer a financial loss or certain other kinds of losses. A basic requirement for all types of insurance is that the person who buys a policy must have an insurable interest in the subject of the insurance.

2、可保利益的来源保险的对象不同，可保利益的来源也不同。 (1) 财产保险 property insurance 是指投保人对于保险标的所具有的法律承认的经济利益。财产可保利益存在的时间 a. 海上保险合同中可保利益存在的时间海上保险要求被保险人在损失发生时必须具有可保利益 b.陆上财产保险合同中可保利益存在的时间一般情况下，不仅要求订立合同时可保利益必须存在，而且在损失发生时也必须存在。

(2)、人身保险 life insurance
人身保险的可保利益，是指被保险人的伤残或死亡会给投保人造成经济上的损失，或者被保险人的身体健康或生命的延续会对投保人有经济上的利益。可保利益构成人身保险合同的效力要件，目的在于防止投保人利用保险谋财害命或者以赌博获取不当利益，以维护被保险人的人身安全。人身保险合同可保利益特征 a、必须在合同成立当时存在 b、不存在代位追偿问题 c、不存在重复保险问题

(3) 责任保险 liability insurance
责任保险是保险人以被保险人的民事损害赔偿责任为保险标的保险。 (4) 信用、保证保险 Credit insurance&guarantee insurance 保证保险: 它是以投保人的行为为保险标的的一种保险，即担保被保险人履行经济合同的一种保险。

保险的基本原则 1、2、可保利益原则(Insurable interest) 3、损失补偿原则4、近因原则(Principle of proximate cause) 5、

二、最大诚信原则(Utmost good faith)
1、定义：保险双方在签订和履行保险合同时，必须最大的诚意，履行自己应尽的义务，互不欺骗和隐瞒，恪守合同的认定与承诺，否则保险合同无效。 2、最大诚信原则的基本内容（1）告知 disclosure 告知是指双方当事人就标的物的有关情况如实地向对方加以陈述。对保险人而言，告知是指保险人应主动向投保人说明保险合同条款内容，如果保险合同中规定有关于保险人责任免除条款的，在订立保险合同时应当向投保人明确说明。（2）保证 warranty 保证是指双方当事人的行为或不行为。保证对保险人的要求主要表现为：在保险事故发生或合同约定的条件满足后，保险人应按合同约定如实履行赔偿或给付义务。保证对投保人而言主要是指：按时缴纳保费、维护标的物的安全、标的物发生损失时及时进行抢救以及标的物出险后维护现场和配合保险人及有关部门进行调查等。

三、损失补偿原则(Principle of indemnity)
1、含义当保险标的发生保险责任范围内的损失时，通过保险赔偿，使被保险人恢复到受损前的经济现状，但不能使其因损失而额外受益。 2、损失补偿原则包含三层意思：（1）从无损失则无补偿而言，补偿须以损失的发生为前提；（2）保险人所补偿的损失只能是保险责任范围内的损失，即由于保险事故造成的保险标的的损失；（3）保险赔偿以补偿实际损失为限。

四、代位追偿原则(Principle of subrogation)
1、含义指在财产保险中，当保险标的发生了保险责任范围内的事故造成损失时，根据法律或合同，第三者需要对包下事故引起的保险标的的损失承担损害赔偿责任，保险人向被保险人履行了损失赔偿责任之后，在其已赔偿的金额的限度内，有权站在与被保险人相同的地位向该第三人索赔。

2、行使代位追偿权的条件（1）保险标的的损失是由第三人基于过错造成的保险事故所引起。（2）只有在保险人根据保险合同赔付赔偿金之后，其代位求偿权才成立（3）保险人可以自己的名义向第三方行使赔偿请求权（4）保险人向第三方责任人行使追偿请求权以其支付的保险赔偿额为限（5）被保险人不得随意放弃对第三方的权利

五、近因原则（principle of proximate cause）
1、含义近因，是指在风险和损失之间，导致损失的最直接、最有效、起决定作用的原因，而不是指时间上或空间上最接近的原因。近因原则是判断风险事故与保险标的的损失直接的因果关系，从而确定保险赔偿责任的一项基本原则，是保险当事人处理保险案件，或法庭审理有关保险赔偿的诉讼案，在调查事件发生的起因和确定事件责任的归属时所遵循的原则。按照近因原则，当保险人承保的风险事故是引起保险标的损失的近因时，保险人应负赔偿 ( 给付 ) 责任。长期以来，它是保险实务中出立赔案是所遵循的重要原则之一。

2、近因原则的具体运用（1）被保风险必须实际发生，损害必须现实（2）如被保风险实际发生，则为防止事态进一步发展而导致保险标的损失，属于承保范围
（3）加速损失发生的事件必须与引起损失发生的事件加以区别（4）新原因的介入（5）近因原则与除外条款如果除外条款规定，损害结果除外不保，此时近因原则将不适用。

3、近因的认定方法　　（1）从最初事件出发，按逻辑推理，判断下一个事件可能是什么；再从可能发生的第二个事件，按照逻辑推理判断最终事件即损失是什么。如果推理判断与实际发生的事实相符，那么，最初事件就是损失的近因。　　（2）从损失开始，按顺序自后向前追溯，在每一个阶段上按照“为什么这一事件会发生？”的思考来找出前一个事件。如果追溯到最初的事件且没有中断，那么，最初事件即为近因。

4、从近因的认定与保险责任的确定来看，主要包括下列几种情况：
（1）单一原因即损失由单一原因造成。如果事故发生所致损失的原因只有一个，显然该原因为损失的近因。如果这个近因属于保险风险，保险人应对损失负赔付责任；如果这个近因是除外风险，保险人则不予赔付。如某人投保人身意外伤害保险，后来不幸死于癌症。由于其死亡的近因是癌症，为人身意外伤害保险的除外责任，故保险人对其死亡不承担保险责任。（2）多种原因同时并存发生即损失由多种原因造成，且这些原因几乎同时发生，无法区分时间上的先后顺序。如果损失的发生有同时存在的多种原因，且对损失都起决定性作用，则它们都是近因。而保险人是否承担赔付责任，应区分两种情况：第一，如果这些原因都属于保险风险，则保险人承担赔付责任；相反，如果这些原因都属于除外风险，保险人则不承担赔付责任。第二，如果这些原因中既有保险风险，也有除外风险，保险人是否承担赔付责任，则要看损失结果是否容易分解，即区分损失的原因。对于损失结果可以分别计算的，保险人只负责保险风险所致损失的赔付；对于损失结果难以划分的，保险人一般不予赔付。

（3）多种原因连续发生　　即损失是由若干个连续发生的原因造成，且各原因之间的因果关系没有中断。如果损失的发生是由具有因果关系的连续事故所致，保险人是否承担赔付责任，也要区分两种情况：第一，如果这些原因中没有除外风险，则这些原因即为损失的近因，保险人应负赔付责任。第二，如果这些原因中既有保险风险，也有除外风险，则要看损失的前因是保险风险还是除外风险。如果前因是保险风险，后因是除外风险，且后因是前因的必然结果，则保险人应承担赔付责任；相反，如果前因是除外风险，后因是保险风险，且后因是前因的必然结果，则保险人不承担赔付责任。　（4）多种原因间断发生　　即损失是由间断发生的多种原因造成的。如果风险事故的发生与损失之间的因果关系由于另外独立的新原因介入而中断，则该新原因即为损失的近因。如果该新原因属于保险风险，则保险人应承担赔付责任；相反，如果该新原因属于除外风险，则保险人不承担赔付责任。

国际商事纠纷解决 Resolution of International Business Disputes

本章要点国际商事调解国际商事仲裁商事仲裁程序商事仲裁协议国际商事仲裁裁决的承认与执行

Key Terms Arbitration Arbitration Agreement Arbitration Clause
Arbitrator CIETAC The New York Convention of 1958

第一节概述 Introduction 一、Options to resolve a dispute 传统上，商事纠纷的解决机制有四种：协商或谈判（negotiation）调解（Conciliation/ Mediation）仲裁（Arbitration）诉讼（Litigation）

Negotiation Negotiation is a consensual bargaining process in which the parties attempt to reach a settlement of their disputes. There are no third parties involved. Conciliation Conciliation means a process, whether referred to by the expression conciliation, mediation or an expression of similar import, whereby parties request a third person, or a panel of persons, to assist them in their attempt to reach an amicable settlement of their dispute arising out of or relating to a contract or other legal relationship. The conciliator or the panel of conciliators does not have the authority to impose upon the parties a solution of the dispute.

Arbitration 仲裁是指当事人在争议发生之前或发生之后达成书面协议，将有关争议事项提交给非司法机关的第三者审理，并由其依据法律或公平原则作出具有约束力的裁决，且双方当事人对此有义务执行的一种非诉讼解决争议制度。 Arbitration, as a form of alternative dispute resolution, is a legal technique for the resolution of disputes outside the courts, where in the parties to a dispute refer it to one or more arbitrators, or arbitral tribunal, by whose decision they agree to be bound. Litigation In the absence of an arbitration agreement or other consensual means of dispute resolution, the parties may commence proceedings in the courts.

Typical Features of Mediation, Arbitration and Litigation
Meditation Arbitration Litigation Private process Public process By agreement By agreement between the parties Any party can institute Non-adversarial May be less adversarial Adversarial procedure Informal, flexible Less formal, more flexible Formal, inflexible Simple procedures agreed by the parties Simpler procedures which parties may modify by agreement; no formal rules of evidence Statutory/rule procedures

No discovery Discovery typically limited to some document production; no interrogatories or depositions Broad discovery Mediators selected by the parties and may have special expertise Adjudicators may be party selected and may be for their expertise Adjudicators are generalist judge/jury Mediators seek interest-based agreements, not legal resolution Adjudicators generally pay attention to the law, but failure to do so usually is not reversible error; their decisions do not formally set precedent Adjudicators apply the law; their decision sets precedent No appeal, no decision from which to appeal Grounds for vacation of award limited to arbitrators fraud, bias and the like Broad right of appeal

Mediators do not render judgments or award
Arbitrators normally are empowered to grant compensatory damages and injunctive relief; preliminary injunctive relief may be difficult to obtain on an emergency basis; state laws differ regarding arbitrator authority to award punitive damages; parties can deny such authority Remedies can include compensatory and punitive damages, injunctive relief Generally reduces costs Can reduce costs High costs Parties determine pace of the process Usually reduces delay to commencement of hearing, but hearings may be intermittent Delay (docket)

二、仲裁的优势 Compared with other methods of dispute resolution, arbitration has the following advantages: 1、Final,Binding Decisions 一裁终局仲裁裁决一旦作出并由当事人签收即具有法律的约束力，任何当事人不得向法院提起诉讼请求予以变更。 2、Party Autonomy 当事人意思自治是否将争议提交仲裁、交与谁仲裁、仲裁庭的组成成员如何产生、适用何种程序及那个实体法，都是在当事人自愿的基础上予以协商确定。

3、 Confidentiality 保密性商事仲裁一般以不公开审理为原则，而且仲裁员及秘书均负有保密的义务，当事人的商业秘密和贸易活动不会泄露，因而具有极强的保密性。 4、International Recognition and Enforcement of Arbitration Awards 裁决的国际执行力

第二节国际商事调解 International Commercial Mediation
Mediation is a process in which a third-party neutral assists in resolving a dispute between two or more other parties. It is a non-adversarial approach to conflict resolution. The role of the mediator is to facilitate communication between the parties, assist them in focusing on the real issues of the dispute, and generate options that meet the interests or needs of all relevant parties in an effort to resolve the conflict.

第三节国际商事仲裁 International Commercial Arbitration
一、国际商事仲裁的概念 1、定义国际商事仲裁是指仲裁机构或仲裁员根据当事人事前或事后达成的仲裁协议和当事人一方的仲裁申请，对国际经济贸易活动中的争议进行审理并作出裁决的制度。 International commercial arbitration is the process of resolving business disputes between or among transnational parties through the use of one or more arbitrators rather than through the courts. It requires the agreement of the parties, which is usually given via an arbitration clause that is inserted into the contract or business agreement. The decision is usually binding.

2、对“国际”的理解联合国国际贸易法委员会制定的国际商事仲裁示范法规定：一项仲裁是国际性的，如果 A 仲裁协议双方当事人在签订该协议的时候，他们的营业地位于不同的国家； B 下列地点之一位于双方当事人营业地共同所在的国家之外： a 仲裁协议中或根据仲裁协议确定的仲裁地 b 商事关系义务将要履行的主要部分的任何地点或争议的客体具有最密切联系的地点 c 双方当事人已经明示约定仲裁协议的客体与一个以上的国家有联系。

3、国际商事仲裁的法律框架（1）国际商事仲裁公约和条约（2）国际商事仲裁的国内立法（3）国际商事仲裁的示范法（4）国际商事仲裁的规则 4、世界主要商事仲裁机构（1）国际商会国际仲裁院（ICC International Court of Arbitration）（2）解决国际投资争端中心（ ICSID， International Center for the Settlement of Investment Dispute）（3）WIPO仲裁和调解中心（WIPO Arbitration and Mediation Center) （4）美国仲裁协会（AAA，American Arbitration Association）（5）伦敦国际仲裁院（ LCIA， London Court of International Arbitration）（6）斯德哥尔摩商会仲裁院（SCC，Arbitration Institute of Stockholm Chamber of Commerce）（7）中国国际经济贸易仲裁委会（CIETAC，China International Economic and Trade Arbitration Commission）

二、仲裁协议（Arbitration Agreement）
1、定义仲裁协议是指双方当事人对他们之间业已发生或将来可能发生的争议交付仲裁解决的协议。 Arbitration agreement is a contract to refer a present or future legal dispute to arbitration. In theory, arbitration is a consensual process; parties will only ever arbitrate where they agree to do so. Where there is no agreement, there will be no arbitration.

2、仲裁协议的特点（1）是仲裁庭或仲裁机构受理双方当事人的争议的依据 In arbitration, arbitration agreement is the first fact, the basic of international commercial arbitration and the legal grounds of receiving case. （2）具有排除任何法院对有关争议行使管辖权的效力 Once there is an arbitration agreement, no party to the agreement can bring the dispute to the court anymore. （3）具有相对独立性 With relative independence （4）一般是书面协议，或是在合同中订立仲裁条款 With written agreement, or has an arbitration clause in the contract

3、仲裁协议的内容（1）仲裁事项 matters for arbitration （2）仲裁程序 procedure of arbitration （3）仲裁机构 the arbitration institution （4）仲裁地 place of arbitration （5）裁决的效力 the binding effect of the award

4、仲裁协议的有效要件（The effective element of arbitration agreement)
（1）形式要件 It should be written. (2) 实质要件当事人具有缔约能力 The parties have the capacity to agreement 争议事项的可仲裁性 Arbitrability of dispute 请求仲裁的真实意思表示 Have genuine intention expressed in arbitraion 仲裁协议的内容合法 Lawful content of arbitration agreement （3）仲裁协议的独立性 The effect of an agreement for arbitration shall stand independently and shall not be affected by the alteration, dissolution,termination or invalidity of a contract.

三、国际商事仲裁程序（一）仲裁的申请和受理 Application and Acceptance 1、仲裁的申请 applying for arbitration 当事人申请仲裁的条件：（1）有仲裁协议must have an arbitration agreement; （2）有具体的仲裁请求和事实、理由must have a specific claim with facts and argument on which the claim is based; （3）属于仲裁受理的范围。must be within the jurisdiction of the arbitration commission.

2、仲裁的受理 Within 5 days from the date of receiving the arbitration application, the arbitration commission shall notify the parties that it considers the conditions for acceptance have been fulfilled, and that the application is accepted by it. If the arbitration commission considers that the conditions have not been fulfilled, it shall notify the parties in writing of its rejection, stating its reasons. Upon acceptance of an arbitration application, the arbitration commission shall, within the time limit provided by the Arbitration Rules, serve a copy of the Arbitration Rules and the list of arbitrators on the applicant, and serve a copy of the arbitration application, the Arbitration Rules and the list of arbitrators on the respondent. 仲裁委员会收到仲裁申请书之日起五日内，认为符合受理条件的，应当受理，并通知当事人；认为不符合受理条件的，应当书面通知当事人不予受理，并说明理由。仲裁委员会受理仲裁申请后，应当在仲裁规则规定的期限内将仲裁规则和仲裁员名册送达申请人，并将仲裁申请书副本和仲裁规则、仲裁员名册送达被申请人。

3、答辩 statement of defense
Upon receipt of a copy of the arbitration application, the respondent shall, within the time limit prescribed by the Arbitration Rules, submit its defense to the arbitration commission. Upon receipt of the defense, the arbitration commission shall, within the time limit prescribed by the Arbitration Rules, serve a copy of the reply on the applicant. The failure of the respondent to submit a defense shall not affect the proceeding of the arbitration procedures. 被申请人收到仲裁申请书副本后，应当在仲裁规则规定的期限内向仲裁委员会提交答辩书。仲裁委员会收到答辩书后，应当在仲裁规则规定的期限内将答辩书副本送达申请人。被申请人未提交答辩书的，不影响仲裁程序的进行。

4、反请求 counterclaim The respondent may accept the arbitration claim or object to it. It has a right to make a counterclaim. 被申请人可以承认或者反驳仲裁请求，有权提出反请求。 5、仲裁代理 The parties and their legal representatives may appoint lawyers or engage agents to handle matters relating to the arbitration. In the event that a lawyer or an agent is appointed to handle the arbitration matters, a letter of authorization shall be submitted to the arbitration commission. 当事人可以委托仲裁代理人办理有关仲裁事项；接受委托的仲裁代理人，应向仲裁委员会提交授权委托书。

6、财产保全和证据保全 A party may apply for property preservation if, as the result of an act of the other party or for some other reasons, it appears that an award may be impossible or difficult to enforce. 一方当事人因另一方当事人的行为或者其他原因，可能使裁决不能执行或者难以执行的，可以申请财产保全。 If one of the parties applies for property preservation, the arbitration commission shall submit to a people's court the application of the party in accordance with the relevant provisions of the Civil Procedure Law. 当事人申请财产保全的，仲裁委员会应当将当事人的申请依照民事诉讼法的有关规定提交人民法院。 If a property preservation order is unfounded, the applicant shall compensate the party against whom the order was made for any losses sustained as a result of the implementation of the property preservation order. 申请有错误的，申请人应当赔偿被申请人因财产保全所遭受的损失。

（二）仲裁庭的组成 Composition of the Arbitration Tribunal 仲裁庭是由当事人选定，或者当事人授权其他有权机构并依照法律或仲裁规则的规定所指定仲裁员组成的，对仲裁争议事项进行审理，并作出裁决的组织。 1、仲裁员的资格条件 qulificaiton of an arbitrator 2、仲裁员的选定或指定 choice of arbitrators 3、披露 reveal 4、仲裁员的回避 withdrawal of an arbitrator

（三）审理 1、开庭审理 hearing 2、开庭通知 notify 3、不公开审理 heard in private session 4、证据和举证责任 evidence and burden of proof 5、缺席审理 Trial by default 6、辩论 arguement 7、和解与调解 meditation 8、异议的提出 objection

（四）裁决 award 1、仲裁庭作出裁决的期限 The arbitration tribunal shall render an arbitral award within 9 months as from the date on which the arbitration tribunal is formed. The Secretary-General of the Arbitration Commission may extend this time limit at the request of the arbitration tribunal if the Secretary-General of the Arbitration Commission considers that it is really necessary and the reasons for extension are truly justified.

2、仲裁裁决的作出 Where a case is heard by an arbitration tribunal composed of three arbitrators, the arbitral award shall be decided by the majority of the arbitrators and the minority opinion may be written in the record and docketed into the file. When the arbitration tribunal cannot attain a majority opinion, the arbitral award shall be decided in accordance with the presiding arbitrator's opinion.

3、中间裁决和部分裁决 An interlocutory arbitral award or partial award may be made by the arbitral tribunal on any issue of the case at any time during the arbitration before the final award is made if considered necessary by the arbitral tribunal, or if the parties request and the arbitral tribunal accepts. Either party’s failure to perform the interlocutory award will not affect the continuation of the arbitration proceedings, nor will it prevent the arbitral tribunal from making a final award. 仲裁庭认为有必要或当事人提出经仲裁庭同意时，可以在仲裁过程中在最终仲裁裁决作出之前的任何时候，就案件的任何问题作出中间裁决或部分裁决。任何一方当事人不履行中间裁决，不影响仲裁程序的继续进行，也不影响仲裁庭作出最终裁决。

4、仲裁费和其他费用 The parties shall pay arbitration fees in accordance with the relevant provisions. Apart form charging arbitration fees from the parties according to the Arbitration Fee Schedule of the Arbitration Commission, the Arbitration Commission may collect from the parties other extra, reasonable and actual expenses。仲裁庭认为有权在仲裁裁决书中裁定双方当事人最终向仲裁委员会支付的仲裁费和其他费用。仲裁庭有权在裁决书中裁定败诉方应当补偿胜诉方因为办理案件所指出的部分合理的费用，但补偿金额最多不超过胜诉金额的10%。

5、仲裁裁决的生效 The arbitral award is final and binding upon both parties. Neither party may bring a suit before a law court or make a request to any other organization for revising the award. The date on which the award is made shall be the date on which the award comes into legal effect. 仲裁裁决是终局的，对双方当事人都有约束力。任何一方当事人不得向法院起诉，也不得向其他任何机构提出变更仲裁裁决的请求。作出仲裁裁决书的日期，即为仲裁裁决发生法律效力的日期。

（五）裁决的撤销 The parties may apply to the intermediate people's court at the place where the arbitration commission is located for cancellation of an award if they provide evidence proving that the award involves one of the following circumstances: 1. there is no arbitration agreement between the parties; 没有仲裁协议的； 2. the matters of the award are beyond the extent of the arbitration agreement or not within the jurisdiction of the arbitration commission; 裁决的事项不属于仲裁协议的范围或者仲裁委员会无权仲裁的； 3. the composition of the arbitration tribunal or the arbitration procedure is in contrary to the legal procedure; 仲裁庭的组成或者仲裁的程序违反法定程序的； 4. the evidence on which the award is based is falsified; 裁决所根据的证据是伪造的； 5. the other party has concealed evidence which is sufficient to affect the impartiality of the award;　　　　对方当事人隐瞒了足以影响公正裁决的证据的； 6. the arbitrator has demanded or accepted bribes, committed graft or perverted the law in making the arbitral award.　　仲裁员在仲裁该案时有索贿受贿，徇私舞弊，枉法裁决行为的。

四、国际商事仲裁裁决的承认和执行 Recognition and Enforcement of Foreign Arbitral Awards 1、仲裁裁决承认和执行的含义根据国际商事仲裁规则以及相关公约的规定，双方当事人应当依照仲裁裁决写明的期限自动履行裁决；仲裁裁决书未写明期限的，应当立即履行。当事人不予履行的，则另一方当事人有权向有关法院申请强制执行。如果裁决作出地国与被申请执行承认和执行裁决地国不是同一个国家，就产生了仲裁裁决承认（recognition）和执行（enforcement）。

2、仲裁裁决承认和执行的途径依专门的国际公约承认和执行 According to the specific International Convention 援引双边或多边条约中有关承认和执行的规定 Invoke the relevant provisions of recognition and enforcement of bilateral or multilateral treaties 依互惠原则承认和执行 According to the principle of reciprocity 依国内法承认和执行 According to the domestic law in recognition and enforcement

3、关于承认和执行国际商事仲裁裁决的国际公约
1958年的《纽约公约》（1）Each Contracting State shall recognize arbitral awards as binding and enforce them in accordance with the rules of procedure of the territory where the award is relied upon, under the conditions laid down in the following articles. There shall not be imposed substantially more onerous conditions or higher fees or charges on the recognition or enforcement of arbitral awards to which this Convention applies than are imposed on the recognition or enforcement of domestic arbitral awards. 缔约国相互承认仲裁裁决具有约束力，并应依照承认或执行地的程序规则予以执行。在承认或执行其他缔约国的仲裁裁决时，不应在实质上比承认或执行本国的仲裁裁决规定更繁琐的条件或更高昂的费用。

（2）Documents to supply to obtain the recognition and enforcement
To obtain the recognition and enforcement mentioned in the preceding article the party applying for recognition and enforcement shall at the time of the application supply: a The duly authenticated original award or a duly certified copy thereof 原裁决之正本或其正式副本， b The original agreement or a duly certified copy thereof. 仲裁协议之原本或其正式副本。

If the said award or agreement is not made in an official language of the country in which the award is relied upon the party applying for recognition and enforcement of the award shall produce a translation of these documents into such language. The translation shall be certified by an official or sworn translator or by a diplomatic or consular agent. 前述裁决或协定所用文字非为援引裁决地所在国之正式文字，申请承认及执行裁决之一方当事人应备具各该文件之此项文字译本。译本应由公设或宣誓之翻译员或外交或领事人员认证。

(3)拒绝承认和执行外国仲裁裁决的条件：Recognition and enforcement of the award may be refused, at the request of the party against whom it is invoked, only if that party furnishes to the competent authority where the recognition and enforcement is sought, proof that: (a) The parties to the agreement referred to in article II were, under the law applicable to them, under some incapacity, or the said agreement is not valid under the law to which the parties have subjected it or, failing any indication thereon, under the law of the country where the award was made; 签订仲裁协议的当事人，根据对他们适用的法律，当时是处于无行为能力的情况下；或者根据仲裁协议所选定的准据法，或在未选定准据法时依据裁决地法，该仲裁协议无效；

(b) The party against whom the award is invoked was not given proper notice of the appointment of the arbitrator or of the arbitration proceedings or was otherwise unable to present his case; 被执行人未接到关于指派仲裁员或关于仲裁程序的适当通知，或者由于其他情况未能在案件中进行申辩； (c) The award deals with a difference not contemplated by or not falling within the terms of the submission to arbitration, or it contains decisions on matters beyond the scope of the submission to arbitration; 裁决所处理之争议非为交付仲裁之标的或不在其条款之列，或裁决超出有关于交付仲裁范围以外事项之决定者；

(d) The composition of the arbitral authority or the arbitral procedure was not in accordance with the agreement of the parties, or, failing such agreement, was not in accordance with the law of the country where the arbitration took place; 仲裁庭的组成或仲裁程序同当事人间的协议不符，或者当事人之间没有这种协议时，与仲裁地所在国家的法律不符； (e) The award has not yet become binding on the parties, or has been set aside or suspended by a competent authority of the country in which, or under the law of which, that award was made. 裁决对当事人还没有拘束力，或者裁决已经由作出裁决的国家或据其法律作出裁决的国家的主管机关撤销或停止执行。

Recognition and enforcement of an arbitral award may also be refused if the competent authority in the country where recognition and enforcement is sought finds that: 申请承认及执行地所在国之主管机关认定有下列情形之一，亦得拒不承认及执行仲裁裁决： (a) The subject matter of the difference is not capable of settlement by arbitration under the law of that country; 依该国法律，争议事项系不能以仲裁解决者； (b) The recognition or enforcement of the award would be contrary to the public policy of that country. 承认或执行裁决有违该国公共政策者。

（三）中国法律关于承认和执行仲裁裁决的规定
1、中国国际商事仲裁机构仲裁裁决在中国的执行 If one party fails to comply with the arbitral award, the other party may apply for its enforcement to the intermediate people's court of the place where the party against whom the application for enforcement is made has his domicile or where his property is located. 一方当事人不履行的，对方当事人可以申请被申请人住所地或财产所在地的中级人民法院执行。

仲裁裁决有下列情形之一的，经人民法院组成合议庭审查核实，裁定撤销或不予执行：
(1) the parties have not had an arbitration clause in the contract or have not subsequently reached a written arbitration agreement; 当事人在合同中没有订有仲裁条款或者事后没有达成书面仲裁协议的； (2) the party against whom the application for enforcement is made was not given notice for the appointment of an arbitrator or for the inception of the arbitration proceedings or was unable to present his case due to causes for which he is not responsible; 被申请人没有得到指定仲裁员或者进行仲裁程序的通知，或者由于其他不属于被申请人负责的原因未能陈述意见的； (3) the composition of the arbitration tribunal or the procedure for arbitration was not in conformity with the rules of arbitration; 仲裁庭的组成或者仲裁的程序与仲裁规则不符的； (4) the matters dealt with by the award fall outside the scope of the arbitration agreement or which the arbitral organ was not empowered to arbitrate. 裁决的事项不属于仲裁协议的范围或者仲裁机构无权仲裁的。

2、中国国际商事仲裁机构仲裁裁决在外国的承认和执行
If a party applies for enforcement of a legally effective arbitral award made by an arbitral organ in the People's Republic of China handling cases involving foreign element and the opposite party or his property is not within the territory of the People's Republic of China, he may directly apply for recognition and enforcement of the award to the foreign court which has jurisdiction. 我国涉外仲裁机构作出的发生法律效力的仲裁裁决，当事人请求执行的，如果被执行人或者其财产不在中华人民共和国领域内，应当由当事人直接向有管辖权的外国法院申请承认和执行。

3、外国仲裁裁决在中国的承认和执行 If an award made by a foreign arbitral organ requires the recognition and enforcement by a people's court of the People's Republic of China, the party concerned shall directly apply to the intermediate people's court of the place where the party subjected to enforcement has his domicile or where his property is located. The people's court shall deal with the matter in accordance with the international treaties concluded or acceded to by the People's Republic of China or with the principle of reciprocity. 国外仲裁机构的裁决，需要中华人民共和国人民法院承认和执行的，应当由当事人直接向被执行人住所地或者其财产所在地的中级人民法院申请，人民法院应当依照中华人民共和国缔结或者参加的国际条约，或者按照互惠原则办理。

两项保留：互惠保留和商事保留互惠保留（reciprocity）即我国只在互惠的基础上，承认和执行在缔约国领土内做成的仲裁裁决。商事保留（commercialization）即我国只承认和执行属于契约和非契约性商事法律关系争议做成的仲裁裁决。

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