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国际统一私法协会国际商事合同通则 第1至3章

点击数:发布时间:2017-09-12来源:CONTRACTUS的博客
摘要: Principles of International Commercial Contracts 国际统一私法协会国际商事合同通则 (2004) 简介:《国际商事合同通则》(Principles of International Commercial Contracts,简称PICC)是国际统一私法协会1994年编撰的,2004年做了大的修订。它是一部具

Principles of International Commercial Contracts

国际统一私法协会国际商事合同通则  (2004)

 

   简介:《国际商事合同通则》(Principles of International Commercial Contracts,简称PICC)是国际统一私法协会1994年编撰的,2004年做了大的修订。它是一部具有现代性、广泛代表性、权威性与实用性的商事合同统一法。它可为各国立法参考,为司法、仲裁所适用,是起草合同、谈判的工具,也是合同法教学的参考书。《国际商事合同通则》旨在为国际商事合同制定一般规则,在当事人约定其合同受《国际商事合同通则》管辖时,应适用《国际商事合同通则》;在当事人约定其合同适用法律的一般原则、商人习惯法或类似措辞时,可适用《国际商事合同通则》;在当事人未选择任何法律管辖其合同时,可适用《国际商事合同通则》;《国际商事合同通则》可用于解释或补充国际统一法文件;《国际商事合同通则》可用于解释或补充国内法;《国际商事合同通则》也可作为国内和国际立法的范本。

 

第一章 总则GENERAL PROVISIONS

第1.1条缔约自由       ARTICLE 1.1 Freedom of contract

第1.2条无形式要求     ARTICLE 1.2 No form required

第1.3条合同的约束性   ARTICLE 1.3 Binding character of contract

第1.4条 强制性规则 ARTICLE 1.4Mandatory rules

第1.5条 当事人的排除或修改  ARTICLE 1.5 Exclusion or modification by the parties

第1.6条 通则的解释和补充 ARTICLE 1.6 Interpretation and supplementation of the Principles

第1.7条 诚实信用和公平交易 ARTICLE 1.7 Good faith and fair dealing

第1.8条 不一致行为 ARTICLE 1.8 Inconsistent Behaviour

第1.9条 惯例和习惯做法 ARTICLE 1.9 Usages and practices

第1.10条 通知 ARTICLE 1.10 Notice

第1.11条 定义 ARTICLE 1.11 Definitions

第1.12条 当事人规定的时间的计算 ARTICLE 1.12 Computation of time set by parties

 

第二章 合同的订立与代理人的权限

CHAPTER 2 — FORMATION AND AUTHORITY OF AGENTS

第一节 合同的订立SECTION 1: FORMATION

第2.1.1条 订立的形式   ARTICLE 2.1.1 Manner of formation

第2.1.2条 要约的定义  ARTICLE 2.1.2 Definition of offer

第2.1.3条 要约的撤回  ARTICLE 2.1.3 Withdrawal of offer

第2.1.4条 要约的撤销   ARTICLE 2.1.4 Revocation of offer

第2.1.5条 要约的拒绝   ARTICLE 2.1.5 Rejection of offer

第2.1.6条 承诺的方式   ARTICLE 2.1.6 Mode of acceptance

第2.1.7条 承诺的时间   ARTICLE 2.1.7 Time of acceptance

第2.1.8条 规定期限内的承诺   ARTICLE 2.1.8 Acceptance within a fixed period of time

第2.1.9条 逾期承诺与传递迟延  ARTICLE 2.1.9 Late acceptance. Delay in transmission

第2.1.10条 承诺的撤回  ARTICLE 2.1.10 Withdrawal of acceptance

第2.1.11条 变更的承诺   ARTICLE 2.1.11 Modified acceptance

第2.1.12条 书面确认  ARTICLE 2.1.12 Writings in confirmation

第2.1.13条合同的订立基于对特定事项或特定形式的协议    ARTICLE 2.1.13 Conclusion of contract dependent on agreement on specific matters or in a particular form

第2.1.14条 特意待定的合同条款  ARTICLE 2.1.14 Contract with terms deliberately left open

第2.1.15条 恶意谈判   ARTICLE 2.1.15 Negotiations in bad faith

第2.1.16条 保密义务  ARTICLE 2.1.16 Duty of confidentiality

第2.1.17条 合并条款  ARTICLE 2.1.17 Merger clauses

第2.1.18条 特定形式修改  ARTICLE 2.1.18 Modification in a particular form

第2.1.19条 按标准条款订立合同 ARTICLE 2.1.19  Contracting under standard terms

第2.1.20条 意外条款  ARTICLE 2.1.20 Surprising terms

第2.1.21条 标准条款与非标准条款的冲突 

ARTICLE 2.1.21 Conflict between standard terms and non-standard terms

第2.1.22条 格式合同之争  ARTICLE 2.1.22   Battle of forms

 

第二节 代理人的权限SECTION 2: AUTHORITY OF AGENTS

第2.2.1条 本节的范围   ARTICLE 2.2.1 Scope of the Section

第2.2.2条 代理人权限的确立和范围

ARTICLE 2.2.2 Establishment and scope of the authority of the agent

第2.2.3条 显名代理  ARTICLE 2.2.3 Agency disclosed

第2.2.4条 隐名代理   ARTICLE 2.2.4 Agency undisclosed

第2.2.5条 代理人无权或越权行事 

ARTICLE 2.2.5 Agent acting without or exceeding its authority

第2.2.6条 代理人无权或越权行事的责任

 ARTICLE 2.2.6 Liability of agent acting without or exceeding its authority

第2.2.7条 利益冲突  ARTICLE 2.2.7 Conflict of interests

第2.2.8条 次代理  ARTICLE 2.2.8 Sub-agency

第2.2.9条 追认  ARTICLE 2.2.9 Ratification

第2.2.10条 代理权终止 ARTICLE 2.2.10  Termination of authority

 

第三章 合同的效力CHAPTER 3 — VALIDITY

第3.1条 未涉及事项 ARTICLE 3.1(Matters not covered)

第3.2条 协议的效力  ARTICLE 3.2  Validity of mere agreement

第3.3条 自始不能  ARTICLE 3.3  Initial impossibility

第3.4条 错误的定义  ARTICLE 3.4 Definition of mistake

第3.5条 相关错误  ARTICLE 3.5 Relevant mistake

第3.6条 表述或传达中的错误  ARTICLE 3.6 Error in expression or transmission

第3.7条 对不履行的救济 ARTICLE 3.7 Remedies for non-performance

第3.8条 欺诈   ARTICLE 3.8 Fraud

第3.9条 胁迫  ARTICLE 3.9 Threat

第3.10条 重大失衡  ARTICLE 3.10 Gross disparity

第3.11条 第三人  ARTICLE 3.11 Third persons

第3.12条 确认  ARTICLE 3.12 Confirmation

第3.13条 丧失宣告合同无效的权利  ARTICLE 3.13 Loss of right to avoid

第3.14条 宣告合同无效的通知  ARTICLE 3.14 Notice of avoidance

第3.15条 时间期限  ARTICLE 3.15 Time limits

第3.16条 部分无效  ARTICLE 3.16 Partial avoidance

第3.17条 宣告合同无效的追溯力  ARTICLE 3.17 Retroactive effect of avoidance

第3.18条 损害赔偿  ARTICLE 3.18 Damages

第3.19条 本章条款的强制性  ARTICLE 3.19 Mandatory character of the provisions

第3.20条 单方声明  ARTICLE 3.20 Unilateral declarations

 

第四章 合同的解释CHAPTER 4 — INTERPRETATION

第4.1条 当事人的意思  ARTICLE 4.1 Intention of the parties

第4.2条 对陈述和其他行为的解释

    ARTICLE 4.2 Interpretation of statements and other conduct

第4.3条 相关情况  ARTICLE 4.3 Relevant circumstances

第4.4条 合同或陈述作为整体考虑 

ARTICLE 4.4 Reference to contract or statement as a whole

第4.5条 给予所有条款以效力  ARTICLE 4.5 All terms to be given effect

第4.6条 对条款提议人不利规则  ARTICLE 4.6  Contra proffer rule

第4.7条 语言差异  ARTICLE 4.7 Linguistic discrepancies

第4.8条 补充空缺条款  ARTICLE 4.8 Supplying an omitted term

 

第五章 合同的内容与第三方权利CHAPTER 5 — CONTENT AND THIRD PARTY RIGHTS

第一节 合同的内容SECTION 1: CONTENT

第5.1.1条 明示和默示的义务  ARTICLE 5.1.1 Express and implied obligations

第5.1.2条 默示的义务  ARTICLE 5.1.2 Implied obligations

第5.1.3条 事人之间的合作  ARTICLE 5.1.3Co-operation between the parties

第5.1.5条确定所涉义务的种类  ARTICLE 5.1.5Determination of kind of duty involved

第5.1.6条确定履行的质量  ARTICLE 5.1.6Determination of quality of performance

第5.1.7条 价格的确定  ARTICLE 5.1.7 Price determination

第5.1.8条 无固定期限的合同  ARTICLE 5.1.8 Contract for an indefinite period

第5.1.9条 通过协议放弃权利  ARTICLE 5.1.9 Release by agreement

 

第二节 第三方权利SECTION 2: THIRD PARTY RIGHTS

第5.2.1条 第三方受益的合同  ARTICLE 5.2.1 Contracts in favour of third parties

第5.2.2条 可确定的第三方  ARTICLE 5.2.2 Third party identifiable

第5.2.3条 排除和限制条款  ARTICLE 5.2.3  Exclusion and limitation clauses

第5.2.4条 抗辩  ARTICLE 5.2.4 Defence

第5.2.5条 撤销  ARTICLE 5.2.5 Revocation

第5.2.6条 放弃权利  ARTICLE 5.2.6 Renunciation

 

第六章 履行CHAPTER 6 — PERFORMANCE

第一节 履行的一般规定SECTION 1: PERFORMANCE IN GENERAL

第6.1.1条 履行时间  ARTICLE 6.1.1 Time of performance

第6.1.2条 一次或分期履行  ARTICLE 6.1.2 Performance at one time or in installments

第6.1.4条 履行顺序  ARTICLE 6.1.4 Order of performance

第6.1.5条 提前履行  ARTICLE 6.1.5 Earlier performance

第6.1.6条 履行地  ARTICLE 6.1.6 Place of performance

第6.1.7条 以支票或其他票据付款  ARTICLE 6.1.7 Payment by cheque or other instrument

第6.1.8条 转账支付  ARTICLE 6.1.8 Payment by funds transfer

第6.1.9条 付款货币   ARTICLE 6.1.9 Currency of payment

第6.1.10条 未规定货币  ARTICLE 6.1.10 Currency not expressed

第6.1.11条 履行费用  ARTICLE 6.1.11 Costs of performance

第6.1.12条 指定清偿  ARTICLE 6.1.12 Imputation of payments

第6.1.13条 非金钱债务的指定清偿 

ARTICLE 6.1.13 Imputation of non-monetary obligations

第6.1.14条 申请公共许可  ARTICLE 6.1.14 Application for public permission

第6.1.15条 申请许可的程序  ARTICLE 6.1.15 Procedure in applying for permission

第6.1.16条 许可既未获批准又未遭拒绝 

ARTICLE 6.1.16 Permission neither granted nor refused

第6.1.17条 拒绝许可  ARTICLE 6.1.17 Permission refused

 

第二节:艰难情形SECTION 2: HARDSHIP

第6.2.1条 合同必须遵守  ARTICLE 6.2.1 Contract to be observed

第6.2.2条 艰难情形的定义  ARTICLE 6.2.2 Definition of hardship

 

第七章 不履行CHAPTER 7 — NON-PERFORMANCE

第一节 不履行的一般规定SECTION 1: NON-PERFORMANCE IN GENERAL

第7.1.1条 不履行的定义  ARTICLE 7.1.1 Non-performance defined

第7.1.2条  另一方当事人的干预   ARTICLE 7.1.2 Interference by the other party

第7.1.3条 停止履行  ARTICLE 7.1.3 Withholding performance

第7.1.4条 不履行方的补救  ARTICLE 7.1.4 Cure by non-performing party

第7.1.5条 履行的额外期间  ARTICLE 7.1.5 Additional period for performance

第7.1.6条 免责条款  ARTICLE 7.1.6 Exemption clauses

第7.1.7条 不可抗力  ARTICLE 7.1.7 Force majeure

 

第二节 要求履行的权利SECTION 2: RIGHT TO PERFORMANCE

第7.2.1条 金钱债务的履行  ARTICLE 7.2.1 Performance of monetary obligation

第7.2.2条 非金钱债务的履行  ARTICLE 7.2.2 Performance of non-monetary obligation

第7.2.3条 对瑕疵履行的修补和替换

ARTICLE 7.2.3 Repair and replacement of defective performance

第7.2.4条 法院判决的罚金   ARTICLE 7.2.4 Judicial penalty

第7.2.5条 救济的变更  ARTICLE 7.2.5 Change of remedy

第三节 合同的终止SECTION 3: TERMINATION

第7.3.1条 终止合同的权利  ARTICLE 7.3.1 Right to terminate the contract

第7.3.2条 终止通知  ARTICLE 7.3.2 Notice of termination

第7.3.3条 预期不履行  ARTICLE 7.3.3 Anticipatory non-performance

第7.3.4条 如约履行的充分保证  ARTICLE 7.3.4 Adequate assurance of due performance

第7.3.5条 终止合同的一般效果   ARTICLE 7.3.5 Effects of termination in general

第7.3.6条 恢复原状  ARTICLE 7.3.6 Restitution

 

第四节 损害赔偿SECTION 4: DAMAGES

第7.4.1条 损害赔偿的权利 ARTICLE 7.4.1 Right to damages

第7.4.2条 赔偿  ARTICLE 7.4.2 Full compensation

第7.4.3条 损害的确定  ARTICLE 7.4.3 Certainty of harm

第7.4.4条 损害的可预见性  ARTICLE 7.4.4 Foreseeability of harm

第7.4.5条 存在替代交易情况时的损害证明 

ARTICLE 7.4.5 Proof of harm in case of replacement transaction

第7.4.6条 依时价确定损害的证明   ARTICLE 7.4.6  Proof of harm by current price

第7.4.7条 部分归咎于受损害方的损害  ARTICLE 7.4.7 Harm due in part to aggrieved party

第7.4.8条 损害的减轻  ARTICLE 7.4.8 Mitigation of harm

第7.4.9条 未付金钱债务的利息  ARTICLE 7.4.9 Interest for failure to pay money

第7.4.10条 损害赔偿的利息  ARTICLE 7.4.10 Interest on damages

第7.4.11条 金钱赔偿的方式  ARTICLE 7.4.11 Manner of monetary redress

第7.4.12条 估算损害赔偿金的货币  ARTICLE 7.4.12 Currency in which to assess damages

第7.4.13条 对不履行所约定的付款  ARTICLE 7.4.13 Agreed payment for non-performance

 

第八章 抵销CHAPTER 8 — SET-OFF

第8.1条 抵销的条件  ARTICLE 8.1 Conditions of set-off

第8.2条 外汇抵销  ARTICLE 8.2 Foreign currency set-off

第8.3条 抵销通知   ARTICLE 8.3 Set-off by notice

  第8.4条 通知的内容   ARTICLE 8.4 Content of notice

第8.5条 抵销的效力  ARTICLE 8.5 Effect of set-off

 

第九章 权利的转让、债务的转移、合同的转让

CHAPTER 9 — ASSIGNMENT OF RIGHTS, TRANSFER OF OBLIGATIONS,

ASSIGNMENT OF CONTRACTS

第一节 权利的转让SECTION 1: ASSIGNMENT OF RIGHTS

第9.1.1条 定义  ARTICLE 9.1.1 Definitions

第9.1.2条 排除适用  ARTICLE 9.1.2 Exclusions

第9.1.3条 非金钱权利的转让  ARTICLE 9.1.3 Assignability of non-monetary rights

第9.1.4条 部分转让  ARTICLE 9.1.4 Partial assignment

第9.1.5条 未来权利  ARTICLE 9.1.5 Future rights

第9.1.6条 未逐一指明的权利的转让

ARTICLE 9.1.6 Rights assigned without individual specification

第9.1.7条 让与人和受让人协议即可转让

ARTICLE 9.1.7 Agreement between assignor and assignee sufficient

第9.1.8条 债务人的额外成本  ARTICLE 9.1.8 Obligor’s additional costs

第9.1.9条 非转让条款  ARTICLE 9.1.9 Non-assignment clauses

第9.1.10条 通知债务人  ARTICLE 9.1.10 Notice to the obligor

第9.1.11条 连续转让   ARTICLE 9.1.11 Successive assignments

第9.1.12条 转让的充分证据  ARTICLE 9.1.12 Adequate proof of assignment

第9.1.13条 抗辩权和抵销权  ARTICLE 9.1.13 Defences and rights of set-off

第9.1.14条 与权利转让相关之权利  ARTICLE 9.1.14 Rights related to the right assigned

第9.1.15条 让与人的担保  ARTICLE 9.1.15 Undertakings of the assignor

 

第二节:债务的转移SECTION 2: TRANSFER OF OBLIGATIONS

第9.2.1条 转移的模式   ARTICLE 9.2.1 Modes of transfer

第9.2.2条 排除适用   ARTICLE 9.2.2 Exclusion

第9.2.3条 对债权人转移同意的要求 

ARTICLE 9.2.3 Requirement of obligee’s consent to transfer

第9.2.4条 债权人的预先同意  ARTICLE 9.2.4 Advance consent of obligee

第9.2.5条 原债务人债务的解除  ARTICLE 9.2.5 Discharge of original obligor

第9.2.6条 第三方履行  ARTICLE 9.2.6 Third party performance

第9.2.7条 抗辩和抵销权  ARTICLE 9.2.7 Defences and rights of set-off

第9.2.8条 与被转移债务相关的权利 

ARTICLE 9.2.8 Rights related to the obligation transferred

 

第三节 合同的转让SECTION 3: ASSIGNMENT OF CONTRACTS

第9.3.1条 定义  ARTICLE 9.3.1 Definitions

第9.3.2条 排除适用  ARTICLE 9.3.2 Exclusion

第9.3.3条 另一方当事人同意的要求 

ARTICLE 9.3.3 Requirement of consent of the other party

第9.3.4条 另一方当事人的预先同意  ARTICLE 9.3.4 Advance consent of the other party

第9.3.5条 让与人债务的解除  ARTICLE 9.3.5 Discharge of the assignor

第9.3.6条 抗辩和抵销权  ARTICLE 9.3.6 Defences and rights of set-off

第9.3.7条 随合同转让的权利  ARTICLE 9.3.7 Rights transferred with the contract

 

第十章 时效期间CHAPTER 10 — LIMITATION PERIODS

第10.1条 本章范围  ARTICLE 10.1 Scope of the Chapter

第10.2条 时效期间  ARTICLE 10.2 Limitation periods

第10.3条 当事人对时效期间的修改 

ARTICLE 10.3 Modification of limitation periods by the parties

第10.5条 因司法程序而中止  ARTICLE 10.5 Suspension by judicial proceedings

第10.6条 因仲裁程序而中止  ARTICLE 10.6 Suspension by arbitral proceedings

第10.7条 替代性争议解决机制  ARTICLE 10.7 Alternative dispute resolution

第10.8条 因不可抗力、死亡或无行为能力而中止

ARTICLE 10.8 Suspension in case of force majeure, death or incapacity

第10.9条 时效期间届满的效力  

ARTICLE 10.9 The effects of expiration of limitation period

第10.10条 抵销权  ARTICLE 10.10 Right of set-off

第10.11条 返还  ARTICLE 10.11 Restitution

 

 

 

序言PREAMBLE

通则的目的  Purpose of the Principles

通则旨在为国际商事合同制定一般规则。

These Principles set forth general rules for international commercial contracts.

 

在当事人约定其合同受通则管辖时,应适用通则。.

They shall be applied when the parties have agreed that their contract be governed by them.(*)

 

在当事人约定其合同受法律的一般原则、商人习惯法或类似措辞管辖时,可适用通则。

They may be applied when the parties have agreed that their contract be governed by general principles of law, the lex mercatoria or the like.

 

在当事人未选择任何法律管辖其合同时,可适用通则。

They may be applied when the parties have not chosen any law to govern their contract.

 

通则可用于解释或补充国际统一法文件。

They may be used to interpret or supplement international uniform law instruments.

 

通则可用于解释或补充国内法。

They may be used to interpret or supplement domestic law.

 

通则也可作为国内和国际立法的范本。

They may serve as a model for national and international legislators.

 

(*)希望在合同中规定其协议受《通则》管辖的当事人可以使用如下表述,并加上任何希望的例外或调整:

(*)Parties wishing to provide that their agreement be governed by the Principles might use the following words, adding any desired exceptions or modifications:

 

“本合同应受《国际统一私法协会国际商事合同通则》(2004)管辖,[除了某条款]。”

“This contract shall be governed by the UNIDROIT Principles(2004)[except as to Articles …]”.

 

希望在合同中规定适用某一特定的辖区法律的当事人,可以使用如下表述:

Parties wishing to provide in addition for the application of the law of a particular jurisdiction might use the following words:

 

“本合同应受《国际统一私法协会国际商事合同通则》(2004)管辖[除了某条款],

必要时由【X管辖区】的法律补充。”

“This contract shall be governed by the UNIDROIT Principles(2004)[except as to Articles…],

supplemented when necessary by the law of [jurisdiction X].

 

第一章 总 则CHAPTER 1 — GENERAL PROVISIONS

 

第1.1条缔约自由 ARTICLE 1.1 Freedom of contract

当事人可自由订立合同并确定合同的内容。

The parties are free to enter into a contract and to determine its content.

 

第1.2条无形式要求 ARTICLE 1.2 No form required

通则不要求合同、声明或其他任何行为必须以特定形式作出或以特定形式证明。合同可通过包括证人在内的任何形式证明。

Nothing in these Principles requires a contract, statement or any other act to be made in or evidenced by a particular form. It may be proved by any means, including witnesses.

 

第1.3条合同的约束性   ARTICLE 1.3 Binding character of contract

有效订立的合同对当事人均具有约束力。当事人仅能根据合同的条款,或通过协议,或根据通则的规定修改或终止合同。

A contract validly entered into is binding upon the parties. It can only be modified or terminated in accordance with its terms or by agreement or as otherwise provided in these Principles.

 

第1.4条 强制性规则 ARTICLE 1.4Mandatory rules

通则的任何规定都不应限制根据国际私法有关规则导致的强制性规则的适用,且不论这些强制性规则是源于国内的、国际的还是超国家的。

Nothing in these Principles shall restrict the application of mandatory rules, whether of national, international or supranational origin, which are applicable in accordance with the relevant rules of private international law.

 

第1.5条 当事人的排除或修改  ARTICLE 1.5 Exclusion or modification by the parties

除通则另有规定外,当事人可以排除通则的适用,或者减损或改变通则任何条款的效力。

The parties may exclude the application of these Principles or derogate from or vary the effect of any of their provisions, except as otherwise provided in the Principles.

 

第1.6条 通则的解释和补充 ARTICLE 1.6 Interpretation and supplementation of the Principles

(1)在解释通则时,应考虑通则的国际性及其目的,包括促进其统一适用的需要。

(1) In the interpretation of these Principles, regard is to be had to their international character and to their purposes including the need to promote uniformity in their application.

 

(2)凡属于通则范围之内但又未被通则明确规定的问题,应尽可能地根据通则确定的一般基本原则来处理。

(2) Issues within the scope of these Principles but not expressly settled by them are as far as possible to be settled in accordance with their underlying general principles.

 

第1.7条 诚实信用和公平交易 ARTICLE 1.7 Good faith and fair dealing

(1)在国际贸易中,每一方当事人应依据诚实信用和公平交易的原则行事。

(1) Each party must act in accordance with good faith and fair dealing in international trade.

 

(2)当事人不能排除或限制此项义务。

(2) The parties may not exclude or limit this duty.

 

第1.8条 不一致行为 ARTICLE 1.8 Inconsistent Behaviour

如果一方当事人使得另一方当事人产生某种理解,且该另一方当事人依赖该理解合理行事,并对自己造成不利后果,则该方当事人不得以与该另一方当事人理解不一致的方式行事。

A party cannot act inconsistently with an understanding it has caused the other party to have and upon which that other party reasonably has acted in reliance to its detriment.

 

第1.9条 惯例和习惯做法 ARTICLE 1.9 Usages and practices

(1)当事人各方受其业已约定的任何惯例和其相互之间业已建立的任何习惯做法的约束。

(1) The parties are bound by any usage to which they have agreed and by any practices which they have established between themselves.

 

(2)在特定的有关贸易中的合同当事人,应受国际贸易中广泛知悉并惯常遵守的惯例的约束,除非该惯例的适用为不合理。

(2) The parties are bound by a usage that is widely known to and regularly observed in international trade by parties in the particular trade concerned except where the application of such a usage would be unreasonable.

 

第1.10条 通知 ARTICLE 1.10 Notice

(1)在需要发出通知时,通知可以适合于具体情况的任何方式发出。

(1) Where notice is required it may be given by any means appropriate to the circumstances.

 

(2)通知于送达被通知人时生效。

(2) A notice is effective when it reaches the person to whom it is given.

 

(3)就第(2)款而言,通知于口头传达被通知人或递送到被通知人的营业地或通讯地址时,为通知“送达”被通知人。

(3) For the purpose of paragraph(2) a notice “reaches” a person when given to that person orally or delivered at that person’s place of business or mailing address.

 

(4)就本条而言,通知包括声明、要求、请求或任何其他意思的表述。

(4) For the purpose of this article “notice” includes a declaration, demand, request or any other communication of intention.

 

第1.11条 定义 ARTICLE 1.11 Definitions

通则中:In these Principles

 

 “法院”,包括仲裁庭。“court” includes an arbitral tribunal;

 

 “营业地”,在当事人有一个以上的营业地时,考虑到在合同订立之前任何时候或订立合同之时各方当事人所知晓或考虑到的情况,相关的“营业地”是指与合同和其履行具有最密切where a party has more than one place of business the relevant “place of business” is that which has the closest relationship to the contract and its performance, having regard to the circumstances known to or contemplated by the parties at any time before or at the conclusion of the contract;

 

 “债务人”是指履行义务的一方当事人;“债权人”是指有权要求履行义务的一方当事人。

 “obligor” refers to the party who is to perform an obligation and “obligee” refers to the party who is entitled to performance of that obligation.

 

 “书面”是指能保存所含信息的记录,并能以有形方式复制的任何通讯方式。

“writing” means any mode of communication that preserves a record of the information contained there in and is capable of being reproduced in tangible form.

 

第1.12条 当事人规定的时间的计算 ARTICLE 1.12 Computation of time set by parties

(1)发生在由当事人规定的履行某一行为的期间内的法定节假日或非工作日应包括在期间的计算之内。

(1) Official holidays or non-business days occurring during a period set by parties for an act to be performed are included in calculating the period.

 

(2)然而,如果期间的最后一天在履行该行为之当事人的营业地是法定节假日或非工作日,该期间可顺延至随后的第一个工作日,除非情况有相反的表示。

(2) However, if the last day of the period is an official holiday or a non-business day at the place of business of the party to perform the act, the period is extended until the first business day which follows, unless the circumstances indicate otherwise.

 

(3)相关的时区是设定时间的当事人营业地的时区,除非情况有相反的表示。

(3) The relevant time zone is that of the place of business of the party setting the time, unless the circumstances indicate otherwise.

 

第二章 合同的订立与代理人的权限

CHAPTER 2 — FORMATION AND AUTHORITY OF AGENTS

 

第一节 合同的订立SECTION 1: FORMATION

第2.1.1条 订立的形式   ARTICLE 2.1.1 Manner of formation

合同可通过对要约的承诺或通过能充分表明当事人各方合意的行为而成立。

A contract may be concluded either by the acceptance of an offer or by conduct of the parties that is sufficient to show agreement.

 

第2.1.2条 要约的定义  ARTICLE 2.1.2 Definition of offer

一项订立合同的建议,如果十分确定,并表明要约人在得到承诺时受其约束的意旨,即构成一项要约。

A proposal for concluding a contract constitutes an offer if it is sufficiently definite and indicates the intention of the offeror to be bound in case of acceptance.

 

第2.1.3条 要约的撤回  ARTICLE 2.1.3 Withdrawal of offer

(1)要约于送达受要约人时生效;

(1) An offer becomes effective when it reaches the offeree.

 

(2)一项要约即使是不可撤销的,也可以撤回,如果撤回通知在要约送达受要约人之前或与要约同时送达受要约人。

(2) An offer, even if it is irrevocable, may be withdrawn if the withdrawal reaches the offeree before or at the same time as the offer.

 

第2.1.4条 要约的撤销   ARTICLE 2.1.4 Revocation of offer

(1)在合同订立之前,要约得予撤销,如果撤销通知在受要约人发出承诺之前送达受要约人。

(1) Until a contract is concluded an offer may be revoked if the revocation reaches the offeree before it has dispatched an acceptance.

 

(2)但是,在下列情况下,要约不得撤销:   (2) However, an offer cannot be revoked

 

(a)要约写明承诺的期限,或以其他方式表明要约是不可撤销的;或

(a) if it indicates, whether by stating a fixed time for acceptance or otherwise, that it is irrevocable; or

(b)受要约人有理由信赖该项要约是不可撤销的,且受要约人已依赖该要约行事。

(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.

 

第2.1.5条 要约的拒绝   ARTICLE 2.1.5 Rejection of offer

要约于拒绝通知送达要约人时终止。

An offer is terminated when a rejection reaches the offeror.

 

第2.1.6条 承诺的方式   ARTICLE 2.1.6 Mode of acceptance

(1)受要约人做出的声明或表示同意一项要约的其他行为构成承诺。缄默或不行为本身不构成承诺。

(1) 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)对一项要约的承诺于同意的表示送达要约人时生效。

(2) An acceptance of an offer becomes effective when the indication of assent reaches the offeror.

 

(3)但是,如果根据要约本身,或依照当事人之间建立的习惯做法或依照惯例,受要约人可以通过做出某行为来表示同意,而无须向要约人发出通知,则承诺于做出该行为时生效。

(3) 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 without notice to the offeror, the acceptance is effective when the act is performed.

 

第2.1.7条 承诺的时间   ARTICLE 2.1.7 Time of acceptance

要约必须在要约人规定的时间内承诺;或者如果未规定时间,应在考虑了交易的具体情况,包括要约人所使用的通讯方法的快捷程度的一段合理的时间内做出承诺。对口头要约必须立即做出承诺,除非情况有相反的表示。

An offer must be accepted within the time the offeror has fixed or, if no time is fixed, within a reasonable time having regard to the circumstances, including the rapidity of the means of communication employed by the offeror. An oral offer must be accepted immediately unless the circumstances indicate otherwise.

 

第2.1.8条 规定期限内的承诺   ARTICLE 2.1.8 Acceptance within a fixed period of time

要约人规定的承诺期限自要约发出时起算。要约中表示的日期应被视为是要约发出的时间,除非情况有相反的表示。

A period of acceptance fixed by the offeror begins to run from the time that the offer is dispatched. A time indicated in the offer is deemed to be the time of dispatch unless the circumstances indicate otherwise.

 

第2.1.9条 逾期承诺与传递迟延  ARTICLE 2.1.9 Late acceptance. Delay in transmission

(1)逾期承诺仍应具有承诺的效力,但要约人应毫不迟延地告知受要约人该承诺具有效力或就此向受要约人发出通知。

(1) A late acceptance is nevertheless effective as an acceptance if without undue delay the offeror so informs the offeree or gives notice to that effect.

 

(2)如果载有逾期承诺的信息表明它是在如果传递正常即能及时被送达要约人的情况下发出的,则该逾期的承诺仍具有承诺的效力,除非要约人毫不迟延地通知受要约人此要约已失效。

(2) If a communication containing a late acceptance shows that it has been sent in such circumstances that if its transmission had been normal it would have reached the offeror in due time, the late acceptance is effective as an acceptance unless, without undue delay, the offeror informs the offeree that it considers the offer as having lapsed.

 

第2.1.10条 承诺的撤回  ARTICLE 2.1.10 Withdrawal of acceptance

承诺可以撤回,只要撤回通知在承诺本应生效之前或同时送达要约人。

An acceptance may be withdrawn if the withdrawal reaches the offeror before or at the same time as the acceptance would have become effective.

 

第2.1.11条 变更的承诺   ARTICLE 2.1.11 Modified acceptance

(1)对要约意在表示承诺但载有添加、限制或其他变更的答复,即为对要约的拒绝,并构成反要约。

(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)但是,对要约意在表示承诺但载有添加,或不同条件的答复,如果所载的添加或不同条件没有实质性地改变要约的条件,那么,除非要约人毫不迟延地表示拒绝这些不符,则此答复仍构成承诺。如果要约人不做出拒绝,则合同的条款应以该项要约的条款以及承诺通知中所载有的变更为准。

(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 to the discrepancy. If the offeror does not object, the terms of the contract are the terms of the offer with the modifications contained in the acceptance.

 

第2.1.12条 书面确认  ARTICLE 2.1.12 Writings in confirmation

在合同订立后一段合理时间内发出的意在确认合同的书面文件,如果载有添加或不同的条款,除非这些添加或不同条款实质性地变更了合同,或者接收方毫不迟延地拒绝了这些不符,则这些条款应构成合同的一个组成部分。

If a writing which is sent within a reasonable time after the conclusion of the contract and which purports to be a confirmation of the contract contains additional or different terms, such terms become part of the contract, unless they materially alter the contract or the recipient, without undue delay, objects to the discrepancy.

 

第2.1.13条 合同的订立基于对特定事项或特定形式的协议

ARTICLE 2.1.13 Conclusion of contract dependent on agreement on specific matters or in a particular form

在谈判过程中,凡一方当事人坚持合同的订立以对特定事项或以特定形式达成协议为条件的,则在对这些特定事项或形式达成协议之前,合同不能订立。

Where in the course of negotiations one of the parties insists that the contract is not concluded until there is agreement on specific matters or in a particular form, no contract is concluded before agreement is reached on those matters or in that form.

 

第2.1.14条 特意待定的合同条款  ARTICLE 2.1.14 Contract with terms deliberately left open

(1)如果当事人各方意在订立一项合同,但却有意将一项条款留待进一步谈判商定或由第三人确定,则这一事实并不妨碍合同的成立。

(1) If the parties intend to conclude a contract, the fact that they intentionally leave a term to be agreed upon in further negotiations or to be determined by a third person does not prevent a contract from coming into existence.

 

(2)考虑到当事人各方的意思,如果在具体情况下存在一种可选择的合理方法来确定此条款,则合同的存在不受此后发生的下列情况的影响:

(2) The existence of the contract is not affected by the fact that subsequently

 

(a)当事人各方未就该条款达成协议;或  (a) the parties reach no agreement on the term; or

 

(b)第三人未确定此条款。

(b) the third person does not determine the term, provided that there is an alternative means of rendering the term definite that is reasonable in the circumstances, having regard to the intention of the parties.

 

第2.1.15条 恶意谈判   ARTICLE 2.1.15 Negotiations in bad faith

(1)当事人可自由进行谈判,并对未达成协议不承担责任;

(1) A party is free to negotiate and is not liable for failure to reach an agreement.

 

(2)但是,一方当事人如果恶意进行谈判或恶意终止谈判,则该方当事人应对因此给另一方当事人所造成的损失承担责任;

(2) However, a party who negotiates or breaks off negotiations in bad faith is liable for the losses caused to the other party.

 

(3)恶意,特别是指一方当事人在无意与对方达成协议的情况下,开始或继续进行谈判。

(3) It is bad faith, in particular, for a party to enter into or continue negotiations when intending not to reach an agreement with the other party.

 

第2.1.16条 保密义务  ARTICLE 2.1.16 Duty of confidentiality

在谈判过程中,一方当事人以保密性质提供的信息,无论此后是否达成合同,另一方当事人有义务不予泄露,也不得为自己的目的不适当地使用这些信息。在适当的情况下,违反该义务的救济可以包括根据另一方当事人泄露该信息所获得之利益予以赔偿。

Where information is given as confidential by one party in the course of negotiations, the other party is under a duty not to disclose that information or to use it improperly for its own purposes, whether or not a contract is subsequently concluded. Where appropriate, the remedy for breach of that duty may include compensation based on the benefit received by the other party.

 

第2.1.17条 合并条款  ARTICLE 2.1.17 Merger clauses

若一个书面合同中载有的一项条款表明该合同包含了各方当事人已达成一致的全部条款,则此前存在的任何陈述或协议不能被用作证据对抗或补充该合同。但是,这些陈述或协议可用于解释该书面合同。

A contract in writing which contains a clause indicating that the writing completely embodies the terms on which the parties have agreed cannot be contradicted or supplemented by evidence of prior statements or agreements. However, such statements or agreements may be used to interpret the writing.

 

第2.1.18条 特定形式修改  ARTICLE 2.1.18 Modification in a particular form

如果书面合同中载有的一项条款要求合同的任何修改或终止必须以特定形式做出,则该合同不得以其他形式修改或终止。但是,在一方当事人的行为使另一方当事人产生信赖并依此行事的限度内,则该一方当事人因其行为可被拒绝主张本条款。

A contract in writing which contains a clause requiring any modification or termination by agreement to be in a particular form may not be otherwise modified or terminated. However, a party may be precluded by its conduct from asserting such a clause to the extent that the other party has reasonably acted in reliance on that conduct.

 

第2.1.19条 按标准条款订立合同 ARTICLE 2.1.19  Contracting under standard terms

(1)一方或双方当事人使用标准条款订立合同,适用订立合同的一般规则,但应受本章第2.1.20条至第2.1.22条的约束。

(1) Where one party or both parties use standard terms in concluding a contract, the general rules on formation apply, subject to Articles 2.1.20 - 2.1.22.

(2)标准条款是指一方为通常和重复使用的目的而预先准备的条款, 并在实际使用时未与对方谈判。

(2) Standard terms are provisions which are prepared in advance for general and repeated use by one party and which are actually used without negotiation with the other party.

 

第2.1.20条 意外条款  ARTICLE 2.1.20 Surprising terms

(1)如果标准条款中含有另一方当事人不能合理预见性质的条款,则该条款无效,除非对方明示地表示接受;

(1) No term contained in standard terms which is of such a character that the other party could not reasonably have expected it, is effective unless it has been expressly accepted by that party.

 

(2)在确定某一条款是否属于这种性质时,应考虑到该条款的内容、语言和表达方式。

(2) In determining whether a term is of such a character regard shall be had to its content, language and presentation.

 

第2.1.21条 标准条款与非标准条款的冲突 

ARTICLE 2.1.21 Conflict between standard terms and non-standard terms

若标准条款与非标准条款发生冲突,以非标准条款为准。

In case of conflict between a standard term and a term which is not a standard term the latter prevails.

 

第2.1.22条 格式合同之争  ARTICLE 2.1.22   Battle of forms

在双方当事人均使用标准条款的情况下,如果双方对除标准条款以外的条款达成一致,则合同应根据已达成一致的条款以及在实体内容上相同的标准条款订立,除非一方当事人已事先明确表示或事后毫不迟延地通知另一方当事人其不愿受这种合同的约束。

Where both parties use standard terms and reach agreement except on those terms, a contract is concluded on the basis of the agreed terms and of any standard terms which are common in substance unless one party clearly indicates in advance, or later and without undue delay informs the other party, that it does not intend to be bound by such a contract.

 

第二节 代理人的权限SECTION 2: AUTHORITY OF AGENTS

 

第2.2.1条 本节的范围   ARTICLE 2.2.1 Scope of the Section

(1)本节调整某人(代理人)通过与第三方之间的一项合同的订立或相关事项,影响另一人(本人)法律关系的权限,而不论代理人是以自己的名义还是以本人的名义行事。

(1) This Section governs the authority of a person(“the agent”), to affect the legal relations of another person(“the principal”), by or with respect to a contract with a third party, whether the agent acts in its own name or in that of the principal.

 

(2)本节仅调整以本人或代理人为一方当事人,以第三方为另一方当事人之间的关系。

(2) It governs only the relations between the principal or the agent on the one hand, and the third party on the other.

 

(3)本节并不调整由法律赋予代理人的权限,或由公共或司法机构指定的代理人的权限。

(3) It does not govern an agent’s authority conferred by law or the authority of an agent appointed by a public or judicial authority.

 

第2.2.2条 代理人权限的确立和范围

ARTICLE 2.2.2 Establishment and scope of the authority of the agent

(1)本人授予代理人的权限既可以是明示的也可以是默示的。

(1) The principal’s grant of authority to an agent may be express or implied.

 

(2)代理人为实现授权之目的,有权采取所有必要的行为。

(2) The agent has authority to perform all acts necessary in the circumstances to achieve the purposes for which the authority was granted.

 

第2.2.3条 显名代理  ARTICLE 2.2.3 Agency disclosed

(1)如当代理人在其权限范围内行事,且第三方已知或应知其以代理身份行事,代理人的行为将直接影响本人和第三方之间的法律关系,而在代理人和第三方之间不创设任何法律关系。

(1) Where an agent acts within the scope of its authority and the third party knew or ought to have known that the agent was acting as an agent, the acts of the agent shall directly affect the legal relations between the principal and the third party and no legal relation is created between the agent and the third party.

 

(2)但是,当代理人经本人同意成为合同一方时,则代理人的行为应仅影响代理人和第三方之间的关系。

(2) However, the acts of the agent shall affect only the relations between the agent and the third party, where the agent with the consent of the principal undertakes to become the party to the contract.

 

第2.2.4条 隐名代理   ARTICLE 2.2.4 Agency undisclosed

(1)当代理人在其权限范围内行事,但第三方既不知道也不应知道代理人是作为代理人行事时,则代理人的行为将仅影响代理人与第三方之间的关系。

(1) Where an agent acts within the scope of its authority and the third party neither knew nor ought to have known that the agent was acting as an agent, the acts of the agent shall affect only the relations between the agent and the third party.

 

(2)然而,代理人当代表一个商业与第三方达成合同时,声称是该商业的所有人,则第三方在发现该商业的真实所有者后,可以向后者行使其对代理人的权利。

(2) However, where such an agent, when contracting with the third party on behalf of a business, represents itself to be the owner of that business, the third party, upon discovery of the real owner of the business, may exercise also against the latter the rights it has against the agent.

 

第2.2.5条 代理人无权或越权行事 

ARTICLE 2.2.5 Agent acting without or exceeding its authority

(1)代理人没有代理权或超越代理权行事时,其行为不影响委托人和第三方之间的法律关系。

(1) Where an agent acts without authority or exceeds its authority, its acts do not affect the legal relations between the principal and the third party.

 

(2)但是,当本人造成第三方合理地认为代理人有权代表本人行事,且代理人是在该权限范围内行事时,则本人不得以代理人无代理权为由对抗第三方。

(2) However, where the principal causes the third party reasonably to believe that the agent has authority to act on behalf of the principal and that the agent is acting within the scope of that authority, the principal may not invoke against the third party the lack of authority of the agent.

 

第2.2.6条 代理人无权或越权行事的责任

 ARTICLE 2.2.6 Liability of agent acting without or exceeding its authority

(1)没有代理权或超越代理权行事的代理人,如未经本人追认,则应对第三人承担将其恢复至如同代理人有代理权或未超越代理权行事时第三方应处的同等状况的责任。

(1) An agent that acts without authority or exceeds its authority is, failing ratification by the principal, liable for damages that will place the third party in the same position as if the agent had acted with authority and not exceeded its authority.

(2)但是,如果第三方已知或应知代理人没有代理权或超越代理权,则代理人不承担责任。

(2) However, the agent is not liable if the third party knew or ought to have known that the agent had no authority or was exceeding its authority.

 

第2.2.7条 利益冲突  ARTICLE 2.2.7 Conflict of interests

(1)如果代理人缔结的合同涉及到代理人与本人存在利益冲突,而且第三方已知或应知这一情况,则本人可主张合同无效。主张无效的权利由第3.12条和第3.14条至第3.17条调整。

(1) If a contract concluded by an agent involves the agent in a conflict of interests with the principal of which the third party knew or ought to have known, the principal may avoid the contract. The right to avoid is subject to Articles 3.12 and 3.14 to 3.17.

 

(2)但是,本人在以下情况不得主张合同无效:

(2) However, the principal may not avoid the contract

 

(a)本人已经同意,或已知或应知代理人涉及利益冲突;或

(a) if the principal had consented to, or knew or ought to have known of, the agent’s involvement in the conflict of interests; or

 

(b)代理人已经披露与本人的利益冲突,但本人在合理时间内并未提出反对。

(b) if the agent had disclosed the conflict of interests to the principal and the latter had not objected within a reasonable time.

 

第2.2.8条 次代理  ARTICLE 2.2.8 Sub-agency

代理人有指定次代理人履行那些非合理预期代理人本身履行的行为的默示权力。本节的规则适用于次代理。

An agent has implied authority to appoint a sub-agent to perform acts which it is not reasonable to expect the agent to perform itself. The rules of this Section apply to the sub-agency.

 

第2.2.9条 追认  ARTICLE 2.2.9 Ratification

(1)代理人没有代理权或超越代理权的行为可由本人追认。经追认的行为如同代理人自始就依代理权行事产生同样的效力。

(1) An act by an agent that acts without authority or exceeds its authority may be ratified by the principal. On ratification the act produces the same effects as if it had initially been carried out with authority.

 

(2)第三方可以通知本人在一段合理的时间内追认。本人如未在该时间内追认,则不能再予追认。

(2) The third party may by notice to the principal specify a reasonable period of time for ratification. If the principal does not ratify within that period of time it can no longer do so.

 

(3)如果在代理人行事时,第三方既不知也不应知代理人无权代理,则第三方可在本人追认前,随时通知本人表示拒绝受追认的约束。

(3) If, at the time of the agent’s act, the third party neither knew nor ought to have known of the lack of authority, it may, at any time before ratification, by notice to the principal indicate its refusal to become bound by a ratification.

 

第2.2.10条 代理权终止 ARTICLE 2.2.10  Termination of authority

(1)代理权的终止对第三方不产生效力,除非第三方已知或应知这一情况。

(1) Termination of authority is not effective in relation to the third party unless the third party knew or ought to have known of it.

(2)尽管代理权终止,但代理人仍有权为防止损害本人利益采取必 要的行为。

(2) Notwithstanding the termination of its authority, an agent remains authorised to perform the acts that are necessary to prevent harm to the principal’s interests.

 

第三章 合同的效力CHAPTER 3 — VALIDITY

第3.1条 未涉及事项 ARTICLE 3.1(Matters not covered)

通则不处理由以下原因而导致的合同无效:

These Principles do not deal with invalidity arising from

 

(a)无行为能力;(a) lack of capacity;

 

(b)不道德或非法。(b) immorality or illegality.

 

第3.2条 协议的效力  ARTICLE 3.2  Validity of mere agreement

合同仅由双方的协议订立、修改或终止,除此别无其他要求。

A contract is concluded, modified or terminated by the mere agreement of the parties, without any further requirement.

 

第3.3条 自始不能  ARTICLE 3.3  Initial impossibility

(1)合同订立时不能履行所承担之义务的事实本身,不影响合同的效力。

(1) The mere fact that at the time of the conclusion of the contract the performance of the obligation assumed was impossible does not affect the validity of the contract.

 

(2)合同订立时一方当事人无权处置与该合同相关联之财产的事实本身,不影响合同的效力。

(2) The mere fact that at the time of the conclusion of the contract a party was not entitled to dispose of the assets to which the contract relates does not affect the validity of the contract.

 

第3.4条 错误的定义  ARTICLE 3.4 Definition of mistake

错误是指对合同订立时已经存在的事实或法律所做的不正确的假设。

Mistake is an erroneous assumption relating to facts or to law existing when the contract was concluded.

 

第3.5条 相关错误  ARTICLE 3.5 Relevant mistake

(1)一方当事人可因错误而宣告合同无效,此错误在订立合同时如此之重大,以至于一个通情达理的人处在与犯错误之当事人的相同情况之下,如果知道事实真相,就会按实质不同的条款订立合同,或根本不会订立合同,并且

(1) A party may only avoid the contract for mistake if, when the contract was concluded, the mistake was of such importance that a reasonable person in the same situation as the party in error would only have concluded the contract on materially different terms or would not have concluded it at all if the true state of affairs had been known, and

 

(a)另一方当事人犯了相同的错误,或造成如此错误,或者另一方当事人知道或理应知道该错误,但却有悖于公平交易的合理商业标准,使错误方一直处于错误状态之中;或者

(a) the other party made the same mistake, or caused the mistake, or knew or ought to have known of the mistake and it was contrary to reasonable commercial standards of fair dealing to leave the mistaken party in error; or

 

(b)在宣告合同无效时,另一方当事人尚未依其对合同的信赖而行事。

(b) the other party had not at the time of avoidance reasonably acted in reliance on the contract.

 

(2)但是,一方当事人不能宣告合同无效,如果

(2) However, a party may not avoid the contract if

 

(a)该当事人由于重大疏忽而犯此错误;或者

(a) it was grossly negligent in committing the mistake; or

 

(b)错误与某事实相关联,而对于该事实发生错误的风险已被设想到,或者考虑到相关情况,该错误的风险应当由错误方承担。

(b) the mistake relates to a matter in regard to which the risk of mistake was assumed or, having regard to the circumstances, should be borne by the mistaken party.

 

第3.6条 表述或传达中的错误  ARTICLE 3.6 Error in expression or transmission

在表述或传达一项声明过程中发生的错误应视为做出该声明之人的错误。

An error occurring in the expression or transmission of a declaration is considered to be a mistake of the person from whom the declaration emanated.

 

第3.7条 对不履行的救济 ARTICLE 3.7 Remedies for non-performance

一方当事人无权因错误宣告合同无效,如果该方当事人所依赖的情况表明对不履行可以或本来可以提供救济。

A party is not entitled to avoid the contract on the ground of mistake if the circumstances on which that party relies afford, or could have afforded, a remedy for non-performance.

 

第3.8条 欺诈   ARTICLE 3.8 Fraud

一方当事人可宣告合同无效,如果其订立合同是基于另一方当事人的欺诈性陈述,包括欺诈性的语言或做法,或按照公平交易的合理商业标准,该另一方当事人对应予披露的情况欺诈性地未予披露。

A party may avoid the contract when it has been led to conclude the contract by the other party’s fraudulent representation, including language or practices, or fraudulent non-disclosure of circumstances which, according to reasonable commercial standards of fair dealing, the latter party should have disclosed.

 

第3.9条 胁迫  ARTICLE 3.9 Threat

一方当事人可宣告合同无效,如果其合同的订立是因另一方当事人的不正当之胁迫,而且考虑到在各种情况下,该胁迫如此急迫、严重到足以使第一方当事人无其他合理选择。尤其是当使一方当事人受到胁迫的作为或不作为本身属非法,或者以其作为手段来获取合同的订立属非法时,均为不正当的胁迫。

A party may avoid the contract when it has been led to conclude the contract by the other party’s unjustified threat which, having regard to the circumstances, is so imminent and serious as to leave the first party no reasonable alternative. In particular, a threat is unjustified if the act or omission with which a party has been threatened is wrongful in itself, or it is wrongful to use it as a means to obtain the conclusion of the contract.

 

第3.10条 重大失衡  ARTICLE 3.10 Gross disparity

(1)在订立合同时,合同或其个别条款不合理地对另一方当事人过分有利,则一方当事人可宣告该合同或该个别条款无效。除其他因素外,尚应考虑下列各项:

(1) A party may avoid the contract or an individual term of it if, at the time of the conclusion of the contract, the contract or term unjustifiably gave the other party an excessive advantage. Regard is to be had, among other factors, to

 

(a)该另一方当事人不公平地利用了对方当事人的依赖、经济困境或紧急需要,或不正当地利用了对方当事人的缺乏远见、无知、无经验或缺乏谈判技巧的事实,以及

(a) the fact that the other party has taken unfair advantage of the first party’s dependence, economic distress or urgent needs, or of its improvidence, ignorance, inexperience or lack of bargaining skill, and

 

(b)合同的性质和目的。(b) the nature and purpose of the contract.

 

(2)依有权宣告合同无效的一方当事人的请求,法院可以修改该合同或其条款,以使其符合公平交易的合理的商业标准。

(2) Upon the request of the party entitled to avoidance, a court may adapt the contract or term in order to make it accord with reasonable commercial standards of fair dealing.

 

(3)依收到宣告合同无效通知的一方当事人的请求,法院亦可修改合同或其条款,只要该方当事人在收到此项通知后,且在对方当事人依据该项通知行事前,立即将其请求告知对方当事人。本章第3.13条第(2)款的规定此时应予适用。

(3) A court may also adapt the contract or term upon the request of the party receiving notice of avoidance, provided that that party informs the other party of its request promptly after receiving such notice and before the other party has reasonably acted in reliance on it. The provisions of Article 3.13(2) apply accordingly.

 

第3.11条 第三人  ARTICLE 3.11 Third persons

(1)如果欺诈、胁迫、重大失衡或一方当事人的错误可归因于第三人,或者该第三人知道或应当知道这些情况,而该第三人的行为由另一方当事人负责,则可按该另一方当事人本身所做行为或所知晓的相同条件,宣告该合同无效。

(1) Where fraud, threat, gross disparity or a party’s mistake is imputable to, or is known or ought to be known by, a third person for whose acts the other party is responsible, the contract may be avoided under the same conditions as if the behaviour or knowledge had been that of the party itself.

 

(2)如果欺诈、胁迫或重大失衡可归因于第三人,而该第三人的行为不由另一方当事人负责,在该另一方当事人知道或理应知道此欺诈、胁迫或重大失衡,或在宣告合同无效时尚未按照对该合同的信赖而行事的情况下,则该合同可被宣告无效。

(2) Where fraud, threat or gross disparity is imputable to a third person for whose acts the other party is not responsible, the contract may be avoided if that party knew or ought to have known of the fraud, threat or disparity, or has not at the time of avoidance reasonably acted in reliance on the contract.

 

第3.12条 确认  ARTICLE 3.12 Confirmation

有权宣告合同无效的一方当事人如果在发出合同无效通知的期间开始后,又明示或默示地确认合同,则该方当事人不得再宣告合同无效。

If the party entitled to avoid the contract expressly or impliedly confirms the contract after the period of time for giving notice of avoidance has begun to run, avoidance of the contract is excluded.

 

第3.13条 丧失宣告合同无效的权利  ARTICLE 3.13 Loss of right to avoid

(1)如果一方当事人有权因错误宣告合同无效,而另一方当事人声明他将愿意按或已按有权宣告合同无效的一方当事人对合同的理解履行合同,则该合同应视为按照该一方当事人的理解已经订立。该另一方当事人在收到有权宣告合同无效的一方当事人对合同的理解方式的通知后,而且在该一方当事人依据宣告合同无效通知合理行事之前,必须立即做出此种声明或进行此种履行。

(1) If a party is entitled to avoid the contract for mistake but the other party declares itself willing to perform or performs the contract as it was understood by the party entitled to avoidance, the contract is considered to have been concluded as the latter party understood it. The other party must make such a declaration or render such performance promptly after having been informed of the manner in which the party entitled to avoidance had understood the contract and before that party has reasonably acted in reliance on a notice of avoidance.

 

(2)在做出此种声明或履行之后,宣告合同无效的权利即行丧失,任何以前宣告合同无效的通知均丧失效力。

(2) After such a declaration or performance the right to avoidance is lost and any earlier notice of avoidance is ineffective.

 

第3.14条 宣告合同无效的通知  ARTICLE 3.14 Notice of avoidance

一方当事人通过向另一方当事人发出通知行使其宣告合同无效的权利。

The right of a party to avoid the contract is exercised by notice to the other party.

 

第3.15条 时间期限  ARTICLE 3.15 Time limits

(1)考虑到各种情况,宣告合同无效的通知,应在宣告合同无效的一方当事人已知或不可能不知道有关事实或者在其可以自由行事之后的一段合理时间内做出。

(1) Notice of avoidance shall be given within a reasonable time, having regard to the circumstances, after the avoiding party knew or could not have been unaware of the relevant facts or became capable of acting freely.

 

(2)如果一方当事人根据第3.10条的规定有权宣告合同中的个别条款无效,则宣告合同无效通知的期限自另一方当事人坚持该条款之时开始。

(2) Where an individual term of the contract may be avoided by a party under Article 3.10, the period of time for giving notice of avoidance begins to run when that term is asserted by the other party.

 

第3.16条 部分无效  ARTICLE 3.16 Partial avoidance

如果宣告合同无效的理由仅影响合同的个别条款,则宣告合同无效的效力仅限于这些条款,除非考虑到各种情况,维持合同的其余部分是不合理的。

Where a ground of avoidance affects only individual terms of the contract, the effect of avoidance is limited to those terms unless, having regard to the circumstances, it is unreasonable to uphold the remaining contract.

 

第3.17条 宣告合同无效的追溯力  ARTICLE 3.17 Retroactive effect of avoidance

(1)宣告合同无效具有追溯力。(1) Avoidance takes effect retroactively.

 

(2)宣告合同无效后,任何一方当事人可要求返还其依据已被宣告无效的合同或部分合同所提供的一切,但要以该方当事人也同时返还其依据已被宣告无效的合同或部分合同所得到的一切为条件,或者如虽不能返还实物,但对其所得之物给予补偿。

(2) On avoidance either party may claim restitution of whatever it has supplied under the contract or the part of it avoided, provided that it concurrently makes restitution of whatever it has received under the contract or the part of it avoided or, if it cannot make restitution in kind, it makes an allowance for what it has received.

 

第3.18条 损害赔偿  ARTICLE 3.18 Damages

无论是否宣告合同无效,已知或理应知道合同无效理由的一方当事人应承担损害赔偿的责任,以使另一方当事人处于如同其未订立合同的地位。

Irrespective of whether or not the contract has been avoided, the party who knew or ought to have known of the ground for avoidance is liable for damages so as to put the other party in the same position in which it would have been if it had not concluded the contract.

 

第3.19条 本章条款的强制性  ARTICLE 3.19 Mandatory character of the provisions

本章的各项规定具有强制性,但那些有关协议的约束力、自始不能或错误的规定除外。

The provisions of this Chapter are mandatory, except insofar as they relate to the binding force of mere agreement, initial impossibility or mistake.

 

第3.20条 单方声明  ARTICLE 3.20 Unilateral declarations

本章各项规定在适当修改后,适用于一方当事人向另一方当事人传达的任何意思表示。

The provisions of this Chapter apply with appropriate adaptations to any communication of intention addressed by one party to the other.

Principles of International Commercial Contracts

国际统一私法协会国际商事合同通则  (2004)

 

简介:《国际商事合同通则》(Principles of International Commercial Contracts,简称PICC)是国际统一私法协会1994年编撰的,2004年做了大的修订。它是一部具有现代性、广泛代表性、权威性与实用性的商事合同统一法。它可为各国立法参考,为司法、仲裁所适用,是起草合同、谈判的工具,也是合同法教学的参考书。《国际商事合同通则》旨在为国际商事合同制定一般规则,在当事人约定其合同受《国际商事合同通则》管辖时,应适用《国际商事合同通则》;在当事人约定其合同适用法律的一般原则、商人习惯法或类似措辞时,可适用《国际商事合同通则》;在当事人未选择任何法律管辖其合同时,可适用《国际商事合同通则》;《国际商事合同通则》可用于解释或补充国际统一法文件;《国际商事合同通则》可用于解释或补充国内法;《国际商事合同通则》也可作为国内和国际立法的范本。

 

第一章 总则GENERAL PROVISIONS

第1.1条缔约自由       ARTICLE 1.1 Freedom of contract

第1.2条无形式要求     ARTICLE 1.2 No form required

第1.3条合同的约束性   ARTICLE 1.3 Binding character of contract

第1.4条 强制性规则 ARTICLE 1.4Mandatory rules

第1.5条 当事人的排除或修改  ARTICLE 1.5 Exclusion or modification by the parties

第1.6条 通则的解释和补充 ARTICLE 1.6 Interpretation and supplementation of the Principles

第1.7条 诚实信用和公平交易 ARTICLE 1.7 Good faith and fair dealing

第1.8条 不一致行为 ARTICLE 1.8 Inconsistent Behaviour

第1.9条 惯例和习惯做法 ARTICLE 1.9 Usages and practices

第1.10条 通知 ARTICLE 1.10 Notice

第1.11条 定义 ARTICLE 1.11 Definitions

第1.12条 当事人规定的时间的计算 ARTICLE 1.12 Computation of time set by parties

 

第二章 合同的订立与代理人的权限

CHAPTER 2 — FORMATION AND AUTHORITY OF AGENTS

第一节 合同的订立SECTION 1: FORMATION

第2.1.1条 订立的形式   ARTICLE 2.1.1 Manner of formation

第2.1.2条 要约的定义  ARTICLE 2.1.2 Definition of offer

第2.1.3条 要约的撤回  ARTICLE 2.1.3 Withdrawal of offer

第2.1.4条 要约的撤销   ARTICLE 2.1.4 Revocation of offer

第2.1.5条 要约的拒绝   ARTICLE 2.1.5 Rejection of offer

第2.1.6条 承诺的方式   ARTICLE 2.1.6 Mode of acceptance

第2.1.7条 承诺的时间   ARTICLE 2.1.7 Time of acceptance

第2.1.8条 规定期限内的承诺   ARTICLE 2.1.8 Acceptance within a fixed period of time

第2.1.9条 逾期承诺与传递迟延  ARTICLE 2.1.9 Late acceptance. Delay in transmission

第2.1.10条 承诺的撤回  ARTICLE 2.1.10 Withdrawal of acceptance

第2.1.11条 变更的承诺   ARTICLE 2.1.11 Modified acceptance

第2.1.12条 书面确认  ARTICLE 2.1.12 Writings in confirmation

第2.1.13条合同的订立基于对特定事项或特定形式的协议    ARTICLE 2.1.13 Conclusion of contract dependent on agreement on specific matters or in a particular form

第2.1.14条 特意待定的合同条款  ARTICLE 2.1.14 Contract with terms deliberately left open

第2.1.15条 恶意谈判   ARTICLE 2.1.15 Negotiations in bad faith

第2.1.16条 保密义务  ARTICLE 2.1.16 Duty of confidentiality

第2.1.17条 合并条款  ARTICLE 2.1.17 Merger clauses

第2.1.18条 特定形式修改  ARTICLE 2.1.18 Modification in a particular form

第2.1.19条 按标准条款订立合同 ARTICLE 2.1.19  Contracting under standard terms

第2.1.20条 意外条款  ARTICLE 2.1.20 Surprising terms

第2.1.21条 标准条款与非标准条款的冲突 

ARTICLE 2.1.21 Conflict between standard terms and non-standard terms

第2.1.22条 格式合同之争  ARTICLE 2.1.22   Battle of forms

 

第二节 代理人的权限SECTION 2: AUTHORITY OF AGENTS

第2.2.1条 本节的范围   ARTICLE 2.2.1 Scope of the Section

第2.2.2条 代理人权限的确立和范围

ARTICLE 2.2.2 Establishment and scope of the authority of the agent

第2.2.3条 显名代理  ARTICLE 2.2.3 Agency disclosed

第2.2.4条 隐名代理   ARTICLE 2.2.4 Agency undisclosed

第2.2.5条 代理人无权或越权行事 

ARTICLE 2.2.5 Agent acting without or exceeding its authority

第2.2.6条 代理人无权或越权行事的责任

 ARTICLE 2.2.6 Liability of agent acting without or exceeding its authority

第2.2.7条 利益冲突  ARTICLE 2.2.7 Conflict of interests

第2.2.8条 次代理  ARTICLE 2.2.8 Sub-agency

第2.2.9条 追认  ARTICLE 2.2.9 Ratification

第2.2.10条 代理权终止 ARTICLE 2.2.10  Termination of authority

 

第三章 合同的效力CHAPTER 3 — VALIDITY

第3.1条 未涉及事项 ARTICLE 3.1(Matters not covered)

第3.2条 协议的效力  ARTICLE 3.2  Validity of mere agreement

第3.3条 自始不能  ARTICLE 3.3  Initial impossibility

第3.4条 错误的定义  ARTICLE 3.4 Definition of mistake

第3.5条 相关错误  ARTICLE 3.5 Relevant mistake

第3.6条 表述或传达中的错误  ARTICLE 3.6 Error in expression or transmission

第3.7条 对不履行的救济 ARTICLE 3.7 Remedies for non-performance

第3.8条 欺诈   ARTICLE 3.8 Fraud

第3.9条 胁迫  ARTICLE 3.9 Threat

第3.10条 重大失衡  ARTICLE 3.10 Gross disparity

第3.11条 第三人  ARTICLE 3.11 Third persons

第3.12条 确认  ARTICLE 3.12 Confirmation

第3.13条 丧失宣告合同无效的权利  ARTICLE 3.13 Loss of right to avoid

第3.14条 宣告合同无效的通知  ARTICLE 3.14 Notice of avoidance

第3.15条 时间期限  ARTICLE 3.15 Time limits

第3.16条 部分无效  ARTICLE 3.16 Partial avoidance

第3.17条 宣告合同无效的追溯力  ARTICLE 3.17 Retroactive effect of avoidance

第3.18条 损害赔偿  ARTICLE 3.18 Damages

第3.19条 本章条款的强制性  ARTICLE 3.19 Mandatory character of the provisions

第3.20条 单方声明  ARTICLE 3.20 Unilateral declarations

 

第四章 合同的解释CHAPTER 4 — INTERPRETATION

第4.1条 当事人的意思  ARTICLE 4.1 Intention of the parties

第4.2条 对陈述和其他行为的解释

    ARTICLE 4.2 Interpretation of statements and other conduct

第4.3条 相关情况  ARTICLE 4.3 Relevant circumstances

第4.4条 合同或陈述作为整体考虑 

ARTICLE 4.4 Reference to contract or statement as a whole

第4.5条 给予所有条款以效力  ARTICLE 4.5 All terms to be given effect

第4.6条 对条款提议人不利规则  ARTICLE 4.6  Contra proffer rule

第4.7条 语言差异  ARTICLE 4.7 Linguistic discrepancies

第4.8条 补充空缺条款  ARTICLE 4.8 Supplying an omitted term

 

第五章 合同的内容与第三方权利CHAPTER 5 — CONTENT AND THIRD PARTY RIGHTS

第一节 合同的内容SECTION 1: CONTENT

第5.1.1条 明示和默示的义务  ARTICLE 5.1.1 Express and implied obligations

第5.1.2条 默示的义务  ARTICLE 5.1.2 Implied obligations

第5.1.3条 事人之间的合作  ARTICLE 5.1.3Co-operation between the parties

第5.1.5条确定所涉义务的种类  ARTICLE 5.1.5Determination of kind of duty involved

第5.1.6条确定履行的质量  ARTICLE 5.1.6Determination of quality of performance

第5.1.7条 价格的确定  ARTICLE 5.1.7 Price determination

第5.1.8条 无固定期限的合同  ARTICLE 5.1.8 Contract for an indefinite period

第5.1.9条 通过协议放弃权利  ARTICLE 5.1.9 Release by agreement

 

第二节 第三方权利SECTION 2: THIRD PARTY RIGHTS

第5.2.1条 第三方受益的合同  ARTICLE 5.2.1 Contracts in favour of third parties

第5.2.2条 可确定的第三方  ARTICLE 5.2.2 Third party identifiable

第5.2.3条 排除和限制条款  ARTICLE 5.2.3  Exclusion and limitation clauses

第5.2.4条 抗辩  ARTICLE 5.2.4 Defence

第5.2.5条 撤销  ARTICLE 5.2.5 Revocation

第5.2.6条 放弃权利  ARTICLE 5.2.6 Renunciation

 

第六章 履行CHAPTER 6 — PERFORMANCE

第一节 履行的一般规定SECTION 1: PERFORMANCE IN GENERAL

第6.1.1条 履行时间  ARTICLE 6.1.1 Time of performance

第6.1.2条 一次或分期履行  ARTICLE 6.1.2 Performance at one time or in installments

第6.1.4条 履行顺序  ARTICLE 6.1.4 Order of performance

第6.1.5条 提前履行  ARTICLE 6.1.5 Earlier performance

第6.1.6条 履行地  ARTICLE 6.1.6 Place of performance

第6.1.7条 以支票或其他票据付款  ARTICLE 6.1.7 Payment by cheque or other instrument

第6.1.8条 转账支付  ARTICLE 6.1.8 Payment by funds transfer

第6.1.9条 付款货币   ARTICLE 6.1.9 Currency of payment

第6.1.10条 未规定货币  ARTICLE 6.1.10 Currency not expressed

第6.1.11条 履行费用  ARTICLE 6.1.11 Costs of performance

第6.1.12条 指定清偿  ARTICLE 6.1.12 Imputation of payments

第6.1.13条 非金钱债务的指定清偿 

ARTICLE 6.1.13 Imputation of non-monetary obligations

第6.1.14条 申请公共许可  ARTICLE 6.1.14 Application for public permission

第6.1.15条 申请许可的程序  ARTICLE 6.1.15 Procedure in applying for permission

第6.1.16条 许可既未获批准又未遭拒绝 

ARTICLE 6.1.16 Permission neither granted nor refused

第6.1.17条 拒绝许可  ARTICLE 6.1.17 Permission refused

 

第二节:艰难情形SECTION 2: HARDSHIP

第6.2.1条 合同必须遵守  ARTICLE 6.2.1 Contract to be observed

第6.2.2条 艰难情形的定义  ARTICLE 6.2.2 Definition of hardship

 

第七章 不履行CHAPTER 7 — NON-PERFORMANCE

第一节 不履行的一般规定SECTION 1: NON-PERFORMANCE IN GENERAL

第7.1.1条 不履行的定义  ARTICLE 7.1.1 Non-performance defined

第7.1.2条  另一方当事人的干预   ARTICLE 7.1.2 Interference by the other party

第7.1.3条 停止履行  ARTICLE 7.1.3 Withholding performance

第7.1.4条 不履行方的补救  ARTICLE 7.1.4 Cure by non-performing party

第7.1.5条 履行的额外期间  ARTICLE 7.1.5 Additional period for performance

第7.1.6条 免责条款  ARTICLE 7.1.6 Exemption clauses

第7.1.7条 不可抗力  ARTICLE 7.1.7 Force majeure

 

第二节 要求履行的权利SECTION 2: RIGHT TO PERFORMANCE

第7.2.1条 金钱债务的履行  ARTICLE 7.2.1 Performance of monetary obligation

第7.2.2条 非金钱债务的履行  ARTICLE 7.2.2 Performance of non-monetary obligation

第7.2.3条 对瑕疵履行的修补和替换

ARTICLE 7.2.3 Repair and replacement of defective performance

第7.2.4条 法院判决的罚金   ARTICLE 7.2.4 Judicial penalty

第7.2.5条 救济的变更  ARTICLE 7.2.5 Change of remedy

第三节 合同的终止SECTION 3: TERMINATION

第7.3.1条 终止合同的权利  ARTICLE 7.3.1 Right to terminate the contract

第7.3.2条 终止通知  ARTICLE 7.3.2 Notice of termination

第7.3.3条 预期不履行  ARTICLE 7.3.3 Anticipatory non-performance

第7.3.4条 如约履行的充分保证  ARTICLE 7.3.4 Adequate assurance of due performance

第7.3.5条 终止合同的一般效果   ARTICLE 7.3.5 Effects of termination in general

第7.3.6条 恢复原状  ARTICLE 7.3.6 Restitution

 

第四节 损害赔偿SECTION 4: DAMAGES

第7.4.1条 损害赔偿的权利 ARTICLE 7.4.1 Right to damages

第7.4.2条 赔偿  ARTICLE 7.4.2 Full compensation

第7.4.3条 损害的确定  ARTICLE 7.4.3 Certainty of harm

第7.4.4条 损害的可预见性  ARTICLE 7.4.4 Foreseeability of harm

第7.4.5条 存在替代交易情况时的损害证明 

ARTICLE 7.4.5 Proof of harm in case of replacement transaction

第7.4.6条 依时价确定损害的证明   ARTICLE 7.4.6  Proof of harm by current price

第7.4.7条 部分归咎于受损害方的损害  ARTICLE 7.4.7 Harm due in part to aggrieved party

第7.4.8条 损害的减轻  ARTICLE 7.4.8 Mitigation of harm

第7.4.9条 未付金钱债务的利息  ARTICLE 7.4.9 Interest for failure to pay money

第7.4.10条 损害赔偿的利息  ARTICLE 7.4.10 Interest on damages

第7.4.11条 金钱赔偿的方式  ARTICLE 7.4.11 Manner of monetary redress

第7.4.12条 估算损害赔偿金的货币  ARTICLE 7.4.12 Currency in which to assess damages

第7.4.13条 对不履行所约定的付款  ARTICLE 7.4.13 Agreed payment for non-performance

 

第八章 抵销CHAPTER 8 — SET-OFF

第8.1条 抵销的条件  ARTICLE 8.1 Conditions of set-off

第8.2条 外汇抵销  ARTICLE 8.2 Foreign currency set-off

第8.3条 抵销通知   ARTICLE 8.3 Set-off by notice

  第8.4条 通知的内容   ARTICLE 8.4 Content of notice

第8.5条 抵销的效力  ARTICLE 8.5 Effect of set-off

 

第九章 权利的转让、债务的转移、合同的转让

CHAPTER 9 — ASSIGNMENT OF RIGHTS, TRANSFER OF OBLIGATIONS,

ASSIGNMENT OF CONTRACTS

第一节 权利的转让SECTION 1: ASSIGNMENT OF RIGHTS

第9.1.1条 定义  ARTICLE 9.1.1 Definitions

第9.1.2条 排除适用  ARTICLE 9.1.2 Exclusions

第9.1.3条 非金钱权利的转让  ARTICLE 9.1.3 Assignability of non-monetary rights

第9.1.4条 部分转让  ARTICLE 9.1.4 Partial assignment

第9.1.5条 未来权利  ARTICLE 9.1.5 Future rights

第9.1.6条 未逐一指明的权利的转让

ARTICLE 9.1.6 Rights assigned without individual specification

第9.1.7条 让与人和受让人协议即可转让

ARTICLE 9.1.7 Agreement between assignor and assignee sufficient

第9.1.8条 债务人的额外成本  ARTICLE 9.1.8 Obligor’s additional costs

第9.1.9条 非转让条款  ARTICLE 9.1.9 Non-assignment clauses

第9.1.10条 通知债务人  ARTICLE 9.1.10 Notice to the obligor

第9.1.11条 连续转让   ARTICLE 9.1.11 Successive assignments

第9.1.12条 转让的充分证据  ARTICLE 9.1.12 Adequate proof of assignment

第9.1.13条 抗辩权和抵销权  ARTICLE 9.1.13 Defences and rights of set-off

第9.1.14条 与权利转让相关之权利  ARTICLE 9.1.14 Rights related to the right assigned

第9.1.15条 让与人的担保  ARTICLE 9.1.15 Undertakings of the assignor

 

第二节:债务的转移SECTION 2: TRANSFER OF OBLIGATIONS

第9.2.1条 转移的模式   ARTICLE 9.2.1 Modes of transfer

第9.2.2条 排除适用   ARTICLE 9.2.2 Exclusion

第9.2.3条 对债权人转移同意的要求 

ARTICLE 9.2.3 Requirement of obligee’s consent to transfer

第9.2.4条 债权人的预先同意  ARTICLE 9.2.4 Advance consent of obligee

第9.2.5条 原债务人债务的解除  ARTICLE 9.2.5 Discharge of original obligor

第9.2.6条 第三方履行  ARTICLE 9.2.6 Third party performance

第9.2.7条 抗辩和抵销权  ARTICLE 9.2.7 Defences and rights of set-off

第9.2.8条 与被转移债务相关的权利 

ARTICLE 9.2.8 Rights related to the obligation transferred

 

第三节 合同的转让SECTION 3: ASSIGNMENT OF CONTRACTS

第9.3.1条 定义  ARTICLE 9.3.1 Definitions

第9.3.2条 排除适用  ARTICLE 9.3.2 Exclusion

第9.3.3条 另一方当事人同意的要求 

ARTICLE 9.3.3 Requirement of consent of the other party

第9.3.4条 另一方当事人的预先同意  ARTICLE 9.3.4 Advance consent of the other party

第9.3.5条 让与人债务的解除  ARTICLE 9.3.5 Discharge of the assignor

第9.3.6条 抗辩和抵销权  ARTICLE 9.3.6 Defences and rights of set-off

第9.3.7条 随合同转让的权利  ARTICLE 9.3.7 Rights transferred with the contract

 

第十章 时效期间CHAPTER 10 — LIMITATION PERIODS

第10.1条 本章范围  ARTICLE 10.1 Scope of the Chapter

第10.2条 时效期间  ARTICLE 10.2 Limitation periods

第10.3条 当事人对时效期间的修改 

ARTICLE 10.3 Modification of limitation periods by the parties

第10.5条 因司法程序而中止  ARTICLE 10.5 Suspension by judicial proceedings

第10.6条 因仲裁程序而中止  ARTICLE 10.6 Suspension by arbitral proceedings

第10.7条 替代性争议解决机制  ARTICLE 10.7 Alternative dispute resolution

第10.8条 因不可抗力、死亡或无行为能力而中止

ARTICLE 10.8 Suspension in case of force majeure, death or incapacity

第10.9条 时效期间届满的效力  

ARTICLE 10.9 The effects of expiration of limitation period

第10.10条 抵销权  ARTICLE 10.10 Right of set-off

第10.11条 返还  ARTICLE 10.11 Restitution

 

 

 

序言PREAMBLE

通则的目的  Purpose of the Principles

通则旨在为国际商事合同制定一般规则。

These Principles set forth general rules for international commercial contracts.

 

在当事人约定其合同受通则管辖时,应适用通则。.

They shall be applied when the parties have agreed that their contract be governed by them.(*)

 

在当事人约定其合同受法律的一般原则、商人习惯法或类似措辞管辖时,可适用通则。

They may be applied when the parties have agreed that their contract be governed by general principles of law, the lex mercatoria or the like.

 

在当事人未选择任何法律管辖其合同时,可适用通则。

They may be applied when the parties have not chosen any law to govern their contract.

 

通则可用于解释或补充国际统一法文件。

They may be used to interpret or supplement international uniform law instruments.

 

通则可用于解释或补充国内法。

They may be used to interpret or supplement domestic law.

 

通则也可作为国内和国际立法的范本。

They may serve as a model for national and international legislators.

 

(*)希望在合同中规定其协议受《通则》管辖的当事人可以使用如下表述,并加上任何希望的例外或调整:

(*)Parties wishing to provide that their agreement be governed by the Principles might use the following words, adding any desired exceptions or modifications:

 

“本合同应受《国际统一私法协会国际商事合同通则》(2004)管辖,[除了某条款]。”

“This contract shall be governed by the UNIDROIT Principles(2004)[except as to Articles …]”.

 

希望在合同中规定适用某一特定的辖区法律的当事人,可以使用如下表述:

Parties wishing to provide in addition for the application of the law of a particular jurisdiction might use the following words:

 

“本合同应受《国际统一私法协会国际商事合同通则》(2004)管辖[除了某条款],

必要时由【X管辖区】的法律补充。”

“This contract shall be governed by the UNIDROIT Principles(2004)[except as to Articles…],

supplemented when necessary by the law of [jurisdiction X].

 

第一章 总 则CHAPTER 1 — GENERAL PROVISIONS

 

第1.1条缔约自由 ARTICLE 1.1 Freedom of contract

当事人可自由订立合同并确定合同的内容。

The parties are free to enter into a contract and to determine its content.

 

第1.2条无形式要求 ARTICLE 1.2 No form required

通则不要求合同、声明或其他任何行为必须以特定形式作出或以特定形式证明。合同可通过包括证人在内的任何形式证明。

Nothing in these Principles requires a contract, statement or any other act to be made in or evidenced by a particular form. It may be proved by any means, including witnesses.

 

第1.3条合同的约束性   ARTICLE 1.3 Binding character of contract

有效订立的合同对当事人均具有约束力。当事人仅能根据合同的条款,或通过协议,或根据通则的规定修改或终止合同。

A contract validly entered into is binding upon the parties. It can only be modified or terminated in accordance with its terms or by agreement or as otherwise provided in these Principles.

 

第1.4条 强制性规则 ARTICLE 1.4Mandatory rules

通则的任何规定都不应限制根据国际私法有关规则导致的强制性规则的适用,且不论这些强制性规则是源于国内的、国际的还是超国家的。

Nothing in these Principles shall restrict the application of mandatory rules, whether of national, international or supranational origin, which are applicable in accordance with the relevant rules of private international law.

 

第1.5条 当事人的排除或修改  ARTICLE 1.5 Exclusion or modification by the parties

除通则另有规定外,当事人可以排除通则的适用,或者减损或改变通则任何条款的效力。

The parties may exclude the application of these Principles or derogate from or vary the effect of any of their provisions, except as otherwise provided in the Principles.

 

第1.6条 通则的解释和补充 ARTICLE 1.6 Interpretation and supplementation of the Principles

(1)在解释通则时,应考虑通则的国际性及其目的,包括促进其统一适用的需要。

(1) In the interpretation of these Principles, regard is to be had to their international character and to their purposes including the need to promote uniformity in their application.

 

(2)凡属于通则范围之内但又未被通则明确规定的问题,应尽可能地根据通则确定的一般基本原则来处理。

(2) Issues within the scope of these Principles but not expressly settled by them are as far as possible to be settled in accordance with their underlying general principles.

 

第1.7条 诚实信用和公平交易 ARTICLE 1.7 Good faith and fair dealing

(1)在国际贸易中,每一方当事人应依据诚实信用和公平交易的原则行事。

(1) Each party must act in accordance with good faith and fair dealing in international trade.

 

(2)当事人不能排除或限制此项义务。

(2) The parties may not exclude or limit this duty.

 

第1.8条 不一致行为 ARTICLE 1.8 Inconsistent Behaviour

如果一方当事人使得另一方当事人产生某种理解,且该另一方当事人依赖该理解合理行事,并对自己造成不利后果,则该方当事人不得以与该另一方当事人理解不一致的方式行事。

A party cannot act inconsistently with an understanding it has caused the other party to have and upon which that other party reasonably has acted in reliance to its detriment.

 

第1.9条 惯例和习惯做法 ARTICLE 1.9 Usages and practices

(1)当事人各方受其业已约定的任何惯例和其相互之间业已建立的任何习惯做法的约束。

(1) The parties are bound by any usage to which they have agreed and by any practices which they have established between themselves.

 

(2)在特定的有关贸易中的合同当事人,应受国际贸易中广泛知悉并惯常遵守的惯例的约束,除非该惯例的适用为不合理。

(2) The parties are bound by a usage that is widely known to and regularly observed in international trade by parties in the particular trade concerned except where the application of such a usage would be unreasonable.

 

第1.10条 通知 ARTICLE 1.10 Notice

(1)在需要发出通知时,通知可以适合于具体情况的任何方式发出。

(1) Where notice is required it may be given by any means appropriate to the circumstances.

 

(2)通知于送达被通知人时生效。

(2) A notice is effective when it reaches the person to whom it is given.

 

(3)就第(2)款而言,通知于口头传达被通知人或递送到被通知人的营业地或通讯地址时,为通知“送达”被通知人。

(3) For the purpose of paragraph(2) a notice “reaches” a person when given to that person orally or delivered at that person’s place of business or mailing address.

 

(4)就本条而言,通知包括声明、要求、请求或任何其他意思的表述。

(4) For the purpose of this article “notice” includes a declaration, demand, request or any other communication of intention.

 

第1.11条 定义 ARTICLE 1.11 Definitions

通则中:In these Principles

 

 “法院”,包括仲裁庭。“court” includes an arbitral tribunal;

 

 “营业地”,在当事人有一个以上的营业地时,考虑到在合同订立之前任何时候或订立合同之时各方当事人所知晓或考虑到的情况,相关的“营业地”是指与合同和其履行具有最密切where a party has more than one place of business the relevant “place of business” is that which has the closest relationship to the contract and its performance, having regard to the circumstances known to or contemplated by the parties at any time before or at the conclusion of the contract;

 

 “债务人”是指履行义务的一方当事人;“债权人”是指有权要求履行义务的一方当事人。

 “obligor” refers to the party who is to perform an obligation and “obligee” refers to the party who is entitled to performance of that obligation.

 

 “书面”是指能保存所含信息的记录,并能以有形方式复制的任何通讯方式。

“writing” means any mode of communication that preserves a record of the information contained there in and is capable of being reproduced in tangible form.

 

第1.12条 当事人规定的时间的计算 ARTICLE 1.12 Computation of time set by parties

(1)发生在由当事人规定的履行某一行为的期间内的法定节假日或非工作日应包括在期间的计算之内。

(1) Official holidays or non-business days occurring during a period set by parties for an act to be performed are included in calculating the period.

 

(2)然而,如果期间的最后一天在履行该行为之当事人的营业地是法定节假日或非工作日,该期间可顺延至随后的第一个工作日,除非情况有相反的表示。

(2) However, if the last day of the period is an official holiday or a non-business day at the place of business of the party to perform the act, the period is extended until the first business day which follows, unless the circumstances indicate otherwise.

 

(3)相关的时区是设定时间的当事人营业地的时区,除非情况有相反的表示。

(3) The relevant time zone is that of the place of business of the party setting the time, unless the circumstances indicate otherwise.

 

第二章 合同的订立与代理人的权限

CHAPTER 2 — FORMATION AND AUTHORITY OF AGENTS

 

第一节 合同的订立SECTION 1: FORMATION

第2.1.1条 订立的形式   ARTICLE 2.1.1 Manner of formation

合同可通过对要约的承诺或通过能充分表明当事人各方合意的行为而成立。

A contract may be concluded either by the acceptance of an offer or by conduct of the parties that is sufficient to show agreement.

 

第2.1.2条 要约的定义  ARTICLE 2.1.2 Definition of offer

一项订立合同的建议,如果十分确定,并表明要约人在得到承诺时受其约束的意旨,即构成一项要约。

A proposal for concluding a contract constitutes an offer if it is sufficiently definite and indicates the intention of the offeror to be bound in case of acceptance.

 

第2.1.3条 要约的撤回  ARTICLE 2.1.3 Withdrawal of offer

(1)要约于送达受要约人时生效;

(1) An offer becomes effective when it reaches the offeree.

 

(2)一项要约即使是不可撤销的,也可以撤回,如果撤回通知在要约送达受要约人之前或与要约同时送达受要约人。

(2) An offer, even if it is irrevocable, may be withdrawn if the withdrawal reaches the offeree before or at the same time as the offer.

 

第2.1.4条 要约的撤销   ARTICLE 2.1.4 Revocation of offer

(1)在合同订立之前,要约得予撤销,如果撤销通知在受要约人发出承诺之前送达受要约人。

(1) Until a contract is concluded an offer may be revoked if the revocation reaches the offeree before it has dispatched an acceptance.

 

(2)但是,在下列情况下,要约不得撤销:   (2) However, an offer cannot be revoked

 

(a)要约写明承诺的期限,或以其他方式表明要约是不可撤销的;或

(a) if it indicates, whether by stating a fixed time for acceptance or otherwise, that it is irrevocable; or

(b)受要约人有理由信赖该项要约是不可撤销的,且受要约人已依赖该要约行事。

(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.

 

第2.1.5条 要约的拒绝   ARTICLE 2.1.5 Rejection of offer

要约于拒绝通知送达要约人时终止。

An offer is terminated when a rejection reaches the offeror.

 

第2.1.6条 承诺的方式   ARTICLE 2.1.6 Mode of acceptance

(1)受要约人做出的声明或表示同意一项要约的其他行为构成承诺。缄默或不行为本身不构成承诺。

(1) 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)对一项要约的承诺于同意的表示送达要约人时生效。

(2) An acceptance of an offer becomes effective when the indication of assent reaches the offeror.

 

(3)但是,如果根据要约本身,或依照当事人之间建立的习惯做法或依照惯例,受要约人可以通过做出某行为来表示同意,而无须向要约人发出通知,则承诺于做出该行为时生效。

(3) 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 without notice to the offeror, the acceptance is effective when the act is performed.

 

第2.1.7条 承诺的时间   ARTICLE 2.1.7 Time of acceptance

要约必须在要约人规定的时间内承诺;或者如果未规定时间,应在考虑了交易的具体情况,包括要约人所使用的通讯方法的快捷程度的一段合理的时间内做出承诺。对口头要约必须立即做出承诺,除非情况有相反的表示。

An offer must be accepted within the time the offeror has fixed or, if no time is fixed, within a reasonable time having regard to the circumstances, including the rapidity of the means of communication employed by the offeror. An oral offer must be accepted immediately unless the circumstances indicate otherwise.

 

第2.1.8条 规定期限内的承诺   ARTICLE 2.1.8 Acceptance within a fixed period of time

要约人规定的承诺期限自要约发出时起算。要约中表示的日期应被视为是要约发出的时间,除非情况有相反的表示。

A period of acceptance fixed by the offeror begins to run from the time that the offer is dispatched. A time indicated in the offer is deemed to be the time of dispatch unless the circumstances indicate otherwise.

 

第2.1.9条 逾期承诺与传递迟延  ARTICLE 2.1.9 Late acceptance. Delay in transmission

(1)逾期承诺仍应具有承诺的效力,但要约人应毫不迟延地告知受要约人该承诺具有效力或就此向受要约人发出通知。

(1) A late acceptance is nevertheless effective as an acceptance if without undue delay the offeror so informs the offeree or gives notice to that effect.

 

(2)如果载有逾期承诺的信息表明它是在如果传递正常即能及时被送达要约人的情况下发出的,则该逾期的承诺仍具有承诺的效力,除非要约人毫不迟延地通知受要约人此要约已失效。

(2) If a communication containing a late acceptance shows that it has been sent in such circumstances that if its transmission had been normal it would have reached the offeror in due time, the late acceptance is effective as an acceptance unless, without undue delay, the offeror informs the offeree that it considers the offer as having lapsed.

 

第2.1.10条 承诺的撤回  ARTICLE 2.1.10 Withdrawal of acceptance

承诺可以撤回,只要撤回通知在承诺本应生效之前或同时送达要约人。

An acceptance may be withdrawn if the withdrawal reaches the offeror before or at the same time as the acceptance would have become effective.

 

第2.1.11条 变更的承诺   ARTICLE 2.1.11 Modified acceptance

(1)对要约意在表示承诺但载有添加、限制或其他变更的答复,即为对要约的拒绝,并构成反要约。

(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)但是,对要约意在表示承诺但载有添加,或不同条件的答复,如果所载的添加或不同条件没有实质性地改变要约的条件,那么,除非要约人毫不迟延地表示拒绝这些不符,则此答复仍构成承诺。如果要约人不做出拒绝,则合同的条款应以该项要约的条款以及承诺通知中所载有的变更为准。

(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 to the discrepancy. If the offeror does not object, the terms of the contract are the terms of the offer with the modifications contained in the acceptance.

 

第2.1.12条 书面确认  ARTICLE 2.1.12 Writings in confirmation

在合同订立后一段合理时间内发出的意在确认合同的书面文件,如果载有添加或不同的条款,除非这些添加或不同条款实质性地变更了合同,或者接收方毫不迟延地拒绝了这些不符,则这些条款应构成合同的一个组成部分。

If a writing which is sent within a reasonable time after the conclusion of the contract and which purports to be a confirmation of the contract contains additional or different terms, such terms become part of the contract, unless they materially alter the contract or the recipient, without undue delay, objects to the discrepancy.

 

第2.1.13条 合同的订立基于对特定事项或特定形式的协议

ARTICLE 2.1.13 Conclusion of contract dependent on agreement on specific matters or in a particular form

在谈判过程中,凡一方当事人坚持合同的订立以对特定事项或以特定形式达成协议为条件的,则在对这些特定事项或形式达成协议之前,合同不能订立。

Where in the course of negotiations one of the parties insists that the contract is not concluded until there is agreement on specific matters or in a particular form, no contract is concluded before agreement is reached on those matters or in that form.

 

第2.1.14条 特意待定的合同条款  ARTICLE 2.1.14 Contract with terms deliberately left open

(1)如果当事人各方意在订立一项合同,但却有意将一项条款留待进一步谈判商定或由第三人确定,则这一事实并不妨碍合同的成立。

(1) If the parties intend to conclude a contract, the fact that they intentionally leave a term to be agreed upon in further negotiations or to be determined by a third person does not prevent a contract from coming into existence.

 

(2)考虑到当事人各方的意思,如果在具体情况下存在一种可选择的合理方法来确定此条款,则合同的存在不受此后发生的下列情况的影响:

(2) The existence of the contract is not affected by the fact that subsequently

 

(a)当事人各方未就该条款达成协议;或  (a) the parties reach no agreement on the term; or

 

(b)第三人未确定此条款。

(b) the third person does not determine the term, provided that there is an alternative means of rendering the term definite that is reasonable in the circumstances, having regard to the intention of the parties.

 

第2.1.15条 恶意谈判   ARTICLE 2.1.15 Negotiations in bad faith

(1)当事人可自由进行谈判,并对未达成协议不承担责任;

(1) A party is free to negotiate and is not liable for failure to reach an agreement.

 

(2)但是,一方当事人如果恶意进行谈判或恶意终止谈判,则该方当事人应对因此给另一方当事人所造成的损失承担责任;

(2) However, a party who negotiates or breaks off negotiations in bad faith is liable for the losses caused to the other party.

 

(3)恶意,特别是指一方当事人在无意与对方达成协议的情况下,开始或继续进行谈判。

(3) It is bad faith, in particular, for a party to enter into or continue negotiations when intending not to reach an agreement with the other party.

 

第2.1.16条 保密义务  ARTICLE 2.1.16 Duty of confidentiality

在谈判过程中,一方当事人以保密性质提供的信息,无论此后是否达成合同,另一方当事人有义务不予泄露,也不得为自己的目的不适当地使用这些信息。在适当的情况下,违反该义务的救济可以包括根据另一方当事人泄露该信息所获得之利益予以赔偿。

Where information is given as confidential by one party in the course of negotiations, the other party is under a duty not to disclose that information or to use it improperly for its own purposes, whether or not a contract is subsequently concluded. Where appropriate, the remedy for breach of that duty may include compensation based on the benefit received by the other party.

 

第2.1.17条 合并条款  ARTICLE 2.1.17 Merger clauses

若一个书面合同中载有的一项条款表明该合同包含了各方当事人已达成一致的全部条款,则此前存在的任何陈述或协议不能被用作证据对抗或补充该合同。但是,这些陈述或协议可用于解释该书面合同。

A contract in writing which contains a clause indicating that the writing completely embodies the terms on which the parties have agreed cannot be contradicted or supplemented by evidence of prior statements or agreements. However, such statements or agreements may be used to interpret the writing.

 

第2.1.18条 特定形式修改  ARTICLE 2.1.18 Modification in a particular form

如果书面合同中载有的一项条款要求合同的任何修改或终止必须以特定形式做出,则该合同不得以其他形式修改或终止。但是,在一方当事人的行为使另一方当事人产生信赖并依此行事的限度内,则该一方当事人因其行为可被拒绝主张本条款。

A contract in writing which contains a clause requiring any modification or termination by agreement to be in a particular form may not be otherwise modified or terminated. However, a party may be precluded by its conduct from asserting such a clause to the extent that the other party has reasonably acted in reliance on that conduct.

 

第2.1.19条 按标准条款订立合同 ARTICLE 2.1.19  Contracting under standard terms

(1)一方或双方当事人使用标准条款订立合同,适用订立合同的一般规则,但应受本章第2.1.20条至第2.1.22条的约束。

(1) Where one party or both parties use standard terms in concluding a contract, the general rules on formation apply, subject to Articles 2.1.20 - 2.1.22.

(2)标准条款是指一方为通常和重复使用的目的而预先准备的条款, 并在实际使用时未与对方谈判。

(2) Standard terms are provisions which are prepared in advance for general and repeated use by one party and which are actually used without negotiation with the other party.

 

第2.1.20条 意外条款  ARTICLE 2.1.20 Surprising terms

(1)如果标准条款中含有另一方当事人不能合理预见性质的条款,则该条款无效,除非对方明示地表示接受;

(1) No term contained in standard terms which is of such a character that the other party could not reasonably have expected it, is effective unless it has been expressly accepted by that party.

 

(2)在确定某一条款是否属于这种性质时,应考虑到该条款的内容、语言和表达方式。

(2) In determining whether a term is of such a character regard shall be had to its content, language and presentation.

 

第2.1.21条 标准条款与非标准条款的冲突 

ARTICLE 2.1.21 Conflict between standard terms and non-standard terms

若标准条款与非标准条款发生冲突,以非标准条款为准。

In case of conflict between a standard term and a term which is not a standard term the latter prevails.

 

第2.1.22条 格式合同之争  ARTICLE 2.1.22   Battle of forms

在双方当事人均使用标准条款的情况下,如果双方对除标准条款以外的条款达成一致,则合同应根据已达成一致的条款以及在实体内容上相同的标准条款订立,除非一方当事人已事先明确表示或事后毫不迟延地通知另一方当事人其不愿受这种合同的约束。

Where both parties use standard terms and reach agreement except on those terms, a contract is concluded on the basis of the agreed terms and of any standard terms which are common in substance unless one party clearly indicates in advance, or later and without undue delay informs the other party, that it does not intend to be bound by such a contract.

 

第二节 代理人的权限SECTION 2: AUTHORITY OF AGENTS

 

第2.2.1条 本节的范围   ARTICLE 2.2.1 Scope of the Section

(1)本节调整某人(代理人)通过与第三方之间的一项合同的订立或相关事项,影响另一人(本人)法律关系的权限,而不论代理人是以自己的名义还是以本人的名义行事。

(1) This Section governs the authority of a person(“the agent”), to affect the legal relations of another person(“the principal”), by or with respect to a contract with a third party, whether the agent acts in its own name or in that of the principal.

 

(2)本节仅调整以本人或代理人为一方当事人,以第三方为另一方当事人之间的关系。

(2) It governs only the relations between the principal or the agent on the one hand, and the third party on the other.

 

(3)本节并不调整由法律赋予代理人的权限,或由公共或司法机构指定的代理人的权限。

(3) It does not govern an agent’s authority conferred by law or the authority of an agent appointed by a public or judicial authority.

 

第2.2.2条 代理人权限的确立和范围

ARTICLE 2.2.2 Establishment and scope of the authority of the agent

(1)本人授予代理人的权限既可以是明示的也可以是默示的。

(1) The principal’s grant of authority to an agent may be express or implied.

 

(2)代理人为实现授权之目的,有权采取所有必要的行为。

(2) The agent has authority to perform all acts necessary in the circumstances to achieve the purposes for which the authority was granted.

 

第2.2.3条 显名代理  ARTICLE 2.2.3 Agency disclosed

(1)如当代理人在其权限范围内行事,且第三方已知或应知其以代理身份行事,代理人的行为将直接影响本人和第三方之间的法律关系,而在代理人和第三方之间不创设任何法律关系。

(1) Where an agent acts within the scope of its authority and the third party knew or ought to have known that the agent was acting as an agent, the acts of the agent shall directly affect the legal relations between the principal and the third party and no legal relation is created between the agent and the third party.

 

(2)但是,当代理人经本人同意成为合同一方时,则代理人的行为应仅影响代理人和第三方之间的关系。

(2) However, the acts of the agent shall affect only the relations between the agent and the third party, where the agent with the consent of the principal undertakes to become the party to the contract.

 

第2.2.4条 隐名代理   ARTICLE 2.2.4 Agency undisclosed

(1)当代理人在其权限范围内行事,但第三方既不知道也不应知道代理人是作为代理人行事时,则代理人的行为将仅影响代理人与第三方之间的关系。

(1) Where an agent acts within the scope of its authority and the third party neither knew nor ought to have known that the agent was acting as an agent, the acts of the agent shall affect only the relations between the agent and the third party.

 

(2)然而,代理人当代表一个商业与第三方达成合同时,声称是该商业的所有人,则第三方在发现该商业的真实所有者后,可以向后者行使其对代理人的权利。

(2) However, where such an agent, when contracting with the third party on behalf of a business, represents itself to be the owner of that business, the third party, upon discovery of the real owner of the business, may exercise also against the latter the rights it has against the agent.

 

第2.2.5条 代理人无权或越权行事 

ARTICLE 2.2.5 Agent acting without or exceeding its authority

(1)代理人没有代理权或超越代理权行事时,其行为不影响委托人和第三方之间的法律关系。

(1) Where an agent acts without authority or exceeds its authority, its acts do not affect the legal relations between the principal and the third party.

 

(2)但是,当本人造成第三方合理地认为代理人有权代表本人行事,且代理人是在该权限范围内行事时,则本人不得以代理人无代理权为由对抗第三方。

(2) However, where the principal causes the third party reasonably to believe that the agent has authority to act on behalf of the principal and that the agent is acting within the scope of that authority, the principal may not invoke against the third party the lack of authority of the agent.

 

第2.2.6条 代理人无权或越权行事的责任

 ARTICLE 2.2.6 Liability of agent acting without or exceeding its authority

(1)没有代理权或超越代理权行事的代理人,如未经本人追认,则应对第三人承担将其恢复至如同代理人有代理权或未超越代理权行事时第三方应处的同等状况的责任。

(1) An agent that acts without authority or exceeds its authority is, failing ratification by the principal, liable for damages that will place the third party in the same position as if the agent had acted with authority and not exceeded its authority.

(2)但是,如果第三方已知或应知代理人没有代理权或超越代理权,则代理人不承担责任。

(2) However, the agent is not liable if the third party knew or ought to have known that the agent had no authority or was exceeding its authority.

 

第2.2.7条 利益冲突  ARTICLE 2.2.7 Conflict of interests

(1)如果代理人缔结的合同涉及到代理人与本人存在利益冲突,而且第三方已知或应知这一情况,则本人可主张合同无效。主张无效的权利由第3.12条和第3.14条至第3.17条调整。

(1) If a contract concluded by an agent involves the agent in a conflict of interests with the principal of which the third party knew or ought to have known, the principal may avoid the contract. The right to avoid is subject to Articles 3.12 and 3.14 to 3.17.

 

(2)但是,本人在以下情况不得主张合同无效:

(2) However, the principal may not avoid the contract

 

(a)本人已经同意,或已知或应知代理人涉及利益冲突;或

(a) if the principal had consented to, or knew or ought to have known of, the agent’s involvement in the conflict of interests; or

 

(b)代理人已经披露与本人的利益冲突,但本人在合理时间内并未提出反对。

(b) if the agent had disclosed the conflict of interests to the principal and the latter had not objected within a reasonable time.

 

第2.2.8条 次代理  ARTICLE 2.2.8 Sub-agency

代理人有指定次代理人履行那些非合理预期代理人本身履行的行为的默示权力。本节的规则适用于次代理。

An agent has implied authority to appoint a sub-agent to perform acts which it is not reasonable to expect the agent to perform itself. The rules of this Section apply to the sub-agency.

 

第2.2.9条 追认  ARTICLE 2.2.9 Ratification

(1)代理人没有代理权或超越代理权的行为可由本人追认。经追认的行为如同代理人自始就依代理权行事产生同样的效力。

(1) An act by an agent that acts without authority or exceeds its authority may be ratified by the principal. On ratification the act produces the same effects as if it had initially been carried out with authority.

 

(2)第三方可以通知本人在一段合理的时间内追认。本人如未在该时间内追认,则不能再予追认。

(2) The third party may by notice to the principal specify a reasonable period of time for ratification. If the principal does not ratify within that period of time it can no longer do so.

 

(3)如果在代理人行事时,第三方既不知也不应知代理人无权代理,则第三方可在本人追认前,随时通知本人表示拒绝受追认的约束。

(3) If, at the time of the agent’s act, the third party neither knew nor ought to have known of the lack of authority, it may, at any time before ratification, by notice to the principal indicate its refusal to become bound by a ratification.

 

第2.2.10条 代理权终止 ARTICLE 2.2.10  Termination of authority

(1)代理权的终止对第三方不产生效力,除非第三方已知或应知这一情况。

(1) Termination of authority is not effective in relation to the third party unless the third party knew or ought to have known of it.

(2)尽管代理权终止,但代理人仍有权为防止损害本人利益采取必 要的行为。

(2) Notwithstanding the termination of its authority, an agent remains authorised to perform the acts that are necessary to prevent harm to the principal’s interests.

 

第三章 合同的效力CHAPTER 3 — VALIDITY

第3.1条 未涉及事项 ARTICLE 3.1(Matters not covered)

通则不处理由以下原因而导致的合同无效:

These Principles do not deal with invalidity arising from

 

(a)无行为能力;(a) lack of capacity;

 

(b)不道德或非法。(b) immorality or illegality.

 

第3.2条 协议的效力  ARTICLE 3.2  Validity of mere agreement

合同仅由双方的协议订立、修改或终止,除此别无其他要求。

A contract is concluded, modified or terminated by the mere agreement of the parties, without any further requirement.

 

第3.3条 自始不能  ARTICLE 3.3  Initial impossibility

(1)合同订立时不能履行所承担之义务的事实本身,不影响合同的效力。

(1) The mere fact that at the time of the conclusion of the contract the performance of the obligation assumed was impossible does not affect the validity of the contract.

 

(2)合同订立时一方当事人无权处置与该合同相关联之财产的事实本身,不影响合同的效力。

(2) The mere fact that at the time of the conclusion of the contract a party was not entitled to dispose of the assets to which the contract relates does not affect the validity of the contract.

 

第3.4条 错误的定义  ARTICLE 3.4 Definition of mistake

错误是指对合同订立时已经存在的事实或法律所做的不正确的假设。

Mistake is an erroneous assumption relating to facts or to law existing when the contract was concluded.

 

第3.5条 相关错误  ARTICLE 3.5 Relevant mistake

(1)一方当事人可因错误而宣告合同无效,此错误在订立合同时如此之重大,以至于一个通情达理的人处在与犯错误之当事人的相同情况之下,如果知道事实真相,就会按实质不同的条款订立合同,或根本不会订立合同,并且

(1) A party may only avoid the contract for mistake if, when the contract was concluded, the mistake was of such importance that a reasonable person in the same situation as the party in error would only have concluded the contract on materially different terms or would not have concluded it at all if the true state of affairs had been known, and

 

(a)另一方当事人犯了相同的错误,或造成如此错误,或者另一方当事人知道或理应知道该错误,但却有悖于公平交易的合理商业标准,使错误方一直处于错误状态之中;或者

(a) the other party made the same mistake, or caused the mistake, or knew or ought to have known of the mistake and it was contrary to reasonable commercial standards of fair dealing to leave the mistaken party in error; or

 

(b)在宣告合同无效时,另一方当事人尚未依其对合同的信赖而行事。

(b) the other party had not at the time of avoidance reasonably acted in reliance on the contract.

 

(2)但是,一方当事人不能宣告合同无效,如果

(2) However, a party may not avoid the contract if

 

(a)该当事人由于重大疏忽而犯此错误;或者

(a) it was grossly negligent in committing the mistake; or

 

(b)错误与某事实相关联,而对于该事实发生错误的风险已被设想到,或者考虑到相关情况,该错误的风险应当由错误方承担。

(b) the mistake relates to a matter in regard to which the risk of mistake was assumed or, having regard to the circumstances, should be borne by the mistaken party.

 

第3.6条 表述或传达中的错误  ARTICLE 3.6 Error in expression or transmission

在表述或传达一项声明过程中发生的错误应视为做出该声明之人的错误。

An error occurring in the expression or transmission of a declaration is considered to be a mistake of the person from whom the declaration emanated.

 

第3.7条 对不履行的救济 ARTICLE 3.7 Remedies for non-performance

一方当事人无权因错误宣告合同无效,如果该方当事人所依赖的情况表明对不履行可以或本来可以提供救济。

A party is not entitled to avoid the contract on the ground of mistake if the circumstances on which that party relies afford, or could have afforded, a remedy for non-performance.

 

第3.8条 欺诈   ARTICLE 3.8 Fraud

一方当事人可宣告合同无效,如果其订立合同是基于另一方当事人的欺诈性陈述,包括欺诈性的语言或做法,或按照公平交易的合理商业标准,该另一方当事人对应予披露的情况欺诈性地未予披露。

A party may avoid the contract when it has been led to conclude the contract by the other party’s fraudulent representation, including language or practices, or fraudulent non-disclosure of circumstances which, according to reasonable commercial standards of fair dealing, the latter party should have disclosed.

 

第3.9条 胁迫  ARTICLE 3.9 Threat

一方当事人可宣告合同无效,如果其合同的订立是因另一方当事人的不正当之胁迫,而且考虑到在各种情况下,该胁迫如此急迫、严重到足以使第一方当事人无其他合理选择。尤其是当使一方当事人受到胁迫的作为或不作为本身属非法,或者以其作为手段来获取合同的订立属非法时,均为不正当的胁迫。

A party may avoid the contract when it has been led to conclude the contract by the other party’s unjustified threat which, having regard to the circumstances, is so imminent and serious as to leave the first party no reasonable alternative. In particular, a threat is unjustified if the act or omission with which a party has been threatened is wrongful in itself, or it is wrongful to use it as a means to obtain the conclusion of the contract.

 

第3.10条 重大失衡  ARTICLE 3.10 Gross disparity

(1)在订立合同时,合同或其个别条款不合理地对另一方当事人过分有利,则一方当事人可宣告该合同或该个别条款无效。除其他因素外,尚应考虑下列各项:

(1) A party may avoid the contract or an individual term of it if, at the time of the conclusion of the contract, the contract or term unjustifiably gave the other party an excessive advantage. Regard is to be had, among other factors, to

 

(a)该另一方当事人不公平地利用了对方当事人的依赖、经济困境或紧急需要,或不正当地利用了对方当事人的缺乏远见、无知、无经验或缺乏谈判技巧的事实,以及

(a) the fact that the other party has taken unfair advantage of the first party’s dependence, economic distress or urgent needs, or of its improvidence, ignorance, inexperience or lack of bargaining skill, and

 

(b)合同的性质和目的。(b) the nature and purpose of the contract.

 

(2)依有权宣告合同无效的一方当事人的请求,法院可以修改该合同或其条款,以使其符合公平交易的合理的商业标准。

(2) Upon the request of the party entitled to avoidance, a court may adapt the contract or term in order to make it accord with reasonable commercial standards of fair dealing.

 

(3)依收到宣告合同无效通知的一方当事人的请求,法院亦可修改合同或其条款,只要该方当事人在收到此项通知后,且在对方当事人依据该项通知行事前,立即将其请求告知对方当事人。本章第3.13条第(2)款的规定此时应予适用。

(3) A court may also adapt the contract or term upon the request of the party receiving notice of avoidance, provided that that party informs the other party of its request promptly after receiving such notice and before the other party has reasonably acted in reliance on it. The provisions of Article 3.13(2) apply accordingly.

 

第3.11条 第三人  ARTICLE 3.11 Third persons

(1)如果欺诈、胁迫、重大失衡或一方当事人的错误可归因于第三人,或者该第三人知道或应当知道这些情况,而该第三人的行为由另一方当事人负责,则可按该另一方当事人本身所做行为或所知晓的相同条件,宣告该合同无效。

(1) Where fraud, threat, gross disparity or a party’s mistake is imputable to, or is known or ought to be known by, a third person for whose acts the other party is responsible, the contract may be avoided under the same conditions as if the behaviour or knowledge had been that of the party itself.

 

(2)如果欺诈、胁迫或重大失衡可归因于第三人,而该第三人的行为不由另一方当事人负责,在该另一方当事人知道或理应知道此欺诈、胁迫或重大失衡,或在宣告合同无效时尚未按照对该合同的信赖而行事的情况下,则该合同可被宣告无效。

(2) Where fraud, threat or gross disparity is imputable to a third person for whose acts the other party is not responsible, the contract may be avoided if that party knew or ought to have known of the fraud, threat or disparity, or has not at the time of avoidance reasonably acted in reliance on the contract.

 

第3.12条 确认  ARTICLE 3.12 Confirmation

有权宣告合同无效的一方当事人如果在发出合同无效通知的期间开始后,又明示或默示地确认合同,则该方当事人不得再宣告合同无效。

If the party entitled to avoid the contract expressly or impliedly confirms the contract after the period of time for giving notice of avoidance has begun to run, avoidance of the contract is excluded.

 

第3.13条 丧失宣告合同无效的权利  ARTICLE 3.13 Loss of right to avoid

(1)如果一方当事人有权因错误宣告合同无效,而另一方当事人声明他将愿意按或已按有权宣告合同无效的一方当事人对合同的理解履行合同,则该合同应视为按照该一方当事人的理解已经订立。该另一方当事人在收到有权宣告合同无效的一方当事人对合同的理解方式的通知后,而且在该一方当事人依据宣告合同无效通知合理行事之前,必须立即做出此种声明或进行此种履行。

(1) If a party is entitled to avoid the contract for mistake but the other party declares itself willing to perform or performs the contract as it was understood by the party entitled to avoidance, the contract is considered to have been concluded as the latter party understood it. The other party must make such a declaration or render such performance promptly after having been informed of the manner in which the party entitled to avoidance had understood the contract and before that party has reasonably acted in reliance on a notice of avoidance.

 

(2)在做出此种声明或履行之后,宣告合同无效的权利即行丧失,任何以前宣告合同无效的通知均丧失效力。

(2) After such a declaration or performance the right to avoidance is lost and any earlier notice of avoidance is ineffective.

 

第3.14条 宣告合同无效的通知  ARTICLE 3.14 Notice of avoidance

一方当事人通过向另一方当事人发出通知行使其宣告合同无效的权利。

The right of a party to avoid the contract is exercised by notice to the other party.

 

第3.15条 时间期限  ARTICLE 3.15 Time limits

(1)考虑到各种情况,宣告合同无效的通知,应在宣告合同无效的一方当事人已知或不可能不知道有关事实或者在其可以自由行事之后的一段合理时间内做出。

(1) Notice of avoidance shall be given within a reasonable time, having regard to the circumstances, after the avoiding party knew or could not have been unaware of the relevant facts or became capable of acting freely.

 

(2)如果一方当事人根据第3.10条的规定有权宣告合同中的个别条款无效,则宣告合同无效通知的期限自另一方当事人坚持该条款之时开始。

(2) Where an individual term of the contract may be avoided by a party under Article 3.10, the period of time for giving notice of avoidance begins to run when that term is asserted by the other party.

 

第3.16条 部分无效  ARTICLE 3.16 Partial avoidance

如果宣告合同无效的理由仅影响合同的个别条款,则宣告合同无效的效力仅限于这些条款,除非考虑到各种情况,维持合同的其余部分是不合理的。

Where a ground of avoidance affects only individual terms of the contract, the effect of avoidance is limited to those terms unless, having regard to the circumstances, it is unreasonable to uphold the remaining contract.

 

第3.17条 宣告合同无效的追溯力  ARTICLE 3.17 Retroactive effect of avoidance

(1)宣告合同无效具有追溯力。(1) Avoidance takes effect retroactively.

 

(2)宣告合同无效后,任何一方当事人可要求返还其依据已被宣告无效的合同或部分合同所提供的一切,但要以该方当事人也同时返还其依据已被宣告无效的合同或部分合同所得到的一切为条件,或者如虽不能返还实物,但对其所得之物给予补偿。

(2) On avoidance either party may claim restitution of whatever it has supplied under the contract or the part of it avoided, provided that it concurrently makes restitution of whatever it has received under the contract or the part of it avoided or, if it cannot make restitution in kind, it makes an allowance for what it has received.

 

第3.18条 损害赔偿  ARTICLE 3.18 Damages

无论是否宣告合同无效,已知或理应知道合同无效理由的一方当事人应承担损害赔偿的责任,以使另一方当事人处于如同其未订立合同的地位。

Irrespective of whether or not the contract has been avoided, the party who knew or ought to have known of the ground for avoidance is liable for damages so as to put the other party in the same position in which it would have been if it had not concluded the contract.

 

第3.19条 本章条款的强制性  ARTICLE 3.19 Mandatory character of the provisions

本章的各项规定具有强制性,但那些有关协议的约束力、自始不能或错误的规定除外。

The provisions of this Chapter are mandatory, except insofar as they relate to the binding force of mere agreement, initial impossibility or mistake.

 

第3.20条 单方声明  ARTICLE 3.20 Unilateral declarations

本章各项规定在适当修改后,适用于一方当事人向另一方当事人传达的任何意思表示。

The provisions of this Chapter apply with appropriate adaptations to any communication of intention addressed by one party to the other.

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