国际商务合同UNIT(1)

1、Unit 1 Ascertaining Basic Documents 弄清基础材料 Topical Highlights单元要点 Theme Presentation主题描述 1.Drafting of Inquiry询盘文本的起草 2.Drafting of Offers发盘/要约文本的起草 3.Drafting of Counter-offers还盘文本的起草 4.Drafting of Acceptance承诺文本的起草 5.Drafting of Minute of Talks会谈纪要的起草 6.Drafting of Memorandum谈判备忘录的起草 Useful Words

2、and Phrases常用词语 Reflections and Practice思考与实践 BACK Theme Presentation主题描述 基础材料主要指在正式合同形成前所产生的与合同有关的材料。一份合同的形成，大多数情况下要通过询盘(inquiry)、发盘(offer)、还盘 (counter-offer)和承诺(acceptance)四个环节。在这些重要环节中，一般将产生以下基础材料：(1)询盘文本；(2)发盘文本；(3)还盘文本；(4)承诺文本；(5)会谈记要；(6)谈判备忘录等。 1. Drafting of Inquiry询盘文本的起草 询盘(inquiry)也称询价，一般指

3、一方向另一方探询交易条件的行为。从法律角度讲，询盘对双方都没有约束力，但它却往往是交易的起点。应该指出的是，询盘并不是一笔交易所必须经过的步骤，有时可以不经过询盘而直接向对方发盘(offer)。在起草询盘文本时，可以笼统地询问对方能否供应某种商品，也可以提出某项商品的品种、规格、装运期等具体条件，邀请对方发盘。起草询盘文件时一定要做到胸中有数，严禁滥发询价，以免引起外商哄抬价格；同时也要防止对方摸底，以免处于被动地位。询价以后，如对方未及时给予答复，可以进行催问。 【例1】询问对方能否供应某种商品 我方市场经常需要不缩水丝绸，我们希望能事先掌握有关该商品的一切必要资料。为此盼寄来商品的详细规格

4、及样品。如有可能，兼告暂定价格。样品数量要充分，以便分发给所有可能成为购买者的人。 As there is a regular demand for anti-shrink silk in our market, we think it advisable that we equip ourselves with all necessary information before an inquiry comes to our hand. Accordingly, please let us know the detailed specifications and samples, and if

5、 possible your provisional quotations. The samples should be in sufficient quantities for distribution to all prospective buyers 【例2】就某项商品的具体条件邀请对方发盘 从海外杂志上见到你方的广告，悉你方能供应大批价格廉宜的二手模型及冲模，用于塑料注入模铸机及金属冲模压铸机，以制造XX。 兹请你详细开报你方所有的存货，并说明下列各点： 模型的详情；模型的主要尺码及重量；所模铸的塑料或金属品的重量；模型本身的制造原料及其外层涂料；热处理；使用年限(设计使用年限和已经使

6、用年限)；模型是否曾经修理过；模型上的印记。如果订购，你方能提供何种技术资料，如操作图纸、试验报告或证书等。 From your advertisement in The Overseas Journal we note that you are in a position to offer, at attractive prices, a lot of used moulds and dies for use with plastic injection moulding machines and metal die casting machines for the manufacture

7、of XX. We would request you to give us a comprehensive quotation for all your stocks with such information as: description of mould；principal dimensions and weight of the mould；weight of plastic or metal product moulded; material of which the mould is made and the coating thereof； heat treatment；ser

8、vice life (rated and spent)；whether the mould has been repaired；stamping on the mould. In the event of order, what technical documents such as working drawings. test report or certificates. etc. could you supply? 【例3】对未给予答复的询盘进行催问 我方1999年3月29日函曾附寄第008号询价单，要求报价XX。因未接复函，又以1999'年4月15日(第010号)函催复，迄今仍

9、未收到回音。兹将再次催请立即报价，以免报价到达太晚，用户不予考虑。 As no reply has been received from you to our inquiry No008 for XX attached to our letter dated March 29，1999，and your reminder(No010)dated April 15，1999，we have to urge you to send us your quotation by return lest it should arrive here too late for the user to cons

10、ider 2. Drafting 0f Offers发盘/要约文本的起草 发盘(offer)又称报价，合同法上称为“要约”。提出要约的一方称发盘人 (offerer)，对方称受盘人 (offeree)。询盘与发盘的不同之处在于：后者一旦被对方即受盘人有效接受，合同即告成立。中华人民共和国合同法第14条规定：“要约是希望和他人订立合同的意思表示，该意思表示应当符合下列规定：(Here offer means that one party expresses its wish to enter into a contract with the other party, and the wish e

11、xpressed should include the following provisions：) (一) 内容具体确定(The concrete contents are designated)；(二)表明经受要约人的承诺，要约人即受该意思表示约束” (Once the offeree accepts the offer, the offerer shall be bound by the offer)。 国际商事合同通则 (Principle of International Commercial Contract) 第2.2条给“要约”所下的定义是：“一项订立合同的建议，如果十分明确，

12、并表明要约人在得到承诺时受其约束的意旨，即构成要约”(A proposal for concluding a contract constitutes an offer if it is sufficiently definite and indicates the intention of the offerer to be bound in case of acceptance)。 按照中华人民共和国合同法的规定，要约到达受要约人时生效。关于到达的时间，合同法又规定：如果采取数据电文形式订立合同的，收件人指定特定系统接收数据电文的，该数据电文进入该特定系统的时间，视为到达时间；未指定特定系

13、统的，该数据电文进入收件人的任何系统的首次时间，视为到达时间。 尽管中华人民共和国合同法肯定了要约人享有撤回要约的权利，但是这种权利也有一定限制，即：撤回要约的通知应当在要约到达受要约人之前或者与要约同时到达受要约人。如果我们运用电子数据交换(Electronic Data Interchange，简称EDI)技术发出一份要约(订单)，该要约的撤回几乎是不可能的。因为通过EDI传递信息速度极快，而且EDI使订约过程完全自动化，受要约人的计算机系统一旦收到信息即可自动处理，发出确认指示。因此，在制作发盘(实盘)/要约文本时，内容必须具体、完整，各种交易条件必须规定得明确、合理。 【例4】复询价报

14、实盘 1999年3月17日函已收到，经悉盼报上述商品80公吨，运往欧登塞。现答复并报盘如下，此盘以在北京时间4月29日前复到为有效：“80公吨核桃仁，1999年产大路货，CIF至欧登塞价包括2佣金在内，每公吨250美元，五、六月份装船，哥本哈根转船，除保险按全票金额110投保一切险和串味险外，其主条款均照常。” 由于此间无直达船去欧登塞，须在哥本哈根转船。请注意，从哥本哈根至欧登塞的额外费用已包括在所报价格中。希望你方及早答复。 We acknowledge receipt of your letter dated March 17,1999, from which we note that

15、you wish to have an offer from us for 80 metric tons of the captioned goods for shipment to Odense. In reply, we are making you, subject to your reply reaching us by April 29 Beijing time, the following offer: "80 metric tons of Walnutmeat, F.A.Q.1999 Crop, at US $ 250 per metric ton CIF includ

16、ing 2% Commission Odense, shipment per steamer during May/June with the exception of insurance which will cover All Risks and Risk of Odour for 110% of the total invoice value." As no direct steamer is available from here to Odense, the parcel will have to be transhipped at Copenhagen, please n

17、ote that additional cost from Copenhagen to Odense is included in the quoted price. We look forward to your early reply.We are looking forward Notes 【例5】卖方寄样和报盘 1999年3月28日函收悉，根据请求现另航空邮寄我方印花细布的目录本一册和样本两册，希望有助于你方收到后选货。 为在双方之间开始具体业务，现将做以下优惠报盘，以我方最后确认为准： 商品：99028号印花细布 花色：第99280号一IB号 规格：20×30 数量：16，

18、000码 包装：打包或装木箱，由卖方选择 价格：每码25美元，CIF到鹿特丹 希望以上报盘能为你方所接受，等待你方来试订。 We are in receipt of your letter dated March28，1999 and, as requested, are airmailing you under separate cover, one catalogue and two sample books for our printed Shirting. We hope they will reach you in due course and will help you in ma

19、king your selection In order to start a concrete transaction between us we take pleasure in making you a special offer. subject to our final confirmation. as follows： Art No-99028 printed Shirting. Design No：992801B Specifications：20×30 Quantity: 16,000 yards Packing: In bales or in wooden case

20、s, at seller's option Price: US$25 per yard CIF Rotterdam We trust the above will be acceptable to you and await with keen interest your trial order Notes 3. Drafting of Counter-offers还盘文本的起草 还盘(counter-offer)又称还价，是受盘人在收到发盘或报价之后，不同意或不完全同意发盘人在盘中提出的条件，而提出修改或变更的表示。实际上还盘是受盘人以发盘人的地位所提出的新的发盘或新的要求。这里应注

21、意的是，还盘一定要在发盘(实盘)的有效期限内作出，否则，对发盘人没有约束力。 在起草还盘文本时，应明确提出具体的不同意或不完全同意对方报盘所提的条件，并要写明修改的条件，最好能说明理由。 【例6】受盘人要求对方修改报价 贵方第97028号报价单已收到，谢谢。我们把它和我方上次订货时贵方的第97001号报价单相比较，发现有两点不同：一是交货改用集装箱；二是价格提高了2。我们承认剪羊毛机的市场最近略有提升，但贵方报价是以成本加运费为基础，而集装箱的运费比普通运费低，该货价格上涨完全可由节省的运费抵销。因此，这次的报价应与上次相同，希贵方予以考虑并请传真确认。 We thank you for yo

22、ur Quotation No. 97028. A comparison between this Quotation and your Quotation No. 97001 for our last order shows that you are now quoting for container shipment and are raising your price by 2%. Admittedly, there is some slight increase for sheep shearing machines in the market price, we would like

23、 to point out that since your present Quotation is on C& F terms and freight for container shipment is lower than the usual freight, the increase in price can be well set off by the saving in freight and therefore the unit price of this order should be identical with that of our last order. Plea

24、se consider our comments and let us have your confirmation by Fax. 【例7】报盘人反还盘 我们仔细研究了你公司3月29日的电子邮件。你公司与我公司业务往来多年，按理应该同意你公司关于降低我_(商品)价格，但困难不少。在过去三个月内原材料成本上升很快，如按你公司所提减价10，很难不影响产品的质量标准，而这不是我公司愿采取的做法。我们建议凡定单值超过1，000美元的，减价5而不是10。这样做将不会因减价而影响货品质量。 希望你公司接受上述建议，并一如既往按时寄来定单。 We have carefully studied your E

25、-mail of 29th, March. As our two firms have done business with each other for so many years, (As we have an along term business relationship) we should like to grant your request to lower the prices of _ But there are difficulties. Our cost of raw materials has risen sharply in the past three months

26、 and to reduce prices by 10% as you mentioned could not be done without considerable lowering our standards of quality. This is something we are not prepared to do. Instead of 10% reduction on_, we suggest a reduction of 5% of all lines on order for US$ 1,000 or more on orders of this size so we cou

27、ld manage to make the reduction without lowering our standards. We hope you will agree to our counter suggestion and look forward to receiving regular orders from you as in the past. 4. Drafting of Acceptance承诺文本的起草 承诺(accept)是指受盘人在实盘(firm offer)的有效期内，无条件地同意实盘中所提出的交易条件，并同意按这些条件订立合同的一种肯定表示。发盘(要约)一经有效

28、承诺，合同即告成立。联合国国际货物销售合同公约(United Nations Convention on Contracts for the International Sale of goods)第23条规定： “A contract is concluded at the moment when an acceptance of an offer becomes effective in accordance with the provisions of this Convention”(合同于按照本公约规定对发价的接受生效时成立)。中华人民共和国合同法第21条规定：“承诺是受要约人同意要

29、约的意思表示”(Commitment means that the offeree agrees to accept the offer)；第22条规定：“承诺应当以通知的方式作出” (Commitment shall be expressed through a written notice, )；第23条规定：“承诺应当在要约确定的期限内到达要约人” (Commitment should reach the offerer within the time limit as prescribed by the offer)。根据上述规定内容，我们可以看出，构成一项法律上有效的承诺，必须具备下

30、列条件： (1)承诺只能由接受发盘(要约)的受盘人作出，任何第三者对发盘表示同意，都不能构成有效的承诺。因为发盘是发盘人向特定的受盘人提出的一项订立合同的建议；发盘的约束力，是约束发盘人对特定的受盘人而不是任何其他人承担义务，其他任何人对发盘表示同意，都不能导致合同成立。 (2)承诺必须是无条件的、全部的。也就是说，不能附有任何条件，尽管合同的谈判是反复的，但表示“承诺”和所使用的字句是极其简单的，简单到甚至只写一个字即可： “行”(OK)。例如：“你方9日电接受”(Your Telex 9th Accepted)。 因此，附有限制、修改或增加新条件的承诺，均不能构成对发盘的有效承诺，而是对发

31、盘进行拒绝并构成还盘。联合国国际货物销售合同公约第19条第1款规定：“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” (对发盘表示接受但载有添加、限制或其它更改的答复，即为拒绝该项发盘，并构成还盘)。中华人民共和国合同法第30条规定：“承诺的内容应当与要约的内容一致。受要约人对要约的内容作出实质性

32、变更的，为新要约” (The contents of a commitment shall be identical with the offer's contents. If an offeree makes substantive changes in the offer's contents, it shall be taken as a new tom, mitment)。在实践中，我们经常收到国外客户的下列所附条件或增加条件的“承诺”，均不属有效承诺，而是对发盘进行拒绝并构成了还盘，这一点必须引起重视。例如： “接受除非8月装运”(Accept provided Au

33、gust shipment)。 “接受如价格包含2佣金”(Accept if price including 2 commission)。 (3)承诺必须在实盘的有效期内作出。根据法律的一般要求，承诺必须在发盘的有效期限内送达发盘人，并在承诺通知送达发盘人时生效，如果表示承诺的函电是委托第三者转达的，也同样以承诺通知传达到发盘人时才能生效。中华人民共和国合同法第28条规定：“受要约人超过承诺期限发出承诺的，除要约人及时通知受要约人该承诺有效的以外，为新要约” (If an offeree issues a commitment after the commitment time limit.

34、it shall be regarded as a new offer, unless the offerer informs the offeree that the original offer is still valid)。因此，要求发盘人在收到承诺通知后，及时做出答复。 【例8】在实盘有效期内作出承诺 我们很高兴地通知你方，我们接受你方于1999年7月1日的报盘，请尽快用电传回复。 We are glad to inform you that we have accepted your offer dated July 1st，1999 . Please let us have yo

35、ur earliest reply by Telex 5. Drafting of Minute of Talks会谈纪要的起草 会谈纪要是根据会谈记录整理而成的。它反映的是会谈的议题、会谈的主要议程、会谈的主要内容和会谈结果，它是口头谈话内容的正式书面纪录，以防止误解、遗忘或作为客气的提醒。会谈纪要一般是作为谈判代表向上级汇报谈判情况的文件，也是下一步签订合同的依据，有时可以作为意向书出现。会谈纪要经双方签订后，对双方有一定的约束力，但不如合同那样具有法律效力。会谈纪要的内容和格式如下： (1)标题：包括会谈名称及文种，如“关于XXX的会谈纪要”。 (2)正文：一般由两部分组成。第一部分：会

36、谈情况的概括叙述，写明会谈时间、会谈地点、会谈双方国别单位(要求写全称)，参加会谈的人数、人员姓名，以及谈判目的和取得的主要成果等。第二部分：应分条写明会谈的具体事项和具体内容，这是会谈纪要的主体部分。这部分的内容较多，又直接影响合同的签订，所以要求条理清楚、层次分明、完整准确避免遗漏。 (3)署名：结尾的右下角写上双方单位全称，并由双方代表签字。 【例9】关于XX技术转让的会谈纪要 上海ABC公司，注册地址在中国上海XX(甲方)与美国XYZ公司，注册地址在美国纽约XX(乙方)，就XX技术转让一事于1999年10月8日-12日在上海樱花度假村通过充分确切的洽谈并取得圆满成功。会谈就以下几个问题

37、达成一致意见： (1)在合营期内，乙方必须把所掌握的技术无保留地向甲方公开，并将与该转让技术有关的新技术或改进工艺相关资料交予甲方技术人员。 (2)乙方派来安装机器以及培训甲方技术人员的工程师应是一流的专家。 (3)乙方保证，在规定的培训期限内培养能够胜任工作的甲方技术人员，使他们能控制和操作设备，进行正常生产，排除生产过程中的故障，并对设备和产品质量有鉴定能力。 (4)乙方派来安装机器和培训甲方人员的工程师，其所有工资及在上海的膳宿费用均应包括在技术转让费以内。该工程师须待机器运转正常，甲方技术人员能够胜任工作后其责任才视为终了。 (5)双方的一切活动必须遵守中华人民共和国的有关法律、法令和

38、有关条例规定。 中国上海ABC公司代表(签字)： 美国纽约XYZ公司代表(签字)： Summary Of Talks On Technology Transfer A trade talks on technology transfer was being held in Shanghai Cherry Holiday Villa, by and between ABC Company, with its registered office at_, Shanghai, China (Party A) and XYZ Company, with its registered office at

39、_, New York, USA (Party B) from Oct8，1999 to Oct12，1999 .After sound and definite negotiations, both parties have achieved complete success and reached an identity of the following view： (1)During the period of the joint venture, the techniques Party B has mastered should be thoroughly made known to

40、 Party A without reserves, Further information on any new or improved techniques relative to the transferred technology should also be given to party B's technicians (2) Engineers sent by Party B for installing machinery and training Party A's technicians should be first-class specialists (3

41、) Party B shall guarantee that within the specified period of training, the trainees will be well trained and made competent for their jobs capable of controlling and operating the equipment, carrying out normal production, fixing any breakdowns in the course of production, and appraising the qualit

42、y of equipment and products (4) The salaries and the board and lodging of the engineers sent by Party B for installing machinery and training Party A's technicians during their stay at Shanghai shall be included in the fee for technology transfer, The responsibility of Party B's engineers sh

43、all not be regarded as having been discharged until the machines Operate normally and Party A's technicians are well trained and competent for their work (5) All the activities of both parties shall comply with the provision of the laws, decrees and pertinent regulations of the People's Republic of China Representative: ABC Company, Shanghai China (Signature)： Representative; XYZ Company, New York, USA (Signature)：