双语Chap9 合同的磋商与订立.pdf

Chapter 9 Conclusion of Sales Contracts 国际贸易买卖合同的订立国际贸易买卖合同的订立 制作人 张爱华制作人 张爱华 青岛农业大学青岛农业大学 Learning objectivesLearning objectives 1 To understand the constitution of an 1 To understand the constitution of an offeroffer 2 To learn the withdrawal and 2 To learn the withdrawal and revocation of an offerrevocation of an offer 3 To learn the constitution and 3 To learn the constitution and withdrawal of an acceptancewithdrawal of an acceptance Unit 1 Trade NegotiationUnit 1 Trade Negotiation Contracts are formed through Contracts are formed through negotiations between the buyer and negotiations between the buyer and the seller The process of the seller The process of negotiation usually includes negotiation usually includes enquiryenquiry 询盘询盘 offer offer发盘发盘 counter offer counter offer还盘还盘 and acceptanceand acceptance接受接受 among which among which offer offer and and acceptanceacceptance are the two integral are the two integral steps in forming a contract steps in forming a contract 询盘询盘 Inquiry 发盘发盘 offer 还盘还盘 counter offer 接受接受 acceptance 例 例 1 Please offer northeast soybean lowest price FOB dalian 2 We can offer 1000MT northeast soybean lowest USD 200 MT FOB dalian shipment for 2005 04 Irrevacable L C for payment 3 Your cable 10THcounter offer USD 200 MT CIF Newyork 4 Your cable 12THWe accepted 例 例 1 Can supply northeast soybean lowest Please BID 2 We need 1000MT northeast soybean lowest USD 200 MT CIF Newyork shipment for 2005 04 3 Your cable 10THcounter offer USD 200 MT FOB dalian 4 Your cable 12THWe accepted Contents for negotiationContents for negotiation A main terms and conditions A main terms and conditions 主要交易主要交易 内容内容 货物的品质 数量 包装 价格 交货和货物的品质 数量 包装 价格 交货和 支付条件支付条件 B other trade terms B other trade terms 其他交易内容其他交易内容 检验 索赔 不可抗力和仲裁等检验 索赔 不可抗力和仲裁等 交易的一方打算购买或出售某商品 交易的一方打算购买或出售某商品 向另一方询问该商品的有关交易条向另一方询问该商品的有关交易条 件 或者就该项交易提出保留条件件 或者就该项交易提出保留条件 的建议的建议 without engagementwithout engagement definitiondefinition 询盘询盘 enquiry 买方询盘买方询盘 邀请发盘邀请发盘 invitation to offer enquiry made by the buyer 卖方询盘卖方询盘 邀请递盘邀请递盘 invitation to make a bid enquiry made by the seller 2 2 classificationclassification We are interested in Color TV We are interested in Color TV Shanghai Brand Model 345 Please Shanghai Brand Model 345 Please send us a firm offer at a favorable send us a firm offer at a favorable price price We can supply large quantity of We can supply large quantity of northeast soybean at competitive northeast soybean at competitive price Please bid as soon as possible price Please bid as soon as possible if you are interested if you are interested 说明 说明 1 1 询盘对于询盘人和被询盘人 询盘对于询盘人和被询盘人均无均无法律上法律上 的约束力 而且的约束力 而且不是不是交易磋商的交易磋商的必经步骤必经步骤 2 2 询盘采用的主要词句 询盘采用的主要词句 Please advise Please advise Please quote Please quote Please offer Please offer An offer is a proposal that An offer is a proposal that is made to a certain is made to a certain individual or legal entity individual or legal entity to enter into a contract to enter into a contract which is definite in its which is definite in its terms and which indicates terms and which indicates the the offeror sofferor s intent to be intent to be bound bound 贸易的贸易的一方一方 向向另一方另一方提出各项交提出各项交 易条件 并愿意按照这些条件达易条件 并愿意按照这些条件达 成交易 订立合同的一种肯定的成交易 订立合同的一种肯定的 表示 表示 发盘人发盘人 offeror 受盘人受盘人 offeree 1 1 definitiondefinition 发盘offer 卖方发盘卖方发盘 selling offer 售货发盘售货发盘 发盘发盘 offer 买方发盘买方发盘 buying offer bid 购货发盘购货发盘 递盘 递盘 2 2 classificationclassification 说明 发盘在其有效期内 发盘人发盘在其有效期内 发盘人不得任意撤消或不得任意撤消或 修改其内容修改其内容 发盘人一经对方在有效期内表 发盘人一经对方在有效期内表 示接受 发盘人将受其约束 并承担按发盘示接受 发盘人将受其约束 并承担按发盘 条件与对方订立合同的法律责任 条件与对方订立合同的法律责任 firm offer 实盘实盘 non firm offer 虚盘虚盘 NonNon firm offerfirm offer offer northeast soybean 10000 M T our offer northeast soybean 10000 M T our reference price is USD 300 per M T FOB reference price is USD 300 per M T FOB DALIAN subject to our final confirmation DALIAN subject to our final confirmation be made to one or more specific persons be made to one or more specific persons Contents shall be sufficiently definiteContents shall be sufficiently definite 3 3 构构成有效成有效发盘发盘的的条条件件 the offer should reach the offereethe offer should reach the offeree Indicates the intention of the Indicates the intention of the offerorofferor to be bound in case of acceptanceto be bound in case of acceptance 发盘必须向一个或一个以上特定的人提出发盘必须向一个或一个以上特定的人提出 A A 特定的人特定的人 是指在发盘中指明 是指在发盘中指明 个人姓名或企业名称的受盘人 个人姓名或企业名称的受盘人 B B 广告广告仅能视为仅能视为发盘邀请发盘邀请 C C 但是 如果广告内容十分具体 但是 如果广告内容十分具体 明确和肯定 在一定事实情况下 明确和肯定 在一定事实情况下 也可能被见到广告的人作出接受的也可能被见到广告的人作出接受的 行为 该刊登广告的人即须按广告行为 该刊登广告的人即须按广告 中所提出的条件 履行其诺言 中所提出的条件 履行其诺言 be made to one or more specific persons be made to one or more specific persons 内容十分确定内容十分确定 A proposal is sufficiently definite if it A proposal is sufficiently definite if it indicates the goods and expressly or indicates the goods and expressly or implicitly fixes or makes provision for implicitly fixes or makes provision for determining the quantity and the price determining the quantity and the price 品质 数量和价格品质 数量和价格 Contents shall be sufficiently definiteContents shall be sufficiently definite In international trade practice the contents of In international trade practice the contents of an offer should be an offer should be CompleteComplete完整完整 usually six trade usually six trade conditions are included name and quality conditions are included name and quality of commodity quantity packing price of commodity quantity packing price shipment and payment shipment and payment ClearClear明确明确 the contents shall not result the contents shall not result in misunderstanding in misunderstanding Without reservationWithout reservation无保留条件无保留条件 a a communication that contains words like communication that contains words like subject to our final confirmationsubject to our final confirmation shall shall be considered as with reservation and be considered as with reservation and therefore it is not an offer therefore it is not an offer 表明发盘对发盘人有约束力表明发盘对发盘人有约束力 订约意旨订约意旨 Indicates the intention of the offerorIndicates the intention of the offeror to be bound in case of acceptanceto be bound in case of acceptance 说明 如果一方当事人在他所提出的售货或购货的建说明 如果一方当事人在他所提出的售货或购货的建 议中未表明在被接受时承受约束的意旨 那就不能断议中未表明在被接受时承受约束的意旨 那就不能断 定他有订立合同的愿望 因此 该项建议就不能构成定他有订立合同的愿望 因此 该项建议就不能构成 发盘 而仅应被视为邀请作出发盘 或称发盘邀请 发盘 而仅应被视为邀请作出发盘 或称发盘邀请 注意区分发盘与发盘邀请注意区分发盘与发盘邀请 不同时具备发盘的四项条件 特别是 表明订立不同时具备发盘的四项条件 特别是 表明订立 合同的意旨 和 内容十分确定 两项条件 合同的意旨 和 内容十分确定 两项条件 只能视为发盘邀请而不能视为发盘 只能视为发盘邀请而不能视为发盘 发盘必须表明订约意旨发盘必须表明订约意旨 表明表明 承受约束承受约束 的旨意可以是明示和默示两种 的旨意可以是明示和默示两种 明示 明示 offeroffer firmfirm offeroffer quotequote bookbook orderorder bidbid bidbid firmfirm 默示 结合磋商的情况 双方确立的贸易习默示 结合磋商的情况 双方确立的贸易习 惯或贸易惯例和发盘人随后的行为 惯或贸易惯例和发盘人随后的行为 20 发盘必须传达到受盘人发盘必须传达到受盘人 TheTheoffer comes into effect only when offer comes into effect only when it reaches the offeree it reaches the offeree 发盘无论是口头的还是书面的 只有被传发盘无论是口头的还是书面的 只有被传 达到受盘人时才生效 达到受盘人时才生效 the offer should reach the offereethe offer should reach the offeree the offer should reach the offereethe offer should reach the offeree 口头方式 自对方了解时生效口头方式 自对方了解时生效 书面 到达主义书面 到达主义 数据电文形式 进入特定数据电文形式 进入特定 系统时间系统时间 There is a term of validity for each offer a There is a term of validity for each offer a period within which the offeree can make period within which the offeree can make acceptance and the offeror is only bound acceptance and the offeror is only bound 指可供受盘人对发盘作出接受的时间或期限 指可供受盘人对发盘作出接受的时间或期限 4 4 Validity of offer Validity of offer 发盘发盘的有效期的有效期 发盘的有效期 规定最迟接受的期限规定最迟接受的期限 规定一段接受的期限规定一段接受的期限 如何规定如何规定 口头发盘应当场表示接受口头发盘应当场表示接受 accept on the spot 未明确规定有效期时 应理解为在合理时间未明确规定有效期时 应理解为在合理时间 a reasonable period 内有效 内有效 发盘有效期规定方法发盘有效期规定方法 1 1 规定最迟接受期限 规定最迟接受期限 发盘限发盘限5 5日复到日复到 This offer subject to your reply on May This offer subject to your reply on May 5 5th th herehere 2 2 规定一段接受时间 起讫问题和非营业日问题 规定一段接受时间 起讫问题和非营业日问题 发盘有效发盘有效7 7天天 Our offer is valid for seven daysOur offer is valid for seven days 发盘发盘7 7天内复天内复 Your reply should reach here within seven Your reply should reach here within seven daysdays 25 一法国商人于某日上午走访我国外贸企业洽一法国商人于某日上午走访我国外贸企业洽 购某商品购某商品 我方口头发盘后我方口头发盘后 对方未置可否对方未置可否 当日下午法商再次来访表示无条件接受我方当日下午法商再次来访表示无条件接受我方 上午的发盘上午的发盘 那时那时 我方已获知该项商品的我方已获知该项商品的 国际市场价格有趋涨的迹象国际市场价格有趋涨的迹象 对此对此 你认为你认为 我方应如何处理为好我方应如何处理为好 为什么为什么 案例案例 中国与法国均系中国与法国均系 联合国国际货物销售合同公联合国国际货物销售合同公 约约 缔约国缔约国 洽谈过程中洽谈过程中 双方对双方对 公约公约 均未排除或作出任何保留均未排除或作出任何保留 因此因此 双方当事双方当事 人均应受该人均应受该 公约公约 约束约束 按按 公约公约 规定 规定 对口头要约对口头要约 须立即接受方能成立合同须立即接受方能成立合同 据据 此此 我方鉴于市场有趋涨迹象我方鉴于市场有趋涨迹象 可以予以拒可以予以拒 绝或提高售价继续洽谈绝或提高售价继续洽谈 对口头合同的保留对口头合同的保留 分析分析 是指发盘人将尚未被受盘人收到的发盘予以取是指发盘人将尚未被受盘人收到的发盘予以取 消的行为 消的行为 An offer becomes effective only after An offer becomes effective only after it reaches the offeree even if it is it reaches the offeree even if it is irrevocable may be withdrawn if the irrevocable may be withdrawn if the withdrawal reaches the offeree before withdrawal reaches the offeree before or at the same time as the offer or at the same time as the offer 5 5 withdrawal of an offer withdrawal of an offer 发盘发盘的撤回的撤回 说明 1 1 一项发价 即使是不可撤销的 得予撤回 一项发价 即使是不可撤销的 得予撤回 如果撤回通知于发价送达被发价人如果撤回通知于发价送达被发价人之前或同时之前或同时送达送达 被发价人 被发价人 2 2 在实际业务中 发盘的撤回只有在使用信件 在实际业务中 发盘的撤回只有在使用信件 或电报向国外发盘时 方可适用 如果发盘系使用或电报向国外发盘时 方可适用 如果发盘系使用 电传或电子邮件等方式 则不存在撤回发盘的可能电传或电子邮件等方式 则不存在撤回发盘的可能 性性 A Beijing company made an offer to a A Beijing company made an offer to a Paris company stating that the offer is Paris company stating that the offer is valid until March 10 This offer was sent valid until March 10 This offer was sent by EMS on March 1 Then the Beijing by EMS on March 1 Then the Beijing company found there was something company found there was something wrong on the offer and decided to wrong on the offer and decided to inform the Paris company to withdraw inform the Paris company to withdraw this offer by fax Whether this offer can this offer by fax Whether this offer can be withdrawn Why be withdrawn Why CASE Article 16 of CISG an offer may be revoked if Article 16 of CISG an offer may be revoked if the revocation reaches the offeree before he has the revocation reaches the offeree before he has dispatched an acceptance dispatched an acceptance 如果撤销的通知在受盘人发出接受通知前送达受盘人 可如果撤销的通知在受盘人发出接受通知前送达受盘人 可 予撤销 予撤销 6 6 Revocation of an offer Revocation of an offer 发盘发盘的撤的撤销销 However an offer cannot be revoked However an offer cannot be revoked a a if it indicates whether by setting a if it indicates whether by setting a fixed time for acceptance or otherwise fixed time for acceptance or otherwise that it is irrevocable orthat it is irrevocable or 发盘是在以规定有效期或以其他方式表明为不可发盘是在以规定有效期或以其他方式表明为不可 撤销的 撤销的 b b if it was reasonable for the offeree to if it was reasonable for the offeree to rely on the offer as being irrevocable and rely on the offer as being irrevocable and the offeree has acted in reliance on the the offeree has acted in reliance on the offer offer 如受盘人有理由信赖该项发盘是不可撤销如受盘人有理由信赖该项发盘是不可撤销 的 并已本着对该发盘的信赖采取了行动 的 并已本着对该发盘的信赖采取了行动 不得撤销的发盘不得撤销的发盘 发盘的撤回与撤销 不同点是什么 不同点是什么 Case 3 on Page 289 and Case 4 on Page 290 Case 9 on Page 293 of textbook 有效期已过有效期已过 发盘人依发盘人依 法撤销法撤销 受盘人受盘人 拒绝或还盘拒绝或还盘 发生不发生不 可抗力可抗力 事件事件 发盘人或受盘人在发盘人或受盘人在 发盘被接受前丧失发盘被接受前丧失 行为能力行为能力 发盘的失效发盘的失效 7 7 Invalidation of an offer Invalidation of an offer 发盘发盘的失效的失效 Counter offer 还盘 countercounter offer offer means that means that the the offereeofferee doesn t doesn t accept the offer wholly accept the offer wholly and put forward some and put forward some additions modifications additions modifications limitations etc limitations etc 又称还价 是受盘人对发盘又称还价 是受盘人对发盘 内容不完全同意而提出修改或内容不完全同意而提出修改或 变更的表示 变更的表示 1 1 definitiondefinition Once a counter offer is Once a counter offer is made the original offer made the original offer made by the made by the offerorofferor loses loses its effectiveness its effectiveness 还盘是受盘人对发盘的拒绝 还盘是受盘人对发盘的拒绝 原发盘失效 原发盘失效 2 2 functionfunction 邀请发盘邀请发盘 Invitation for an offer 新的新的发盘发盘 new offer 3 3 还盘还盘的性的性质质 Can you lower the price The lowest price we can accept is USD 20 per piece 说 明 1 1 一笔交易有时不经过还盘即可达成 有时要经 一笔交易有时不经过还盘即可达成 有时要经 过还盘 甚至往返多次的还盘才能达成 过还盘 甚至往返多次的还盘才能达成 2 2 进行还盘时 可用还盘术语 但一般仅将不同 进行还盘时 可用还盘术语 但一般仅将不同 条件的内容通知对方 即意味着还盘 条件的内容通知对方 即意味着还盘 The United Nations Convention on Contracts for the The United Nations Convention on Contracts for the International Sale of Goods stipulates International Sale of Goods stipulates 公约的规定公约的规定 1 A reply which purports to be an 1 A reply which purports to be an acceptance but contains additional acceptance but contains additional limitations or other modifications is limitations or other modifications is a a rejectionrejection of the offer and of the offer and constitutes a constitutes a countercounter offeroffer 包含了附加条件 限制和其他修改是对发包含了附加条件 限制和其他修改是对发 盘的拒绝 构成了还盘 盘的拒绝 构成了还盘 2 However a reply to an offer which purports 2 However a reply to an offer which purports to be an acceptance but contains additional to be an acceptance but contains additional or different terms which do not materially or different terms which do not materially alter the terms of the offer constitutes an alter the terms of the offer constitutes an acceptance acceptance unlessunless the offeror the offeror without undue without undue delaydelay objects orally to the discrepancy or objects orally to the discrepancy or dispatches a notice to that effect If he dispatches a notice to that effect If he doesn t so object the terms of the offer doesn t so object the terms of the offer with the modifications contained in the with the modifications contained in the acceptance acceptance 非实质性变更不够成还盘非实质性变更不够成还盘 除非发盘人毫不延迟的表除非发盘人毫不延迟的表 示拒绝示拒绝 3 Additional or different terms 3 Additional or different terms relating among other things to the relating among other things to the price payment quality and quantity of price payment quality and quantity of the goods place and time of delivery the goods place and time of delivery extent of one party s liability to the extent of one party s liability to the other or the settlement of disputes are other or the settlement of disputes are considered to considered to alter the terms of the alter the terms of the offer materiallyoffer materially 实质性变更实质性变更是指对价格 付款 质量 数量 是指对价格 付款 质量 数量 交货时间地点及双方的责任 争议的解决 交货时间地点及双方的责任 争议的解决 Case 1Case 1 Case 2Case 2 接受接受acceptanceacceptance An acceptance is an An acceptance is an unconditional assent to an unconditional assent to an offer or an assent to an offer or an assent to an offer conditioned on only offer conditioned on only minor changes that do not minor changes that do not affect any material terms affect any material terms of offer of offer 是买方或卖方同意对方在发盘中是买方或卖方同意对方在发盘中 提出的各项交易条件 并愿按这提出的各项交易条件 并愿按这 些条件与对方达成交易 订立合些条件与对方达成交易 订立合 同的一种肯定的表示 同的一种肯定的表示 1 1 definitiondefinition 询盘询盘 Inquiry 发盘发盘 offer 还盘还盘 counter offer 接受接受 acceptance 例 例 1 Please offer northeast soybean lowest price FOB dalian 2 We can offer 1000MT northeast soybean lowest USD 200 MT FOB dalian shipment for 2005 04 Irrevacable L C for payment 3 Your cable 10THcounter offer USD 200 MT CIF Newyork 4 Your cable 12THWe accepted 例 例 1 Can supply northeast soybean lowest Please BID 2 We need 1000MT northeast soybean lowest USD 200 MT CIF Newyork shipment for 2005 04 3 Your cable 10THcounter offer USD 200 MT FOB dalian 4 Your cable 12THWe accepted The contract is established once the offer The contract is established once the offer is accepted is accepted 一旦做出接受 合同即告成立 一旦做出接受 合同即告成立 2 2 接受的后果 接受的后果 the acceptance must be made by the offeree The contents of an acceptance must conform to that of an offer 3 3 构构成有效接受的成有效接受的条条件件 The transmission way of the acceptanceThe transmission way of the acceptance notice conforming to the requirement of notice conforming to the requirement of the offer the offer Acceptance shall reach the offeror within the time of validity An acceptance must be indicated The constitution of an acceptance The constitution of an acceptance 构成有效接受的条件构成有效接受的条件 A A the acceptance must be made by the the acceptance must be made by the offeree offeree 接受必须由特定的受盘人作出接受必须由特定的受盘人作出 Any acceptance made by others is not Any acceptance made by others is not effectiveeffective 对发盘表示接受 必须是发盘中所指明的特对发盘表示接受 必须是发盘中所指明的特 定的受盘人 而不能是其他人 定的受盘人 而不能是其他人 B The contents of an acceptance must conform to that B The contents of an acceptance must conform to that of an offer of an offer 接受必须与发盘相符接受必须与发盘相符 As a rule only the complete As a rule only the complete conformity indicates that the two conformity indicates that the two parties of a transaction reached an parties of a transaction reached an agreement agreement 在外贸实际业务中 受盘人在表示接受时 在外贸实际业务中 受盘人在表示接受时 往往对发盘作出某些添加 限制或其他更改 往往对发盘作出某些添加 限制或其他更改 实质性变更实质性变更 Substantial alteration alteration 变更变更 非实质性变更非实质性变更 Non substantial alteration 公约将接受中对发盘的条件所作的更改分为 公约将接受中对发盘的条件所作的更改分为 1 1 实质性变更 构成一项新的发盘 实质性变更 构成一项新的发盘 the alteration is the alteration is fundamental fundamental 如对货物的价格 付款 质量和数量 交货时间和地点 赔偿如对货物的价格 付款 质量和数量 交货时间和地点 赔偿 责任范围 解决争端的添加 限制或更改等 责任范围 解决争端的添加 限制或更改等 2 2 非实质性变更非实质性变更 如要求提供重量单 装箱单 商检证等单据 要求增加提供装如要求提供重量单 装箱单 商检证等单据 要求增加提供装 船样品或某些单据的份数 要求分两批装运等 船样品或某些单据的份数 要求分两批装运等 C Acceptance shall reach the offeror within the time of C Acceptance shall reach the offeror within the time of validity validity 接受必须在发盘的有效期内传达到发盘人接受必须在发盘的有效期内传达到发盘人 口头发盘 当场表示是否接受口头发盘 当场表示是否接受 未规定有效期的 在合理时间内接受未规定有效期的 在合理时间内接受 在用信件或电报等方式进行磋商时 各国对接受生效时在用信件或电报等方式进行磋商时 各国对接受生效时 间的规定 间的规定 1 1 英美法 采用投邮生效的原则英美法 采用投邮生效的原则 1 1 如发盘规定须作出接受的时间 当信 如发盘规定须作出接受的时间 当信 件投邮或电报交发 接受即告生效 即使件投邮或电报交发 接受即告生效 即使 接受的函电在邮递过程中延误或遗失 也接受的函电在邮递过程中延误或遗失 也 不影响合同成立 不影响合同成立 2 2 如发盘中规定接受必须于有效期内传 如发盘中规定接受必须于有效期内传 达到发盘人 则接受的函电传达到发盘人达到发盘人 则接受的函电传达到发盘人 时 方能生效 时 方能生效 2 2 大陆法 采用到达生效的原则大陆法 采用到达生效的原则 表示接受的函电必须在发盘有效期表示接受的函电必须在发盘有效期 内到达发盘人 接受才生效 内到达发盘人 接受才生效 3 3 公约 采用到达生效的原则 公约 采用到达生效的原则 4 4 我国 根据我国合同法 我国也采用到 我国 根据我国合同法 我国也采用到 达生效的原则 达生效的原则 D The transmission way of the acceptance notice conforming to the requirement of the offer Acceptance shall be declared in ways stipulated Acceptance shall be declared in ways stipulated in the offer either orally or in a written in the offer either orally or in a written form form It may adopt the same way as the offer s or It may adopt the same way as the offer s or the faster way the faster way E An acceptance must be