UNIDROIT PRINCIPLES OF INTERNATIONAL
COMMERCIAL CONTRACTS 2010
P REAMBLE
(Purpose of the Principles)
These Principles set forth general rules for international commercial contracts.
They shall be applied when the parties have agreed that their contract be governed
by them.(*)
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.
They may be applied when the parties have not chosen any law to govern their
contract.
They may be used to interpret or supplement international uniform law instruments.
They may be used to interpret or supplement domestic law.
They may serve as a model for national and international legislators.
C HAPTER 1—G ENERAL P ROVISIONS
A RTICLE 1.1
(Freedom of contract)
The parties are free to enter into a contract and to determine its content.
A RTICLE 1.2
(No form required)
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.
A RTICLE 1.3
(Binding character of contract)
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.
A RTICLE 1.4
(Mandatory rules)
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.
(*) Parties wishing to provide that their agreement be governed by the Principles might
use the following words, adding any
desired exceptions or modifications:
“This contract shall be governed by the U NIDROIT Principles (2010) [except as
to Articles …]”.
Parties wishing to provide in addition for the application of the law of a particular
jurisdiction might use the following words:
“This contract shall be governed by the U NIDROIT Principles (2010) [except as
to Articles…], supplemented when necessary by the law of [jurisdiction X]”.
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A RTICLE 1.5
(Exclusion or modification by the parties)
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.
A RTICLE 1.6
(Interpretation and supplementation of the Principles)
(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) 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.
A RTICLE 1.7
(Good faith and fair dealing)
(1) Each party must act in accordance with good faith and fair dealing in international trade.
(2) The parties may not exclude or limit this duty.
A RTICLE 1.8
(Inconsistent behaviour)
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.
A RTICLE 1.9
(Usages and practices)
(1) The parties are bound by any usage to which they have agreed and by any practices which they have established between themselves.
(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.
A RTICLE 1.10
(Notice)
(1) Where notice is required it may be given by any means appropriate to the circumstances.
(2) A notice is effective when it reaches the person to whom it is given.
(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) For the purpose of this Article “notice” includes a declaration, demand, request or any other communication of intention.
A RTICLE 1.11
(Definitions)
In these Principles
– “court” includes an arbitral tribunal;
– 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;
– “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.
– “writing” means any mode of communication that preserves a record of the information contained therein and is capable of being reproduced in tangible form.
A RTICLE 1.12
(Computation of time set by parties)
(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) 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) The relevant time zone is that of the place of business of the party setting the time, unless the circumstances indicate otherwise.
C HAPTER 2—F ORMATION AN
D A UTHORITY OF A GENTS
S ECTION 1:F ORMATION
A RTICLE 2.1.1
(Manner of formation)
A contract may be concluded either by the acceptance of an offer or by conduct of the parties that is sufficient to show agreement.
A RTICLE 2.1.2
(Definition of offer)
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.
A RTICLE 2.1.3
(Withdrawal of offer)
(1) An offer becomes effective when it reaches the offeree.
(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.
A RTICLE 2.1.4
(Revocation of offer)
(1) Until a contract is concluded an offer may be revoked if the revocation reaches the offeree before it has dispatched an acceptance.
(2) However, an offer cannot be revoked
(a) if it indicates, whether by stating a fixed time for acceptance or otherwise, that it is irrevocable; or
(b) if it was reasonable for the offeree to rely on the offer as being irrevocable and the offeree has acted in reliance on the offer.
A RTICLE 2.1.5
(Rejection of offer)
An offer is terminated when a rejection reaches the offeror.
A RTICLE 2.1.6
(Mode of acceptance)
(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) An acceptance of an offer becomes effective when the indication of assent reaches the offeror.
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4 (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.
A RTICLE 2.1.7
(Time of acceptance)
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.
A RTICLE 2.1.8
(Acceptance within a fixed period of time)
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.
A RTICLE 2.1.9
(Late acceptance. Delay in transmission)
(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) 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.
A RTICLE 2.1.10
(Withdrawal of acceptance)
An acceptance may be withdrawn if the withdrawal reaches the offeror before or at the same time as the acceptance would have become effective.
A RTICLE 2.1.11
(Modified acceptance)
(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-of-fer.
(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.
A RTICLE 2.1.12
(Writings in confirmation)
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.
A RTICLE 2.1.13
(Conclusion of contract dependent on agreement on specific matters
or in a particular form)
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.
A RTICLE 2.1.14
(Contract with terms deliberately left open)
(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) The existence of the contract is not affected by the fact that subsequently
(a) the parties reach no agreement on the term; or
(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.
A RTICLE 2.1.15
(Negotiations in bad faith)
(1) A party is free to negotiate and is not liable for failure to reach an agreement.
(2) However, a party who negotiates or breaks off negotiations in bad faith is liable for the losses caused to the other party.
(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.
A RTICLE 2.1.16
(Duty of confidentiality)
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.
A RTICLE 2.1.17
(Merger clauses)
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.
A RTICLE 2.1.18
(Modification in a particular form)
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.
A RTICLE 2.1.19
(Contracting under standard terms)
(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.
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6 (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.
A RTICLE 2.1.20
(Surprising terms)
(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) In determining whether a term is of such a character regard shall be had to its content, language and presentation.
A RTICLE 2.1.21
(Conflict between standard terms and non-standard terms) In case of conflict between a standard term and a term which is not a standard term the latter prevails.
A RTICLE 2.1.22
(Battle of forms)
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.
S ECTION 2:A UTHORITY OF A GENTS
A RTICLE 2.2.1
(Scope of the Section)
(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) It governs only the relations between the principal or the agent on the one hand, and the third party on the other.
(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.
A RTICLE 2.2.2
(Establishment and scope of the authority of the agent)
(1) The principal’s grant of authority to an agent may be express or implied.
(2) The agent has authority to perform all acts necessary in the circumstances to achieve the purposes for which the authority was granted.
A RTICLE 2.2.3
(Agency disclosed)
(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) 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.
A RTICLE 2.2.4
(Agency undisclosed)
(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) 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.
A RTICLE 2.2.5
(Agent acting without or exceeding its authority)
(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) 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.
A RTICLE 2.2.6
(Liability of agent acting without or exceeding its authority)
(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) 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.
A RTICLE 2.2.7
(Conflict of interests)
(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 3.2.9 and 3.2.11 to 3.2.15.
(2) However, the principal may not avoid the contract
(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) if the agent had disclosed the conflict of interests to the principal and the latter had not objected within a reasonable time.
A RTICLE 2.2.8
(Sub-agency)
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.
A RTICLE 2.2.9
(Ratification)
(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) 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.
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8 (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.
A RTICLE 2.2.10
(Termination of authority)
(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) 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.
C HAPTER 3—V ALIDITY
S ECTION 1:G ENERAL P ROVISIONS
A RTICLE 3.1.1
(Matters not covered)
This Chapter does not deal with lack of capacity.
A RTICLE 3.1.2
(Validity of mere agreement)
A contract is concluded, modified or terminated by the mere agreement of the parties, without any further requirement.
A RTICLE 3.1.3
(Initial impossibility)
(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) 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.
A RTICLE 3.1.4
(Mandatory character of the provisions)
The provisions on fraud, threat, gross disparity and illegality contained in this Chapter are mandatory.
S ECTION 2:G ROUNDS FOR A VOIDANCE
A RTICLE 3.2.1
(Definition of mistake)
Mistake is an erroneous assumption relating to facts or to law existing when the contract was concluded.
A RTICLE 3.2.2
(Relevant mistake)
(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) 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) the other party had not at the time of avoidance reasonably acted in reliance on the contract.
(2) However, a party may not avoid the contract if
(a) it was grossly negligent in committing the mistake; or
(b) the mistake relates to a matter in regard to which the risk of mistake was as-sumed or, having regard to the circumstances, should be borne by the mistaken party.
A RTICLE 3.2.3
(Error in expression or transmission)
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.
A RTICLE 3.2.4
(Remedies for non-performance)
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.
A RTICLE 3.2.5
(Fraud)
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.
A RTICLE 3.2.6
(Threat)
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.
A RTICLE 3.2.7
(Gross disparity)
(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) 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) the nature and purpose of the contract.
(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) 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. Article 3.2.10(2) applies accordingly.
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A RTICLE 3.2.8
(Third persons)
(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) 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.
A RTICLE 3.2.9
(Confirmation)
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.
A RTICLE 3.2.10
(Loss of right to avoid)
(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) After such a declaration or performance the right to avoidance is lost and any earlier notice of avoidance is ineffective.
A RTICLE 3.2.11
(Notice of avoidance)
The right of a party to avoid the contract is exercised by notice to the other party.
A RTICLE 3.2.12
(Time limits)
(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) Where an individual term of the contract may be avoided by a party under Article 3.2.7, the period of time for giving notice of avoidance begins to run when that term is asserted by the other party.
A RTICLE 3.2.13
(Partial avoidance)
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.
A RTICLE 3.2.14
(Retroactive effect of avoidance)
Avoidance takes effect retroactively.
A RTICLE 3.2.15
(Restitution)
(1) On avoidance either party may claim restitution of whatever it has supplied under the contract, or the part of it avoided, provided that the party concurrently makes restitution of whatever it has received under the contract, or the part of it avoided.
(2) If restitution in kind is not possible or appropriate, an allowance has to be made in money whenever reasonable.
(3) The recipient of the performance does not have to make an allowance in money if the impossibility to make restitution in kind is attributable to the other party.
(4) Compensation may be claimed for expenses reasonably required to preserve or maintain the performance received.
A RTICLE 3.2.16
(Damages)
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.
A RTICLE 3.2.17
(Unilateral declarations)
The provisions of this Chapter apply with appropriate adaptations to any commu-nication of intention addressed by one party to the other.
S ECTION 3:I LLEGALITY
A RTICLE 3.3.1
(Contracts infringing mandatory rules)
(1) Where a contract infringes a mandatory rule, whether of national, international or supranational origin, applicable under Article 1.4 of these Principles, the effects of that infringement upon the contract are the effects, if any, expressly prescribed by that mandatory rule.
(2) Where the mandatory rule does not expressly prescribe the effects of an infringement upon a contract, the parties have the right to exercise such remedies under the contract as in the circumstances are reasonable.
(3) In determining what is reasonable regard is to be had in particular to:
(a) the purpose of the rule which has been infringed;
(b) the category of persons for whose protection the rule exists;
(c) any sanction that may be imposed under the rule infringed;
(d) the seriousness of the infringement;
(e) whether one or both parties knew or ought to have known of the infringement;
(f) whether the performance of the contract necessitates the infringement; and
(g) the parties’ reasonable expectations.
A RTICLE 3.3.2
(Restitution)
(1) Where there has been performance under a contract infringing a mandatory rule under Article 3.3.1, restitution may be granted where this would be reasonable in the circumstances.
(2) In determining what is reasonable, regard is to be had, with the appropriate adaptations, to the criteria referred to in Article 3.3.1(3).
(3) If restitution is granted, the rules set out in Article 3.2.15 apply with appropriate adaptations.
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C HAPTER 4—I NTERPRETATION
A RTICLE 4.1
(Intention of the parties)
(1) A contract shall be interpreted according to the common intention of the
parties.
(2) If such an intention cannot be established, the contract shall be interpreted according to the meaning that reasonable persons of the same kind as the parties would give to it in the same circumstances.
A RTICLE 4.2
(Interpretation of statements and other conduct)
(1) The statements and other conduct of a party shall be interpreted according to that party’s intention if the other party knew or could not have been unaware of that intention.
(2) If the preceding paragraph is not applicable, such statements and other conduct shall be interpreted according to the meaning that a reasonable person of the same kind as the other party would give to it in the same circumstances.
A RTICLE 4.3
(Relevant circumstances)
In applying Articles 4.1 and 4.2, regard shall be had to all the circumstances, including
(a) preliminary negotiations between the parties;
(b) practices which the parties have established between themselves;
(c) the conduct of the parties subsequent to the conclusion of the contract;
(d) the nature and purpose of the contract;
(e) the meaning commonly given to terms and expressions in the trade concerned;
(f) usages.
A RTICLE 4.4
(Reference to contract or statement as a whole)
Terms and expressions shall be interpreted in the light of the whole contract or statement in which they appear.
A RTICLE 4.5
(All terms to be given effect)
Contract terms shall be interpreted so as to give effect to all the terms rather than to deprive some of them of effect.
A RTICLE 4.6
(Contra proferentem rule)
If contract terms supplied by one party are unclear, an interpretation against that party is preferred.
A RTICLE 4.7
(Linguistic discrepancies)
Where a contract is drawn up in two or more language versions which are equally authoritative there is, in case of discrepancy between the versions, a preference for the interpretation according to a version in which the contract was originally drawn up.
A RTICLE 4.8
(Supplying an omitted term)
(1) Where the parties to a contract have not agreed with respect to a term which is important for a determination of their rights and duties, a term which is appropriate in the circumstances shall be supplied.
(2) In determining what is an appropriate term regard shall be had, among other factors, to
(a) the intention of the parties;
(b) the nature and purpose of the contract;
(c) good faith and fair dealing;
(d) reasonableness.
C HAPTER 5—C ONTENT AN
D T HIRD P ARTY R IGHTS
S ECTION 1:C ONTENT
A RTICLE 5.1.1
(Express and implied obligations)
The contractual obligations of the parties may be express or implied.
A RTICLE 5.1.2
(Implied obligations)
Implied obligations stem from
(a) the nature and purpose of the contract;
(b) practices established between the parties and usages;
(c) good faith and fair dealing;
(d) reasonableness.
A RTICLE 5.1.3
(Co-operation between the parties)
Each party shall cooperate with the other party when such co-operation may reasonably be expected for the performance of that party’s obligations.
A RTICLE 5.1.4
(Duty to achieve a specific result.
Duty of best efforts)
(1) To the extent that an obligation of a party involves a duty to achieve a specific result, that party is bound to achieve that result.
(2) To the extent that an obligation of a party involves a duty of best efforts in the performance of an activity, that party is bound to make such efforts as would be made by a reasonable person of the same kind in the same circumstances.
A RTICLE 5.1.5
(Determination of kind of duty involved)
In determining the extent to which an obligation of a party involves a duty of best efforts in the performance of an activity or a duty to achieve a specific result, regard shall be had, among other factors, to
(a) the way in which the obligation is expressed in the contract;
(b) the contractual price and other terms of the contract;
(c) the degree of risk normally involved in achieving the expected result;
(d) the ability of the other party to influence the performance of the obligation.
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A RTICLE 5.1.6
(Determination of quality of performance)
Where the quality of performance is neither fixed by, nor determinable from, the
contract a party is bound to render a performance of a quality that is reasonable and not less than average in the circumstances.
A RTICLE 5.1.7
(Price determination)
(1) Where a contract does not fix or make provision for determining the price, the parties are considered, in the absence of any indication to the contrary, to have made reference to the price generally charged at the time of the conclusion of the contract for such performance in comparable circumstances in the trade concerned or, if no such price is available, to a reasonable price.
(2) Where the price is to be determined by one party and that determination is manifestly unreasonable, a reasonable price shall be substituted notwithstanding any contract term to the contrary.
(3) Where the price is to be fixed by a third person, and that person cannot or will not do so, the price shall be a reasonable price.
(4) Where the price is to be fixed by reference to factors which do not exist or have ceased to exist or to be accessible, the nearest equivalent factor shall be treated as a substitute.
A RTICLE 5.1.8
(Contract for an indefinite period)
A contract for an indefinite period may be ended by either party by giving notice a reasonable time in advance.
A RTICLE 5.1.9
(Release by agreement)
(1) An obligee may release its right by agreement with the obligor.
(2) An offer to release a right gratuitously shall be deemed accepted if the obligor does not reject the offer without delay after having become aware of it.
S ECTION 2:T HIRD P ARTY R IGHTS
A RTICLE 5.2.1
(Contracts in favour of third parties)
(1) The parties (the “promisor” and the “promisee”) may confer by express or implied agreement a right on a third party (the “beneficiary”).
(2) The existence and content of the beneficiary’s right against the promisor are determined by the agreement of the parties and are subject to any conditions or other limitations under the agreement.
A RTICLE 5.2.2
(Third party identifiable)
The beneficiary must be identifiable with adequate certainty by the contract but need not be in existence at the time the contract is made.
A RTICLE 5.2.3
(Exclusion and limitation clauses)
The conferment of rights in the beneficiary includes the right to invoke a clause in the contract which excludes or limits the liability of the beneficiary.
A RTICLE 5.2.4
(Defences)
The promisor may assert against the beneficiary all defences which the promisor could assert against the promisee.
A RTICLE 5.2.5
(Revocation)
The parties may modify or revoke the rights conferred by the contract on the beneficiary until the beneficiary has accepted them or reasonably acted in reliance on them.
A RTICLE 5.2.6
(Renunciation)
The beneficiary may renounce a right conferred on it.
S ECTION 3:C ONDITIONS
A RTICLE 5.3.1
(Types of condition)
A contract or a contractual obligation may be made conditional upon the occurrence of a future uncertain event, so that the contract or the contractual obligation only takes effect if the event occurs (suspensive condition) or comes to an end if the event occurs (resolutive condition).
A RTICLE 5.3.2
(Effect of conditions)
Unless the parties otherwise agree :
(a) the relevant contract or contractual obligation takes effect upon fulfilment of a suspensive condition;
(b) the relevant contract or contractual obligation comes to an end upon fulfilment of a resolutive condition.
A RTICLE 5.3.3
(Interference with conditions)
(1) If fulfilment of a condition is prevented by a party, contrary to the duty of good faith and fair dealing or the duty of co-operation, that party may not rely on the non-fulfilment of the condition.
(2) If fulfilment of a condition is brought about by a party, contrary to the duty of good faith and fair dealing or the duty of co-operation, that party may not rely on the fulfilment of the condition.
A RTICLE 5.3.4
(Duty to preserve rights)
Pending fulfilment of a condition, a party may not, contrary to the duty to act in accordance with good faith and fair dealing, act so as to prejudice the other party’s rights in case of fulfilment of the condition.
A RTICLE 5.3.5
(Restitution in case of fulfilment of a resolutive condition)
(1) On fulfilment of a resolutive condition, the rules on restitution set out in Articles 7.3.6 and 7.3.7 apply with appropriate adaptations.
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16 (2) If the parties have agreed that the resolutive condition is to operate
retroactively, the rules on restitution set out in Article 3.2.15 apply with appropriate adaptations.
C HAPTER 6—P ERFORMANCE
S ECTION 1:P ERFORMANCE IN G ENERAL
A RTICLE 6.1.1
(Time of performance)
A party must perform its obligations:
(a) if a time is fixed by or determinable from the contract, at that time;
(b) if a period of time is fixed by or determinable from the contract, at any time within that period unless circumstances indicate that the other party is to choose a time;
(c) in any other case, within a reasonable time after the conclusion of the contract.
A RTICLE 6.1.2
(Performance at one time or in instalments)
In cases under Article 6.1.1(b) or (c), a party must perform its obligations at one time if that performance can be rendered at one time and the circumstances do not indicate otherwise.
A RTICLE 6.1.3
(Partial performance)
(1) The obligee may reject an offer to perform in part at the time performance is due, whether or not such offer is coupled with an assurance as to the balance of the performance, unless the obligee has no legitimate interest in so doing.
(2) Additional expenses caused to the obligee by partial performance are to be borne by the obligor without prejudice to any other remedy.
A RTICLE 6.1.4
(Order of performance)
(1) To the extent that the performances of the parties can be rendered simultaneously, the parties are bound to render them simultaneously unless the circumstances indicate otherwise.
(2) To the extent that the performance of only one party requires a period of time, that party is bound to render its performance first, unless the circumstances indicate otherwise.
A RTICLE 6.1.5
(Earlier performance)
(1) The obligee may reject an earlier performance unless it has no legitimate interest in so doing.
(2) Acceptance by a party of an earlier performance does not affect the time for the performance of its own obligations if that time has been fixed irrespective of the performance of the other party’s obligations.
(3) Additional expenses caused to the obligee by earlier performance are to be borne by the obligor, without prejudice to any other remedy.
A RTICLE 6.1.6
(Place of performance)
(1) If the place of performance is neither fixed by, nor determinable from, the contract, a party is to perform:
(a) a monetary obligation, at the obligee’s place of business;
(b) any other obligation, at its own place of business.
(2) A party must bear any increase in the expenses incidental to performance which is caused by a change in its place of business subsequent to the conclusion of the contract.
A RTICLE 6.1.7
(Payment by cheque or other instrument)
(1) Payment may be made in any form used in the ordinary course of business at the place for payment.
(2) However, an obligee who accepts, either by virtue of paragraph (1) or voluntarily, a cheque, any other order to pay or a promise to pay, is presumed to do so only on condition that it will be honoured.
A RTICLE 6.1.8
(Payment by funds transfer)
(1) Unless the obligee has indicated a particular account, payment may be made by a transfer to any of the financial institutions in which the obligee has made it known that it has an account.
(2) In case of payment by a transfer the obligation of the obligor is discharged when the transfer to the obligee’s financial institution becomes effective.
A RTICLE 6.1.9
(Currency of payment)
(1) If a monetary obligation is expressed in a currency other than that of the place for payment, it may be paid by the obligor in the currency of the place for payment unless
(a) that currency is not freely convertible; or
(b) the parties have agreed that payment should be made only in the currency in which the monetary obligation is expressed.
(2) If it is impossible for the obligor to make payment in the currency in which the monetary obligation is expressed, the obligee may require payment in the currency of the place for payment, even in the case referred to in paragraph (1)(b).
(3) Payment in the currency of the place for payment is to be made according to the applicable rate of exchange prevailing there when payment is due.
(4) However, if the obligor has not paid at the time when payment is due, the obligee may require payment according to the applicable rate of exchange prevailing either when payment is due or at the time of actual payment.
A RTICLE 6.1.10
(Currency not expressed)
Where a monetary obligation is not expressed in a particular currency, payment must be made in the currency of the place where payment is to be made.
A RTICLE 6.1.11
(Costs of performance)
Each party shall bear the costs of performance of its obligations.
A RTICLE 6.1.12
(Imputation of payments)
(1) An obligor owing several monetary obligations to the same obligee may specify at the time of payment the debt to which it intends the payment to be applied.
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However, the payment discharges first any expenses, then interest due and finally the principal.
(2) If the obligor makes no such specification, the obligee may, within a reasonable time after payment, declare to the obligor the obligation to which it imputes the payment, provided that the obligation is due and undisputed.
(3) In the absence of imputation under paragraphs (1) or (2), payment is imputed to that obligation which satisfies one of the following criteria in the order indicated:
(a) an obligation which is due or which is the first to fall due;
(b) the obligation for which the obligee has least security;
(c) the obligation which is the most burdensome for the obligor;
(d) the obligation which has arisen first.
If none of the preceding criteria applies, payment is imputed to all the obligations proportionally.
A RTICLE 6.1.13
(Imputation of non-monetary obligations)
Article 6.1.12 applies with appropriate adaptations to the imputation of performance of non-monetary obligations.
A RTICLE 6.1.14
(Application for public permission)
Where the law of a State requires a public permission affecting the validity of the contract or its performance and neither that law nor the circumstances indicate otherwise
(a) if only one party has its place of business in that State, that party shall take the measures necessary to obtain the permission;
(b) in any other case the party whose performance requires permission shall take the necessary measures.
A RTICLE 6.1.15
(Procedure in applying for permission)
(1) The party required to take the measures necessary to obtain the permission shall do so without undue delay and shall bear any expenses incurred.
(2) That party shall whenever appropriate give the other party notice of the grant or refusal of such permission without undue delay.
A RTICLE 6.1.16
(Permission neither granted nor refused)
(1) If, notwithstanding the fact that the party responsible has taken all measures required, permission is neither granted nor refused within an agreed period or, where no period has been agreed, within a reasonable time from the conclusion of the contract, either party is entitled to terminate the contract.
(2) Where the permission affects some terms only, paragraph (1) does not apply if, having regard to the circumstances, it is reasonable to uphold the remaining contract even if the permission is refused.
A RTICLE 6.1.17
(Permission refused)
(1) The refusal of a permission affecting the validity of the contract renders the contract void. If the refusal affects the validity of some terms only, only such terms are void if, having regard to the circumstances, it is reasonable to uphold the remaining contract.
(2) Where the refusal of a permission renders the performance of the contract impossible in whole or in part, the rules on non-performance apply.
18
S ECTION 2:H ARDSHIP
A RTICLE 6.2.1
(Contract to be observed)
Where the performance of a contract becomes more onerous for one of the parties, that party is nevertheless bound to perform its obligations subject to the following provisions on hardship.
A RTICLE 6.2.2
(Definition of hardship)
There is hardship where the occurrence of events fundamentally alters the equilib-rium of the contract either because the cost of a party’s performance has increased or because the value of the performance a party receives has diminished, and
(a) the events occur or become known to the disadvantaged party after the conclu-sion of the contract;
(b) the events could not reasonably have been taken into account by the disadvan-taged party at the time of the conclusion of the contract;
(c) the events are beyond the control of the disadvantaged party; and
(d) the risk of the events was not assumed by the disadvantaged party.
A RTICLE 6.2.3
(Effects of hardship)
(1) In case of hardship the disadvantaged party is entitled to request renegotia-tions. The request shall be made without undue delay and shall indicate the grounds on which it is based.
(2) The request for renegotiation does not in itself entitle the disadvantaged party to withhold performance.
(3) Upon failure to reach agreement within a reasonable time either party may resort to the court.
(4) If the court finds hardship it may, if reasonable,
(a) terminate the contract at a date and on terms to be fixed, or
(b) adapt the contract with a view to restoring its equilibrium.
C HAPTER 7—N ON-PERFORMANCE
S ECTION 1:N ON-PERFORMANCE IN G ENERAL
A RTICLE 7.1.1
(Non-performance defined)
Non-performance is failure by a party to perform any of its obligations under the contract, including defective performance or late performance.
A RTICLE 7.1.2
(Interference by the other party)
A party may not rely on the non-performance of the other party to the extent that such non-performance was caused by the first party’s act or omission or by another event for which the first party bears the risk.
A RTICLE 7.1.3
(Withholding performance)
(1) Where the parties are to perform simultaneously, either party may withhold performance until the other party tenders its performance.
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20 (2) Where the parties are to perform consecutively, the party that is to perform
later may withhold its performance until the first party has performed.
A RTICLE 7.1.4
(Cure by non-performing party)
(1) The non-performing party may, at its own expense, cure any non-performance, provided that
(a) without undue delay, it gives notice indicating the proposed manner and timing of the cure;
(b) cure is appropriate in the circumstances;
(c) the aggrieved party has no legitimate interest in refusing cure; and
(d) cure is effected promptly.
(2) The right to cure is not precluded by notice of termination.
(3) Upon effective notice of cure, rights of the aggrieved party that are inconsistent with the non-performing party’s performance are suspended until the time for cure has expired.
(4) The aggrieved party may withhold performance pending cure.
(5) Notwithstanding cure, the aggrieved party retains the right to claim damages for delay as well as for any harm caused or not prevented by the cure.
A RTICLE 7.1.5
(Additional period for performance)
(1) In a case of non-performance the aggrieved party may by notice to the other party allow an additional period of time for performance.
(2) During the additional period the aggrieved party may withhold performance of its own reciprocal obligations and may claim damages but may not resort to any other remedy. If it receives notice from the other party that the latter will not perform within that period, or if upon expiry of that period due performance has not been made, the ag-grieved party may resort to any of the remedies that may be available under this Chapter.
(3) Where in a case of delay in performance which is not fundamental the aggrieved party has given notice allowing an additional period of time of reasonable length, it may terminate the contract at the end of that period. If the additional period allowed is not of reasonable length it shall be extended to a reasonable length. The aggrieved party may in its notice provide that if the other party fails to perform within the period allowed by the notice the contract shall automatically terminate.
(4) Paragraph (3) does not apply where the obligation which has not been performed is only a minor part of the contractual obligation of the non-performing party.
A RTICLE 7.1.6
(Exemption clauses)
A clause which limits or excludes one party’s liability for non-performance or which permits one party to render performance substantially different from what the other party reasonably expected may not be invoked if it would be grossly unfair to do so, having regard to the purpose of the contract.
A RTICLE 7.1.7
(Force majeure)
(1) Non-performance by a party is excused if that party proves that the non-performance was due to an impediment beyond its control and that it could not reasonably be expected to have taken the impediment into account at the time of the conclusion of the contract or to have avoided or overcome it or its consequences.
《联合国国际货物销售合同公约》与《国际商事合同通则》之比较 王永新 摘要：《公约》与《通则》的目的都是为了协调不同法系、不同法域间的立法冲突，旨在为国际商事合同的当事人提供一个明确具体且具有广泛适应性的规则。因此，《公约 》与《通则》在理念、基本原则上是一致的。但是，《公约》与《通则》还是有不同之处。 关键词：公约；通则；合同； 《联合国国际货物销售合同公约》（United NationsConvention on Contracts of International Sales ofGoods，以下简称“公约”）是由联合国国际贸易法委员会主持制定的，1980年在维也纳举行的外交会议上获得通过。公约于1988年1月1日正式生效。目前已经有包括中国在内的70个国家加入了该公约。《公约》是20世纪以来最重要的国际公约之一。 《国际商事合同通则》（Principles of InternationalCommercial Contracts，以下简称“通则”）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、实用性的商事合同统一规则。《通则》“是迄今为止最为系统的对国际性契约的实体内容进行统一整理的一个法律文件”[1]。 这两个文件是国际商事合同领域最为重要的规则。《公约》与《通则》的目的都是为了协调不同法系、不同法域间的立法冲突，旨在为国际商事合同的当事人提供一个明确具体且具有广泛适应性的规则。因此，《公约》与《通则》在理念、基本原则上是一致的。但是，《公约》与《通则》还是有不同之处。这些不同之处主要有： 一、适用范围不同《通则》的适用范围比《公约》广泛。《公约》仅适用于国际货物买卖合同[2]-[3]。而《通则》对“商事”合同并没有给予任何明确的定义，只是在尽可能宽泛的意义上来理解这一概念，以使它不仅包括提供或交换商品或服务的一般贸易交易，还可包括其他各种类型的经济交易，如投资或特许协议、专业服务合同等，即适用于国际商事合同的全部。 二、适用方式不同《公约》作为一项国际条约，它以国际立法的方式统一国际货物买卖合同法律，在缔约国间具有法律效力。在缔约国的当事人没有明文排除适用公约或没有约定所适用的法律时，缔约国当事人之间的国际货物买卖合同既应该适用《公约》。但目前《公约》的缔约国数量有限，而且缔约国在加入《公约》时可以作保留，拒绝接受某些 条款，所以《公约》的作用在一定程度上受到了限制。此外，《公约》的内容不够完善，对国际货物买卖合同的其他法律问题又不得不适用国内法的规定。而《通则》不是以国际 条约的形式出现的，而是以国际重述（international restatement）的形式详尽阐述合同法普遍通行的原则。即“用非立法的手段统一法律”（unification of law by non-legislative means），并对国际商事合同领域的一些基本原则、惯例和习惯性做法进行全面、系统地表述。同时，《通则》的非强制性可以使它能更灵活地被接受；《通则》的条文富于弹性，又使得它能较广泛地被接受。从事国际贸易的当事人得以在自愿基础上自由选择《通则》适用于其所订立的合同[4]。 三、《通则》中关于“损害赔偿”的条款比《公约》更全面、具体1.《公约》并不涉及人身损害赔偿问题[5]，而《通则》明确“损害可以是非金钱性质的，并且包括例如肉体或精神上的痛苦”[6]。2.对于损害赔偿，《通则》要求在确定受损害方有权得到的赔偿时，应
《国际商事合同通则》与罗马法（下) 七、价金的确定 在一项规定了支付价金（佣金、报酬等）的商事合同中，或是对价金明确地给予规定，或是规定了确定价金的方式。[41]我只想对第二种情况进行探讨，在这种情况下，可能会出现一些问题，因为：A)确定价格的方式被认为是不适当的，或者依该方式无法确定价格；B)没有或看不出规定了确定价格的方式。 通常，在债的关系中，给付必须是确定的或能够确定的，这一对确定性的要求源丁?债的定义：如果债是对履行给付的一种法律约束的话，那么，为了产生这一约束，就必须对该项给付及其范围进行约定。在合同中仅规定了确定价格的方式的情况下，在当事人只规定应支付价金，但未恰当地对价金的“多少”作出规定时，就会产生有关合同有效性（或效力）的问题。也就是说，对合同是否有效、以何种方式对这一欠缺进行补救、而通常补救这一欠缺的可能性有多大存有疑问。 《通则》第5，7条对这一问题作出了规定。该条共有4款[42]，为维持合同有效性，这四项条款一一规定了对此类欠缺进行弥补的规则。 我将尽可能全面地、比本文所论述的其他议题更系统地探讨这些规定和这些规定的基础。 1，首先我想探讨一下第一种情况，即当事人双方约定了确定合同价格的方 式，但这一方式被认为是不恰当的，或依该方式无法确定价格。《通则》第5，7条中的第2款、第3款和第4款提出的三种假设与此情况相对应。 1)对由第三人确定合同价格的问题，无疑有着最久远和最丰富的论述 ①罗马法学家对这一问题的论述 这一问题首先产生于买卖契约。在买卖契约中，价金必须是确定的。这一问题是买卖契约核心问题，罗马法学家们的争论终于使这一问题得到了解决。通过盖尤斯（gaius) [43]我们知道：对由双方当事人选定的第三人确定价格的问题，一些法学家认为契约无效，而另一些则认为契约有效。此外，盖尤斯还告诉我们上述分歧同样存在于赁借贷契约中（因此，涉及承包、运输，车辆租赁，提供专业服务等契约）。 盖尤斯告诉了我们这一争论的开端，但我们尚不能完全了解这一争论的整个发展过程。在那些认为契约有效的罗马法学家中，可能存在两种观点。 在合伙契约中，对于由第三人确定合伙人承担盈利或亏损的份额问题，法学家普罗库勒（Proculus)提出了两种不同的“确定（arbitraggio) ”方式。 a)由当事人双方选择的、特定的第三人自行决定。
论合同法中的违约责任 作者：张文康 指导老师：朱辉强 【摘要】违约责任是合同法律制度中的一个不可缺少的组成部分，法律规定或者当事人通过约定在不履行或者不完全履行合同时应当承担具体的法律责任，从而使当事人的权利义务更加明确。违约责任的主要内容是指当事人违反合同义务时应当承担的财产责任，主要包括承担继续履行合同、采取补救措施和赔偿损失三种形式，这三种违约责任形式可根据不同的情况具体适用，既可单独适用，也可以同时适用两个或全部责任形式。违约责任以财产责任为核心，在处理合同争议时应当始终把握公平地维护当事人的合同权利和其他合法权益，让违约方承担对方的损失。在合同中规定违约责任是为了更好地履行合同，以及为了更有效地维护当事人的合法权益。如果当事人违反了合同约定的义务，在法律的压力下要承担违约责任，而承担违约责任所支出的成本一般要超过正常履行合同所付出的成本，当事人从成本的角度考虑，轻易也不会违约，在客观上对方当事人的权益就多了一份保障。 【关键词】违约责任合同法归责原则免责事由承担方式 一、违约责任的内涵界定及其特点 违约责任，是指合同当事人因违反合同义务应承担的责任。违约责任制度是保障债权实现及债务履行的重要措施，它与合同义务有密切联系，合同义务是违约责任产生的前提，违约责任则是合同义务不履行的结果。我国《合同法》第七章专设违约责任，规定了预期违约及实际违约等所应承担的法律责任。 违约责任具有以下特点:第一,违约责任是合同当事人违反合同义务所产生的责任。这里包含两层意思:其一,违约责任产生的基础是双方当事人之间存在合法有效的合同关系,若当事人之间不存在有效的合同关系,则无违约责任可言;其二,违约责任是以违反合同义务为前提,没有违反合同义务的行为,便没有违约责任。第二,违约责任具有相对性。违约责任的相对性,是指违约责任只能在特定的当事人之间发生,合同关系以外的第三人,不负违约责任。第三,违约责任具有补偿性。违约责任,主要是一种财产责任。承担违约责任的主要目的在于补偿合同当事人因违约行为所遭受的损失。从合同法所确认的违约责任方式来看,无论是强制实际履行,还是支付违约赔偿金,或者采用其他补救措施,无不体现出补偿性。当然，在特定情况下并不排除处罚性。第四,违约责任的可约定性。根据合同自愿原则,合同当事人可以在合同中约定违约责任的方式,违约金的数额
《国际统一私法协会国际商事合同通则》(2004)(中英对照) 《国际统一私法协会国际商事合同通则》(2004) 第一章总则 第1.1条 (缔约自由) 第1.2条 (无形式要求 第1.3条 (合同的约束性) 第1.4条 (强制性规则) 第1.5条 (当事人排除或修改通则) 第1.6条 (《通则》的解释和补充) 第1.7条 (诚实信用和公平交易) 第1.8条 (不一致的行为) 第1.9条 (惯例和习惯做法) 第1.10条 (通知) 第1.11条 (定义) 第1.12条 (当事人规定的时间的计算) 第二章合同的订立与代理权 第一节合同的订立 第2.1.1条 (订立的形式) 第2.1.2条 (要约的定义) 第2.1.3条 (要约的撤回) 第2.1.4条 (要约的撤销) 第2.1.5条 (要约的拒绝) 第2.1.6条 (承诺的方式)
第2.1.7条 (承诺的时间) 第2.1.8条 (规定期限内的承诺) 第2.1.9条 (逾期承诺与传递延迟) 第2.1.10条 (承诺的撤回) 第2.1.11条 (变更的承诺) 第2.1.12条 (书面确认) 第2.1.13条 (合同的订立基于对特定事项或以特定形式达成的协议) 第2.1.14条 (特意待定的合同条款) 第2.1.15条 (恶意谈判) 第2.1.16条 (保密义务) 第2.1.17条 (合并条款) 第2.1.18条 (书面变更条款) 第2.1.19条 (按标准条款订立合同) 第2.1.20条 (意外条款) 第2.1.21条 (标准条款与非标准条款的冲突) 第2.1.22条 (格式合同之争) 第二节代理人的权限 第2.2.1条 (本节的范围) 第2.2.2条 (代理权的确定及其范围) 第2.2.3条 (显名代理) 1 第2.2.4条 (隐名代理) 第2.2.5条 (代理人无权代理或超越代理权限的代理) 第2.2.6条 (代理人无权代理或超越代理权限行为的责任)
晚近国际商事合同法统一化的发展_国际经 济法论文 使中断谈判的权利应以遵守诚实信用和公平交易原则为前提，即使在进行谈判前或在谈判过程中没有明确的要约和承诺，一方当事人也不得随意突然无正当理由中断谈判。要确定从何时起要约或承诺不得撤销，当然得视具体情况而定，特别是一方当事人信赖谈判的积极结果，及双方当事人已达成一致的与所要订立的合同的有关问题的数量。 4、特意待定 在国际贸易中可能存在这样的情况：当事人有意留下一个或多个条款待定，因为他们不能或不愿在合同订立时做出决定，而将这一决定留待他们日后进一步谈判商定或由第三人确定，这就产生了关于合同成立与条款内容的确定等一系列法律问题。根据PICC第2.14条，只要当事人有意订立合同，特意待定这一事实并不妨碍合同的成立。如果没有明确规定，尽管有待定条款，当事人订立合同的意图仍可从其他情况来了解，如待定条款的非重要性、整个协议的确定程度，待定条款根据其性质只能在以后决定的事实、协议已经部分生效的事实等。如果当事人未能就待定条款达成一致，或第三人未予确定，考虑到当事人的意图，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，则合同的存在将不受影响。66 与合同条款特意待定不同的一种情况是，在谈判过程中，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的协
议为条件，则在对这些特定事项或特定形式达成协议之前,合同不能成立。在这里，“坚持”一词明确了当事人若只是简单地表达其意图仍不足以证明他们的意图有这种效力，这种表达必须是非常明确的。 5、格式之争 国际贸易中格式文本的使用是极其广泛的，而当双方当事人通过交换彼此的标准格式文本进行交易，并且都坚持最后的合同是在自己的格式文本基础上达成协议之时，就会引起关于合同是否成立及如何确定合同条款的争议。格式合同之争是国际经济交往中长期争论不休的一个法律问题，基于各国法律制度的差异，在国际社会对该问题尚不能达成共识。PICC参照各国法律的不同做法，对此规定了公平合理的法律原则，为解决这一问题做出了较为完美的回答。 PICC将标准条款界定为一方为通常和重复使用的目的预先准备，并在实际使用时未与对方谈判的条款。67一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，但应受到如下限制：(1)标准条款中由于内容、语言和表达方式而使对方不能合理预见的意外条款无效，除非对方明确表示接受；68(2)标准条款与非标准条款发生冲突，以非标准条款为准；69(3)在双方当事人均使用各自的标准条款的情况下，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质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延迟地通知另一方当事人其不受此种合同的约束。
《国际商事合同通则》（Principles of International Commercial Contracts，简称PICC） 第一章总则 第1.1条(本通则的目的及范围) 本通则规定国际商事合同的一般规则。 第1.2条(本通则的适用) (1)双方当事人约定其合同由本通则管辖时，应当适用本通则。 (2)以下情况可以适用本通则： (a)双方当事人约定其合同由“法律的一般原则”，“商人法”(“lexmercatoria”)或类似法律管辖；或 (b)双方当事人未选择任何法律管辖其合同。 (3)当适用法对发生的问题不能提供解决问题的有关规则时，本通则可以提供解决问题的方法。 (4)本通则可用于解释或补充国际统一法的文件。 第1.3条(缔约自由) 双方当事人自由订立合同及确定合同内容。 第1.4条(合同的约束性) 有效订立的合同对双方当事人有约束力。当事人仅能根据合同条款或通过协议或本通则另有规定修改或终止合同。 第1.5条(强制性规则) 本通则的任何规定不得限制依据国际私法的有关规则适用的强制性规则的适用，不论这种强制性规则是国内的、国际的或是超国家的。 第1.6条(当事人排除或修改本通则) 除本通则另有规定外，双方当事人可以排除适用本通则，或部分排除或修改本通则任何条款的效力。 第1.7条(本通则的解释及补充) (1)在解释本通则时，应考虑其国际特性及其目的，包括促进其统一适用的需要。
(2)凡属本通则范围内但通则未明确规定的问题，尽可能根据本通则依据的思想来解决。 第1.8条(诚信和公平交易) (1)任何一方当事人应当根据国际贸易中的善意和公平交易原则行事。 (2)双方当事人不得排除或限制该义务。 第1.9条(惯例和习惯做法) (1)双方当事人已同意的任何惯例及双方之间确立的任何习惯做法对双方当事人均有约束力。 (2)在国际贸易中为有关特定贸易的当事人广泛知悉并为其惯常遵守的惯例对双方当事人有约束力，除非该惯例的适用不合理。 第1.10条(通知) (1)凡需要通知时，通知可以适合于该情况的任何方式发出。 (2)通知于到达被通知人时生效。 (3)如第(2)款的目的，通知于口头发给被通知人或寄给被通知人的营业地或通讯地址时，“到达”被通知人。 (4)为本条的目的，“通知”包括声明、要求、请求或任何其它意图的告知。 第1.11条(定义) 在本通则中， -“法院”包括仲裁庭； -“营业地”：在当事人有一个以上的营业地时，营业地是指与合同及其履行有最密切联系的营业地，(在确定该营业地时)应考虑合同订立之前或订立时双方当事人知道或考虑到的情况。 [编辑] 第二章合同的订立 第2.1条(要约的定义) 订立合同的建议如果十分确定并且表明要约人在得到承诺时承受约束的意旨，即构成要约。 第2.2条(要约的撤回) (1)要约于送达受约人时生效。 (2)一项要约，即使是不可撤销的，得予撤回，如果撤回通知于要约送达受约人之前或同时送达受约人。 第2.3条(要约的撤销)
《国际商事合同通则》 国际统一私法协会 第一章总则 第二章合同的订立 第三章合同的效力 第四章合同的解释 第五章合同的履行 第一节一般履行 第二节艰难条款 第六章合同的不履行 第一节总则 第二节履行合同的权利 第三节合同的终止 第四节损害赔偿和免责条款 第一章总则 第1．1条（本通则的目的及范围) 本通则规定国际商事合同的一般规则. 第1．2条（本通则的适用) （1）双方当事人约定其合同由本通则管辖时，应当适用本通则。 （2）以下情况可以适用本通则: （a）双方当事人约定其合同由“法律的一般原则”，“商人法"（“lexmercatoria"）或类似法律管
(b）双方当事人未选择任何法律管辖其合同. （3）当适用法对发生的问题不能提供解决问题的有关规则时，本通则可以提供解决问题的方法. （4)本通则可用于解释或补充国际统一法的文件。 第1．3条(缔约自由) 双方当事人自由订立合同及确定合同内容。 第1．4条（合同的约束性） 有效订立的合同对双方当事人有约束力。当事人仅能根据合同条款或通过协议或本通则另有规定修改或终止合同. 第1．5条(强制性规则） 本通则的任何规定不得限制依据国际私法的有关规则适用的强制性规则的适用，不论这种强制性规则是国内的、国际的或是超国家的. 第1．6条（当事人排除或修改本通则） 除本通则另有规定外,双方当事人可以排除适用本通则，或部分排除或修改本通则任何条款的效力。 第1．7条（本通则的解释及补充） (1）在解释本通则时，应考虑其国际特性及其目的，包括促进其统一适用的需要。 （2）凡属本通则范围内但通则未明确规定的问题，尽可能根据本通则依据的思想来解决。 第1．8条(诚信和公平交易） (1）任何一方当事人应当根据国际贸易中的善意和公平交易原则行事。 （2）双方当事人不得排除或限制该义务。 第1．9条（惯例和习惯做法） （1）双方当事人已同意的任何惯例及双方之间确立的任何习惯做法对双方当事人均有约束力.
联合国国际货物销售合同公约 论文摘要 所谓卖方知识产权担保,是指在货物买卖法律关系中,卖方有义务保证,对于其向买方交付的货物,任何第三方不能基于知识产权向买方主张任何权利或要求。 由于知识产权具有无形性、地域性、独占性等特点,其权利人的专有权被他人侵犯的机会和可能性比物权等权利大的多。一旦第三人对卖方交付的货物基于工业产权或其他知识产权提出权利或要求,买方对货物的使用或转售就会受到干扰,因为第三人可能向法院申请禁令,禁止买方使用或转售货物,而且还会要求买方赔偿因侵权而造成的经济损失,所以规定卖方的知识产权担保义务,对保护买方的利益非常必要。《联合国国际货物销售合同公约》(以下简称《公约》)第42条规定了卖方的知识产权权利担保义务。 本文首先对42条的立法背景和立法目的作出介绍,接着对42条规定的卖方知识产权担保义务及其责任的条件限制和责任的免除进行详细的分析,最后指出由于42条内容的不确定性,建议当事人最好在合同中排除42条的适用。 目录 一、前言 (4) 二、立法背景和立法目的 (4) 三、卖方的知识产权担保义务及其责任限制 (6) (一)工业产权或其他知识产权 (二)第三人的任何权利或权利要求 (三)知道或不可能不知道 (四)目的国:双方当事人在订立合同时预期货物将转售或使用的国家 四、卖方知识产权担保责任的免除 (15) 五、结语 (15) 浅论《联合国国际货物销售合同公约》下卖方的知识产权担保义务 一、前言 所谓卖方知识产权担保,是指在货物买卖法律关系中,卖方有义务保证,对于其向买方交付的货物,任何第三方不能基于知识产权向买方主张任何权利或要求。
由于知识产权具有无形性、地域性、独占性等特点,其权利人的专有权被他人侵犯的机会和可能性比物权等权利大的多。一旦第三人对卖方交付的货物基于工业产权或其他知识产权提出权利或要求,买方对货物的使用或转售就会受到干扰,因为第三人可能向法院申请禁令,禁止买方使用或转售货物,而且还会要求买方赔偿因侵权而造成的经济损失,所以规定卖方的知识产权担保义务,对保护买方的利益非常必要。《联合国国际货物销售合同公约》(以下简称《公约》)第42条规定了卖方的知识产权权利担保义务。 本文首先对42条的立法背景和立法目的作出介绍,接着对42条规定的卖方知识产权担保义务及其责任的条件限制和责任的免除进行详细的分析,最后指出由于42条内容的不确定性,建议当事人最好在合同中排除42条的适用。 二、立法背景和立法目的 为了统一国际货物买卖法,国际社会从上个世纪30年代起就开始致力于制定能够被国际社会普遍接受的货物买卖公约。罗马国际统一私法协会在30年代起草的《国际货物买卖统一法公约》(The Uniform Law on International Sale of Goods,简称ULIS)和《国际货物买卖合同成立统一法公约》(The Uniform Law on the Formation of Contract for International Sale of Goods,简称ULF)由于存在明显的局限性和不足没得到国际社会的认可。1968年,联合国国际卖贸易委员会下的国际货物买卖工作组在对以上两公约修改的基础上制定了《联合国货物买卖合同公约》(United Nations Convention on Contracts for the International Sale of Goods,简称CISG,以下简称《公约》)草案。该公约草案于1980年3月,在由62个国家代表参加的维也纳外交会议上正式通过。于1988年1月1日正式生效。 对于货物买卖中第三人的知识产权权利,《公约》以前没有任何公约曾做出规定;而对于货物买卖中第三人权利,以前的公约中也只有《公约》的前身ULIS 第52条做出过规定。ULIS第52条规定卖方有担保买方对货物的使用不受任何第三人权利和要求骚扰的义务。但是一般认为这里的“第三人权利和要求”主要是针对所有权瑕疵,它是否也包括了第三人的知识产权权利和要求,ULIS没有做出明确的规定。学界对此众说纷纭。 在《公约》制订初期,卖方的知识产权担保问题没有引起公约起草者的重视,根据资料记载,《公约》1977年草案更是明确规定公约不调整基于知识产权提起的第三人权利要求问题。尽管如此,逐步增长的国际贸易量使人们对国际自由贸易中知识产权的保护越来越关注,认识到必须对国际贸易范围内的知识产权保护提供统一的规则。在起草1980年公约最后阶段,联合国国际贸易委员会成立了特别工作小组,起草关于卖方的知识产权担保义务条款,该条款最后被接受为
《合同法》与《国际商事合同通则》的比较分析及其适用 河南尊严律师事务所刘彤海 我国《合同法》颁布实施已近10年,在具体操作过程中,笔者感到《国际商事合同通则》中的一些规定,对正确执行《合同法》有互补的功效,值得借鉴。 一、关于法律适用范围的比较 1、通则的适用范围 我国1999年颁布的《合同法》与国际私法协会公布的《国际商事合同通则》(以下简称通则)有一定关联性,通则的有些规定,无论在国内还是在国外都是可以适用的。我国《合同法》第126条规定:"涉外合同的当事人可以选择处理合同争议所适用的法律,但法律另有规定的除外。涉外合同的当事人没有选择的,适用与合同有最密切联系的国家的法律。"该条规定与通则前言第2款规定一致,即当事人一致,其合同受通则管辖时,适用通则。因此,我国当事人在与涉外当事人签订合同时可约定适用通则。该通则比《联合国国际货量物买卖公约》适用范围要更为宽泛,具有相当的灵活性。除国际商事合同外,该通则也可替代国内法适用。如前言第4条规定:"当无法确定合同的适用法律对某一问题的相关规则的,通则可对该问题提供解决办法。"该条规定旨在说明,即使合同是由某一特定国内法管辖,但对案件解决遇到困难的时候,可以从通则中寻求解决问题的途径,以往我国的司法实践在处理案件遇到困难时,一般求助司法解释、学理解释,还有专家论证。现在通则关于交易纠纷的一些规定又给我们开辟了解决纠纷的途径。通则不是国际公约,不具有强制性,适用与否完全可依当事人的意思选择,但是要明确的是,通则是由近20个国家的法律专家对国际交易的规则进行潜心研究的成果,具有很强的适用
性和可操作性,如果法院或仲裁机构在裁判案件时能够适当参照《通则》的有关规定,可为我国《合同法》的立法与适用产生拾遗补缺之作用。 通则的宽容之处在于,任何规定都不得限制根据有关国际法原则而应适用的强制性规则的适用,无论这些强制性规则是国家的、国际的还是超国家的(第 1.4条);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。因通则所具有的这种非强制性,当事人根据各自的情况既可以排除或部分排除该原则适用, 使之更适合于当事人的特殊交易需要。"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基本原则来处理"(第1.6条),这就为我们遇到法律障碍时提供了有益的鉴镜。 2、关于格式条款的理解与适用 《合同法》关于格式条款共有三个条款,从表面上看对出具格式合同一方不利,但在司法实践中,这一规定非但起不到保护非格式合同一方,而且往往成为出具格式合同免责的武器。《合同法》第39条规定,"采用格式条款订立合同的,提供格式条款的一方应当遵循公平原则确定当事人之间的权利和义务,并采取合理的方式提请对方注意免除或者限制其责任的条款,按照对方的要求,对该条款予以说明";第41条"对格式条款的理解发生争议的,应当按照通常理解予以解释。对于格式条款有两种以上解释的,应当作出不利于提供格式条款一方的解释。格式条款和非格式条款不一致的,应当采用非格式条款。"格式合同亦称定式合同或标准合同,对于同一种类、性质、并且重复交易的行为,采用标准文本,既节约了交易成本、洽谈时间、条款的争议,也有平等待人的镜像。这是人们通过长年累月的交易总结出来的经验,对此应予肯定。但是格式合同的弊端也很多,一是不
编号：_______________本资料为word版本，可以直接编辑和打印，感谢您的下载 《联合国国际货物销售合同公约》与《国际商事 合同通则》之比较) 甲方：___________________ 乙方：___________________ 日期：___________________
王永新 摘要：〈〈公约》与〈〈通则》的目的都是为了协调不同法系、不同法域间的立法冲突，旨在为国际商事合同的当事人提供一个明确具体且具有广泛适应性的规则。因此，〈〈公约 》与〈〈通则》在理念、基本原则上是一致的。但是，〈〈公约》与〈〈通则》还是有不同之处。 关键词：公约；通则；合同； 〈〈联合国国际货物销售合同公约》(United NationsConvention on Contracts of International Sales ofGoods，以下简称“公约”)是由联合国国际贸易法委员会主持制定的，1980年在维也纳举行的外交会议上获得通过。公约于1988年1月1日正式生效。目前已经有包括中国 在内的70个国家加入了该公约。〈〈公约》是20世纪以来最重要的国际公约之一。 〈〈国际商事合同通则》(Principles of InternationalCommercial Contracts，以下简称"通则") 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、实用性的商事合同统一规则。〈〈通则》“是迄今为止最为系统的对国际性契约的实体内容进行统一整理的一个法律文件”[1]。 这两个文件是国际商事合同领域最为重要的规则。〈〈公约》与〈〈通则》的目的都是为了 协调不同法系、不同法域间的立法冲突，旨在为国际商事合同的当事人提供一个明确具体且 具有广泛适应性的规则。因此，〈〈公约》与〈〈通则》在理念、基本原则上是一致的。但是， 〈〈公约》与〈〈通则》还是有不同之处。这些不同之处主要有： 一、适用范围不同〈〈通则》的适用范围比〈〈公约》广泛。〈〈公约》仅适用于国际货物买 卖合同[2]-[3]。而〈〈通则》对“商事”合同并没有给予任何明确的定义，只是在尽可能宽泛的意义上来理解这一概念，以使它不仅包括提供或交换商品或服务的一般贸易交易，还可包括其他各种类型的经济交易，如投资或特许协议、专业服务合同等，即适用于国际商事合同 的全部。 二、适用方式不同〈〈公约》作为一项国际条约，它以国际立法的方式统一国际货物买卖合同法律，在缔约国间具有法律效力。在缔约国的当事人没有明文排除适用公约或没有约定 所适用的法律时，缔约国当事人之间的国际货物买卖合同既应该适用〈〈公约》。但目前〈〈公约》的缔约国数量有限，而且缔约国在加入〈〈公约》时可以作保留，拒绝接受某些 条款，所以〈〈公约》的作用在一定程度上受到了限制。此外，〈〈公约》的内容不够完善，对 国际货物买卖合同的其他法律问题又不得不适用国内法的规定。而〈〈通则》不是以国际条约的形式出现的，而是以国际重述(international restatement)的形式详尽阐述合同法普遍 通行的原则。即"用非立法的手段统一法律" (unification of law by non-legislative means ), 并对国际商事合同领域的一些基本原则、惯例和习惯性做法进行全面、系统地表述。同时， 〈〈通则》的非强制性可以使它能更灵活地被接受；〈〈通则》的条文富于弹性，又使得它能较 广泛地被接受。从事国际贸易的当事人得以在自愿基础上自由选择〈〈通则》适用于其所订立的合同[4]。 三、〈〈通则》中关于“损害赔偿”的条款比〈〈公约》更全面、具体1.〈〈公约》并不涉及人身损 害赔偿问题[5],而〈〈通则》明确“损害可以是非金钱性质的，并且包括例如肉体或精神上的痛苦” [6] 。 2.对于损害赔偿，〈〈通则》要求在确定受损害方有权得到的赔偿时，应
国际商事合同通则_中文翻译版《国际商事合同通则》 国际统一私法协会 第一章总则 第二章合同的订立 第三章合同的效力 第四章合同的解释 第五章合同的履行 第一节一般履行 第二节艰难条款 第六章合同的不履行 第一节总则 第二节履行合同的权利 第三节合同的终止 第四节损害赔偿和免责条款 第一章总则 第1(1条 (本通则的目的及范围) 本通则规定国际商事合同的一般规则。 第1(2条 (本通则的适用) (1)双方当事人约定其合同由本通则管辖时，应当适用本通则。 (2)以下情况可以适用本通则: (a)双方当事人约定其合同由“法律的一般原则”，“商人法”(“lexmercatoria”)或类似法律管辖;或
(b)双方当事人未选择任何法律管辖其合同。 (3)当适用法对发生的问题不能提供解决问题的有关规则时，本通则可以提供解决问题的方法。 (4)本通则可用于解释或补充国际统一法的文件。 第1(3条 (缔约自由) 双方当事人自由订立合同及确定合同内容。 第1(4条 (合同的约束性) 有效订立的合同对双方当事人有约束力。当事人仅能根据合同条款或通过协议或本通则另有规定修改或终止合同。 第1(5条 (强制性规则) 本通则的任何规定不得限制依据国际私法的有关规则适用的强制性规则的适用，不论这种强制性规则是国内的、国际的或是超国家的。 第1(6条 (当事人排除或修改本通则) 除本通则另有规定外，双方当事人可以排除适用本通则，或部分排除或修改本通则任何条款的效力。 第1(7条 (本通则的解释及补充) (1)在解释本通则时，应考虑其国际特性及其目的，包括促进其统一适用的需要。 (2)凡属本通则范围内但通则未明确规定的问题，尽可能根据本通则依据的思想来解决。 第1(8条 (诚信和公平交易) (1)任何一方当事人应当根据国际贸易中的善意和公平交易原则行事。 (2)双方当事人不得排除或限制该义务。 第1(9条 (惯例和习惯做法)
论《联合国国际货物销售合同公约》与《国际商事合同通则》关系 摘要：《国际商事合同通则》的诞生是国际统一合同法领域继1980年《联合国国际货物销售合同公约》以来又一重要成果，在很大程度上弥补了《公约》的不足，作为国际私法统一化运动的一项重要成果，对于国际商事合同法律制度的统一与协调将产生不可低估的影响。《国际商事合同通则》与《联合国国际货物销售合同公约》的性质是不同的，《国际商事合同通则》的性质目前虽很难界定，但很明显的是它不是公约。目前它的作用更主要的是为各国合同立法提供可供参考借鉴的范本，而不是在国际商务活动中得到直接的适用。与《联合国国际货物销售合同公约》相比，《国际商事合同通则》适用范围更广泛，适用方式更灵活，内容更完整，具体规定更科学，在很多方面进行了发展与创新，因而可以视为是国际社会关于商事合同立法的新发展。 关键词：商事合同通则，国际统一私法协会，示范法 《联合国国际货物销售合同公约》（下称“公约”）与《国际商事合同通则》（下称“通则”）这两个国际文件的性质是不同的。因为公约明显可以称之为国际公约，而通则则很难将其归为国际法律文件传统分类的任何一种。自1988年生效以来，公约已经得到包括全部主要贸易国（但日本除外）在内的五十多个国家批准。然而一个公约的成功不仅在于它的批准和加入国的数量还包括公约生效后在一特定缔约国的适用。这方面的问题主要是国际贸易的双方是否确实同意公约适用于他们的交易合同中。实践表明公约在适应社会、技术和经济变化的过程中遇到了一定的困难，如何在国际领域内统一适用是公约面临的最大问题。本文主要从这两个文件的性质特征和适用范围方面来回答以下两个问题：这两个文件是对立、并存抑或互补？商事合同通则是否对销售合同公约进行了发展与创新？其中两个文件的不同适用范围是本文关注的焦点。 一：二个文件的性质-对国际的立法的重述 销售合同公约与商事合同通则究竟是什么关系？尤其在销售合同公约已经取得相当的成功时，国际统一私法协会何以要倡导编纂商事合同通则？并且，二者的并存，难道没有造成混乱与重复的危险吗？我认为，要明确回答这个问题，需要从它们形成的历程入手。1980年销售合同公约的通过，是从1929年开始持续50年多年工作的终点。从一开始，所设想的就是具有拘束力的统一规则。原因是在当时，法律实证主义即将法等同于国家法的教条占支配的地位。其结果，
UNIDROIT PRINCIPLES OF INTERNATIONAL COMMERCIAL CONTRACTS 2010 P REAMBLE (Purpose of the Principles) These Principles set forth general rules for international commercial contracts. They shall be applied when the parties have agreed that their contract be governed by them.(*) 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. They may be applied when the parties have not chosen any law to govern their contract. They may be used to interpret or supplement international uniform law instruments. They may be used to interpret or supplement domestic law. They may serve as a model for national and international legislators. C HAPTER 1—G ENERAL P ROVISIONS A RTICLE 1.1 (Freedom of contract) The parties are free to enter into a contract and to determine its content. A RTICLE 1.2 (No form required) 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. A RTICLE 1.3 (Binding character of contract) 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. A RTICLE 1.4 (Mandatory rules) 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. (*) Parties wishing to provide that their agreement be governed by the Principles might use the following words, adding any desired exceptions or modifications: “This contract shall be governed by the U NIDROIT Principles (2010) [except as to Articles …]”. Parties wishing to provide in addition for the application of the law of a particular jurisdiction might use the following words: “This contract shall be governed by the U NIDROIT Principles (2010) [except as to Articles…], supplemented when necessary by the law of [jurisdiction X]”. 1
随着国际经济一体化发展，国际私法领域的统一化过程中出现了一大批的优秀成果，而这些优秀的成果中又有很大一部分体现在国际商事合同规则方面，其中影响最大并相对完整地调整国际货物买卖合同关系的当属1980年联合国国际贸易法委员会通过的《联合国国际货物销售合同公约》和1994年由罗马国际统一私法学会通过并于2004年修订的《国际商事合同通则》。《公约》与《通则》之间有着紧密联系，同时也有着非常明显的区别，二者在性质和特点，调整对象和内容，合同的成立以及违约方面都存在着不同的规则制度要求，下面分别对这几个方面的不同之处做些许概括性的说明与探究。 （一）《公约》与《通则》性质和规则特点不同 《公约》的性质是多边国际条约。《公约》以条约方式统一国际商事合同法律，具有形式稳定、内容明确、在缔约国间具有法律约束力等特点，这些特点也正是公约订立之初的优越性所在，但是，《公约》也有其自身的局限性，首先是《公约》制定过程的漫长和高成本，这一特点也会限制《公约》的修订；其次，《公约》的国际条约性质使得《公约》的订立和规则确立成为国家行为，必然会限制统一化的程度；第三，为了使《公约》具有更大的包容性进而令更多国家接受，《公约》在规则设计上经常不能够坚持最优选择，由于在制定过程中需要考虑太多的因素，《公约》规则中随处可见不同法系国家法律制度之间的冲突和妥协，有些无法调和的差异只能被排除在《公约》体系外或作模糊处理，不得不在一定程度上牺牲了规则的明确性，而规则的不尽明确势必又给《公约》解释提出了重大挑战。《公约》能否实现国际货物买卖合同法律规则统一化的目标，在很大程度上要依赖裁判机构的正确解释而不仅是文本本身，变数大大加大；此外，《公约》采用的国际立法方式也使得批准程序较为复杂，一些国家考虑到《公约》与本国合同法的差异，考虑到《公约》的强约束性和退出的不易，会选择不加入《公约》或在加入时做出各类保留。 基于《公约》的上述局限性，《通则》立法上摒弃了《公约》的国际立法方法，而是以重述的方式来对国际商事合同领域的一些基本原则、惯例和习惯性做法进行系统的编纂。之所以这样选择，一方面是《通则》立法考虑到各国法律制度的差异以及普通法系根深蒂固的合同法非成文化传统；另一方面，《通则》的非强制性可以让从事国际贸易的商人们在自愿基础上自由选择《通则》的适用方式。更重要的是，《通则》的非立法模式使得其在较大程度上摆脱了国家主义的困扰，可以在国际商事合同统一法领域进行更多的尝试。《通则》的制定过程不仅是一个借鉴和吸收各国合同法以及以往统一合同法精髓的过程，也 是一个在多方面对《公约》有所突破的过程。 当然，由于《通则》不是国际条约，属于不具有当然拘束力的重述性文件，《通则》的接受程度和效用的发挥基本上都依赖于其本身的科学性和权威性，而缺乏《公约》的稳定性和强制性，但是，实践证明，《通则》制定者的努力得到了学术界、实务界和商人们的普遍认同，获得了高度的评价。 （二）《公约》与《通则》调整对象和内容不同 《通则》的制定晚于《公约》，《通则》在很多条款上都吸收了《公约》的规定，但是除了部分的内容重合之外，《通则》的内容从广度和深度来说都超过了《公约》。 《公约》制定者在起草中对合同法领域的各国成文法、判例法以及法理学说、国际惯例作了充分的比较分析，在此基础上提取出被普遍承认的原则和规则，制定出了一套适应国际货物买卖合同特殊要求的原则和规则。《公约》规则设计的科学性、灵活性得到普遍称道，并获得了普遍接受。然而，受制于《公约》的条约性质和规则特点，《公约》的内容是集中和有限的，主要围绕国际货物买卖合同的成立、合同各方权利义务、违约及救济等内容，而且其中还有些事项因为无法达成一致而没能提供或没能提供明确的解决方案，需要补缺或者解释。因此，严格地说，《公约》还不是一部完整的、全面的关于国际货物买卖 合同的统一法。 与《公约》相比，《通则》的内容则要全面且丰富得多。1994年《通则》即具备了较完整的体系结构，在前言之外具体分为七章，分别规定了国际商事合同的基本原则、合同的订立、合同的效力、合同的解释、合同的内容、合同的履行和合同的不履行。并且罗马国际统一私法学会在2004年对于《通则》