国际经济法

第一章 国际经济法概述
chapter one General Introduction to International Economic Law
第一节 国际经济法的概念及特征 Section 1 Concept and Characteristics
1.1 Doctrines 学说
*两种学说：
国际经济法是独立的部门法——以姚梅镇为代表（现今多采用）
国际经济法是国际公法的分支——以王铁崖为代表

1.2 Concept and Charactisrics of International Economic Law

国际经济法的概念及特征
（一）概念：国际经济法是调整国际（或跨国）经济关系 的法律规范的总称。是一个独立
的、综合的法律部门。
*国际经济关系：国际经济关系包含作为主体的参加者（自然人、法人、国际组织、国家）；
从管理角度来看，存在着平等的以及纵向不平等的经济管理关系；从类别上划分，具有国际
投资、国际贸易（包括货物、服务、技术贸易）、国际融资和税收等国际经济活动中形成的
关系。国际经济法不断发展，因为国际经济关系在不断变化。
（二）特征：
（1）主体的广泛性：国际经济法的主体不仅包括国家和国际组织，也包括分属于不同
国家的自然人和法人。
（2）调整对象的广泛性：国际经济法既调整平等主体，又调整纵向的不平等主体。
（3）法律渊源的广泛性：国际经济法的渊源既有公法，也有私法；既有实体法，也有
程序法；既有国内法，也有国际法。

1.3 Relationships Between International Economic Law and Other Neighboring Laws
国际经济法与相邻部门法的关系
1.3.1 International Economic Law VS Public International Law
国际经济法 VS 国际公法
类别 名称 国际公法 国际经济法 共同点 不同点 注意
主体 国家、国际组织 国家、国际组织、 均包含国家与国 国际经济法主体 各国的国际公法
自然人、法人 际组织 更加广泛（自然人 中对于自然人是
与法人） 否作为主体的规
定不同

调整对象 调整国家与国家 调整国家、国际组 均包含调整国际 国际公法调整

之间、国家与国际 织、自然人、法人 经济关系 的关系较多，而国
组织之间、国际组 四主体相互之间 际经济法只调整
织与国际组织之 的经济关系 经济关系（内容
间政治、外交、军 广）；
事、经济等关系 国际经济法调
整更加多样化的
主体之间的经济
关系（主体广）
 法律渊源 国际公法的法
国际条约以及多 国际条约、 律渊源较少，且多
国际习惯 少国际习惯、 均包含国际条约 为国际习惯；
国内立法、 国际经济法的
国际商事惯例 法律渊源较多，且
较少国际习惯

理念 强调国家独立， 强调相互性，注重
国家主权、领土等 经济全球化、贸易
独立且不可侵犯 一体化；遵循“你
干涉 中有我，我中有
你”

1.3.2 International Economic Law VS Private International Law

国际经济法 VS 国际私法
类别 名称 国际私法 国际经济法
国际私法主要解决法律冲突问 国际经济法主要解决的是国际
题，即法律的适用问题，是一 经济主体的权利义务规定的问
种间接调整 题，是一种直接调整
问题不同 注意：我国采用大国际私法的
概念，认为国际私法是直接调整
（即运用统一实体规范）➕间接调
整
国际私法调整平等主体之间的 国际经济法调整平等主体之间
调整对象不同 财产关系与人身关系 以及纵向经济管理关系之间的
经济关系

第二节 国际经济法的主体 Section 2 Subjects of International Economic Law

（可能选择题、简答题、论述题）
2.1 Natural e person 自然人
2.1.1 The qualification of natural e person as the subject of international economic law
自然人作为国际经济法主体的资格
（1）每个国家对于自然人成为国际经济法主体的资格规定都不一致，比如：我国自然人在
2004 年以前不能成为该主体，但是在 2004 年以后即可；我国以前的外资企业法中外国自然
法人只能与中国法人进行合作，不能与自然人进行合作。
（2）我国现在关于自然人作为国际经济法主体的资格大致规定为：一般法律能力（即权利
能力与行为能力）➕特殊的活动能力（即从事国际经济交往的权利能力或资格）

2.1.2 Identity and status of natural person

自然人的身份认定以及法律地位
（1）自然人身份的认定以国籍为标准，任何自然人如果没有该国的国籍，即为外国人，其
法律地位也因此不同。
（2）自然人非主要的国际经济法主体。
2.2 Juridical Person 法人
2.2.1 The qualification of juridical person as the subject of international economic law
法人作为国际经济法主体的资格
（1）各国法人资格的取得条件不同，由其自身的民法规定，比如：我国以前的法律规定法
人在进出口贸易上具有限制，只有取得进出口权的法人，才可以从事该项活动，所以就推动
了专门的具有进出口贸易经营权的贸易公司的出现；我国后来加入 WTO，为了与国际接轨，
于是修改了此项规定。
（2）在我国，法人是指依法定程序设立，有一定的组织机构和独立的财产，能以自己的名
义享有权利和承担义务的社会组织。

2.2.2 Nationality and status of judicial person

法人的身份认定及法律地位
（1）法人身份认定以国籍为标准，任何法人，如果不具有某国的国籍，则为外国法人，同
时另一国承认该法人时，只是承认了其法人在内国被认为具有法人身份/资格，不产生创设
或转化。
（2）各国的国籍判断标准不一致，比如：股东国籍说、控制机构所在地国籍说等等。

2.2.3 Transnational Corporation 跨国公司

（1）跨国公司是经济实体，但不是法律实体，即跨国公司是客观存在的，但它本身并不是
一个法人，不能说去注册一个跨国公司，它是一个众多法人构成的集合体，以此影响国际经
济发展、税收等。
（2）关于跨国公司的 4 个主要问题
1st.跨国公司的概念以及特征
*概念：
A. 跨国公司主要是指发达资本主义国家的垄断企业，以本国为基地，通过对外直接投
资，在世界各地设立分支机构或子公司，从事国际化生产和经营活动的垄断企业。（百
度百科）
B. <本守则所使用的“跨国公司”一词，系指一种企业，它可以是公营企业、也可以是私
营的或公私合营的企业。构成这种企业的实体分布于两个或两个以上的国家，不论其法律形
式和活动范围如何。各个实体通过一个或数个决策中心，在一个决策系统的统辖之下开展经
营活动，彼此有着共同的战略并执行一致的政策。由于所有权关系或其他因素，各个实体相
互联系，其中的一个或数个实体，对其他实体的活动能施加相当大的影响，甚至还能分享其
他实体的知识、资源，并为它们分担责任。>
<守则中的“跨国公司”一词指企业整体及构成这类企业的各个实体。>
（《联合国跨国公司行为守则》）

*特征：
A、一般都有一个国家实力雄厚的大型公司为主体，通过对外直接投资或收购当地企业的方
式，在许多国家建立有子公司或分公司；

B、一般都有一个完整的决策体系和最高的决策中心，各子公司或分公司虽各自都有自己的
决策机构，都可以根据自己经营的领域和不同特点进行决策活动，但其决策必须服从于最高
决策中心；
C、一般都从全球战略出发安排自己的经营活动，在世界范围内寻求市场和合理的生产布局，
定点专业生产，定点销售产品，以牟取最大的利润；

D、一般都因有强大的经济和技术实力，有快速的信息传递，以及资金快速跨国转移等方面
的优势，所以在国际上都有较强的竞争力；

E、许多大的跨国公司，由于经济、技术实力或在某些产品生产上的优势，或对某些产品、
或在某些地区，都带有不同程度的垄断性。

通过直接投资、转让技术等活动，在国外设立分支机构或与当地资本合股拥有企业的国际性
公司。也叫多国公司。

2nd.跨国公司的结构（跨国公司的控制方式）
A、股权控制

B、委托管理

C、技术转让

3rd.跨国公司责任的承担方式，特别是债务的承担
A、有限责任：公司股东的责任仅 以出资额为限, 公司对外则以其全部资产承担责任。有
限责任在跨国公司的情况下仍有重要意义。但是，另一方面，在跨国公司的情况下，有限责
任原则也不应绝对地适用。对有限责任原则也应有所限制，在某种情况下让母公司负责任也
是必要的。 母公司责任的基本理由是基于公平原则和经济现实。
B、母公司的连带责任
a.揭开法人面纱：这一原则承认母公司与子公司是两个独立的实体, 仅在“ 例外” 的情况
下才可以置两公司分立的法律实体于不顾。如果一个子公司受其母公司的支配和控制, 以致
于其分立的法人实体不存在，法院可以认为它仅仅是母公司的“工具” (或“化身”、“代
理人”等) 适用揭开法人面纱原则。
b.代理法：根据代理法的规定，委托人对其代理人的行为负责任，这是各国普遍承认的一
个法律原则。 因此，若子公司充当其母公司的代理人，就可以依据代理法让母公司对子公
司的行为负责。
c.多国企业整体责任：把多国企业看作一个单一实体, 并认为单依多国企业结构这一因素
就足以让母公司对其子公司的非契约性债务承担责任 , 由该实体中任一组成部分造成的损
害均可归咎于该实体整体。
C、母公司的直接责任:如果母公司直接对第三者负有义务，它就可能对违反此义务所造
成的损害负直接责任。 通常，侵权法可以为追究母公司的直接责任提供有力的根据。
a.过失或疏忽
根据侵权法中的过失理论,负有注意责任的人应对其过失承担责任。如果母公司从事超危 险
性活动，或有监督子公司或对已知风险提出警告的义务，那么它无疑应对其没有于以合理注
意而造成的损害负责任。
b.严格责任
严格责任或无过失责任现在已成为许多国家侵权法中的一个重要原则。在某种情况下，它也
可能成为追究母公司责任的法律依据。在某些国家的产品责任法中, 母公司可能会根据严格
责任原则承担责任。严格责任也适用于高度危险性活动和环境污染。
（论跨国公司责任的法律依据 余劲松）

4th.跨国公司是否为国际法的主体（不同观点）
A、第一种观点认为，跨国公司没有国际法主体地位。
这一种观点是目前我国国际法学界的主流观点。如：王铁崖先生认为国家是国际法的主
要主体国际组织和争取独立的民族也具有国际法主体资格，但否定了个人(包括法人和自然
人)的国际法主体资格。因此，跨国公司作为国内法人只具有国际私法主体地位不具有国际
法地位。
B、第二种观点认为，跨国公司具有一定程度的国际法律人格。
持此种观点的学者认为:是否赋予一个实体以法律人格或作为法律上的主体，关键要看，
它是否具有创设法律关系和承受法律上权利和义务的资格或能力。
C、第三种观点认为，跨国公司根据与东道国通过签订法律文件所建立的法律关系，其管辖
权既不属于国际私法，也不属于国际公法，而应属于第三领域或第三体系。
（跨国公司的国际法主体地位分析 张磊）

2.3 States 国家
2.3.1 The qualification of the state as the subject of international economic law
国家作为国际经济法主体的资格
（1）国家作为主权者，具有独立参加国际关系的能力和直接承担国际法权利和义务的能力，
国家对其全部财富、自然资源和经济活动享有永久主权，并可以自由行使。
（2）国家在国际经济法中具有双重身份：
第一，国家作为平等的国际经济法主体参与国际经济交往，比如作为合同当事人
第二，国家以管理者的身份参与国际经济活动，即作为主权者的身份，涉及国家及其
财产豁免权问题

2.3.2 Immunity of the state and its property 国家及其财产豁免权

在国际经济法中，国家不具有绝对豁免，即财产豁免➕国家豁免；在国际经济法中，国家
只适用相对豁免，即只有国家豁免，只在政治方面存在豁免，商事行为不具有豁免。

2.4 International Organizations 国际组织

2.4.1 The qualification of international economic organizations as the subject of international
economic law
国际经济组织作为国际经济法主体的资格
* juridical personality 法人资格
* privileges and immunities 特权与豁免
（1）国际经济组织是国家间基于主权平等原则设立的机构，其主要参加者是国家，并以国
家间的正式协议为基础。
（2）国际经济组织的法律人格取决于国家的授权，其权利能力和行为能力的范围取决于其
特定的宗旨与职能，取决于其基本文件的规定。具有法律人格的国际经济组织在其基本文件
规定的范围内，不受任何国家权力的管辖。
（3）国际经济组织享有一定的特权与豁免，这种特权与豁免也来源于成员国的授权。
（4）国际经济组织的类型：普遍性国际经济组织（国际货币基金组织、世界银行集团、世
 界贸易组织……）、区域性国际经济组织（欧洲联盟、欧亚经济联盟、北美自由贸易区、上
海合作组织……）、专门性国际经济组织（石油输出国组织、天然橡胶生产国联盟……）

2.4.2 The main international economic organizations

* International Monetary Fund 国际货币基金组织
* World Bank Group 世界银行集团
* World Trade Organization 世界贸易组织

&了解国际经济组织的方向：
1、建立国际经济组织的法律文件是什么？
2、为什么建立？即国际经济组织建立目的
3、国际经济组织是否具有法律地位、法人资格（独立法律人格）？
4、国际经济组织的成员资格如何确定？
三类成员：1st. full 正式成员：所有权利/义务；
2nd. associate 准成员：部分权利/义务（比如可以发表观点，但是不能表决）；
3rd. observer 观察员：并非强制设置，其只能听与观察，但会后可以交流
5、国际经济组织的开放范围是什么？
有对世界开放的，有对特定的开放，有对区域的开放
注意：并不是所有对区域的开放都只针对本区域，比如亚洲开发银行，不仅对亚洲地区，还对发达国
家
6、国际经济组织的成员有哪些？
原始成员 original member，加入成员 acceding member，前述两种成员的权利义务一般都一样，但是某
些国际经济组织会对创始成员有特别的权利，比如 OPEC 石油中规定创始成员对加入成员有一票否决。
国际经济组织成员可以退出国际经济组织（自愿/被迫）
7、国际经济组织的机构组织有哪些？（structure）
一般有三类：power body 权力机构（非常设机构，一般由所有缔约方构成）；
executive body 执行机构（常设机构，以处理国际经济组织的业务为主，称为理事会/董事会
等，由各各缔约方选出人员）；
administration body（处理日常事务，属于行政管理机构，称为秘书处）
8、国际经济组织的表决制度（voting system）
有三类：1、 one state one vote system 一国一票制度
2、group voting system 集团表决制
（有许多集团，比如非洲集团等等，以集团为单位进行给出一个意见，内部矛盾不进行管理，
parallel
majority 并行多数）
3、weighted voting system 加权表决制
（每个国家都有一票，之后根据不同标准进行加票，在国际货币基金组织之前这种加权表决制很
少，但之后就很多的适用）

第三节 国际经济法的渊源 Section 3 Source of International Economic Law

3.1 International Laws 国际法
3.1.1 International Economic Treaties 国际经济条约
*比较重要的 treaties 判断标准：
1、缔约国的数量、主要经济体/经济大国是否加入
2、条约具有强制性（hard law）还是指导性的（soft law）
3、条约允不允许保留、普遍性、法律效力
3.1.2 International Commercial Customs 国际商事惯例
*国际习惯与国际商事惯例的区别
1、国际习惯具有强制力，对所有国家都有普遍拘束力，除非从习惯形成过程中一直反
对的，则对其不具有效力
2、国际商事惯例不具有强制力，是由当事人选择适用的，只有选择了才会具有拘束力

3.2 Domestic Laws 国内法

*只有调整涉外经济关系的国内法才是国际经济法的渊源。注意：有的国家涉内与涉外分
别立法，则国际经济法的渊源只是有关的国内涉外法律；若一国统一立法，则就指该国内法
法。

3.3 Other sources 其他渊源

3.3.1 Judicial precedent 判例
*注意区分大陆国家与英美国家关于判例的不同想法。
1、国际私法中仲裁机构/法院的判例，不是国际经济法的渊源
2、大陆法系的判例不能作为法源，所以在我国不是国际经济法的渊源
3、英美法系调整涉外的判例可以作为法源
3.3.2 Doctrines 学说
*学说在任何时候都不能作为法源，但是学说不能忽视，其对法源的影响非常重要，学
说可能会直接变成法律。

第四节 国际经济法的产生与发展 （了解）

Section 4 Emergence and Development of International Economic Law

4.1 the 17th century

17 世纪——资本主义产生的时代
工厂开始出现，贸易往来开始，这个时候主要是意思自治、契约自由，国家不进行干预，
法源表现主要是平等主体的私法性法律规范与商人间的商业惯例。

4.2 the 19th century

19 世纪——垄断资本主义产生的时代
因为经济危机原因，国家开始干预经济，不再是完全的自治，而是公法性、管理性法律
开始出现，由于资本过剩，进行资本输出，各国开始对外扩张，建立海外殖民地，因为冲突，
所以开始产生一些国际条约，是国家经济法产生的重要时段

4.3 WarII
第二次世界大战——重要发展时期
因为二战导致许多国家需要恢复，所以出现三个重要的国际经济组织，因此国际经济法
取得重要进展。同时，随着殖民地国家取得独立主权，纷纷制定国内涉外的经济立法，此外
还制定了各种各样的区域性经贸协定，这些都变成了国际经济法的重要组成部分

4.4 1995
1995 年世界贸易组织成立，其法律制度不断丰富国际经济法的内容
注意：各国各人对国家经济法具体产生的时间不一致

我国国际经济法的几大学派：
1、武汉大学：姚梅镇，成立国际经济法研究会（已故）
2、厦门大学：陈安，成立国际经济法研究会
3、半路杀出北京：沈四宝，成立在中国法学会成立的国际经济法研究会
SO 国家经济法有两个研究会，即两个学派：陈安与沈四宝
现在沈四宝改名为：国际经济贸易法研究会

第五节 国际经济法的基本原则 Section 5 Basic Principles of International Economic Law

*国际经济法基本原则的概念：国际经济法的基本原则是指那些获得国际社会成员的公
认，对国际经济法各个领域均具有普遍意义，并构成国际经济法基础的法律原则。（名词解
释）（公认➕ 普遍意义）
1、其对制定其他法律具有指导意义
2、其具有补充作用，当其他没有规定时的查缺补漏
注意：这些原则并没有体现在法律条文中，而是体现的学者的研究，表述可能不同，但
是内容基本一致。

5.1 Principle of Economic Sovereign 国家经济主权原则

一、产生的背景：
来自于国际公法中的国家主权原则，国际主权原则包括国家经济主权，但是之所以单独
强调了国家经济主权原则，是因为二战后为摆脱殖民统治的国家为了政治独立做出许多妥协，
在一些有关经济上的事务签订协定放弃或者暂时放弃，将经济让步出去，但是后来发现只有
政治独立，没有经济独立是不行的，于是这些获得政治独立的国家联合起来成立 77 国集团，
促使联合国大会通过一系列决议将自然资源财富等归还给这些国家，比如 1952 年《关于自
由开发自然财富和自然资源的权利的决议》、1962 年《关于自然资源永久主权宣言》、1974
年《各国经济权利和义务宪章》（重点记忆这些决议）等，让这些国家重新获得经济主权。
二、内容：
1、 对其 享有
自然资源是国家存在于发展的基础，是国家于民族赖以生存的物质基础。不论什么原因，
都是永久主权。
2、国家有权对其 的 以及 的活动进行 和 。
国家对其境内的一切经济活动享有充分的永久主权。因为跨国公司、外国投资等很容易
破坏境内的政治，民主选举等等。
3、国家有权将 收归 或 。
这是国家经济主权的重要组成部分。征收目的只能是为了公共利益，并且给予适当的
补偿。

5.2 Principle of Equity and Mutual Benefit 公平互利原则

一、产生背景：
来自于国际公法中的平等互利原则，原来直接拿来用（equality），但是最后改名为公
平互利原则（equity），因为在贸易中表面上的平等可能达不到互利，所以变成了“公平”，
即表面上似乎不平等，但是它是互利的。这个原则在 WTO 中贯彻最为明显，比如发展中国
家具有很多优惠，对发达国家似乎不平等，但是是公平的，是互利的。
二、内容：
1、“公平”：一般可以理解为“公正平等”“公平合理”。真正意义上的公平，不仅
要求在形式上的平等，而且要求实现实质上的平等。
2、“互利”：是指要照顾到有关各方的利益，不能为谋求单方利益而无视甚至损害他
方利益。
3、关系：公平互利和而合为一个原则，是一个统一体，其中互利是核心和基础，没有
互利就谈不上公平，公平必然要求互利，公平和互利密不可分，否则就会造成对这一原则的
曲解。
三、实践：WTO/多边贸易体制的贸易规则（P39）

5.3 Principle of International Cooperation 国际合作以谋发展原则

（国际合作原则/全球合作原则/全球合作以谋发展原则）
一、产生背景：
全球充斥各种矛盾（南南矛盾：发展中国家之间； 南北矛盾：发达与发展中； 北北矛
盾：发达国家之间； 东西矛盾：意思形态问题），导致许多国家不想合作，亟须通过合作
解决矛盾。世界发展极为不平衡，最不发达国家逐渐增加，各国要多进行合作，强调南北合
作、南南合作（南海禁渔期问题），促进共同发展，联系在一起，比如：污水排放问题（国
际标准）。
二、内容：
1、发达国家与发展中国家合作（南北合作）
2、发展中国家之间合作（南南合作）
3、全球合作中私营部门的参与

5.4 Pacta sunt servanda (Agreements of the Parties must be observed) 有约必守原则
一、产生背景
最先来源于罗马法中的契约必须遵守，后来是源于国际公法中的条约必须遵守，所以该
原则的“约”既是契约（合同）又是条约。
二、内容：
1、就契约/合同而言，生效后彼此遵守
2、就国家间签订的条约而言，签订后彼此遵守
3、两个注意/例外：不用遵守的情形
（1）签订的契约（合同）/条约要为有效，无效的契约（合同）/条约可以不遵守。
注意：合同的成立与生效是分开的！必须满足合同的有效要件（主体、内容、意思表示）；
其次，也必须按照《维也纳条约法公约》判断条约是否有效。
（2）当发生情势变迁时，可以不遵守契约（合同）和条约。
注意：情势变更的条件：
第一、须有情势变更之事实。
第二、情势变更须发生在合同成立以后，履行终止之前。
第三、情势变更须是当事人所不能预见的，且有不可预见之性质。
第四、因情势变更而使原合同的履行显失公平。
 第二章 国际贸易法

Chapter 2 International Trade Law

*Structure 结构

·Private Laws
1、Sale of goods
2、Transportation
3、Insurance
4、Payment
私法性的是任意性法律规范，可以自主选择
·Public Laws
1、Domestic law
2、International Law
公法性的是强行性法律规范，体现一种国家的管理

第一节 总体简介（了解）
Section 1 General Introduction
1.1 Concept and Scope 概念与范围
一、概念：调整国际贸易关系的法律规范的总称（名词解释）
二、范围：
国际贸易关系：（有广义与狭义）这里是指国际货物贸易关系，以及与国际货物贸易
有关的运输、保险和支付关系。
注意：既包括平等主体间的（合同），也包括纵向的贸易关系（管理）。

1.2 Sources of International Trade Law

国际贸易法的法律渊源
1.2.1 International Convention 国际条约
（1）UN Convention onContracts for the International Sale of Goods
联合国国际货物买卖合同公约
（2）WTO Rules 世界贸易组织规则
1.2.2 International Commercial Customs 国际商业惯例
主要讲 incotorms 贸易术语
1.2.3 Domestic Laws 国内立法
比如：中华人民共和国外贸法、中华人民共和国反倾销法、中华人民共和国海关法等

第二节 国际货物买卖合同
Section 2 Contract of International Sale of goods
2.1 Parties of the Contract
当事人
判断合同是否为国际性的合同，不是看当事人的国籍，而是看当事人的营业地
——根据《联合国国际货物买卖合同公约》的规定确定当事人——当事人的营业地
比如：分公司在日本，总公司在中国，签订的即为国际货物买卖合同
2.2 Offer and Acceptance 要约与承诺
合同订立——意思表示一致
不讨论国际货物买卖合同有效与否
2.2.1 Offer
2.2.2 Acceptance
2.3 Form and Content of Contract 合同的形式与内容
2.3.1 Contract Form 合同形式
形式多样，可以是口头、书面等约定方式
2.3.2 Contract Contents 合同内容
一、合同首部（序言性条款）
包括合同名称、合同编号、签订日期及签订地点（这三个放在合同名称的正下方或者最
右侧）、合同的当事方
1、合同名称：合同的外在表现，确定具体合同类型
2、合同编号：contract number
（1）意义：方便归档、履行合同时可以提合同编号，指代明确准确知道是哪一份合同；
（2）形式：没有统一的编号标准，任意性规范，按照自己的习惯选择
3、签订日期：signature date
（1）意义：涉及合同的生效问题（当合同没有约定生效时）；涉及履行的问题（约定在订
立后多久履行；诉讼（适用新法或者旧法的依据）
（2）形式：必须具体到每年某月某日，必须具体在某日（sign on）
3、签订地点：signature place
（1）意义：涉及法律适用问题，可能作为法官判断连接点问题（最密切联系原则）
4、合同当事人：the seller and the buyer
（1）意义：由不同的名称，判断合同的类型
（2）形式：双方当事人必须写自己的法定名称，不能缩写；同时包括当事人的地址 address
（没有约定时的交付地点）、当事人的联系方式（电话、传真、电子邮箱）
二、合同的正文
Shipment clause、Insurance Cluse、Payment Clause、
Inspection Clause、Force Majeure、Arbitration Clause

Form of Contract of International Sale of Goods

（材料题：会给合同内容，进行比较计价方法、不可抗力条款注意的问题等等）
1. Name， Specifications and Quality of Commodity：商品名称、规格、质量
* 需要注意是否提供过样品，如果提供过样品，则应该与样品保持一致；
如果没有样品，则要对商品进行详尽地规定。

2. Quantity：数量条款，可能是数量、面积、重量、长度等
＿＿＿% more or less allowed
（溢短装：允许一定范围内的货损或者货多：一般在 5%左右，一定要有这个条款）
* 注意：单位的统一（各国的单位是不一样的，避免纷争）；

3. Unit Price：单价
4. Total Amount：总价
3.和 4.计价条款（价格条款）
* 注意：
（1）与 13.的支付条款区分，计价的时候可以用任何货币计价（美元、日元、人民币等），
但是支付的时候可以选择与计价不同的货币；
（2）可以在计价时签订保值条款，避免货币的跌涨（SDR：特别提款权）

5. Terms of Delivery FOB/CFR/CIF 贸易术语＿＿ 交付条款，具有多种交付方式

6. Country of Origin and Manufacturers：原产国以及生产商

*注意：原产国：
（1）任何货物都要通关，涉及关税，有的国家间有贸易协定，可以免税
（2）货物检验标准也不同
生产商：代表产品的质量

7. Packing：包装
The packing of the goods shall be preventive from dampness， rust， moisture， erosion
and shock， and shall be suitable for ocean transportation/ multiple transportation. The
Seller shall be liable for any damage and loss of the goods attributable to the inadequate
or improper packing. The measurement，gross weight，net weight and the cautions such
as “Do not stack up side down”， “Keep away from moisture”，“Handle with care” shall be
stenciled on the surface of each package with fadeless pigment.
* 注意：双方当事人协商包装的条件，根据货物本身的条件进行约定

8. Shipping Marks：装运标记：双方当事人约定
9. Time of Shipment：装运时间
10. Port of Loading：装运港
11. Port of Destination：目的港
8、9、10、11 均为运输条款，上面是海上运输条款，适用海商法
* 注意：
（1）自由贸易港法：主要是指货物贸易和服务贸易，没有提及技术贸易；
并且自由贸易港法中的运输往来自由便利：货物运输（洋浦港）；航权开放（航空运输，9
大航权———cautious 自由贸易港的开放不是对等的，不是为了承担双边或多边的条约义务，
而是主动开放，先行先试，体现开放）
（2）国际经济法中的贸易多为海上运输，且多通过提单运输完成；也有租船运输，分为航
次租船、定期租船等。
（3）提单：
A.提单可以转让、具有较强的证明效力（证明合同关系）
B.提单也有种类：已装船提单和收货待运提单；不记名提单、记名提单和指示提单；清洁提
单和不清洁提单（外包装破损）
（4）我国的情况：
我国的海上运输没有加入汉堡规则、维斯比规则、海牙规则；
海商法：调整货物运输（包括旅客运输）以及调整船舶

12. Insurance：海上货物运输保险
Insurance shall be covered by the ________ for 110% of the invoice value against
_______ Risks and __________ Additional Risks.发票价值的百分之 110 进行。
* 注意：海上货物运输保险与保险是特别法与普通法之间的关系，保险种类很多，分为以下
两种：社会保险（给劳动者的保障，属于劳动法）与商业保险
& 商业保险：
（1）理顺保险关系：
A、当事人：投保人（交保险费的人，与保险公司订立保险合同的人）、
保险人（only 是保险公司，不能是自然人）；
B、关系人：被保险人（受到保险合同保障的人，保险事故发生在其身体与财产上）、
受益人（财产保险中没有受益人，只有人身保险中才有受益人）；
* 注意：投保人与被保险人可以是一个人，也可以是不同人；受益人和投保人可以是同一个
人，但是受益人与被保险人不能是同一个人
C、辅助人：代理人（是保险公司的代理人）、
经纪人（只能是投保人与被保险人的经纪人）
* 注意：保险标的的价值与保险金额之间的关系：保险金额 X 保险费率=保险费用，与保险
标的无关，但是，影响赔偿，即足额保险足额赔偿；不足额保险按比例赔偿，且是按市场价
格，而不是发票价格
（2）现在保监会对保险公司的合同内容实行备案制，而不是像以前垄断性的唯一的人民银
行制定的，无竞争，但是现在竞争激烈（比如增加保险期间，但是保险费一样）
（3）注意保险公司是分业经营的！因为人身保险与财产保险的性质不同，不得兼业经营；
后来经营人身保险业务的不得经营财产保险，但是经营财产保险的可以经营短期的人身保险
（比如人身意外伤害险）
（4）货物运输保险的特殊性：货物运输保险的保险标的一直是运动状态，所以货物运输保
险合同中只要航程开始，就不能再解除保险合同。货物运输保险合同非固定，由当事人约定
或者是航程开始，一般都是仓至仓原则，但是现在由于竞争，多为仓至仓➕ 30 天。
（某年某月某日至某年某月某日的规定不同，有的国家是 0 时至 0 时；我国是 24 时到 24
时）

13. Terms of Payment：支付条款

（1）Letter of Credit（信用证付款）： The Buyer shall， ______ days prior to the time
of shipment /after this Contract comes into effect， open an irrevocable Letter of Credit in
favor of the Seller. The Letter of Credit shall expire ____ days after the completion of
loading of the shipment as stipulated.
（2） Documents against payment： After shipment， the Seller shall draw a sight bill of
exchange on the Buyer and deliver the documents through Sellers bank and ______ Bank
to the Buyer against payment，i.e D/P. The Buyer shall effect the payment immediately
upon the first presentation of the bill（s） of exchange.（托收中的付款交单）
（3） Documents against Acceptance： After shipment， the Seller shall draw a sight bill
of exchange， payable_____ days after the Buyers delivers the document through Sellers，
ank and _________Bank to the Buyer against acceptance （D/A___ days）。 The Buyer
shall make the payment on date of the bill of exchange.（托收中的承兑交单）
（2）和（3）是托收
（4）Cash（现金支付：少见；一般在支付样品的货款、货物的尾款有可能会用现金） on
delivery （COD）： The Buyer shall pay to the Seller total amount within ______ days after
the receipt of the goods （This clause is not applied to the Terms of FOB， CFR， CIF）。
（四选一进行支付）
1、用什么支付（支付工具）：
现金、票据等，票据分为汇票、支票和本票，一般运用汇票支付。
2、怎么支付（支付手段）：信用证和托收。
A、托收：涉及买方和卖方，合同签订完成，卖方要采取行动，拿到一系列的单据（证）：
发票、原产地证书、质量、数量证明、提单等卖方需要提供的，之后将一系列单据交给卖方
所在地的银行，委托银行替卖方收款。卖方银行拿到单据后将一系列单据转给买方所在地的
银行（两个银行之间有业务往来），买方所在地的银行通知买方进行付款，买方拿到提单后
进行提货，卖方给的见票即付的，则是付款交单，如果是远期汇票，承兑即交单的，是承兑
交单。银行能否收到钱，取决于买方的信用，银行不承担责任，银行只收取一定的服务费。
托收对卖方的风险很大。
B、信用证付款：涉及买方和卖方，合同签订完成，买方采取行动，买方到其所在地的银
行开一个信用证，信用证的受益人为卖方，看出信用证的银行被称为“开证行”，信用证开
完了，就会把信用证转给卖方所在地的银行，卖方所在地的银行收到后回通知卖方，该银行
称为“通知行”，卖方就可以按照合同约定，拿到一系列单据，然后卖方将这些单据交给卖
方所在地银行，一看到这些单据，银行就要立马付款，该银行称为“议付行”，“议付行”
与“通知行”可以是一家的，也可以不是一家。注意银行具有义务，银行要对单据进行核对，
单单一致，单证一致，只是进行形式审、表明审，不审单证的真假。“议付行”把钱给卖方
后，把一系列单证给“开证行”，“开证行”进行审查，是否一致，然后给“议付行”付款，
付款后“开证行”找买方，将一系列单据给买方，买方进行审查后付款给“开证行”。如果
发生了欺诈、诈骗，当事人找银行是没有用的，要找法院开一个止付令，再让银行停止付款。

14. Documents Required：单据、票据

The Seller shall present the following documents required to the bank for
negotiation/collection：
（1）Full set of clean on board Ocean/Combined Transportation/Land Bills of Lading and
blank endorsed marked freight prepaid/ to collect；一整套的完整的清洁的已装船的提单，
且空白背书（为了保证买方是第一手），运费预付
（2）Signed commercial invoice in ______copies indicating Contract No.， L/C
No. （Terms of L/C） and shipping marks；商业发票/合同号
（3）Packing list/weight memo in ______ copies issued by＿＿；装运单、重量备忘录
（4）Certificate of Quality in _______ copies issued by＿＿＿＿；质量证明
（5）Certificate of Quantity in ___ copies issued by＿＿＿＿；数量证明
（6）Insurance policy/certificate in ___ copies （Terms of CIF）；保险凭证
（7）Certificate of Origin in ___ copies issued by＿＿＿＿；原产地证明
（8）The Seller shall， within ____ hours after shipment effected， send by courier each
copy of the above-mentioned documents No. ＿＿。

15. Terms of Shipment：装运条款

（1） FOB
The Seller shall， 30 days before the shipment date specified in the Contract， advise the
Buyer by _______ of the Contract No.， commodity， quantity， amount， packages，
gross weight ， measurement ， and the date of shipment in order that the Buyer can
charter a vessel/book shipping space. In the event of the Seller‘s failure to effect loading
when the vessel arrives duly at the loading port ， all expenses including dead
freight and/or demurrage charges thus incurred shall be for the Seller’s account.
（2） CIF or CFR
The Seller shall ship the goods duly within the shipping duration from the port of loading to
the port of destination. Under CFR terms ， the Seller shall advise the Buyer by
_________ of the Contract No.， commodity， invoice value and the date of dispatch two
days before the shipment for the Buyer to arrange insurance in time.

16. Shipping Advice：装船通知

The Seller shall， immediately upon the completion of the loading of the goods， advise
the Buyer of the Contract No.， names of commodity， loading quantity， invoice values，
gross weight， name of vessel and shipment date by_________ within________hours.

17. Quality Guarantee：质量担保

The Seller shall guarantee that the commodity must be in conformity with the quatity ，
specifications and quantity specified in this Contract and Letter of Quality Guarantee. The
guarantee period shall be______months after the arrival of the goods at the port of
destination， and during the period the Seller shall be responsible for the damage due to
the defects in designing and manufacturing of the manufacturer.

18. Inspection（choose one of the followings）：检验条款

（1）The Seller shall have the goods inspected by ______ days before the shipment and
have the Inspection Certificate issued by____. The Buyer may have the goods
reinspected by ________ after the goods，rrival at the destination.双方可以约定装运前多
少天或在哪里检验，以及可以再次检验
（2） The manufacturers shall， before delivery， make a precise and comprehensive
inspection of the goods with regard to its quality ， specifications ， performance and
quantity/weight ， and issue inspection certificates certifying the technical data and
conclusion of the inspection. After arrival of the goods at the port of destination ，
the Buyer shall apply to China Commodity Inspection Bureau （hereinafter referred to as
CCIB） for a further inspection as to the specifications and quantity/weight of the goods. If
damages of the goods are found ， or the specifications and/or quantity are not in
conformity with the stipulations in this Contract， except when the responsibilities lies with
Insurance Company or Shipping Company ， the Buyer shall ， within _____ days
after arrival of the goods at the port of destination， claim against the Seller， or reject the
goods according to the inspection certificate issued by CCIB. In case of damage of the
goods incurred due to the design or manufacture defects and/or in case the quality and
performance are not in conformity with the Contract ， the Buyer shall ， during the
guarantee period， request CCIB to make a survey.

19. Claim：索赔
The buyer shall make a claim against the Seller （including replacement of the goods） by
the further inspection certificate and all the expenses incurred therefrom shall be borne by
the Seller. The claims mentioned above shall be regarded as being accepted if the Seller
fail to reply within ______days after the Seller received the Buyer‘s claim.

20. Late delivery and Penalty：迟延交付与罚款

Should the Seller fail to make delivery on time as stipulated in the Contract ， with the
exception of Force Majeure causes specified in Clause 21 of this Contract， the Buyer
shall agree to postpone the delivery on the condition that the Seller agree to pay a penalty
which shall be deducted by the paying bank from the payment under negotiation. The rate
of penalty is charged at______% for every ______ days ， odd days less than
_____days should be counted as ______ days. But the penalty ， however ， shall
not exceed_______% of the total value of the goods involved in the delayed delivery. In
case the Seller fail to make delivery ______ days later than the time of shipment
stipulated in the Contract， the Buyer shall have the right to cancel the Contract and the
Seller， in spite of the cancellation， shall nevertheless pay the aforesaid penalty to the
Buyer without delay. The buyer shall have the right to lodge a claim against the Seller
for the losses sustained if any.

21. Force Majeure：不可抗力条款，任何合同都有

The Seller shall not be responsible for the delay of shipment or non-delivery of the goods
due to Force Majeure， which might occur during the process of manufacturing or in the
course of loading or transit. The Seller shall advise the Buyer immediately of the
occurrence mentioned above and within_____ days thereafter the Seller shall send a
notice by courier to the Buyer for their acceptance of a certificate of the accident issued by
the local chamber of commerce under whose jurisdiction the accident occurs as evidence
thereof. Under such circumstances the Seller， however， are still under the obligation to
take all necessary measures to hasten the delivery of the goods. In case the accident
lasts for more than _____ days the Buyer shall have the right to cancel the Contract.
（1）每个国家对不可抗力的规定不同，所以必须要列举出来！
（2）发生不可抗力的一方可以主张免责，但是仍然要承担一定的义务：
1、必须立刻通知
2、要在一定期间内发出证明（由当地商会开具不可抗力的证明）必须要采取所有必要
的措施，促进尽快交货，万一不可抗力导致很久不能交货，则可以解除合同。

22. Dispute Settlement （Arbitration）：争端解决条款（仲裁）

Any dispute arising from or in connection with the Contract shall be settled through
friendly negotiation. In case no settlement is reached， the dispute shall be submitted to
China International Economic and Trade Arbitration Commission （CIETAC），Shenzhen
Commission， for arbitration in accordance with its rules in effect at the time of applying
for arbitration. The arbitral award is final and binding upon both parties.
* 注意：仲裁条款的有效性！仲裁条款要包括提交仲裁的事项、仲裁机构、仲裁地点等。
* 注意：几乎所有仲裁机构都要求选择本仲裁机构的仲裁程序规则等，但是有些仲裁机构可
以允许选择其他的仲裁规则。
* 注意：当事人双方不能选择实体法，而是选择程序法，实体法由仲裁庭自由裁量。

23. Notices：通知
All notice shall be written in _____ and served to both parties by fax/courier according to
the following addresses. If any changes of the addresses occur， one party shall inform
the other party of the change of address within ____days after the change.
24.The terms FOB 、 CFR 、 CIF in the Contract are based on INCOTERMS 2000 of
the International Chamber of Commerce.合同中的术语 FOB、CFR、CIF 是根据国际商
会的 2000 年国际贸易术语解释通则。

25. Additional clause：附加条款

Conflicts between Contract clause hereabove and this additional clause， if any， it is
subject to this additional clause.

26.Effectiveness and Miscellaneous 合同的生效及其他

This Contract is executed in two counterparts each in Chinese and English ， each of
which shall deemed equally authentic. This Contract is in ______ copies， effective since
being signed/sealed by both parties.
* 注意：Miscellaneous 的意思为“其他”，这个词在合同中常见，且一般与“合同的生效”
在一起，合同的生效由当事人决定

三、合同的尾部
Quality and Specification Clause
签字盖章（不同国家盖章与否不一定）
Representative of the Buyer（Authorized signature）：___________________

Representative of the Seller（Authorized signature）：____________________

授权代表签字，我国还要求盖章

seal（盖章）
 第三节 国际贸易术语
Section 3 Incoterms 2020
3.1 Background 背景
3.2 General introduction 概述
3.3 FOB CIF CFR 三个重要的贸易术语

Incoterms 2010 [案例、多项选择]

Incoterms®(缩写） – International Commercial Terms 国际贸易术语
The Incoterms®（圈 R 意思是被注册了商标）rules are an internationally recognized
standard and are used worldwide in international and domestic contracts for the sale of
goods.
（贸易术语是一种被国际公认的标准并在世界范围内的国际和国内的货物买卖合同中
广泛使用的）
First published in 1936, Incoterms® rules provide internationally accepted definitions
and rules of interpretation for most common commercial terms.
（国际贸易术语的规则提供了一种可以被国际接受的定义以及可以接受的解释规则）
The rules have been developed and maintained by experts and practitioners brought
together by ICC（国际商会 international chamber of commerce）and have become the
standard in international business rules setting. Launched in mid-September
2010, Incoterms® 2010 came into effect on 1 January 2011.
They help traders avoid costly misunderstandings by clarifying the tasks, costs and
risks involved in the delivery of goods from sellers to buyers.
（贸易术语帮助贸易商消除一些误解/避免产生歧义，澄清在卖方向买方交货的过程中
的责任、费用以及风险）
Incoterms® rules are recognized by UNCITRAL （ 联 合 国 国 际 贸 易 委 员 会
commissioninternational trade law） as the global standard for the interpretation of the
most common terms in foreign trade.
（国际贸易术语被联合国的国际贸易法委员会认可，作为全球对普遍规则的翻译）

Please note that all contracts made under INCOTERMS® 2000 remain valid even
after 2011. Moreover, although we recommend using Incoterms® 2010 after 2011, parties
to a contract for the sale of goods can agree to choose any version of the Incoterms rules
after 2011. It is important however to clearly specify the chosen version INCOTERMS®
2010, INCOTERMS® 2000 or any earlier version.
（1）在 2010 年以前的贸易术语有 13 个，且排序由卖方责任从小到大排序，分为 EFCD
四种：EXW；FCA、FAS、FOB；CPT、CIP、CFR、CIF；DAF、DES、DEQ、DDU、
DDP。
（2）在 2010 年后按照运输方式划分，一种适用所有运输方式，一种是适用水上运输（海
上/内河等），数量由 13 个变成 11 个，即减四个加两个，把 DAF、DES、DEQ、DDU 删
掉，增加了 DAT 运输终端交货 、DAP 运输目的地交货（这两个适用于任何运输方式）；
所以 2010 年顺序为：EXW；FCA、FAS、FOB；CPT、CIP、CFR、CIF；DDP、DAT、
DAP。
（3）2020 年后，将 DAT 去掉，DAP 上移，将 DUP（delivered at place at loaded 目的地
卸货交货）增加到 DAP 下面，一共有 11 个。
所以 2020 年后顺序为：EXW；FCA、FAS、FOB；CPT、CIP、CFR、CIF；DDP、DAP、
DUP。

The Incoterms® rules have become an essential part of the daily language of trade.
They have been incorporated in contracts for the sale of goods worldwide and provide
rules and guidance to importers, exporters, lawyers, transporters, insurers and students of
international trade.
Below are short descriptions of the 11 rules from the Incoterms® 2010 edition. These
should be read in the context of the full official text of the rules These extracts can be
reproduced provided that the source is cited and a link to the ICC Business Bookstore is
mentioned.

RULES FOR ANY MODE OR MODES OF TRANSPORT（适用于所有运输方式）

 EXW Ex Works（工厂交货）
“Ex Works” means that the seller delivers when it places the goods at the disposal of the
buyer at the seller’s premises or at another named place (i.e.,works, factory, warehouse,
etc.). The seller does not need to load the goods on any collecting vehicle, nor does it
need to clear the goods for export, where such clearance is applicable.
即在卖方的工厂交货，卖方的义务减小。
卖方在工厂或者指定地点，即卖方所在地，将货物交由买方处分即可，卖方并不负责将
货物装到运输工具上，也不需要对货物进行清关等海关事项。——所以货物是最便宜的。
* 注意：买方应该对卖方所在地的法律很熟悉，怎么出关、怎么清关、港口等都要了解

 FCA Free Carrier（货交承运人）

“Free Carrier” means that the seller delivers the goods to the carrier or another person
nominated by the buyer at the seller’s premises or another named place. The parties are
well advised to specify as clearly as possible the point within the named place of delivery,
as the risk passes to the buyer at that point.
货交承运人：可以是专门承运人，也可以是买方指定的承运人，但是这个承运人一定是
是在卖方所在地。交货的地点是双方明确指定的地点。货物的风险在约定的地点交给指定的
人时，风险转移。

 CPT Carriage Paid To（运费付至）

“Carriage Paid To” means that the seller delivers the goods to the carrier or another
person nominated by the seller at an agreed place (if any such place is agreed between
parties) and that the seller must contract for and pay the costs of carriage necessary to
bring the goods to the named place of destination.
卖方指定一个承运人在双方确定地点并且卖方付运费。

 CIP Carriage And Insurance Paid To（运费和保险费付至）

“Carriage and Insurance Paid to” means that the seller delivers the goods to the carrier or
another person nominated by the seller at an agreed place (if any such place is agreed
between parties) and that the seller must contract for an pay the costs of carriage
necessary to bring the goods to the named place of destination.
‘The seller also contracts for insurance cover against the buyer’s risk of loss of or damage
to the goods during the carriage. The buyer should note that under CIP the seller is
required to obtain insurance only on minimum cover. Should the buyer wish to have more
insurance protection, it will need either to agree as much expressly with the seller or to
make its own extra insurance arrangements.”
卖方购买最低险别的保险并支付运费。
* 注意：2020 年的修改，CIP 无约定卖方应投保“一切险减除外责任”（最高险）；CIF
无约定卖方应该投保“平安险”（最低险）。

 DAT Delivered At Termina 2020 年已经删除了

“Delivered at Terminal” means that the seller delivers when the goods, once unloaded
from the arriving means of transport, are placed at the disposal of the buyer at a named
terminal at the named port or place of destination. “Terminal” includes a place, whether
covered or not, such as a quay, warehouse, container yard or road, rail or air cargo
terminal. The seller bears all risks involved in bringing the goods to and unloading them at
the terminal at the named port or place of destination.

 DAP Delivered At Place 目的地交货

“Delivered at Place” means that the seller delivers when the goods are placed at the
disposal of the buyer on the arriving means of transport ready for unloading at the named
place of destination. The seller bears all risks involved in bringing the goods to the named
place.
目的地交货是在买方所在地，已经将货物运到了买方所在地，只是不卸货。
* 注意：2020 年将 DAP 改为“DUP”，即不仅要运到目的地，还要卸货，且强调了目的地
可以是任何地方，而不仅是“运输终端”的现实，卖方必须确保其打算交货货物的地点是能
够卸货的地点。

 DDP Delivered Duty Paid （完税后交货）

“Delivered Duty Paid” means that the seller delivers the goods when the goods are placed
at the disposal of the buyer, cleared for import on the arriving means of transport ready for
unloading at the named place of destination. The seller bears all the costs and risks
involved in bringing the goods to the place of destination and has an obligation to clear the
goods not only for export but also for import, to pay any duty for both export and import
and to carry out all customs formalities.
买方啥都不做，卖方什么都做了，已经清关了。

RULES FOR SEA AND INLAND WATERWAY TRANSPORT（适用于水上运输）

 FAS Free Alongside Ship（船边交货）
“Free Alongside Ship” means that the seller delivers when the goods are placed alongside
the vessel (e.g., on a quay or a barge) nominated by the buyer at the named port of
shipment. The risk of loss of or damage to the goods passes when the goods are
alongside the ship, and the buyer bears all costs from that moment onwards.
在装运港由买方所指定的船边交货，风险在货到船边就转移了，买方承担所有费用运输
到目的地。
  FOB Free On Board（船上交货）
“Free On Board” means that the seller delivers the goods on board the vessel nominated
by the buyer at the named port of shipment or procures the goods already so delivered.
The risk of loss of or damage to the goods passes when the goods are on board the
vessel, and the buyer bears all costs from that moment onwards.
1、运输方式：仅适用于水上运输。
2、FOB 后面接的地点/港口：应该是装运港，FOB Haikou。（从海口出发）
3、风险转移的界限：货物的风险从装运港的船上由卖方转移到买方。
4、通知的义务：卖方有义务将货物装运到买方指定的船上，So 当买方定好船后应当
通知卖方船的名字、船的港口等信息通知卖方；货物的风险到船上就转移到买方了，所以货
物一到船上，卖方就应当通知买方货物已装船，便于买方去购买保险。（考点）

 CFR Cost and Freight（成本费加运费）

“Cost and Freight” means that the seller delivers the goods on board the vessel or
procures the goods already so delivered. The risk of loss of or damage to the goods
passes when the goods are on board the vessel. the seller must contract for and pay the
costs and freight necessary to bring the goods to the named port of destination.
1、运输方式：水上运输
2、CFR 后面接的港口：应该是目的地港，CFR Haikou。（货物到达海口）
3、风险转移的界限：与 FOB 相同，风险是在装运港船上发生风险转移的
4、通知的义务：因为卖方租船付运费，所以不需要 FOB 一样的通知；但是需要货物
上船通知，即货物装到船上时，卖方通知买方。

 CIF Cost, Insurance and Freight（成本费加保险费加运费）

“Cost, Insurance and Freight” means that the seller delivers the goods on board the
vessel or procures the goods already so delivered. The risk of loss of or damage to the
goods passes when the goods are on board the vessel. The seller must contract for and
pay the costs and freight necessary to bring the goods to the named port of destination.

‘The seller also contracts for insurance cover against the buyer’s risk of loss of or damage
to the goods during the carriage. The buyer should note that under CIF the seller is
required to obtain insurance only on minimum cover. Should the buyer wish to have more
insurance protection, it will need either to agree as much expressly with the seller or to
make its own extra insurance arrangements.”
卖方承担：成本费➕ 运费➕ 保险费（最低险别）如果要额外增加附加险则需要买方自己再
买保险
1、运输方式：水上运输
2、CIF 后面接的港口：应该是目的地港口
3、风险转移界限：在装运港的船上转移风险
4、通知的义务：因为卖方购买最低险别的保险“平安险”，所以便于买方购买附加险，
卖方在货物装到船上时，应当要通知买方。

*特殊事项：
（1）贸易术语与海关关系： FOB（船上交货）与 CIF（运费＋保险费＋成本费）还可以充
当海关估价的基础（从价征税）
* FOB 通常会被出口国海关作为征税的基础（离岸价）
* CIF 通常会被进口国海关征税的基础（到岸价）
（2）FOB 与 CIF 两者的转化适用：
CIF-运费-保险=FOB
FOB+运费+保险=CIF
（3）价格相似的贸易术语：
—FCA（货交承运人）与 FOB（船上交货）两者的价格构成相似
—CPT（运费付至）与 CFR（成本费加运费）两者的价格构成相似
—CPT（运费付至）与 CIF（成本费加保险费价加运费）两者的价格构成相似
（4）doot to door （门到门）——DDP 使用的日益广泛

* 注意：1、在国际货物运输中使用最频繁：FOB（考试多）、EXW、CIF
2、修改的地方、新增加的、FOB、CIF、CFR 需要特别关注（考试）
3、贸易术语是一种惯例，所以并不意味着有新的修改，旧的就不能适用了，而
是取决于双方合同之间的约定。在使用贸易术语时，可以用 2000 年的、2010 年的、2020
年的贸易术语。
4、在 1990 年前 CFR 是 C&F，在 1990 年之后就统一为 CFR
5、我国国内的贸易很少运用贸易术语，但是实际上国内也可以用贸易术语，因
为它是被国内与国外公认的惯例。
第四节 [CISG] 《联合国国际货物买卖合同公约》
Section 4 UN Convention on Contracts for the International Sale of Goods
4.1 Sphere of Application 适用范围

PART I
Sphere of Application and General Provisions
公约的适用范围（重要）

Chapter I
Sphere of Application
Article 1（多项选择）
(1) This Convention applies to contracts of sale of goods between parties whose places of
business are in different States:
(a) when the States are Contracting States; or
(b) when the rules of private international law （国际私法规则）lead to the application of the law of
a Contracting State.
(2) The fact that the parties have their places of business in different States is to be disregarded
whenever this fact does not appear either from the contract or from any dealings between, or from
information disclosed by, the parties at any time before or at the conclusion of the contract.
(3) Neither the nationality of the parties nor the civil or commercial character of the parties or of the
contract is to be taken into consideration in determining the application of this Convention.
 （“国际私法规则”即冲突规范，不包括统一实体规范）～～～该条扩大公约适用范围，非缔约
国也适用；我国做出保留———我国在国际货物销售合同中不承认反致的体现

第一条
（1）本公约适用于营业地在不同国家的当事人之间所订立的货物销售合同：
（a）如果这些国家是缔约国；
（b）如果国际私法规则导致适用某一缔约国的法律。
（2）当事人营业地在不同国家的事实，如果从合同或从订立合同前任何时候或订立合同时，当事人之间的任何
交易或当事人透露的情报均看不出，应不予考虑。
（3）在确定本公约的适用时，当事人的国籍和当事人或合同的民事或商业性质，应不予考虑。

Article 2（多项选择）
4.2 Formation of Contract 合同的订立
This Convention does not apply to sales: （标的）
4.3 Obligations of Seller and Buyer 买卖双方的义务
(a) of goods bought for personal, family or household use, unless the seller, at any time before or
4.4 Remedial Measures for Breach ofContract 违约补救措施
at the conclusion of the contract, neither knew nor ought to have known that the goods were
4.5 Passing of Risk 风险转移
bought for any such use;
(b) by auction;
(c) on execution or otherwise by authority of law;
(d) of stocks, shares, investment securities, negotiable instruments or money;
(e) of ships, vessels, hovercraft or aircraft;
(f) of electricity.
第二条（标的）
本公约不适用于以下的销售：
（a）购供私人、家人或家庭使用的货物的销售，除非卖方在订立合同前任何时候或订立合同时不知道而且
没有理由知道这些货物是购供任何这种使用；
（b）经由拍卖的销售；
（c）根据法律执行令状或其它令状的销售；
（d）公债、股票、投资证券、流通票据或货币的销售；
（e）船舶、船只、气垫船或飞机的销售；
（f）电力的销售。

Article 3
(1) Contracts for the supply of goods to be manufactured or produced are to be considered
sales （尚待生产/将来生产的货物可以适用）unless the party who orders the goods
undertakes to supply a substantial part of the materials necessary for such manufacture or
production. （生产货物的实质性部分由买方提供的排出适用）
(2) This Convention does not apply to contracts in which the preponderant part of the
obligations of the party who furnishes the goods consists in the supply of labour or other
services. （不能适用于提供货物的一方只要是提供服务/劳务；“三来一补”：买方提供所有东
西，卖方只提供劳务/服务进行加工，即卖的不是产品本身，而是劳务/服务行为）

第三条
（1）供应尚待制造或生产的货物的合同应视为销售合同，除非订购货物的当事人保证供应这种制造或生产
所需的大部分重要材料。
（2）本公约不适用于供应货物一方的绝大部分义务在于供应劳力或其它服务的合同。

Article 4
This Convention governs only the formation of the contract of sale（合同的订立）and the rights
and obligations of the seller and the buyer（买卖方的权利义务） arising from such a contract.
In particular, except as otherwise expressly provided in this Convention, it is not concerned
with: （除了明文规定，公约不涉及的两个问题）
(a) the validity of the contract or of any of its provisions or of any usage;
（合同的有效性/合同条款/任何习惯的有效性）
(b) the effect which the contract may have on the property in the goods sold.
（对所售货物所有权可能产生的影响）
• 因为这两个问题在国家之间的规定均不一致，所以很难达成一致，故在公约中不进行规定。

第四条
本公约只适用于销售合同的订立和卖方和买方因此种合同而产生的权利和义务。特别是，本公约除非另有
明文规定，与以下事项无关：
（a）合同的效力，或其任何条款的效力，或任何惯例的效力；
（b）合同对所售货物所有权可能产生的影响。
 Article 5
This Convention does not apply to the liability of the seller for death or personal injury
caused by the goods to any person.
（合同不适用于卖方对于货物对任何人所造成的死亡或伤害的责任——即不适用产品责任）

第五条
本公约不适用于卖方对于货物对任何人所造成的死亡或伤害的责任。

Article 6
The parties may exclude the application of this Convention or, subject to article 12,
derogate from or vary the effect of any of its provisions.
该公约是任意性的，可以保留，可以选择，可以排出公约的适用。
我国适用该公约比较广。

第六条
双方当事人可以不适用本公约，或在第十二条的条件下，减损本公约的任何规定或改变其效
力。

4.2 Formation of Contract 合同的订立

PART II
Formation of the Contract（合同的订立）
Article 14
(1) A proposal for concluding a contract addressed to one or more specific persons constitutes an
offer（要约） if it is sufficiently definite and indicates the intention of the offeror to be bound in case
of acceptance. A proposal is sufficiently definite if it indicates the goods and expressly or implicitly
fixes or makes provision for determining the quantity and the price.
(2) A proposal other than one addressed to one or more specific persons is to be considered merely
as an invitation to make offers, unless the contrary is clearly indicated by the person making the
proposal.

第十四条
（1）向一个或一个以上特定的人提出的订立合同的建议，如果十分确定并且表明发盘人在得到接受时承受约束
的意旨，即构成发盘。一个建议如果写明货物并且明示或暗示地规定数量和价格或规定如何确定数量和价格，即
为十分确定。
（2）非向一个或一个以上特定的人提出的建议，仅应视为邀请做出发盘，除非提出建议的人明确地表示相反的
意向。

Article 15
(1) An offer becomes effective when it reaches the offeree.
(2) An offer, even if it is irrevocable, may be withdrawn（要约的撤回） if the withdrawal reaches the
offeree before or at the same time as the offer.

第十五条
（1）发盘于送达被发盘人时生效。
（2）一项发盘，即使是不可撤销的，得予撤回，如果撤回通知于发盘送达被发价人之前或同时，送达被发盘人。

Article 16
(1) Until a contract is concluded an offer may be revoked if the revocation （要约的撤销）reaches the
offeree before he 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.

第十六条
（1）在未订立合同之前，发盘得予撤销，如果撤销通知于被发盘人发出接受通知之前送达被发盘人。
（2）但在下列情况下，发盘不得撤销：
（a）发盘写明接受发盘的期限或以其它方式表示发盘是不可撤销的；
（b）被发盘人有理由信赖该项发盘是不可撤销的，而且被发盘人已本着对该项发盘的信赖行事。

Article 17
An offer, even if it is irrevocable, is terminated when a rejection reaches the offeror.

第十七条
一项发盘，即使是不可撤销的，于拒绝通知送达发盘人时终止。

Article 18
(1) A statement made by or other conduct of the offeree indicating assent to an offer is an acceptance
（承诺）. Silence or inactivity does not in itself amount to acceptance.
(2) An acceptance of an offer becomes effective at the moment the indication of assent reaches the
offeror. An acceptance is not effective if the indication of assent does not reach the offeror within the
time he has fixed or, if no time is fixed, within a reasonable time, due account being taken of the
circumstances of the transaction, including the rapidity of the means of communication employed by
the offeror. An oral offer must be accepted immediately unless the circumstances indicate otherwise.
(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, such as one
relating to the dispatch of the goods or payment of the price, without notice to the offeror, the
acceptance is effective at the moment the act is performed, provided that the act is performed within
the period of time laid down in the preceding paragraph.
第十八条
（1）被发盘人声明或做出其它行为表示同意一项发盘，即是接受，缄默或不行动本身不等于接受。
（2）接受发盘于表示同意的通知送达发盘人时生效。如果表示同意的通知在发价人所规定的时间内，如未规定
时间，在一段合理的时间内，未曾送达发盘人，接受就成为无效，但须适当地考虑到交易的情况，包括发盘人所
使用的通讯方法的迅速程序。对口头发盘必须立即接受，但情况有别者不在此限。
（3）但是，如果根据该项发盘或依照当事人之间确立的习惯作法和惯例，被发价人可以做出某种行为，例如与
发运货物或支付价款有关的行为，来表示同意，而无须向发盘人发出通知，则接受于该项行为做出时生效，但该
项行为必须在上一款所规定的期间内做出。

Article 19
(1) A reply to an offer which purports to be an acceptance but contains additions, limitations or other
modifications is a rejection of the offer and constitutes a counter-offer（反要约）.
(2) However, a reply to an offer which purports to be an acceptance but contains additional or
different terms which do not materially alter the terms of the offer constitutes an acceptance, unless
the offeror, without undue delay, objects orally to the discrepancy or dispatches a notice to that
effect. If he does not so object, the terms of the contract are the terms of the offer with the
modifications contained in the acceptance.
(3) Additional or different terms relating, among other things, to the price, payment, quality and
quantity of the goods, place and time of delivery, extent of one party's liability to the other or the
settlement of disputes are considered to alter the terms of the offer materially.

第十九条
（1）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。
（2）但是，对发盘表示接受但载有添加或不同条件的答复，如所载的添加或不同条件在实质上并不变更该项发
盘的条件，除发盘人在不过分迟延的期间内以口头或书面通知反对其间的差异外，仍构成接受。如果发盘人不做
出这种反对，合同的条件就以该项发盘的条件以及接受通知内所载的更改为准。
（3）有关货物价格、付款、货物质量和数量、交货地点和时间、一方当事人对另一方当事人的赔偿责任范围或
解决争端等等的添加或不同条件，均视为在实质上变更发盘的条件。

Article 20
(1) A period of time for acceptance fixed by the offeror in a telegram or a letter begins to run from
the moment the telegram is handed in for dispatch or from the date shown on the letter or, if no such
date is shown, from the date shown on the envelope. A period of time for acceptance fixed by the
offeror by telephone, telex or other means of instantaneous communication, begins to run from the
moment that the offer reaches the offeree.
(2) Official holidays or non-business days occurring during the period for acceptance are included in
calculating the period. However, if a notice of acceptance cannot be delivered at the address of the
offeror on the last day of the period because that day falls on an official holiday or a non-business
day at the place of business of the offeror, the period is extended until the first business day which
follows.
第二十条
（1）发盘人在电报或信件内规定的接受期间，从电报交发时刻或信上载明的发信日期起算，如信上未载明发信日
期，则从信封上所载日期起算。发盘人以电话、电传或其它快速通讯方法规定的接受期间，从发盘送达被发盘人时
起算。
（2）在计算接受期间时，接受期间内的正式假日或非营业日应计算在内。但是，如果接受通知在接受期间的最后
1 天未能送到发盘人地址，因为那天在发盘人营业地是正式假日或非营业日，则接受期间应顺延至下一个营业日。

Article 21
(1) A late acceptance is nevertheless effective as an acceptance if without delay the offeror orally so
informs the offeree or dispatches a notice to that effect.
(2) If a letter or other writing 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 delay, the offeror orally informs the
offeree that he considers his offer as having lapsed or dispatches a notice to that effect.

第二十一条
（1）逾期接受仍有接受的效力，如果发盘人毫不迟延地用口头或书面将此种意见通知被发盘人。
（2）如果载有逾期接受的信件或其它书面文件表明，它是在传递正常、能及时送达发盘人的情况下寄发的，则该
项逾期接受具有接受的效力，除非发盘人毫不迟延地用口头或书面通知被发盘人：他认为他的发盘已经失效。

Article 22
An acceptance may be withdrawn （承诺的撤回）if the withdrawal reaches the offeror before or at
the same time as the acceptance would have become effective.

第二十二条
接受得予撤回，如果撤回通知于接受原应生效之前或同时，送达发盘人。

Article 23
A contract is concluded at the moment when an acceptance of an offer becomes effective in
accordance with the provisions of this Convention.

第二十三条
合同于按照本公约规定对发盘的接受生效时订立。

Article 24
For the purposes of this Part of the Convention, an offer, declaration of acceptance or any other
indication of intention "reaches" the addressee when it is made orally to him or delivered by any other
means to him personally, to his place of business or mailing address or, if he does not have a place of
business or mailing address, to his habitual residence.

第二十四条
为公约本部分的目的，发盘、接受声明或任何其它意旨表示“送达”对方，系指用口头通知对方或通过任何其它方
法送交对方本人，或其营业地或通讯地址，如无营业地或通讯地址，则送交对方惯常居住地。
 4.3 Obligations of Seller and Buyer 买卖双方的义务

Chapter II
Obligations of the Seller
（卖方的义务）
Article 30
The seller must deliver the goods, hand over any documents relating to them and transfer the
property in the goods, as required by the contract and this Convention.

第三十条
卖方必须按照合同和本公约的规定，交付货物，移交一切与货物有关的单据并转移货物所有权。

Section I. Delivery of the goods and handing over of documents

交货并交单（时间、地点）
Article 31（place）
If the seller is not bound to（只有在合同没有约定时，才按公约进行处理） deliver the goods at any
other particular place, his obligation to deliver consists:
(a) if the contract of sale involves carriage of the goods - in handing the goods over to the first
carrier for transmission to the buyer;
（如果销售合同涉及货物运输——货交第一承运人）
(b) if, in cases not within the preceding subparagraph, the contract related to specific goods, or
unidentified goods to be drawn from a specific stock or to be manufactured or produced, and at the
time of the conclusion of the contract the parties knew that the goods were at, or were to be
manufactured or produced at, a particular place - in placing the goods at the buyer's disposal at
that place;
（如果没有 a 的情形，即不涉及货物运输，该合同如果是特定货物 OR 在订立合同时知道或应当知
道货物储存/生产在特定的地点时——该特定地点就是交货地点）
(c) in other cases - in placing the goods at the buyer's disposal at the place where the seller had
his place of business at the time of the conclusion of the contract.
（其他情况——订立合同时卖方的营业地作为交换地点）

第三十一条
如果卖方没有义务要在任何其它特定地点交付货物，他的交货义务如下：
（a）如果销售合同涉及到货物的运输，卖方应把货物移交给第一承运人，以运交给买方；
（b）在不属于上款规定的情况下，如果合同指的是特定货物或从特定存货中提取的或尚待制造或生产的未经特
定化的货物，而双方当事人在订立合同时已知道这些货物是在某一特定地点，或将在某一特定地点制造或生产，
卖方应在该地点把货物交给买方处置；
（c）在其它情况下，卖方应在他于订立合同时的营业地把货物交给买方处置。

Article 32
(1) If the seller, in accordance with the contract or this Convention, hands the goods over to a
carrier and if the goods are not clearly identified to the contract by markings on the goods, by
shipping documents or otherwise, the seller must give the buyer notice of the consignment
specifying the goods.
(2) If the seller is bound to arrange for carriage of the goods, he must make such contracts as are
necessary for carriage to the place fixed by means of transportation appropriate in the
circumstances and according to the usual terms for such transportation.
(3) If the seller is not bound to effect insurance in respect of the carriage of the goods, he must, at
the buyer's request, provide him with all available information necessary to enable him to effect
such insurance.

第三十二条
（1）如果卖方按照合同或本公约的规定将货物交付给承运人，但货物没有以货物上加标记、或以装运单据或其
它方式清楚地注明有关合同，卖方必须向买方发出列明货物的发货通知。
（2）如果卖方有义务安排货物的运输，他必须订立必要的合同，以按照通常运输条件，用适合情况的运输工具，
把货物运到指定地点。
（3）如果卖方没有义务对货物的运输办理保险，他必须在买方提出要求时，向买方提供一切现有的必要资料，
使他能够办理这种保险。

Article 33（time）
The seller must deliver the goods:
(a) if a date is fixed by or determinable from the contract, on that date;
（如果日期在合同中是固定的或者可以推定/确定出的——则为该日期）
(b) if a period of time is fixed by or determinable from the contract, at any time within that period
unless circumstances indicate that the buyer is to choose a date; or
（如果在合同中规定了一段时间的——则在这段时间任何一个时间交货就行，除非买方已经表明交
货时间的除外）
(c) in any other case, within a reasonable time after the conclusion of the contract.
（其他情形——在合理期间内交货）

第三十三条
卖方必须按以下规定的日期交付货物：
（a）如果合同规定有日期，或从合同可以确定日期，应在该日期交货；
（b）如果合同规定有一段时间，或从合同可以确定一段时间，除非情况表明应由买方选定一个日期外，应在该
段时间内任何时候交货；
（c）在其它情况下，应在订立合同后一段合理时间内交货。

Article 34
If the seller is bound to hand over documents relating to the goods, he must hand them over at the
time and place and in the form required by the contract. If the seller has handed over documents
before that time, he may, up to that time, cure any lack of conformity in the documents, if the
exercise of this right does not cause the buyer unreasonable inconvenience or unreasonable
expense. However, the buyer retains any right to claim damages as provided for in this
Convention.

第三十四条
如果卖方有义务移交与货物有关的单据，他必须按照合同所规定的时间、地点和方式移交这些单据。如果卖方
在那个时间以前已移交这些单据，他可以在那个时间到达前纠正单据中任何不符合同规定的情形，但是，此一
权利的行使不得使买方遭受不合理的不便或承担不合理的开支。同时，买方保留本公约所规定的要求损害赔偿
的任何权利。

Section II. Conformity of the goods and third party claims

货物相符与第三方的要求
Article 35
(1) The seller must deliver goods which are of the quantity, quality and description required by the
contract and which are contained or packaged in the manner required by the contract.
（货物相符：数量、质量、规格➕装箱/包装）
(2) Except where the parties have agreed otherwise, the goods do not conform with the contract
unless they:
(a) are fit for the purposes for which goods of the same description would ordinarily be used;
(b) are fit for any particular purpose expressly or impliedly made known to the seller at the time of
the conclusion of the contract, except where the circumstances show that the buyer did not rely, or
that it was unreasonable for him to rely, on the seller's skill and judgement;
(c) possess the qualities of goods which the seller has held out to the buyer as a sample or model;
(d) are contained or packaged in the manner usual for such goods or, where there is no such
manner, in a manner adequate to preserve and protect the goods.
(3) The seller is not liable under subparagraphs (a) to (d) of the preceding paragraph for any lack
of conformity of the goods if at the time of the conclusion of the contract the buyer knew or could
not have been unaware of such lack of conformity.

第三十五条
（1）卖方交付的货物必须与合同所规定的数量、质量和规格相符，并须按照合同所规定的方式装箱或包装。
（2）除双方当事人业已另有协议外，货物除非符合以下规定，否则即为与合同不符：
（a）货物适用于同一规格货物通常使用的目的；
（b）货物适用于订立合同时曾明示或默示地通知卖方的任何特定目的，除非情况表明买方并不依赖卖方的技能
和判断力，或者这种依赖对他是不合理的；
（c）货物的质量与卖方向买方提供的货物样品或样式相同；
（d）货物按照同类货物通用的方式装箱或包装，如果没有此种通用方式，则按照足以保全和保护货物的方式装
箱或包装。
（3）如果买方在订立合同时知道或者不可能不知道货物不符合同，卖方就无须按上一款（a）项至（d）项负有
此种不符合同的责任。

Article 36
(1) The seller is liable in accordance with the contract and this Convention for any lack of
conformity which exists at the time when the risk passes to the buyer, even though the lack of
conformity becomes apparent only after that time.
(2) The seller is also liable for any lack of conformity which occurs after the time indicated in the
preceding paragraph and which is due to a breach of any of his obligations, including a breach of
any guarantee that for a period of time the goods will remain fit for their ordinary purpose or for
some particular purpose or will retain specified qualities or characteristics.

第三十六条
（1）卖方应按照合同和本公约的规定，对风险移转到买方时所存在的任何不符合同情形，负有责任，即使这种
不符合同情形在该时间后方始明显。
（2）卖方对在上一款所述时间后发生的任何不符合同情形，也应负有责任，如果这种不符合同情形是由于卖方
违反他的某项义务所致，包括违反关于在一段时间内货物将继续适用于其通常使用的目的或某种特定目的，或
将保持某种特定质量或性质的任何保证。

Article 37
If the seller has delivered goods before the date for delivery, he may, up to that date, deliver any
missing part or make up any deficiency in the quantity of the goods delivered, or deliver goods in
replacement of any non-conforming goods delivered or remedy any lack of conformity in the goods
delivered, provided that the exercise of this right does not cause the buyer unreasonable
inconvenience or unreasonable expense. However, the buyer retains any right to claim damages
as provided for in this Convention.

第三十七条
如果卖方在交货日期前交付货物，他可以在那个日期到达前，交付任何缺漏部分或补足所交付货物的不足数量，
或交付用以替换所交付不符合同规定的货物，或对所交付货物中任何不符合同规定的情形做出补救，但是，此
一权利的行使不得使买方遭受不合理的不便或承担不合理的开支。但是，买方保留本公约所规定的要求损害赔
偿的任何权利。

Article 38（examine）
(1) The buyer must examine the goods, or cause them to be examined, within as short a period as
is practicable in the circumstances.
（买方自己检验或让他人检验货物）
(2) If the contract involves carriage of the goods, examination may be deferred until after the goods
have arrived at their destination.
(3) If the goods are redirected in transit or redispatched by the buyer without a reasonable
opportunity for examination by him and at the time of the conclusion of the contract the seller knew
or ought to have known of the possibility of such redirection or redispatch, examination may be
deferred until after the goods have arrived at the new destination.

第三十八条
（1）买方必须在按情况实际可行的最短时间内检验货物或由他人检验货物。
（2）如果合同涉及到货物的运输，检验可推迟到货物到达目的地后进行。
（3）如果货物在运输途中改运或买方须再发运货物，没有合理机会加以检验，而卖方在订立合同时已知道或理
应知道这种改运或再发运的可能性，检验可推迟到货物到达新目的地后进行。

Article 39
(1) The buyer loses the right to rely on a lack of conformity of the goods if he does not give notice
to the seller specifying the nature of the lack of conformity within a reasonable time after he has
discovered it or ought to have discovered it.
（买方丧失声称货物不符合同的权利——在合理时间内未通知卖方）
(2) In any event, the buyer loses the right to rely on a lack of conformity of the goods if he does not
give the seller notice thereof at the latest within a period of two years from the date on which the
goods were actually handed over to the buyer, unless this time-limit is inconsistent with a
contractual period of guarantee.

第三十九条
（1）买方对货物不符合同，必须在发现或理应发现不符情形后一段合理时间内通知卖方，说明不符合同情形的
性质，否则就丧失声称货物不符合同的权利。
（2）无论如何，如果买方不在实际收到货物之日起两年内将货物不符合同情形通知卖方，他就丧失声称货物不
符合同的权利，除非这一时限与合同规定的保证期限不符。

Article 40
The seller is not entitled to rely on the provisions of articles 38 and 39 if the lack of conformity
relates to facts of which he knew or could not have been unaware and which he did not disclose to
the buyer.

第四十条
如果货物不符合同规定指的是卖方已知道或不可能不知道而又没有告知买方的一些事实，则卖方无权援引第三
十八条和第三十九条的规定。

Article 41
The seller must deliver goods which are free from any right or claim of a third party, unless the
buyer agreed to take the goods subject to that right or claim. However, if such right or claim is
based on industrial property or other intellectual property, the seller's obligation is governed by
article 42.
（卖方交付的货物应当是不存在第三方权利或者要求的货物，除非买方同意，比如：抵押；注意：
这里不包括知识产权与工业产权）

第四十一条
卖方所交付的货物，必须是第三方不能提出任何权利或要求的货物，除非买方同意在这种权利或要求的条件下，
收取货物。但是，如果这种权利或要求是以工业产权或其它知识产权为基础的，卖方的义务应依照第四十二条
的规定。
 Article 42 工业产权与知识产权
(1) The seller must deliver goods which are free from any right or claim of a third party based on
industrial property （工业产权：专利权、商标权、地理标志） or other intellectual property （知
识产权：开发的概念，包括工业产权与著作权）of which at the time of the conclusion of the contract
the seller knew or could not have been unaware, provided that the right or claim is based on
industrial property or other intellectual property:
（所交付的货物不能基于工业产权/知识产权产生的第三人的权利与要求，但以卖方订立合同时已知
道或者不可能不知道为限）
卖方知识产权担保责任
(a) under the law of the State where the goods will be resold or otherwise used, if it was
contemplated by the parties at the time of the conclusion of the contract that the goods would be
resold or otherwise used in that State; or
（如果双方当事人在订立合同时预期货物将在某一国境内转售或其他使用，则根据货物将在其境内
转售或做其他使用的国家的法律——要确保在第三国也不侵犯知识产权）
(b) in any other case, under the law of the State where the buyer has his place of business.
（不存在转售情况下，确保在买方营业地所在国的法律下不侵权）
(2) The obligation of the seller under the preceding paragraph does not extend to cases where:
（在以下情况下，卖方的义务不适用）
(a) at the time of the conclusion of the contract the buyer knew or could not have been unaware of
the right or claim; or
（买方在订立合同时知道或不可能不知道侵权下，卖方免责）
(b) the right or claim results from the seller's compliance with technical drawings, designs,
formulae or other such specifications furnished by the buyer.
（卖方的侵权是由于买方提供的技术图纸、生产方案等要求，卖方则免责）

第四十二条
（1）卖方所交付的货物，必须是第三方不能根据工业产权或其它知识产权主张任何权利或要求的货物，但以卖
方在订立合同时已知道或不可能不知道的权利或要求为限，而且这种权利或要求根据以下国家的法律规定是以
工业产权或其它知识产权为基础的：
（a）如果双方当事人在订立合同时预期货物将在某一国境内转售或做其它使用，则根据货物将在其境内转售
或做其它使用的国家的法律；
（b）在任何其它情况下，根据买方营业地所在国家的法律。
（2）卖方在上一款中的义务不适用于以下情况：
（a）买方在订立合同时已知道或不可能不知道此项权利或要求；
（b）此项权利或要求的发生，是由于卖方要遵照买方所提供的技术图样、图案、程式或其它规格。

Article 43
(1) The buyer loses the right to rely on the provisions of article 41 or Article 42 if he does not give
notice to the seller specifying the nature of the right or claim of the third party within a reasonable
time after he has become aware or ought to have become aware of the right or claim.
(2) The seller is not entitled to rely on the provisions of the preceding paragraph if he knew of the
right or claim of the third party and the nature of it.

第四十三条
（1）买方如果不在已知道或理应知道第三方的权利或要求后一段合理时间内，将此一权利或要求的性质通知
卖方，就丧失援引第四十一条或第四十二条规定的权利。
（2）卖方如果知道第三方的权利或要求以及此一权利或要求的性质，就无权援引上一款的规定。

Article 44
Notwithstanding the provisions of paragraph (1) of article 39 and paragraph
(1) of article 43, the buyer may reduce the price in accordance with Article 50 or claim damages,
except for loss of profit, if he has a reasonable excuse for his failure to give the required notice.

第四十四条
尽管有第三十九条第（1）款和第四十三条第（1）款的规定，买方如果对他未发出所需的通知具备合理的理
由，仍可按照第五十条规定减低价格，或要求利润损失以外的损害赔偿。

卖方义务：交货➕担保

Chapter III
Obligations of the Buyer
买方的义务
Article 53
The buyer must pay the price for the goods and take delivery of them as required by the contract and
this Convention.

第五十三条
买方必须按照合同和本公约规定支付货物价款和收取货物。

Section I. Payment of the price

付款
Article 54
The buyer's obligation to pay the price includes taking such steps and complying with such
formalities as may be required under the contract or any laws and regulations to enable payment to
be made.
（付款的义务包括：采取一定步骤、手续使得能够进行付款）

第五十四条
买方支付价款的义务包括根据合同或任何有关法律和规章规定的步骤和手续，以便支付价款。
 Article 55
Where a contract has been validly concluded but does not expressly or implicitly fix or make
provision for determining the price, the parties are considered, in the absence of any indication to
the contrary, to have impliedly made reference to the price generally charged at the time of the
conclusion of the contract for such goods sold under comparable circumstances in the trade
concerned.

第五十五条
如果合同已有效的订立，但没有明示或暗示地规定价格或规定如何确定价格，在没有任何相反表示的情况下，
双方当事人应视为已默示地引用订立合同时此种货物在有关贸易的类似情况下销售的通常价格。

Article 56
If the price is fixed according to the weight of the goods, in case of doubt it is to be determined by
the net weight.

第五十六条
如果价格是按货物的重量规定的，如有疑问，应按净重确定。

Article 57
(1) If the buyer is not bound to pay the price at any other particular place, he must pay it to the
seller: （没有约定付款地点时，在以下地点）
(a) at the seller's place of business; or
（卖方营业地）
(b) if the payment is to be made against the handing over of the goods or of documents, at the
place where the handing over takes place.
（如果付款以交货/交单为条件——则在移交货物或单据的地点）
(2) The seller must bear any increases in the expenses incidental to payment which is caused by a
change in his place of business subsequent to the conclusion of the contract.

第五十七条
（1）如果买方没有义务在任何其它特定地点支付价款，他必须在以下地点向卖方支付价款：
（a）卖方的营业地；或者
（b）如凭移交货物或单据支付价款，则为移交货物或单据的地点。
（2）卖方必须承担因其营业地在订立合同后发生变动而增加的支付方面的有关费用。

Article 58（time）
(1) If the buyer is not bound to pay the price at any other specific time, he must pay it when the
seller places either the goods or documents controlling their disposition at the buyer's disposal in
accordance with the contract and this Convention. The seller may make such payment a condition
for handing over the goods or documents.
（如果买方没有义务在任何其他特定时间内支付货款，卖方将货物/控制货物所有权的文件交由买方
时，买方就应当付款；卖方可以将付款作为交货与交单的前提）
(2) If the contract involves carriage of the goods, the seller may dispatch the goods on terms
whereby the goods, or documents controlling their disposition, will not be handed over to the buyer
except against payment of the price.
(3) The buyer is not bound to pay the price until he has had an opportunity to examine the goods,
unless the procedures for delivery or payment agreed upon by the parties are inconsistent with his
having such an opportunity.

第五十八条
（1）如果买方没有义务在任何其它特定时间内支付价款，他必须于卖方按照合同和本公约规定将货物或控制
货物处置权的单据交给买方处置时支付价款。卖方可以支付价款作为移交货物或单据的条件。
（2）如果合同涉及到货物的运输，卖方可以在支付价款后方可把货物或控制货物处置权的单据移交给买方作
为发运货物的条件。
（3）买方在未有机会检验货物前，无义务支付价款，除非这种机会与双方当事人议定的交货或支付程序相抵
触。

Article 59
The buyer must pay the price on the date fixed by or determinable from the contract and this
Convention without the need for any request or compliance with any formality on the part of the
seller.

第五十九条
买方必须按合同和本公约规定的日期或从合同和本公约可以确定的日期支付价款，而无需卖方提出任何要求
或办理任何手续。

Section II. Taking delivery

收取货物
Article 60
The buyer's obligation to take delivery consists:
(a) in doing all the acts which could reasonably be expected of him in order to enable the seller to
make delivery; and
(b) in taking over the goods.
（一定要收取货物，采取一切措施，不论货物是否有问题，都必须拿货）

第六十条
买方收取货物的义务如下：
采取一切理应采取的行动，以期卖方能交付货物；和接收货物。
4.4 Remedial Measures for Breach ofContract 违约补救措施

Section III. Remedies for breach of contract by the seller

卖方违约救济
选择题
Article 45
(1) If the seller fails to perform any of his obligations under the contract or this Convention, the
buyer may: （卖方违约，买方可以做：4 种方式）
(a) exercise the rights provided in articles 46 to 52;
(b) claim damages as provided in（被规定） articles 74 to 77. （索赔）
(2) The buyer is not deprived of any right he may have to claim damages by exercising his right
to other remedies.
(3) No period of grace may be granted to the seller by a court or arbitral tribunal when the buyer
resorts to a remedy for breach of contract.

第四十五条
（1）如果卖方不履行他在合同和本公约中的任何义务，买方可以：
（a）行使第四十六条至第五十二条所规定的权利；
（b）按照第七十四条至第七十七条的规定，要求损害赔偿。
（2）买方可能享有的要求损害赔偿的任何权利，不因他行使采取其它补救办法的权利而丧失。
（3）如果买方对违反合同采取某种补救办法，法院或仲裁庭不得给予卖方宽限期。

Article 46
(1) The buyer may require performance by the seller of his obligations（要求卖方继续履行他
的义务） unless the buyer has resorted to a remedy which is inconsistent with this requirement.
（除非买方寻求了其他的救济使得与该救济相矛盾- - -即主张合同无效）
(2) If the goods do not conform with the contract, the buyer may require delivery of substitute
goods only if the lack of conformity constitutes a fundamental breach of contract and a request
for substitute goods is made either in conjunction with notice given under article 39 or within a
reasonable time thereafter.
(3) If the goods do not conform with the contract, the buyer may require the seller to remedy the
lack of conformity by repair, unless this is unreasonable having regard to all the circumstances. A
request for repair must be made either in conjunction with notice given under article 39 or within
a reasonable time thereafter.

第四十六条
（1）买方可以要求卖方履行义务，除非买方已采取与此一要求相抵触的某种补救办法。
（2）如果货物不符合同，买方只有在此种不符合同情形构成根本违反合同时，才可以要求交付替代货物，
而且关于替代货物的要求，必须与依照第三十九条发出的通知同时提出，或者在该项通知发出后一段合理时
间内提出。
（3）如果货物不符合同，买方可以要求卖方通过修理对不符合同之处做出补救，除非他考虑了所有情况之
后，认为这样做是不合理的。修理的要求必须与依照第三十九条发出的通知同时提出，或者在该项通知发出
后一段合理时间内提出。
 Article 47
(1) The buyer may fix an additional period of time of reasonable length for performance by the
seller of his obligations. （要求继续履行的话，要给卖方一个额外的合理的履行期间）
(2) Unless the buyer has received notice from the seller that he will not
perform within the period so fixed, the buyer may not, during that period, resort to any remedy for
breach of contract. However, the buyer is not deprived thereby of any right he may have to claim
damages for delay in performance.

第四十七条
（1）买方可以规定一段合理时限的额外时间，让卖方履行其义务。
（2）除非买方收到卖方的通知，声称他将不在所规定的时间内履行义务，买方在这段时间内不得对违反合
同采取任何补救办法。但是，买方并不因此丧失他对迟延履行义务可能享有的要求损害赔偿的任何权利。

Article 48
(1) Subject to article 49, the seller may, even after the date for delivery, remedy at his own
expense any failure to perform his obligations, if he can do so without unreasonable delay and
without causing the buyer unreasonable inconvenience or uncertainty of reimbursement by the
seller of expenses advanced by the buyer. However, the buyer retains any right to claim
damages as provided for in this Convention.
(2) If the seller requests the buyer to make known whether he will accept performance and the
buyer does not comply with the request within a reasonable time, the seller may perform within
the time indicated in his request. The buyer may not, during that period of time, resort to any
remedy which is inconsistent with performance by the seller.
(3) A notice by the seller that he will perform within a specified period of time is assumed to
include a request, under the preceding paragraph, that the buyer make known his decision.
(4) A request or notice by the seller under paragraph (2) or (3) of this Article is not effective
unless received by the buyer.

第四十八条
（1）在第四十九条的条件下，卖方即使在交货日期之后，仍可自付费用，对任何不履行义务做出补救，但
这种补救不得造成不合理的迟延，也不得使买方遭受不合理的不便，或无法确定卖方是否将偿付买方预付的
费用。但是，买方保留本公约所规定的要求损害赔偿的任何权利。
（2）如果卖方要求买方表明他是否接受卖方履行义务，而买方不在一段合理时间内对此一要求做出答复，
则卖方可以按其要求中所指明的时间履行义务。买方不得在该段时间内采取与卖方履行义务相抵触的任何补
救办法。
（3）卖方表明他将在某一特定时间内履行义务的通知，应视为包括根据上一款规定要买方表明决定的要求
在内。
（4）卖方按照本条第（2）和第（3）款做出的要求或通知，必须在买方收到后，始生效力。

Article 49
(1) The buyer may declare the contract avoided: （宣告合同无效：两种情况）并非 anytime
都可以
(a) if the failure by the seller to perform any of his obligations under the contract or this
Convention amounts to a fundamental breach of contract; or （根本违约—合同所期待的利益无
法实现）
(b) in case of non-delivery, if the seller does not deliver the goods within the additional period of
time fixed by the buyer in accordance with paragraph (1) of article 47 or declares that he will not
deliver within the period so fixed. （在未交货的情形下，在合理长的期间内仍然没有交货，或者
明确说明拒绝交货）
(2) However, in cases where the seller has delivered the goods, the buyer loses the right to
declare the contract avoided unless he does so:
(a) in respect of late delivery, within a reasonable time after he has become aware that delivery
has been made;
(b) in respect of any breach other than late delivery, within a reasonable time:
(i) after he knew or ought to have known of the breach;
(ii) after the expiration of any additional period of time fixed by the buyer in accordance with
paragraph (1) of article 47, or after the seller has declared that he will not perform his obligations
within such an additional period; or
(iii) after the expiration of any additional period of time indicated by the seller in accordance with
paragraph (2) of article 48, or after the buyer has declared that he will not accept performance.

第四十九条
（1）买方在以下情况下可以宣告合同无效：
（a）卖方不履行其在合同或本公约中的任何义务，等于根本违反合同；
（b）如果发生不交货的情况，卖方不在买方按照第四十七条第（1）款规定的额外时间内交付货物，或卖
方声明他将不在所规定的时间内交付货物。
（2）但是，如果卖方已交付货物，买方就丧失宣告合同无效的权利，除非：
（a）对于迟延交货，他在知道交货后一段合理时间内这样做；
（b）对于迟延交货以外的任何违反合同事情：
（一）他在已知道或理应知道这种违反合同后一段合理时间内这样做；或
（二）他在买方按照第四十七条第（1）款规定的任何额外时间满期后，或在卖方声明他将不在这一额外时
间履行义务后一段合理时间内这样做；
（三）他在卖方按照第四十八条第(2)款指明的任何额外时间满期后，或在买方声明他将不接受卖方履行义
务后一段合理时间内这样做。

Article 50
If the goods do not conform with the contract and whether or not the price has already been paid,
the buyer may reduce the price（减少价金） in the same proportion as the value that the goods
actually delivered had at the time of the delivery bears to the value that conforming goods would
have had at that time. However, if the seller remedies any failure to perform his obligations in
accordance with article 37 or article 48 or if the buyer refuses to accept performance by the seller
in accordance with those Articles, the buyer may not reduce the price. （如果货物与合同不符合，
无论是否已经付款，买方可以减少价金——以实际交货的货物价值跟符合合同约定的货物在那时
的实际价值差价减少价金）
第五十条
如果货物不符合同，不论价款是否已付，买方都可以减低价格，减价按实际交付的货物在交货时的价值与
符合合同的货物在当时的价值两者之间的比例计算。但是，如果卖方按照第三十七条或第四十八条的规定对
任何不履行义务做出补救，或者买方拒绝接受卖方按照该两条规定履行义务，则买方不得减低价格。

Article 51
(1) If the seller delivers only a part of the goods or if only a part of the goods delivered is in
conformity with the contract, articles 46 to 50 apply in respect of the part which is missing or
which does not conform.
(2) The buyer may declare the contract avoided in its entirety only if the failure to make delivery
completely or in conformity with the contract amounts to a fundamental breach of the contract.

第五十一条
（1）如果卖方只交付一部分货物，或者交付的货物中只有一部分符合合同规定，第四十六条至第五十条的
规定适用于缺漏部分及不符合同规定部分的货物。
（2）买方只有在完全不交付货物或不按照合同规定交付货物等于根本违反合同时，才可以宣告整个合同无
效。

Article 52
(1) If the seller delivers the goods before the date fixed, the buyer may take delivery or refuse to
take delivery.
(2) If the seller delivers a quantity of goods greater than that provided for in the contract, the
buyer may take delivery or refuse to take delivery of the excess quantity. If the buyer takes
delivery of all or part of the excess quantity, he must pay for it at the contract rate.

第五十二条
（1）如果卖方在规定的日期前交付货物，买方可以收取货物，也可以拒绝收取货物。
（2）如果卖方交付的货物数量大于合同规定的数量，买方可以收取也可以拒绝收取多交部分的货物。如果
买方收取多交部分货物的全部或一部分，他必须按合同价格付款。

Section III. Remedies for breach of contract by the buyer

买方违约救济
选择题
Article 61
(1) If the buyer fails to perform any of his obligations under the contract or this Convention, the
seller may: （3 种救济方式）
(a) exercise the rights provided in articles 62 to 65;
(b) claim damages as provided in articles 74 to 77. （损害赔偿）
(2) The seller is not deprived of any right he may have to claim damages by exercising his right
to other remedies.
(3) No period of grace may be granted to the buyer by a court or arbitral tribunal when the seller
resorts to a remedy for breach of contract.

第六十一条
（1）如果买方不履行他在合同和本公约中的任何义务，卖方可以：
（a）行使第六十二条至第六十五条所规定的权利；
（b）按照第七十四至第七十七条的规定，要求损害赔偿。
（2）卖方可能享有的要求损害赔偿的任何权利，不因他行使采取其它补救办法的权利而丧失。
（3）如果卖方对违反合同采取某种补救办法，法院或仲裁庭不得给予买方宽限期。

Article 62
The seller may require the buyer to pay the price, take delivery or perform his other
obligations（要求买方继续履行义务）, unless the seller has resorted to a remedy which is
inconsistent with this requirement.

第六十二条
卖方可以要求买方支付价款、收取货物或履行他的其它义务，除非卖方已采取与此一要求相抵触的某种补救
办法。

Article 63
(1) The seller may fix an additional period of time of reasonable length for performance by the
buyer of his obligations.
(2) Unless the seller has received notice from the buyer that he will not perform within the period
so fixed, the seller may not, during that period, resort to any remedy for breach of contract.
However, the seller is not deprived thereby of any right he may have to claim damages for delay
in performance.

第六十三条
（1）卖方可以规定一段合理时限的额外时间，让买方履行义务。
（2）除非卖方收到买方的通知，声称他将不在所规定的时间内履行义务，卖方不得在这段时间内对违反合
同采取任何补救办法。但是，卖方并不因此丧失他对迟延履行义务可能享有的要求损害赔偿的任何权利。

Article 64
(1) The seller may declare the contract avoided（宣告合同无效）：
(a) if the failure by the buyer to perform any of his obligations under the contract or this
Convention amounts to a fundamental breach of contract; or
(b) if the buyer does not, within the additional period of time fixed by the seller in accordance
with paragraph (1) of article 63, perform his obligation to pay the price or take delivery of the
goods, or if he declares that he will not do so within the period so fixed.
(2) However, in cases where the buyer has paid the price, the seller loses the right to declare
the contract avoided unless he does so:
(a) in respect of late performance by the buyer, before the seller has become aware that
performance has been rendered; or
(b) in respect of any breach other than late performance by the buyer, within a reasonable time:
(i) after the seller knew or ought to have known of the breach; or
(ii) after the expiration of any additional period of time fixed by
the seller in accordance with paragraph (1) or article 63, or after the buyer has declared that he
will not perform his obligations within such an additional period.

第六十四条
（1）卖方在以下情况下可以宣告合同无效：
（a）买方不履行其在合同或本公约中的任何义务，等于根本违反合同；或
（b）买方不在卖方按照第六十三条第（1）款规定的额外时间内履行支付价款的义务或收取货物，或买方声
明他将不在所规定的时间内这样做。
（2）但是，如果买方已支付价款，卖方就丧失宣告合同无效的权利，除非：
（a）对于买方迟延履行义务，他在知道买方履行义务前这样做；或者
（b）对于买方迟延履行义务以外的任何违反合同事情：
（一）他在已知道或理应知道这种违反合同后一段合理时间内这样做；或
（二）他在卖方按照第六十三条第（1）款规定的任何额外时间满期后或在买方声明他将不在这一额外时间
内履行义务后一段合理时间内这样做。

Article 65
(1) If under the contract the buyer is to specify the form, measurement or other features of the
goods and he fails to make such specification either on the date agreed upon or within a
reasonable time after receipt of a request from the seller, the seller may, without prejudice to
any other rights he may have, make the specification himself in accordance with the
requirements of the buyer that may be known to him.
(2) If the seller makes the specification himself, he must inform the buyer of the details thereof
and must fix a reasonable time within which the buyer may make a different specification. If,
after receipt of such a communication, the buyer fails to do so within the time so fixed, the
specification made by the seller is binding.

第六十五条
（1）如果买方应根据合同规定订明货物的形状、大小或其它特征，而他在议定的日期或在收到卖方的要求
后一段合理时间内没有订明这些规格，则卖方在不损害其可能享有的任何其它权利的情况下，可以依照他所
知的买方的要求，自己订明规格。
（2）如果卖方自己订明规格，他必须把订明规格的细节通知买方，而且必须规定一段合理时间，让买方可
以在该段时间内订出不同的规格。如果买方在收到这种通知后没有在该段时间内这样做，卖方所订的规格就
具有约束力。
4.5 Passing of Risk 风险转移

Chapter IV
Passing of Risk
风险转移
在公约中，它将货物所有权与货物风险转移分开，公约不涉及货物的所有权转移！！！！！
（国内法中货物所有权与货物风险一同转移，但是在国际上一般两者分离，是两回事儿）
Article 66
Loss of or damage to the goods after the risk has passed to the buyer does not discharge him
from his obligation to pay the price, unless the loss or damage is due to an act or omission of
the seller. （风险：损毁 OR 灭失；风险一旦转移买方，但是不能解除买方付款的义务；除非
该毁损或灭失是卖方原因）

第六十六条
货物在风险移转到买方承担后遗失或损坏，买方支付价款的义务并不因此解除，除非这种遗失或损坏是由
于卖方的行为或不行为所造成。

Article 67
(1) If the contract of sale involves carriage of the goods and the seller is not bound to hand
them over at a particular place, the risk passes to the buyer when the goods are handed over
to the first carrier for transmission（交给第一承运人，则风险转移） to the buyer in accordance
with the contract of sale. If the seller is bound to hand the goods over to a carrier at a
particular place, the risk does not pass to the buyer until the goods are handed over to the
carrier at that place.（特定的地点将货物交给买方即转移） The fact that the seller is authorized
to retain documents controlling the disposition of the goods does not affect the passage of the
risk. （不论是否交单证，风险均转移）
(2) Nevertheless, the risk does not pass to the buyer until the goods are clearly identified to
the contract, whether by markings on the goods, by shipping documents, by notice given to
the buyer or otherwise. （无论如何风险不转移给买方：在货物特定化之前，即买卖的货物是个
种类物，但是没有确定买方所需要的货物）

第六十七条
（1）如果销售合同涉及到货物的运输，但卖方没有义务在某一特定地点交付货物，自货物按照销售合同
交付给第一承运人以转交给买方时起，风险就移转到买方承担。如果卖方有义务在某一特定地点把货物交
付给承运人，在货物于该地点交付给承运人以前，风险不移转到买方承担。卖方受权保留控制货物处置权
的单据，并不影响风险的移转。
（2）但是，在货物以货物上加标记、或以装运单据、或向买方发出通知或其它方式清楚地注明有关合同
以前，风险不移转到买方承担。

Article 68
The risk in respect of goods sold in transit passes to the buyer from the time of the conclusion
of the contract.（运输途中货物风险转移的问题：在订立合同的时候风险就转移）However, if the
circumstances so indicate, the risk is assumed by the buyer from the time the goods were
handed over to the carrier who issued the documents embodying the contract of carriage.
Nevertheless, if at the time of the conclusion of the contract of sale the seller knew or ought to
have known that the goods had been lost or damaged and did not disclose this to the buyer,
the loss or damage is at the risk of the seller.
注意：不论公约怎么规定，国际惯例都优先适用，没有约定时由公约规定！

第六十八条
对于在运输途中销售的货物，从订立合同时起，风险就移转到买方承担。但是，如果情况表明有此需要，
从货物交付给签发载有运输合同单据的承运人时起，风险就由买方承担。尽管如此，如果卖方在订立合同
时已知道或理应知道货物已经遗失或损坏，而他又不将这一事实告之买方，则这种遗失或损坏应由卖方负
责。

Article 69
(1) In cases not within articles 67 and 68, the risk passes to the buyer when he takes over the
goods or, if he does not do so in due time, from the time when the goods are placed at his
disposal and he commits a breach of contract by failing to take delivery.
(2) However, if the buyer is bound to take over the goods at a place other than a place of
business of the seller, the risk passes when delivery is due and the buyer is aware of the fact
that the goods are placed at his disposal at that place.
(3) If the contract relates to goods not then identified, the goods are considered not to be
placed at the disposal of the buyer until they are clearly identified to the contract.

第六十九条
（1）在不属于第六十七条和第六十八条规定的情况下，从买方接收货物时起，或如果买方不在适当时间
内这样做，则从货物交给他处置但他不收取货物从而违反合同时起，风险移转到买方承担。
（2）但是，如果买方有义务在卖方营业地以外的某一地点接收货物，当交货时间已到而买方知道货物已
在该地点交给他处置时，风险方始移转。
（3）如果合同指的是当时未加识别的货物，则这些货物在未清楚注明有关合同以前，不得视为已交给买
方处置。

Article 70
If the seller has committed a fundamental breach of contract, articles 67, 68 and 69 do not
impair the remedies available to the buyer on account of the breach.

第七十条
如果卖方已根本违反合同，第六十七条、第六十八条和第六十九条的规定，不损害买方因此种违反合同而
可以采取的各种补救办法。
Section 5 WTO Rules 第五节 WTO 规则（只涉及货物贸易规则）
5.1 General Introduction to WTO WTO 的总体介绍（发展脉络）
WTO 的前身是关税贸易总协定 GATT，进行了 8 个回合谈判
1、第一回合：瑞士日内瓦谈判 1947 年 4 月-10；23 个国家
1947 年 ITO 谈判（国际贸易组织谈判），达成了 GATT
4-10 月达成了关税贸易总协定（具有临时性质，临时生效）
关税减让、关税与贸易的关系（关税贸易其实就是货物贸易）
：达成 45000 项商品的关税减让，使占资本主义国家进口值 54%的商品平均降低关税 35%
2、第二回合：法国安纳西谈判 1949 年 4 月-10 月；29 个国家
只谈关税减让，达成了 147 项双边关税减让协议，增加 5000 项商品的关税减让，使占应税
进口值 5.6％的商品平均降低关税 35％
3、第三回合：英国托奎谈判 1950 年 9 月-1951 年 4 月；32 个国家
关税减让，达成 9000 项商品的关税减让，使占应税进口值 11.7%的商品平均降低关税 26%
4、第四回合：瑞士日内瓦谈判 1956 年 1-5 月；33 个国家
关税减让，达成近 3000 项商品的关税减让，使占应税进口值 16%的商品平均降低关税 15%，
相当于 25 亿美元的贸易额
5、第五回合：瑞士日内瓦（狄龙回合） 1960 年 9 月-1961 年 7 月；39 个国家
关税减让，达成 4400 项商品的关税减让，使占应税进口值 20%的商品平均降低关税 20%，
相当于 49 亿美元的贸易额
前五个回合都是只谈关税减让
6、第六回合：瑞士日内瓦（肯尼迪回合） 1964 年 5 月-1967 年 6 月 ，74 个国家
· 谈了关税；税统一减让，涉及关税减让商品项目达 60000 项；经合组织成员间工业品平
均削减关税 35％，涉及贸易额 400 多亿美元
· 欧共体想加入关税贸易总协定可不可以——允许加入；
（所以后来 WTO 中的原始成员里有欧共体，但是其他加入成员只能是国家以及独立关税区，
不包括国际组织，属于是历史遗留问题了）
· 发展中国家问题——大量独立后加入 GATT，但是 GATT 当时没有考虑到会有这么多国家
独立，所以要求对发展中国家有所优惠待遇——So 在 GATT 中成立了“贸易与发展”；
· 第一个谈到非关税措施：即反倾销，达成了世界上第一个反倾销协议！

反倾销知识：
倾销的构成：
（1）低价销售: 成本价+适当获利的总价过低
（低价标准：A. 低于出口国的国内价格；B. 低于出口给第三国价格；）

（2）对国内同类生产企业造成损害或造成损害威胁
* 前提：其在该类产业中的所占的份额较大

如果构成倾销就会按照倾销幅度征收反倾销税，一旦对其征得较高的税，就会使得产品价格提高，
针对该反倾销的企业来讲，未来的路径：要么退出市场，要么较高价格地继续竞争
7、第七回合：瑞士日内瓦（东京回合）1973 年 9 月-1979 年 4 月；99 个国家参加
谈判的重心发生转移！
（1）也谈关税，但是重心转移到关税贸易壁垒，因为非关税措施加大：消除非关税壁垒，
以一揽子关税减让方式就影响世界贸易额约 3000 亿美元的商品达成关税减让与约束，使关
税水平下降 35%；9 个发达国家工业制成品关税降至加权平均关税降到 6％左右；达成多项
非关税壁垒协议和守则；
提到了反倾销、反补贴
反补贴：即国家对出口产品免税或减税
（3）提到了海关估价：海关估税率，要有统一标准
关税征收：完税价格*税率
关税减让：怎么降税率
（4）谈到了许可证程序、政府采购……
形成了许多单独协议，由成员方选择加入
（5）谈到了普惠制：在第七回合通过给予发展中国家优惠待遇的“授权条款”，即发达国家
可以单方面给发展中国家在关税方面的优惠待遇，不需要对等，这是发达国家的权利（多为
之前的宗主国给之前殖民地）
8、第八回合：瑞士日内瓦（乌拉圭回合） 1986 年 9 月-1993 年 12 月；117 个国家（1986
年 103 年；1993 年末 117 个；1995 年初 128 个）

前面 7 回合的都谈到了：（1）关税减让； （2）非关税壁垒； （3）总协定规章； （4）

与贸易有关的投资和知识产权问题；（5）服务贸易

达成内容广泛的协议，共 45 个；减税商品涉及贸易额高达 1.2 万亿美元；减税幅度近

40%，近 20 个产品部门实行了零关税；发达国家平均税率由 6.4%降为 4%；农产品非关税措
施全部关税化；纺织品的歧视性配额限制在 10 年内取消；服务贸易制定了自由化原则；建
立了 WTO 取代 GATT
* 三个新问题：
A 知识产权：trips 协议
B 服务贸易：gats
C 投资问题: 与贸易有关的投资协议

最后结果：
因为已经做了这么多事情，所以成立新的国际组织：WTO
以及成立 WTO 争端解决机构：DSB
为了让 WTO 法律到内国法，所以成立贸易政策审查机制

5.2 Annex 1 A 附件一 A

附件一 实体性
A 货物多变贸易协定（GATT 课程所讲）
B 服务贸易总协定 （GATS）
C 与贸易有关的知识产权协定（TRIPS）
附件二 程序性（DSU）
附件三 贸易政策评审机制
我国没有选择附件四
框架：
|---->GATT 1994
|---->A 货物多边协议-|---->12 个配套协议
|---->WTO 协定 |---->附件 1- |---->B GATS
| | |---->C TRIPS
| |
|---->多边协议---->3 个附件|---->附件 2 DSU（争端解决）
| |---->附件 3 《贸易政策评审机制》
WTO 文件体系-|
| |---->《国际民用航空器协议》
|---->诸边协议 |---->《政府采购协议》
(附件 4) |---->《信息技术产品协议》

Basic Principles and exceptions 货物贸易多边协议的基本原则

* 注意：不能说 WTO 的基本原则是什么，因为在不同协议中的含义不同、地位（是不是基本
原则）不同。
比如：最惠国待遇在服务贸易中是个具体承诺，但在货物贸易多边协议中则是基本原则。
REASON: 虽然 WTO 不能进行保留，但是 WTO 中例外很多，对不同国家进行不同适合的待遇，
找到对自己有利的点，所以签订的国家多。
（条约的保留、条约的例外、条约的任择性例外）
5.2.1 最惠国待遇原则 非常重要！！！（多选、简答、论述）必考
*Any advantage,favour,privilege or immunity granted by a member to the nationals of any oth
er country shall be accorded immediately and unconditionally to the nationals of all other me
mbers.
任何好处、优惠、特权或成员给予任何其他国家国民的豁免应立即给予和无条件地给予所有
其他成员的国民。
即：给 member 不低于给第三方的待遇，member 的受惠范围大，即有 member 自己的的，又
有第三方的优惠
（1）给惠特点：
A. 立刻地；
B. 无条件的（美国没有加入 WTO 前给中国的是有条件的最惠国待遇，即以人权为限制）；
C. 多边适用的（双边谈判，多边适用）。
（2）Exceptions: 例外
A. General Exceptions 一般例外：
如果有以下情况，可以不给予最惠国待遇 GATT:1994 第 20 条
(a)保护公共道德必须采取的措施
比如：中东地区沙特阿拉伯的伊斯兰教，不吃猪肉，进口味精时，排除可能有猪肉的味精
(b)为了保障人类、动植物生命的健康
(c)有关输出或输入黄金或白银的措施；
(d)为了保证某些与本协定的规定并无抵触的法令或条例的贯彻执行所必要的措施，包括加
强海关法令或条例，加强根据协定第 2 条第 4 款和第 17 条而实施的垄断，保护专利权、商
标及版权，以及防止欺诈行为所必要的措施
(e)有关监狱劳动产品
(f)为保护本国具有艺术、历史或考古价值的文物而采取的措施
(g)与保护可用竭的自然资源有关，并与限制国内生产或消费一同实施的措施
(h)为履行国际商品协议的义务而采取的措施
(i)为保证国内加工工业对相关原料的基本需要而采取的限制出口措施；
(j)因普遍或局部供应不足，为获得或分配产品采取的必要的措施。
(2) Security Exceptions 安全例外
1、要求任何缔约方提供为其根据国家根本安全利益认为不能公布的资料。
2、阻止任何缔约方为保护国家根本安全利益对有关下列事项采取其认为必须采取的任何行
动:
(a)裂变材料或提炼裂变材料的原料；
(b)武器、弹药和军火的贸易或直接和问接供军事机构用的其他物品或原料的贸易；
(c)在战时或国际关系中的其他紧急情况。
3、阻止任何缔约方为根据《联合国宪章》为维护国际和平与安全而采取行动。
(3) Customs Unions and Free-trade Areas 关税同盟与自由贸易区的例外
* 关税同盟：比如欧盟，欧盟给欧盟国家的，不能适用最惠国待遇
* 关税同盟与自由贸易区的区别：是否拥有独立的海关税则！！！
任何国家都有关境，关境与国境不同，我国国境大于关境，因为有独立关税区（香港澳
门）；欧盟国家等加入关税同盟，所以它们只有一个关境，关境大于国境；如果没有加入关
税同盟，也没有其他例外，则都是关境等于国境。
关税同盟，比如欧盟成员之间是零关税的，欧盟国家与其他国家的关税是一致的，只用
一个海关税则。
自由贸易区彼此之间是零关税，但是各自保留自己的海关税则。
(4) Favourable Treatment to Developing countries (general preferential
system) 对发展中国家的特殊待遇（普惠制） ：不对等
(5) Exception from Councils 来自理事会的例外

5.2.2 Principle of National Treatment 国民待遇

·Each member shall accord to the nationals of other members treatment no less favourable th
an that it accords to its own nationals with regard to economic activities and civil rights.
每一成员应给予其他成员的国民在经济活动和民事权利方面给予本国国民的待遇不亚于
给予本国国民的待遇。即可以大于等于国民待遇。
1、Exception: 例外
(1)General Exception
(2)Security Exception
这两个(1)(2)与最惠国待遇一致。
(3)subsidies 补贴
不给予国民待遇！但是注意补贴有禁止性补贴（绝对不能）、可诉性补贴、不可诉性补贴
一般根据环境有关的都有补贴，可以给本国民，但是其他国家不行。
(4)Government Procurement 政府采购协议（附件四）
可以加入也可以不加入！所以是例外。
5.2.3 Principle of Reciprocity 互惠原则
* The contracting parties recognize that customs duties often constitute serious obstacles to
trade; thus negotiations on a reciprocal and mutually advantageous basis, directed to the
substantial reduction of the general level of tariffs and other charges on imports and exports
and in particular to the reduction of such high tariffs as discourage the importation even of
minimum quantities, and conducted with due regard to the obectives of this Agreement and the
varying needs of individual contracting parties, are of great importance to the expansion of
international trade.
缔约各方认识到，关税往往构成贸易的严重障碍；因此，在互惠和互利的基础上进行谈判，
目的是大幅度减少进出口关税和其他费用的一般水平，特别是降低这类高关税的水平，以阻
止进口甚至是最低数量的进口，并适当考虑到本协定的目标和各缔约方的不同需要对扩大国
际贸易极为重要。
1、Exception: 例外
(1)Exception Clause 例外条款
(2)Needed by developing countries for protecting domestic industry and
agriculture 发展中国家需要保护国内工业和农业

5.2.4 Principle of Transparency 透明度原则

· Laws, regulations, judicial decisions and administrative rulings of general application shall
be published promptly in such a manner as to enable governments and traders to become ac
quainted with them.
法律、法规、司法决定和一般行政裁决申请须迅速发表｜公开，以使政府和贸易商要熟悉他
们。
Exceptions：
The provisions of this paragraph shall not require any contracting party to disclose confidentia
l information which would impede law enforcement or otherwise be contrary to the public inter
est or would prejudice the legitimate commercial interests of particular enterprises, public or p
rivate.
本款的规定不应要求任何缔约方披露会妨碍执法或否则会有违公众利益或会损害合法商业
利益特定的企业，无论是公营还是私营。

5.2.5 Principle of General Elimination of Quantitative Restriction

普遍消除数量限制的原则（仅仅在货物贸易多边协定中有）
*No prohibitions or restrictions other than duties, taxes or other charges, whether made effect
ive through quotas, import or export licences or other measures
shall be instituted or maintained by any contracting party on the importation of any product of t
he territory of any other contracting party or on the exportation or sale for export of any produ
ct destined for the territory of any other contracting party.
除禁止或限制外，关税、税款或其他费用，不论是通过配额、进口或出口生效任何缔约方在
进口任何其他缔约方领土上的任何产品时，或在出口或销售任何其他产品出口或销售给任何
其他国家领土缔约一方。
注意：货物通关时，统一程序，不是许可证协议，而是许可证程序协议，不需要审批，但是
要填报。
Exceptions:
(1)The provisions of Article 11 of GAT T1947 （GAT1947 第 11 条的规定）
物资匮乏，不能进口，在出口时不能分国别、分地区进行出口配额
(2)Restrictions to Safeguard the Balance of Payments 保障国际收支的限制
没有外汇的时候进口，限制进口，但是要国际货币基金组织说你不行了，WTO 要和其他组
织合作，确定是否真的不行
(3)Safeguard measures 保障措施
市场已经饱和了，不能再进口了，否则市场将混乱，采取数量限制

第三章 国际技术转让法

Chapter Three International Technology Transfer Law

· Technology Transfer
（技术转让是动态的）
1、Forms of Technology Transfer 技术转让的形式
2、Licensing Contract 许可合同
· International Protection for IP Right
（知识产权是静态确权）
1、Paris Convention 巴黎公约
2、Bernie Convention 伯尔尼公约
3、TRIPS 与贸易有关的知识产权协议
* 注意：1、2、 由世界知识产权组织管理 ；3、由 WTO 管理

第一节 国际经济法的主体 Section 1 General Introduction

1.1 Concept of International Technology Transfer Law
国际技术转让法的概念
国际技术转让法是调整国际技术关系的法律关系的总称
（1）什么是技术：技术的范围很广泛，技术与知识产权有交叉，但是不止于知识产权，大
多数是指知识产权，一般情况下技术都具有知识产权属性，但是很多时候进入到公有领域的
公开的技术、普通技术也可以进行转让。
（2）什么是国际技术：
国际技术包括：专利技术 patent、专有技术 know—how、版权 copyright（多指计算机
软件 computer software）、商标 trademark（非纯粹的商标，基本在转让时都附有技术）、
普通技术也可以转让
* know- how：处于一种秘密状态，又称技术秘密，不受专利法保护，而是由专门的专有技
术保护法，当事人之间也会进行技术秘密保护的约定。
* 专有技术为什么不变成专利？ 最大利益 + 保护期限 + 并非所有技术都会授予专利权
（未达到新颖性、创造性、实用性）
* 专有技术的弊端： 反向工程破解 + 他人发明后申请专利
* 专有技术一定是知识产权，称为“undisclosed information”
（3）什么是国际技术转让：技术转让一定是有对价的
· 与国际货物买卖对比：5 个不同点
A. 当事人的称呼不一样：国际货物买卖是 buyer and seller；国际技术转让是 transferor and
transferee 或者 licensor and licensee；
B. 标的形态不同：国际货物买卖的标的是有形的；国际技术转让的标的是无形；
C. 转移的权利属性不同：国际货物买卖的是货物的所有权；一般情况国际技术转让的是技
术的使用权
D. 成立\生效的管制不同：国际货物买卖的管制不严格，一般都由当事人自治，技术合同什
么时候成立或生效；国际技术转让合同的要求很严格，需要政府审批，不能以当事人的意思
成立或是生效
E. 合同期限长短不同：国际货物买卖合同的期限都比较短 ；国际技术转让合同的期限很长
（比如我国技术转让合同的有效期不得超过 10 年）
（4）为什么不是国际技术“贸易”呢？
因为联合国官方文件中都是 “transfer of technology” ，与联合国官方文件用语保持
一致。国际技术转让与国际技术贸易不是一个意思，国际技术贸易指“卖”和“买”，是有
对价的，一定要付费；国际技术转让存在有偿与无偿，不一定是付费的，比如技术援助，即
无偿性的转让。

1.2 Main Ways of International Technology Transfer（简答题、多项选择）

国际技术转让的主要方式
（1）International licensing trade 国际许可贸易
国际许可贸易：通过国际许可合同完成
（2）International joint venture 国际合营企业
国际投资中，其中一方以知识产权作价出资
（3）BOT 建设运营转让
“Building Operating Transferring”：国际投资，一般都是政府投资的项目（发展中国家
首先开始），比如发电厂，机场等，由于政府没有钱，所以进行国际招标，竞标，评标（不
仅要求资金，还需要先进的技术，是否中标主要看是否用先进技术），中标的企业用先进的
技术建造该项目，建设完后从运营收回成本和适当获利后，再把该项目转让给政府。不仅要
求资金，还需要先进的技术。
（4）international project contracting 国际工程承包
要进行国际招标，但是发包方具有资金，只是因为技术可能受限制，所以只要承办方建
造完成，即可获得对价。
（5）international compensation trade 国际补偿贸易
买方实际上没有钱，但是想要技术，所以买方以该技术生产的产品抵作技术转让费。有
一点易货贸易的特征，用技术换产品；也有一点延期付款的特征，因为并不是及时交易，而
是要等技术生产的产品出来后再进行付款。
（6）international cooperative production 国际合作生产
合作方共同生产，在生产过程中，可能获得/学习到合作方的技术。
（7）international consulting service 国际咨询服务
通过咨询服务的方式转让给咨询方；特别注意咨询服务合同，如果按照咨询报告书做
了，但是失败了，则由咨询方承担责任，即咨询方承担咨询的风险，被咨询方不担责。但是
这种咨询服务的技术，一定不是专利技术，都是普通技术，因为专利技术是有许可合同转让
的。
1.3 Legal Regulation Concerning International Technology Transfer
关于国际技术转让的法律规范
1.3.1 Domestic Law 国内法
：体现在一个国家是否允许技术进出口
（1）发展中国家：对技术进出口严格管制（注意我国的变化）
A. 原因：
进口：外汇短缺，存在重复进口的可能——浪费；
出口：禁止出口有关国家经济利益与国防安全的
B. 体现：对技术进出口的项目进行管理（先申请项目—再审批＋签订合同后—二次审批）
（2）发达国家：对技术进口不管，对技术出口管制很严格
以美国为例：分为民用技术、军用技术和军民两用技术；
不仅仅管进口国，还管进口国再次出口的国家；
1.3.2 International Law 国际法
技术转让与知识产权 ：
技术与知识产权密切联系，技术转让相关制度体现对知识产权的保护，但是知识产权制
度并不调节技术转让，知识产权制度一般由国内法定，但是发达国家，比如美国，会通过一
系列的国际公约让其他国家承担知识产权的义务；
知识产权是间接调整，技术是直接调整，但国际上没有统一的技术公约；only《联合国国
际技术转让行动守则（草案）》在联合国贸发会的组织下拟定的，未通过和生效。
1、背景：
上世纪 70 年代，发展中国家对技术引进难以判断，且发达国家对发展中国家技术引进
有很多的限制，于是发展中国家提出要制定统一的技术转让法。
2、未生效的原因：（4 个差别，无法统一）
（1）对法律属性的认识不一致：
发展中：强制性；
发达： 没有必要是强制性的，而是具有建设性指导意义。
（2）“国际”技术转让中对“国际”理解不一致：
发展中：技术跨越国境 OR 如果没有跨境，则其中有一方为受外国公司控制的子公司、分
公司等也可以认为是“国际”；
发达：“国际”必须跨越国境。
（3）限制性商业行为的判定标准不一致：
发展中：导致垄断、妨碍竞争、阻碍了发展中国家技术和经济的发展。
发达： 导致垄断、妨碍竞争 ；
（4）法律适用的规则不一致：
发展中：适用技术进口国所在地的法律。
发达： 双方当事人可以选择合同适用的法律 ；
*补充：多哈回合——达成共识：涉及公共健康药品专利的强制实施许可
SO：现在有关技术转让的国际法规定分散在各个部分的公约，并非整套的，比如在生物多
样性公约、联合国海洋法公约、Trips 协议等等规定技术转让规定

第二节 国际许可合同 Section 2 International Licensing Contract

2.1 Concept and Characteristics of International Licensing Contract
国际许可合同的概念和特点
1、概念：处在不同国家的许可方与被许可方签订的合同，许可方允许被许可方使用技术，被
许可方支付技术使用费的合同。
2、特点：
（1）具有国际性（当事人在不同的国家）
（2）具有时间性（因为知识产权作为标的是有期限的）
（3）具有复杂性（因为设计的内容很复杂）

2.2 Types of International LicensingContract

国际许可合同的类型（考试） 3 种（标的、授权、特殊）
1、按标的划分：
（1）Patent licensing contract 专利许可合同
* 要注意的问题：
1、专利的有效期
2、专利的年费由谁缴纳（《促进科技成果转让法》）
3、因为专利具有地域性，所以国内国外都要申请（PCT）
（2）Know-how liensingng contract 专有技术许可合同
* 注意：签订保密条款（confidential clause）
（3）Trademark licensing contrac 商标许可合同
* 注意：签订质量监督条款，许可方要监督被许可方的产品质量
（4）Computer software licensingcontract 计算机软件许可合同
* 注意：主要运用版权法进行保护

2、按授权大小划分：
（1）Exclusive licensing contract 排他许可合同（1 人）
在特定地域和一段时间内，只有受让方可以使用，进行生产销售，其他人均不可以（包
括许可方和第三人）。
（2）Sole licensing contract 独家许可合同（2 人）
在特定地域和一段时间内，技术转让方和技术受让方都有权利使用，但是第三方不允许
使用技术生产和销售产品。
（3）Simple licensingcontract 普通许可合同（多人）
除了技术转让方和技术受让方，还允许第三方生产销售同类产品。

3、特殊类型合同：
（1）Sub-licensing contract 再许可合同/从属许可合同
原许可合同的被许可方，将该技术再许可给第三人使用
* 注意：签订再许可合同，一定要有原许可合同的明确授权
（2）cross licensingcontract 交叉许可合同/互换许可合同
许可方和被许可方互为被许可方和许可方，互换技术，如果技术使用费相差不大，无需缴
纳技术使用费。
*注意：patent pool 专利池：不是所有专利池都可能造成垄断，触碰反垄断法，所以要判断。

2.3 Content of international licensing contract

国际许可合同的内容
(1) Commercial Clauses: 商务型条款
1、Introductory clause / 序言性条款
eg. 合同的名称、编号、当事人
2、Whereas clause /鉴于条款（一般情况下都有 whereas clause）
 描述双方订立许可合同的背景，技术转让方权利的合法性以及愿意转让的意愿；技术受
让方希望/愿意接受该项技术，即双方是自愿真实订立技术转让合同的。
3、Definition clause / 定义条款（必须要有）
对合同中的名词进行解释，减少歧义。
4、Price clause / 计价条款
5、Payment clause / 支付条款
6、Packing and marking clause/包装及标记条款

1、Introductory clause / 序言性条款

Form of License Contract for Technical Know-how

Contents of the Contract

Article 1 Definition
Article 2 Scope of the Contract
Article 3 Price of the Contract
Article 4 Conditions of Payment
Article 5 Delivery of the Technical Documentation
Article 6 Technical Service and Personnel Training
Article 7 Tests and Acceptances
Article 8 Guarantees and Claims
Article 9 Infringements and Confidentiality
Article 10 Taxes and Duties
Article 11 Force Majeure
Article 12 Disputes Settlement
Article 13 Effectiveness of the Contract and Miscellaneous
Article 14 Legal Addresses
Annexes（附件/attachment：合同标的）

Annex 1 Names, Models, Specifications and Technical Indices of the Contract Products. (omitted)
Annex 2 The Contents, Numbers and Schedules of Delivery for the Technical Documentation.
(omitted)
Annex 3 Test procedure and Acceptance Standard of the Contract Products. (omitted)
Annex 4 The Contents and Requirements of the Technical Service of Licensor.(omitted)
Annex 5 The Contents and Requirements for Training of Licensee's Personnel. (omitted)
Annex 6 Specimen for Irrevocable Letter of Guarantee Issued by the Licensor% Bank.
Annex 7 Specimen for Irrevocable Letter of Guarantee Issued by the Licensee% Bank.
The Licence Contract for…… Know-how
Signature Date:
Signature place:
Contract No.:
2、Whereas clause /鉴于条款

China, Beijing, Company (hereinafter referred to as "Licensee') on the one hand. And Company, City,
Country (hereinafter referred to as "Licensor') on the other hand;
Whereas Licensor has the Technical Know-how which design, manufacture, install and sell the products;
Whereas Licensor has right and agreed to transfer the above-mentioned technical know-how to
Licensee; Whereas Licensee hope to use to technical. know-how of Licensor to design, manufacture,
sell and export the products;
The authorized representatives of both parties, through friendly negotiations, have agreed to enter into
the Contract under the terms and conditions as stipulated below:（鉴于条款）

3、Definition clause / 定义条款

Article 1 Definition（定义条款）
1.1 "Licensee" means China Company or the legal representative, agent and inheritor to the
property of the Company.
1.2 "Licensor" means Company, City, Country or the legal representative, agent and inheritor
to the property of the Company.
1.3 "The Contract products" means all the products, model and specifications as stipulated
in Annex 1 to the Contract.
1.4 "The Technical Documentation "means all the technical indices, drawing, design and
other documents relating to the calculation, operation, maintenance and inspection of the
Contract Products as stipulated in Annex 2 to the Contract.
1.5 "The Contract Factory" means the place which Licensee manufactures the Contract
Products by using the Technical Documentation and know-how supplied by Licensor.
That is Factory,. City, Province.
1.6 "Net Selling Price" means the remaining amount of invoice value of the Contract Products,
deducted by the charges for packing, freight, insurance premium, commission, commercial
discount, taxation and other dues as well as the value of the parts purchased from out-side
the factory.
1.7 "The Technical Service" means the technical instruction and the technical training to be
rendered by Licensor to Licensee with respect to the design, manufacture,
assembly ,inspection, adjustment, operation and other work of the Contract Products as
stipulated in Annex 4 and Annex 5 to the Contract.
1.8 "Commercial Production" means the production after Set No. of the Contract Products
is made in the Contract Factory.
1.9 "The Date of Effectiveness" means the date of approval for the Contract by the competent
authorities of both parties' Government, which ever comes later.
(Note: the abovementioned definition may be more or less in accordance with the specific
project.)
4、Price clause / 计价条款
Article 3 Price of the Contract（计价条款）
3.1 The total（一次性总付：固定的，不能变动的） Contract price which shall be paid by
Licensee to Licensor in accordance with the contents and scopes stipulated in Article 2 to
the Contract shall be U. S. Dollars (Say：大写为... ). Their breakdown （分项构成）prices
are as follows.
A .the technology transfer fee is U.S. Dollars.技术转让费
(Say：大写为... ) (or the licence, fee)
B. design fee is U.S. Dollars. (Say: 大写为... )技术设计费
C. technical documentation fee is U.S. Dollars.技术证明文件费
(Say: 大写为... )
D. personnel training fee is U.S. Dollars. (Say: 大写为... )人员培训费用
eg. 1000 美元（大写：壹仟）/ 1000 US dollars （Say：one thousand）
3.2 The above-mentioned total Contract price shall be firm and fixed, all their technical
documentation price shall be all expenses incurred before delivery of the technical
documentation at the airport.(Note: the airport shall be the international airport which is
close to the Contract Factory of Licensee.)
Selection Proposal 1 备选方案 1
Suitable for the contracts to be priced on
Royalty of products（按产品提成的计价方式）
3.1 In accordance with the contents and scopes stipulated in Article 2 to the Contract,
this Contract shall be priced on royalty of products made by Licensee. The Contract
currency shall be US Dollar.
3.2 Royalty of the Contract shall be calculated starting from the date which both parties
sign the acceptance certificate for the Contract Products, the date of settlingaccounts shall
be 31, December of each year in terms of Calendar year.（合同提成是从双方当事人签署
合同产品接受证书之日开始，结账日期是日历年的每一年的 12 月 31 日。
3.3 Royalty at the rate of % shall be calculatedin terms of net selling price after the
Contract products sold in those year. The Contract Products which not sold shall not be
included. 所卖产品的净销售额的百分之几计算，没有卖出去的产品不计算在内。
3.4 The quantity of selling, net selling amount and Royalty which Licensee shall pay for
the Contract products in last year shall be submitted to Licensor in written forms by
Licensee within 10 (ten)days after the date of settling accounts for the Royalty. The
specific methods which calculate net selling amount and royalty are detailed in Annex to
the Contract.
3.5 The fee of the Technical Service and personnel training of the Contract shall be
calculated according to the real workday, The standard of day work wage and calculating
methods are detailed in Annex to the Contract.
3.6 If Licensor demand to audit accounts of Licensee, it shall notice Licensee within 10
(ten) days after receiving the written notice issued by Licensee in accordance with the
stipulation of Clause 3.-4.The specific contents, procedure and methods of audit are
detailed in Annex to the Contract.
 Selection Proposal 2
Suitable for the contents to be priced one
combination of fixed price and Royalty（适用固定与提成结合的方式）
3.1 The initial payment（初付费、入门费）and Royalty（提成）shall be adopted in calculating
the price ） s of the Contract in accordance with the Contents and scopes stipulated in
Article 2 to the Contract. The Contract currency shall be U.S Dollar.
3.2 The initial payment of the Contract shall be US Dollars (Say:),and shall be fixed price.
3.3 The royalty of the Contract shall be calculated starting from the date which both parties
sign the acceptance certificate of the Contract products in terms of Calendar year, the
date of settling accounts shall be 31, December of each year.R oyalty at rate of_ % shall
be calculated in terms of net selling price after the Contract products sold in those year. The
specific calculating methods is the same with Clause 3.4 of Selection Proposal 1.
3.4 The calculating methods of fee for technical service and personnel training is the same
with Clause3.5of Selection proposal 1.
3.5 The procedure, contents and methods of audit are the same with Clause 3.6 of
Selection proposal 1.
（具有三种计价方式，只能选择一种：3.1X 3）
①固定价格 fixed price：相对而言，有利于技术转让方这一方，至于是否掌握技术、卖出去，
不再问。
②计价方式 royalty price：相对而言，有利于技术的受让方，只有卖出去才可以给提成费）
③中和方式 combination of fixed price and Royalty。

5、Payment clause / 支付条款

Article 4 Conditions of Payment（支付条款）
4.1 All the cost stipulated in the Contract shall be effected （ 支付 ） in US Dollar by
telegraphic transfer（电会 T/T：电子支付系统，比如 swift）or mail transfer（信会 M/T）through
the Bank of China, Beijing and the Bank of. All the Bank charges incurred inside China
shall be borne by Licensee（在中国境内银行费用中国方承担）, and all the bank charges
incurred outside China shall be borne by Licensor.
4.2 The total Contract. price stipulated in Article 3 to the Contract shall be effected by
Licensee to Licensor according to the following manner:
(1) %(percent) of the total Contract price, namely US Dollars (Say: )Shall be paid by
Licensee to Licensor within 30 (thirty) days after Licensee has received the .following
documentation which are provided by Licensor and has found them incon-
formity with the Stipulations of the Contract:
A. One photostat copy of the valid export licence issued by the relevant authorities of
Licensor, or one copy of the letter issued by the relevant authorities of Licensor
stating that the valid export licence is not required;
B. One original of the irrevocable letter of guarantee issued by Licensor% Bank for a
sum of
US Dollars(Say ： ) in favour of Licensee. The specimen of the letter of
 guarantee is detailed in Annex 0 to the Contract;
C. Four copies of thee proforma invoice covering the total Contract price;
D. Two copies of the sight draft.
When making the above-mentioned payment, Licensee shall submit to Licensor one original
of the irrevocable letter of guarantee issued by the Bank of China, Beijing for a sum of US
Dollars(Say:)in favour of Licensor. The specimen of the letter of guarantee is detailed in Annex 7
to the Contract.
( 2 ) % ( percent)of the total Contract price, namely US Dollars(Say: )shall be paid by Licensee
to Licensor after Licensor has delivered the last batch of the technical documentation
stipulated in Annex 2 to the Contract and within 30 (thirty) days after Licensee has received
the following documents which are provided by Licensor and has found them in conformity
with the stipulations, of the Contract.
A. Four copies of the commercial invoice;
B. Two copies of the sight draft;
C. Four copies of the airway bill for delivering the Technical Documentation.
(3)_ %( percent) of the total Contract price, namely US Dollars (Say: )shall be paid by licensee
to Licensor within 30 (thirty)days after Licensee has received the following documents and
has found them in conformity with the stipulations of the Contract:
A. Four copies of the commercial invoice;
B. Two copies of the sight draft;
C. Two copies of the certificate signed by both par ties stating that the: performance
guarantee period of the Contract Factory has started.
(4) % (percent) of the total Contract price, namely US Dollars (Say: )shall be paid by
Licensee to Licensor within 30 (thirty) days after Licensee has received the following
documents which are provided by Licensor and has found them in conformity with the
stipulations of the Contract:
A. four copies of the commercial invoice;
B. Two copies of the sight draft;
C, Two copies of the certificate for the test and acceptance of the Contract Products signed
by both parties
4.3 Licensee shall have the right to deduct from anyof the above-mentioned payments the
penalties and/or compensation which Licensor shall pay in accordance withthe stipulations of
the Contract.

Selection proposal 1
Suitable for the contracts to be priced
on Royalty of Products

4.1 The royalty stipulated in Article 3 to the Contract shall be paid by Licensee after the
Contract Products is up to standard in the acceptance test.
4.2 The real selling quantity and net selling amount of-the Contract Products in last calendar
year shall be submitted by Licensee to Licensor within 10 (ten) days after the date of settling
accounts to Royalty. The royalty shall be paid by Licensee to Licensor within 30 (thirty) days
after Licensee has received the following documents which are provided by Licensor and has
found them in conformity with the stipulations of the Contract:
A. Four copies of the statement on calculation of Royalty within this period;
B. Four copies of the commercial invoice;
C. Two copies of the sight draft.
4.3 The payment of the fee for technical service and personnel training under the Contract is
detailed in Annex to the Contract.
4.4 Licensee shall have the right to deduct from any of the above-mentioned payments the
penalties and/or compensation which Licencor shall pay in accordance with the stipulations of the
Contract.

Selection proposal 2
Suitable for the contracts to be priced
on combination of fixed price and Royalty

4.1 The initial payment stipulated in Article'3 to the Contract shall be in the same paying method
with Clause
4.2. The number of their payments is decided according to the requirement of specific contract, the
documents which are demanded in each payment are the same with Clause 4.3 The payment of
Royalty is the same with Clause4.2 of the Selection Proposal 1.
4.4 The methods of payment for the fee of technical service and personnel training under the
Contract are detailed in Annex" to the Contract.
4.5 The way of payment for the penalties and compensation is the same with Clause 4.3 of this
Contract.

5、Packing and marking clause/包装及标记条款

Article 5 Delivery of the Technical Documentation 包装及标记条款

5.1 Licensor shall deliver to Licensee the technical~ documentation at airport in accordance with
the contents, quantity and time stipulated in Annex 2 to the Contract. The risk of the technical
documentation shall be transferred from Licensor to Licensee after its arrival at airport, China.（技
术资料一般采用航空运输）
5.2 The date stamped by airport, China shall be the actual date of delivering the technical
documentation.
5,3 Licensor shall, within 24(twenty-four)hours after dispatching each batch of the technical
documentation, inform Licensee by telex or cable of the Contract number, airway bill number,
airway bill date, documentation number, number of parcels, weight, flight and expected arrival date,
and at the same time, shall airmail to Licensee two copies of the airway bill and the detailed list of
the technical documentation.（技术资料细节的通知）
5.4 In case of any loss, damages or shortage caused to the technical documentation in the airway,
Licensor shall make supplementary" or replaceable delivery to Licensee within 30 (thirty) days after
receiving Licensee’s written notice without any charges.
5.5 The technical documentation shall be packed instrong cases suitable for long distance
transportation and numerous handlings with protective measures against moistureand rain.
5.6 The following contents shall be marked on the coverof each package of the technical
documentation in English,
A. contract number
B. consignee;
C. destination airport;
D. marks;
E. weight(kg);
F. case No./piece No.; 箱/件号
G. consignee code.
5.7 There shall be two copies of the detailed list of the technical documentation marked the order
number, documentation code, name and pages inside each package。（每个包装一式两份的内附
清单，标明技术资料的序号、文件代号、名称、页数）

(2)Technical clauses：技术性条款（特有）
1、Scope of the contract / 合同范围
2、Delivery of the technical document / 技术资料交付条款
3、Technical service and personal traning /技术服务与人员培训条款
4、Tests and acceptance /考核和验收条款
5、Guarantees and Claims /保证与索赔条款

1、Scope of the contract / 合同范围

Article 2 Scope of the Contract（合同的范围：标的）

2.1 Licensor has agreed to transfer to Licensee and Licensee has agreed to obtain from Licensor
the technical know-how for the design, manufacture, sale, install and maintain of the Contract
Products. The name, model, specifications and technical indices of the Contract Products are
detailed in Annex 1 to the Contract.
2.2 The Licensor has agreed to grant Licensee to licence and right to design, manufacture, use, sell
and export the Contract Products in the People's Republic of China.
The licence and right are nonexclusive and non-transferable.（非独占的，不能再转让的- - -决定技
术转让费）
2.3 The Licensor has been responsible to provide Licensee with the relevant know-how and
technical documentations related to the Contract Products. Their contents, quantity and time
of delivery are detailed in Annex 2 to the Contract
2.4 Licensor will be responsible to dispatch his technical personnel to China for explaining the
technical documentations and rendering technical instruction and service on design, manufacturing,
assembly, inspection and acceptance test of the Contract products The specific contents and
requirements of the technical instruction and service are detailed in Annex 4 to the Contract.
2.5 Licensor will be responsible to receive and arrange for technical training of the
Licensee's personnel in the Licensor's factory, Licensor shall make his best effects to satisfy the
needs of Licensee so that the said technical personnel are able to master the above
mentioned know-how. The specific training contents and requirements are detailed in Annex 5 to the
Contract.
2.6 Licensor shall be obligated to supply Licensee at the most favorable price with the parts,
components, raw materials and standard parts for the Contract Products, when Licensee so
requires. Both parties shall have consultation and sign the new contract for the specific contents of
supplying in due time
2.7 Licensor agrees that Licensee has the right to use the Licensor's trade mark. The Contract
products can also be adopted combination trade mark of both parties or marked the words: "Made in
China under licence of Licensor."
2.8 After the Contract Products manufactured by Licensee are up to standard through the
acceptance tests, Licensor agrees to bay-back a part of the Contract Products in accordance with
stipulations in Article 8,9 of the Contract.

2、Delivery of the technical document / 技术资料交付条款

Article 5 Delivery of the Technical Documentation 包装及标记条款

5.1 Licensor shall deliver to Licensee the technical~ documentation at airport in accordance with the
contents, quantity and time stipulated in Annex 2 to the Contract. The risk of the technical
documentation shall be transferred from Licensor to Licensee after its arrival at airport, China.（技术
资料一般采用航空运输）
5.2 The date stamped by airport, China shall be the actual date of delivering the technical
documentation.
5,3 Licensor shall, within 24(twenty-four)hours after dispatching each batch of the technical
documentation, inform Licensee by telex or cable of the Contract number, airway bill number, airway
bill date, documentation number, number of parcels, weight, flight and expected arrival date, and at the
same time, shall airmail to Licensee two copies of the airway bill and the detailed list of the technical
documentation.（技术资料细节的通知）

3、Technical service and personal traning /技术服务与人员培训条款

Article 6 Technical Service and Personnel Training 技术服务与人员培训

6.1 Licensor shall send his skilled, healthy and competent personnel to the Contract Factory of.
Licensee to provide technical service on side in accordance with the stipulations of the Contract. The
number of people, speciality, task, content and duration in China are detailed in Annex 4 to the
Contract. （licensor 一方派人来提供和服务，但是所派人有要求）
6.2 Licensee shall provide facilities for entry and exit visa, work and live in China for Licensor's
technical service personnel. The treatment conditions of Licensor's technical personnel in China are
detailed in Annex 4 to the Contract.（licensee 所要提供的待遇条件）
6.3 Licensor's personnel of the technical service shall observe the law of the People's Republic of
China and rules and regulations of the Contract Factory in the period of service in China.
6.4 Licensee has right to send his technical personnel or operative workers to the relevant factory
of Licensor to be training. The number of people, speciality, content, time and requirement of
training are detailed in Annex 5 to the Contract.（licensee 可以派人去接受培训）
6.5 Licensor shall provide facilities for entry and exit visa and training conditions for the
Licensee's trainees. The treatment conditions of the trainees in Licensor's country are detailed in
Annex 5 to the Contract.
6.6 The Licensee's trained personnel shall observe the law of the Licensor's country and the
rules and regulations of the Licensor's factory in the period of training.

4、Tests and acceptance /考核和验收条款

Article 7 Tests and Acceptances 考核和验收条款

7.1 In order to verify the correctness and reliability of the technical documentation supplied by
Licensor, Licensor shall send the representative to test and inspect the Contract Products jointly
with the technical personnel of Licensee in the Contract Factory. The specific procedure of tests
and inspection and the standard of the acceptance are detailed in Annex 3 to the Contract. （验收
具体的程序与接受的标准）
7.2 If the standard of the acceptance specified in Annex3 to the Contract are achieved in the joint
tests, both parties’ authorized representative shall sign four copies of the acceptance certificate for
the Contract Products, two copies for each party.（如果验收合格，签发验收合格证书，一式四份）
7.3 If the technical performance of the Contract Products are not achieved the technical indices
stipulated in theContract in the acceptance tests, both parties shall friendlyconsult and jointly
discuss, analyse the causes and take measures. The second test shall be done after the products
defecthas been eliminated. Both parties shall sign the acceptancecertificate in accordance with the
stipulations of Clause 7.2 after the acceptance test has been up to standard.（如果没有合格，友好
协商、共同研究，分析原因与采取措施）
7.4 If the responsibility for the failure of the first test lies with Licensor, Licensor shall again send
his technical personnel to participate in the second test and shall beat all the expenses; if the
responsibility for the failure of the first test lies with Licensee, Licensee shall bear all the expenses.
7.5 If it is due to Licensor's responsibility that the acceptance standard of the Contract products
are still not achieved upon the second test, Licensor must compensate related loss suffered by
Licensee, and send at his own expenses his technical personnel to participate in the third test of
the Contract Products; if the responsibility for the failure of the second test lies with Licensee,
Licensee shall bear all the expenses.
7.6 If it is due to Licensor's responsibility that the acceptance standard of the Contract ~Products
are still not achieved upon the above-'mentioned three tests, Licensee shall have right to terminate
the Contract and Licensor shall compensate all related loss suffered, by Licensee in accordance
with the stipulations in Article 8 to the Contract; if the responsibility for the failure of the
above-mentioned three tests lies with Licensee, then both parties shall discuss and agree upon
further execution of the Contract.(Note: the number of the tests and acceptances shall be
determined in terms of specific circumstance.)
5、Guarantees and Claims /保证与索赔条款

Article 8 Guarantees and Claims（保证与索赔条款）

8.1 Licensor guarantees that the Technical Documentation supplied by Licensor to Licensee in
accordance with the Contract shall be of the latest Technical Documentation which are actually used
by Licensor and the improved and developed technical documentation shall be supplied in time by
Licensor to Licensee in the course of implementation of the Contract.（保证技术是最新的，而且为
被实际使用的技术，在合同履行期间，改进的技术也要及时提供）
8.2 Licensor guarantees that the Technical Documentation supplied by Licensor to Licensee in
accordance with the Contract shall be complete, correct and clear, and shall be delivered in time in
accordance with the stipulation in Annex 2 to the Contract.
8.3 The period of performance guarantee supplied by Licensor to the Contract Factory shall be( )
months. The starting and termination date of the period of performance guarantee are detailed in
Annex 3 to the Contract.
8.4 If it is found by Licensee that the Technical Documentation supplied by Licensor is not in
conformity with stipulation in Clause 8.2 to the Contract, Licensor shall send the related technical
documentation by air to Licensee free of charge within 30(thirty)days after receiving Licensee's
written notice.
8.5 If the Technical Documentation can't be delivered by Licensor in accordance with date
stipulated in Annex 2 to the Contract, Licensor shall pay to Licensee penalty for late delivery of the
Technical Documentation at the following rates: _%( percent) of the total Contract price for each
week of late delivery from the first week to the fourth week; % (percent)of the total Contract price
for each week of late delivery from the fifth week to the eighth week; % (percent) of the total
Contract price for each week of late delivery exceeding eight weeks. The above-mentioned total
penalty shall not exceed. % ( percent) of the total Contract price, if the days less than one week of
late delivery, it shall he counted as one week.
8.6 penalty made by Licensor to Licensee in accordance with the stipulation in Clause 8.5 to the
Contract shall not release Licensor from his obligations to continue to deliver the Technical
Documentation.
8.7 If the delivery of Licensor's Technical Documentation delays over 6 (six) months, Licensee
shall be entitled to terminate the Contract. In such case, Licensor shall return to Licensee the total
amount which Licensee has already paid plus % interest per annum thereon.
8.8 If it is due to Licensor's responsibility that the Contract Products is not still up to standard upon
the test, this case shall he dealt with the following methods in accordance with the stipulations in
Article 7 to the Contract:
( 1 )Due to the unqualified products, .Licensee can not put into production and has to terminate the
Contract, in this case, Licensor shall return to Licensee the total amount which has already been
paid by Licensee to Licensor plus. interest per annum thereon;
( 2 )If only some part of the Contract Products can not achieve the acceptance standards, but
Licensee still can put into production, Licensor shall compensate Licensee's loss according to the
following stipulations:
A. If performance target of the Contract Products comedown__%, Licensor shall compensate
Licensee% of the total Contract price;
B. If performance target of the Contract Products come down % ,Licensor shall
compensate Licensee% of the total Contract Initial payment;
C. If performance target of the Contract Products come down_%, the compensation of
Licensor to Licensee will be the reduction of royalty rate %.
(Note: the penalty of late delivery and the performance claims may be added or subtracted
some clauses in accordance with specific contract. )
8.9 After the Contract Products is up to standard upon the acceptance tests, Licensor agrees
to buy from Licensee apart of the Contract products year by year. The model and quantity of
buy-back are detailed in Annex to the Contract.

(3)Legal Clauses:法律性条款
1. Infringements and confidentiality /侵权与保密条款
2. Taxes and duties /税费条款
3. Force majeure /不可抗力条款
4. Disputes settlement / 争端解决条款
5. Effectiveness andmiscellaneous / 合同的生效与其他条款

1. Infringements and confidentiality /侵权与保密条款

Article 9 Infringements and Confidentiality（侵权与保密条款）

9.1 Licensor guarantees that Licensor has lawful ownership of all the know-how and Technical
Documentation supplied by Licensor to Licensee in accordance with the Contract, and that
Licensor has the right to transfer them to Licensee. In case a third party brings a charge of
infringement, Licensor shall take up the matter with the third party and bear all legal and financial
responsibilities Which may arise.
9.2 Licensee agrees to keep the know-how and Technical Documentation supplied by Licensor
under secret conditions within the validity period of the Contract. If a part or the whole of the
above-mentioned Know-how or Technical Documentation will be opened to the public by Licensor
or any third party, Licensee is no Ionger to have the secret obligations to the opened parts.（保密
义务 Know-how）
9.3 Licensor shall keep secret for the information of hydrology, geology and production of the
Contract Factory supplied by Licensee. The secret period shall be kept as long as Licensee
requires.
9.4 Licensee shall have the right to use the know-how and Technical Documentation supplied by
Licensor, and design, manufacture and sell the Contract Products after the termination of the
Contract.
2. Taxes and duties /税费条款
Article 10 Taxes and Duties（税费条款）
10.1 All the taxes and duties in connection with and in the execution of the Contract to be levied
by the Government of the People's Republic of China on Licensee in accordance with the tax law in
effect shall be paid by Licensee.
10.2 All the taxes and duties in connection with and in the execution of the Contract to be levied
by the Government of the People's Republic of China on Licensor shall be paid by Licensor. In
accordance with the stipulation of the Tax Law of the People's Republic of China, the withholding
tax to be levied on Licensor will be deducted from the payment under Article 4 of the Contract by
Licensee and on behalf of Licensor paid to China tax Authority. Licensee shall send to Licensor one
original copy of tax receipt issued by the Chinese Tax Authority. The rest taxes and duties will be
paid by Licensor, and the tax formalities will be gone through by Licensor itself in China tax
Authority.
10.3 All the taxes and duties in connection with and in the execution of the Contract to be levied
outside China shall be paid by Licensor.
Selection Proposal 1
Suitable for those enterprises whose government already signed the taxation agreement with our
government.
10.1 The Agreement for the Avoidance of Double Taxation signed by the Government of People's
Republic of China and the Government on .The Agreement was put into effect on .Licensor and
Licensee shall observe the stipulations of the Agreement.
10.2 The tax and the tax to be levied on Licensor by the Government of People's Republic of
China in accordance with the Tax Law and the. tax Law will be dealt with according to Article
and Article of the Agreement for the Avoidance of Double Taxation.
Selection Proposal 2
Suitable for those projects which has already got
the tax reduction or tax exemption from
Chinese Tax Authority
10.1 In the course of implementation of the Contract, Licensor shall have the obligations to pay
the tax and the tax in accordance .with the People's Republic of China Tax Law in effect.
10.2 The Tax Authority of the People's Republic of China decided on that the tax and the tax to
be paid by Licensor would be reduced (or exempted), the specific methods of reducing and/or
exemption is detailed in Annex of the Contract.

3. Force majeure /不可抗力条款

Article 11 Force Majeure（不可抗力）
11.1 If either of the contracting parties is prevented from executing the Contract by such cases of
force majeure as war, serious flood, fire, typhoon and earthquake or other cases which are
agreed upon by both parties as cases of force majeure, the time for performance of the Contract
shall be extended by a period equivalent to the effect of such cases,
11.2 The effected party shall notify the other party of the cases of force majeure occurred by telex
or cable as soon as possible and shall send by registered airmail,within14 (fourteen) days thereafter,
a certificate issued by the authorities or departments concerned to the other party for confirmation.
11.3 Should the effect of the force majeure cases last for more than 120 (one hundred and
twenty) days, both parties shall settle the problem of further execution of the Contract through
friendly consultations as soon as possible.
4. Disputes settlement / 争端解决条款
（与上一个合同不同，该合同一一列举了不可抗力情形）
Article 12 Disputes Settlement（争端解决）
12.1 All the disputes in connection with or in the execution of the Contract shall be settled by both
parties through friendly consultations. In case no settlement to the disputes can be reached by both
parties through such consultations, the disputes shall be settled through arbitration.
12.2 The arbitration shall take place in Belling, China, and be conducted according to the
procedures and rules of China International Economic and Trade Arbitration Commission
（CIETAC）， .
(Note: Clause 12.2 has two selections: (a)if the arbitration takes place in Stockholm, Sweden, the
ease shall be conducted by the Arbitration Institute of Stockholm Chamber of Commerce in
accordance with its arbitration procedures;
(b)if the arbitration takes place in the accused country ,the case shall be conducted by the arbitration
institute of the accused country in accordance with its arbitration procedures. )
12.3 The arbitration award shall be final and binding on both parties.
12.4 The applicable law-in the arbitration shall be the law of the People's Republic of China. (While
the arbitration takes place in Stockholm, the applicable law in the arbitration shall be the Swedish
law. The accused country law shall he the arbitration applicable law while the arbitration takes place
in the accused country.)
12.5 The arbitration fee shall be borne by the losing party or in conformity with the stipulation of
the award.
12.6 In course of arbitration, both parties shall continue to execute the Contract except the part of
the Contract which is under arbitration.

5. Effectiveness andmiscellaneous / 合同的生效与其他条款

Article 13 Effectiveness of the Contract and Miscellaneous （关于合同的生效和其他）
13.1 This Contract is signed by the authorized representatives of both parties on —
in Belling. Both parties shall file applications with their respective government for ratification of the
Contract（双方当事人都要在各自的政府审批合同）, the date of ratification for the last party shall be
the effective date of the Contract.（最后一方的批准日期是合同的生效日期） Both parties shall do
their utmost to obtain the ratification within 90 (ninety) days, and shall advise the other party by telex
or cable and send a letter for confirmation.（双方当事人应当经最大努力在 90 天内获得审批，获
得审批后向对方发函）
13.2 If the Contract cannot come into force within 6(six) months after the date of signing the
Contract, both parties shall have the right to cancel the Contract.
13.3 The Contract shall be in force for years from the effective date of the Contract. After the
expiration of its term of validity, the Contract shall automatically be come null and void.
13.4 The outstanding creditor’s right and debts between both parties at the expiration of the
Contract shall not be influenced by the expiration of the Contract. The debtor shall continue to pay
the creditor the outstanding debts.
13.5 This Contract is done in English language in four originals, two for each party.
13.6 The Contract is formed by Article 1 to Article14 and Annex 1 to Annex 7, the text and
annex of the Contract shall be integral parts of the Contract and have the same legal force.
13.7 Any changes, amendment, supplement and subtractions to the stipulations of the Contract
shall he valid after both parties' authorized representatives have signed written documents which
shall form integral part of the Contract and shall have the same legal force as the Contract.
13.8 In the course of implementation of the Contract, all the communications between both
parties shall -be in English language. Formal notice shall be in written form in duplicate and be sent
by registered airmail.

2.4 Restrictive Clause of International Licensing Contract

限制性条款 （注意：不能出现在合同中）
2.4.1 Meaning and nature 含义与属性
1、含义：在国际许可合同中，技术的转让方向技术的受让方所施加的种种不合理的限制性
规定，如果这种限制出现在合同中，则这种条款就是限制性条款。
2、原因：为什么会出现限制性条款分析：
（1）在国际技术贸易市场上，基本都是卖方市场，卖方具有优势，所以导致地位不一样，
可以用这种优势地位限制买方
（2）在技术贸易许可中，很多都是专利，专利具有垄断性、独占性等特征，卖方会利用标
的本身的特征限制买方
（3）在技术转让中，许可方与受让方是合作的关系，但是实际上本质上他们是潜在的竞争
关系，所以要对买方进行限制
2.4.2 Content of restrictive clauses (omitted) 限制条款的内容
2.4.3Domestic laws for controlling restrictive clauses 管控限制性条款的国内法
我国：《中华人民共和国技术进出口管理条例》第 29 条，技术进口活动不得含有下列
限制性条款：
(1)requiring the transferee to accept attached conditions that are not indispensable for the impor
t of the technology, including the purchase of techologies, raw materials, products, equipment or
services that are nornecessary;- - - 【搭售】
（要求受让人接受进口技术不必要的附加条件，包括购买不必要的技术、原材料、产品、
设备或服务）
(2) requring the transferee to pay royalties orto undertake relevant obligations, for the techogy th
e patent of which has expired or been declared invalid;
（对专利已过期或者被宣告无效的技术，要求受让人支付使用费或者承担有关义务；）
(3) restricting the transferee from making improvements to the technology, provided by the trans
feror or restricting the transferee
from using the improved technology;
（限制受让人作出对技术的改进，由出让人提供或限制受让人使用改进后的技术；）
(4) restricting the transferee from acquiring, from other sources, technologies similar to or comp
etitive with the technology provided by the transferor;
（限制受让人从其他来源获取与出让人提供的技术相类似或者具有竞争性的技术；）
(5) unreasonably restricting the channels or sources from which the transferee buysraw materials,
parts and components, products orequipment;
（不合理地限制受让方购买原材料、零部件、产品申购的渠道和来源）
(6) unreasonably restricting the quantity, type or sale price of the products manufactured by the t
ransferee; or
（不合理地限制受让人生产的产品的数量、类型或者销售价格的；）
(7) Unreasonably restricting the export charnels of the products manufactured by the transferee
with the importedtechnology.
（不合理地限制受让人用进口技术制造的产品的出口渠道。）
*注意：3 月 15 日全国人大通过了《外商投资法》，其里面也有技术转让问题，所以 2019
年 3 月 18 日对该条例进行修订时与该法保持一致，并删掉了该条例中的 29 条的限制性条款
（我国目前没有对限制性条款作出规定——市场经济的体现）。
* 发展历史：
A. 我国 80 年代:《中华人民共和国技术进口合同管理条例》《中华人民共和国技术出口合同
管理暂行条例》— — — 对限制性条款的态度：“非经批准，不得含有下列限制性条款”（意
味着经批准是可以的）
B.2002 年《中华人民共和国技术进出口管理条例》— — — 对限制性条款的态度：“不得含
有下列限制性条款”（即禁止合同中有）
C. 2022 年— — — 对限制性条款的态度：不管了，要有就有，没有就没有
说明我国对于技术进出口合同！对合同的限制！采用自愿原则！注意！！！不是对技术
的进出口，而是对技术进出口合同的限制资源！
注意：我国仍然有反垄断法和反不正当竞争法，所以，并不意味对涉外技术进出口合同
不进行管制— — — 我国朝着市场经济方向发展的体现（政府干预少，市场进行调控）
* 补充：International laws for controlling restrictive clauses:
EU/ Andean Group/ WIPO/ UNCTAD
2.4.4 Situation in Developed countries, Developing countries
1、Developed countries：发达国家没有单独的法律管制限制性条款，而是用反垄断或者反
不正当竞争法等国内法进行管制，由法官自由裁量是不是限制垄断条款
2、Developing countries：基本上是用单独的立法来管制许可合同中的限制性条款，并采用
列举的方法，将限制性条款列举出来，明确地规定在法律中。

第三节 国际法律规范 Section 3 International Legal Regulation

3.1 Paris Convention for the Protection of Industry Property 巴黎公约
* 背景：1883 年产生。在公约之前，奥匈帝国举办过一次发明展览会，想邀请欧洲国家
进行展示，结果没有人去，因为当时发明只在本国进行保护，不在外国被保护，所以就触动
了对外国发明的保护，要订立国际条约，承诺也保护别国的知识产权，因为当时主要是在工
业上，所以就对工业产权：专利、商标进行保护。我国 1984 年加入《巴黎公约》。
3.1.1. Basic principles 基本原则
（1）National Treatment 国民待遇原则
1、对缔约国：第一个要求缔约国给其他缔约国公民的专利、商标等工业产权予以国民
待遇保护。
2、对非缔约国：非缔约国的国民能否享有国民待遇？可以享有国民待遇，但是有要求：
要么有住所，要么有营业场所。
（2）Right of Priority 优先权原则
在申请时，第一次申请的日期可能会作为后面申请的申请日期。如果在第一次申请被驳
回，在后面申请时也可以用第一次申请的日期。
优先权的期间不同，专利和实用新型：12 个月；外观设计和商标：6 个月。
（3）Independence 独立性原则
公约的缔约国对共有产权的保护是独立的，即在 A 国获得不一定在 B 国获得，各个国家
彼此之间是独立的。
* 两个子规定：专利合作条约和马德里协定——规定专利的国际申请的程序性事项。
3.2 Patent Cooperation Treaty and Madrid Agreement
专利合作条约和马德里协定
3.2.1 Patent Cooperation Treaty 专利合作条约（在国外申请叫做：PCT 申请）
1、向能够受理 PCT 申请的专利局提起申请，受理局拿到申请后将该申请提交世界知识产权
组织国际局以及国际检索单位，国际检索单位出具检索报告，并将该报告反馈给申请人和世
界知识产权组织国际局；
2、申请人的缓冲期：申请人这时候可以撤回申请（如果评价不高的话）；申请人也可以修
改补充；申请人也可以决定继续
3、如果继续申请，世界知识产权组织国际局会把专利申请和国际检索报告发给申请人想申
请的所有国家，专利申请进入国内程序，由独立性原则规范，各国决定是否授予专利
只要加入该公约，都认为知识产权是私权。
3.2.2 Madrid Agreement Concerning the International Registration of Marks
“关于商标国际注册的马德里协定”
1、首先要先在本国的商标法进行商标注册并且获得商标注册。
2、必须通过本国的商标管理机构向世界知识产权组织国际局做国际申请。
3、世界知识产权组织国际局接受到申请后，按照指定国分发给各国。
4、各国进入国内程序。
5、在获得外国的商标注册权的国家中，其获得商标注册之日起的五年内没有独立性，即在
五年内依赖于本国的商标的有效性，如果 5 年内本国的商标被撤销，则外国的也自动撤销。
6、语言只能用法文！不用英文！（SO 美国没有加入）
3.2.3 Trademark Registration Treaty
商标注册条约
这个不是巴黎公约的子条约！是独立的！！
3.3 Berne Convention for the Protection of Literary and Artistic Works
“保护文学和艺术作品伯尔尼公约”
（1）Background 背景
与欧洲当时文学被盗印有关，为了保护文学艺术作品作者的权利，所以提议要有跨国保
护。
（2）Scope of protection 保护范围
文学艺术科学作品都被保护
（3）Subject of right 权利的主体
保护作者的权利（人身权/财产权）
（4）National treatment 国民待遇
 第一个对著作权进行国民待遇保护的公约。
1、缔约国的国民：互相之间国民待遇。
2、非缔约国的国民：其作品首次在缔约国发表的，享有国民待遇。
（5）Author's right and term of protect
1、权利：人身权与财产权（注意：在 TRIPS 协议中只规定了财产权，因为 TRIPS 协议是与贸
易有关的知识产权）
2、保护期限：著作权：生前+死后五十年
3.4 Agreement on Trade related Aspects of Intellectual Property Rights
与贸易有关的知识产权协定 TRIPS
（在 WTO 附件一的 C 中规定）
（1）Background 背景
乌拉圭回合（1986 年开始，1993 年结束）的三个议题之一，以美国为代表的发达国家
极力主张在国际上建立一套高标准、严要求的知识产权保护体系，所以美国提出的，因为有
些国家没有关于知识产权的保护，美国觉得不利于其发展，所以要求进行有关贸易的知识产
权保护。
1988 年美国出台《综合贸易法》，其中的 301 条款，授权美国的贸易代表，对世界上所
有国家的知识产权保护进行调查，如果保护不到位，就列入观察国家的名单；如果还不改，
则就变为重点观察国家；如果还不改，则单方面开始进行贸易制裁，比如征收超好关税。
90 年代到 2000 年左右，中国和美国进行了三场贸易谈判，并不是因为 WTO 中的 TRIPS
协议，而是因为美国《综合贸易法》中的 303 条款。前两次都是立法问题，最后一次是执法
问题。- - - 迫使中国不断加入知识产权条约等等。（知识产权被动立法的百年轮回）
（2）purposes，scope of protection and significance 目标，保护范围
因为知识产权保护不断从行政保护到司法保护，所以我国先成立知识产权法庭，后来案
件数量不断增加，欲成立知识产权法院，对法官的素质要求很高。
（3）Rules 规则
1、National Treatment 国民待遇
给予缔约国的待遇不低于给予本国的待遇
2、Most- Favoured- Nation Treatment
最惠国待遇
！Trips 是第一个规定最惠国待遇的知识产权公约
国民待遇是比较本国国民，最惠国待遇比较的是他国国民，比较的对象不同。
3、Transparent 透明度原则
有关政策、法令等一定要及时、迅速地公布出来。
4、Exhaustion 权利用尽原则
5、Transitional arrangement 过渡期安排
针对发展中国家以及最不发达国家，加入世界贸易组织，并不要求立即达到 Trips 要求的
知识产权保护程度，给予过渡期发展。（中国虽然是发展中国家，但是加入没有过渡期）
6、Provisional measures 临时措施
7、Border measures 边境措施
8、De minimis imports
（4）Scope of Intellectual Property Rights 知识产权的范围（经常性考点）
1、patents 专利
特别的含义：是指发明专利，不包括实用新型与外观设计！
（1）植物新品种——必须有
（应受专利类法律的保护，并不一定是专利法：比如我国在专利法中排除植物新品种，但是
为了兑现 Trips 承诺，设立了植物新品种保护条例！！！保护的模式是专利的保护模式）、
（2）强制实行许可———可以有但要严格限制
（在 Trips 协议中讨论最为严重，Trips 协议认为知识产权是私权，强制许可不符合 Trips 的规
定，且发达国家的实施标准与发展中国家的实施标准不同，难以达成一致，但是最后 Trips
在综合后规定可以在国内法中规定强制许可，要严格地进行限制）
2、Copyright and related rights 版权及相关权利（邻接权）
（1）TRIPs 中没有规定精神权利即人身权，只规定了财产权，因为 Trips 是与贸易有关的，
所以不包括精神性的。
（2）增加了出租权：是 trips 协议规定的新的权利，我国进行著作权法的修订加入出租权，
并不是所有的作者都享有出租权，只有计算机软件、录音录像的作者等有出租权
3、Trademarks 商标
（1）商标可以是文字、数字、图形、组合都可以，但是 Trips 缔约国只保护视觉性的，不保
护听觉、嗅觉的商标
（2）不仅仅保护商品商标，还保护服务商标
（3）对驰名商标进行规定：实现了驰名商标的跨类保护（以前没有驰名商标，就只能用防
御商标）
4、Geographical indications 地理标志
（1）新的规定，所有加入 Trips 协议的成员国都要保护地理标志
（2）从最开始酒类的地理标志到后来的普遍地理标志的保护
（3）地理标志保护方式：我国的地理标志在商标法中进行保护，但是地理标志与商标有很
大的不同：商标可以转让，但是地理标志不可以转让；商标是一个人或企业独有的，但是地
理标志是一个集体的，具有集体商标的属性；地理标志是双重保护，商标法和国家质检总局
的质量监督结合的保护模式
5、Industrial designs 工业品的外观设计
我国对外观设计是放在专利法里的，其他国家可能单行立法
6、Layout- design （Topographies） of Integrated Circuits 集成电路布图设计
我国在加入 WTO 之前是不保护的，但是加入 Trips 后颁布了集成电路布图设计保护条款。
7、Undisclosed information 未披露的信息
特别是技术信息 ，很像技术秘密 know—how；我国目前没有未披露的信息保护法，但是
在很多法律中有不同形式的保护！
（5）Control of anti- competitive practices in contractual Licences
控制合同许可证中的反不正当竞争行为
知识产权不是贸易，知识产权是确权，只有确权之后才可以贸易，在 Trips 协议中只是
规定了知识产权，没有规定贸易
（6）International Cooperation 国际合作
如果没有强制性的义务合作，则很难进行国际合作，如果是一种行为义务，而非结果义
务则也很难进行国际合作。

3.5 International Code of Conduct on the Transfer of Technology

联合国国际技术转让行动守则
1、background：国际贸发会通过的，only 草案.
未生效的原因：（4 个差别，无法统一）
（1）对法律属性的认识不一致：
发展中：强制性；
发达： 没有必要是强制性的，而是具有建设性指导意义。
（2）“国际”技术转让中对“国际”理解不一致：
发展中：技术跨越国境 OR 如果没有跨境，则其中有一方为受外国公司控制的子公司、分
公司等也可以认为是“国际”；
发达：“国际”必须跨越国境。
（3）限制性商业行为的判定标准不一致：
发展中：导致垄断、妨碍竞争、阻碍了发展中国家技术和经济的发展。
发达： 导致垄断、妨碍竞争 ；
（4）法律适用的规则不一致：
发展中：适用技术进口国所在地的法律。
发达： 双方当事人可以选择合同适用的法律 ；
*补充：多哈回合——达成共识：涉及公共健康药品专利的强制实施许可
SO：现在有关技术转让的国际法规定分散在各个部分的公约，并非整套的，比如在生物
多样性公约、联合国海洋法公约、Trips 协议等等规定技术转让规定
2、Main contract
（1）preamble 序言
（2）Definition and scope of application 定义及适用范围

第四章 国际投资法

Chapter four International Investment Law

* 背景知识： 2019 年三法合一：多关注！修改很多很细
准入前：国民待遇＋负面清单
我国还会进一步开放，进行特殊区域的外商投资，对外商投资的程度更大（比如海南有
自己独立的负面清单）
我国的《外商投资法》是资本引进的法律，不是对外投资的法律。
余劲松老师——主要研究国际投资法

* 国际投资的框架
1、Domestic Laws
（1）Capital-import-countries Law 资本输入国法律
（2）Capital-export-countries law 资本输出国法律
2、International Treaties 国际条约
（1）Bilateral Treaties 双边条约（数量巨大）
（2）Multilateral Treaties 多边条约
（很少！！两个是 WBG 里的，两个是 WTO 里的）
A. MIGA 多边投资担保机构公约（世界银行的成员，保险机构，承保发展中国家）
B. ICSID 国际争端解决机制—解决投资争端，解决一个国家与企业或个人之间的争端。（世
界银行的成员）
C. TRIMS 与货物贸易有关的投资措施协议（WTO 中的附件 C）
D. GATS 服务贸易总协定（WTO 中的，服务贸易中有一个商业存在，即跨国投资，但是投
资的是服务行业）
第一节：国际投资的总介绍 Section 1 General Introduction to International Investment
1.1 Concept of International Investment Law 国际投资法的概念
国际投资法就是调整 国际投资关系 的法律规范的总和。
1、这里的投资是指直接投资！direct investment，即要参与企业的经营管理，不包括间接投
资（股票等）
2、这里的投资是指私人投资！private investment，即不包括政府投资，且私人做广义解释，
国有公司、有政府股份的等都可以是私人公司！
1.2 Legal Forms of International Investment 国际投资法的形式
1、Equity joint venture; 股权式合营
相当于我国以前的中外合资经营企业；
由两个国家的投资者共同投资，风险分担和利润分配上与出资额挂钩。
多采用有限责任公司的形式，也可以采用股份有限公司。
受公司法的调整，具有法人资格。
2、contractual joint venture; 契约式合营
相当于我国以前的中外合作经营企业；
出资的多少与利益的分享无关，是由合同的约定，按约定不按股权。
基本上采用合伙的方式，承担无限连带责任。
没有法人资格。
3、wholly-foreign-owned enterprises; 外商独资企业
没有资本输入国的（东道国）的投资者在里面，完全由外国的企业与自然人独资经营。
可能是一人公司，也有可能是多人公司。
可以是有限责任公司、也可以是合伙企业。
（我国最开始的公司法不允许独资公司，only 国有独资公司才可以；但是又规定外商投资企
业可以有国有投资公司—超国民待遇）
4、international cooperative development for natural resources; 国际合作开发自然资源
这种类型不会成立企业，但是风险很大（没有找到、不具有商业规模、。
5、land tract development by foreign investors; 外国投资者开发土地
基本由外方进行项目的开发。
6、BOT 国际技术转让

1.3 Structure of International Investment Law

注意：输入国法律、输出国法律以及双边条约和多边条约之间的关系（其实世界性的条
约很少！但是区域性的很多，比如 RCEP 等）
1、Domestic laws:
（1）Laws on foreign investment of capital-import-countries 资本输入国的外资法
（2）Laws on oversea investment of capital-export-countries 资本输出国的海外投资法
2、International Treaties:
（1）Bilateral treaties
（2）Multilateral treaties
第二节：国际投资合同范本 Section 2 Contract for Sino-foreign Equity joint Venture
2.1 Concept and characteristics 概念和特征
原来：
*中方：公司、企业、其他经济组织（无个人） *外方：公司，企业，个人，其他经济组织
 现在：外国公司、企业、个人或其他经济组织在中华人民共和国境内，同中国的公司、
企业、个人或其他经济组织，依照中华人民共和国的法律所签订的共同举办合资企业的合同。
2.2 Contents
1、General Provisions; 基本条款

Form of Contract for Sino-foreign equity joint venture

Chapter 1 General Provisions
In accordance with the Law of the People’s Republic of China on Joint Ventures Using Chinese
and Foreign Investment (the “Joint Venture Law”) and other relevant Chinese laws and
regulations, __________Company and ___________ Company, in accordance with the principle
of equality and mutual benefit and through friendly consultations, agree to jointly invest to set up
a joint venture enterprise in __somewhere_____of the People’s Republic of China.

2、Parties of the Joint Venture;

Chapter 2 Parties of the Joint Venture（可以多方）

Article 1（合营企业的当事方）
Parties to this contract are as follows: ___________Company (hereinafter referred to as Party
A), registered with __________ in China, and its legal address is at ___________ (street)
__________ (district) ___________ (city) ___________China.
Legal representative: Name:
Position:
Nationality:
__________Company (hereinafter referred to as Party B), registered with __________.
Its legal address at ___________.
Legal representative: Name:
Position:
Nationality:
(Note: In case there are more than two investors, they will be called
Party C,D…in proper order).

3、Establishment of the Joint Venture Company;

Chapter 3 Establishment of the Joint Venture Company

Article 2
In accordance with the Joint Venture Law and other relevant Chinese laws and regulations,
both parties of the joint venture agree to set up _____________joint venture limited liability
company ( hereinafter referred to as the joint venture company).
Article 3
The name of the joint venture company is __________Limited Liability Company.（有限责任公
司）～～～海南新大洲摩托车有限责任公司
The name in foreign language is __________.
The legal address of the joint venture company is at __________street
___________(city)___________ province.
Article 4
All activities of the joint venture company shall be governed by the laws, decrees and pertinent
rules and regulations of the People’s Republic of China.（都应该由中华人民共和国的法律进行管理）
Article 5
The Organization form of the joint venture company is a limited liability company. Each party to the
joint venture company is liable to the joint venture company within the limit of the capital subscribed
by it. （责任承担以出资额为限）The profits, risks and losses of the joint venture company shall be
shared by the parties in proportion to their contributions to the registered capital.（利润、风险、损
失按照注册资本分担）

4、Purpose Scope and Scale of Production and Business;

Chapter 4 The Purpose, Scope and Scale of Production and Business

Article 6
The goals of the parties to the joint venture are to enhance economic co-operation technical
exchanges, to improve the product quality, develop new products, and gain a competitive position
in the world market in quality and price by adopting advanced and appropriate technology and
scientific management methods, so as to raise economic results and ensure satisfactory economic
benefits for each investor.
(Note: This article shall be written according to the specific situations in the contract).
Article 7
The productive and business scope of the joint venture company is to produce __________
products; provide maintenance service after the sale of the products; study and develop new
products.
(Note: It shall be written in the contract according to the specific conditions).
Article 8
The production scale of the joint venture company is as follows:（规模）
1. The production capacity after the joint venture is put into operation is __________.
2. The production scale may be increased up to ____________ with the development of the
production and operation. The product varieties may be developed into ___________.
(Note: It shall be written according to the specific situation).

5、Total Amount of Investment and the Registered Capital;

Chapter 5 Total Amount of Investment and the Registered Capital（投资总额与注册资本）

Article 9
The total amount of investment of the joint venture company is RMB ___________ (or a foreign
currency agreed upon by both parties).
Article 10
Investment contributed by the parties is Renminbi __________, which will be the registered
capital of the joint venture company. Of which: Party A shall pay ____________ Yuan, accounting
for __________%; Party B shall pay ___________Yuan, accounting for __________%.
Article 11
Both Party A and Party B will contribute the following as their investment:（以什么出资）
Party A:
cash __________Yuan machines and equipment __________Yuan（机器设备出资）
premises __________Yuan（场地出资）
the right to the use of the site __________Yuan（场地使用权出资）
industrial property __________Yuan（工业产权出资）
others __________ Yuan, __________ Yuan in all.
Party B: cash __________Yuan
machines and equipment __________Yuan
industrial property __________Yuan
others __________Yuan, __________Yuan in all.
(Note: When contributing capital goods or industrial property as investment, Party A and Party B
shall conclude a separate contract to be a part of this main contract：可以分期付款到位，但是这
种出资是授权资本，而非实缴资本制度，要签订单独的合同).
Article 12
The registered capital of the joint venture company shall be paid in ___________ installments by
Party A and Party B according to their respective proportion of their investment. Each installment
shall be as follows:
(Note: it shall be written according to the concrete conditions).
Article 13
In case any party to the joint venture intends to assign all or part of his investment subscribed to
a third party, consent shall be obtained from the other party to the joint venture, and approval
from the examination and approval authority is required.
When one party to the joint venture assigns all or part of his investment, the other party has
preemptive right.（公司一旦成立，任何人不得抽回出资，但是可以转让出资，可以转让一部分也
可以转让全部，但是转让出资需要经过审批）（一般情况下，公司成立都不需要审批，但是有例外，
即金融类型的；但是一般成立不需要审批的，转让也不需要审批）
（优先受让）

6、Responsibility of Each Party;

Chapter 6 Responsibilities of Each Party to the Joint Venture

Article 14
Party A and Party B shall be respectively responsible for the following matters:
Responsibilities of Party A:
Handling of applications for approval, registration, business license and other matters concerning
the establishment of the joint venture company from relevant departments in charge of China;
Processing the application for the right to the use of a site to the authority in charge of the land;
Organizing the design and construction of the premises and other engineering facilities of the joint
venture company;
Providing cash, machinery and equipment and premises … in accordance with the provisions of
Article 11;
Assisting Party B to process import customs declaration for the machinery and equipment
contributed by Party B as investment and arranging the transportation within the Chinese territory;
Assisting the joint venture company in purchasing or leasing equipment, materials, raw materials,
articles for office use, means of transportation and communication facilities etc.;
Assisting the joint venture company in contacting and settling the fundamental facilities such as
water, electricity, transportation etc.;
Assisting the joint venture in recruiting Chinese management personnel, technical personnel,
workers and other personnel needed;
Assisting foreign workers and staff in applying for entry visas, work licenses and handling their
travel procedures;
Responsible for handling other matters entrusted by the joint venture company.
Responsibilities of Party B:
Providing cash, machinery and equipment, industrial property … in accordance with the provisions
of Article 11, and responsible for shipping capital goods such as machinery and equipment etc.
contributed as investment to a Chinese port;
Handling the matters entrusted by the joint venture company, such as selecting and purchasing
machinery and equipment outside China, etc.;
Providing necessary technical personnel for installing, testing and trial production of the equipment
as well as the technical personnel for production and inspecting;
Training the technical personnel and workers of the joint venture company;
In case Party B is the licensor, it shall be responsible for the stable production of qualified products
of the joint venture company in the light of design capacity within the specified period;
Responsible for other matters entrusted by the joint venture company.
(note: It shall be written according to the specific situation).

7、Transfer of Technology 技术转让

Chapter 7 Transfer of Technology

（技术转让：基本上是自愿原则，行政机关不得参与、强迫外方进行技术转让）
Article 15
Both Party A and Party B agree that a technology transfer agreement shall be signed between the
joint venture company and Party B (or a third party) 【外方没有以技术作价出资，而是把技术转让
给企业，该技术转让合同是一个技术进口合同，因为 B 是外国人，公司是中国公司，外方要带来新技
术 、 新 材 料 、 新 能 源 】 so as to obtain advanced production technology needed for realizing the
production and operation purpose and the production scale specified in Chapter 4 of the contract,
including product design, manufacturing technology, means of testing, materials prescription,
standard of quality and the training of personnel etc.
(Note: It shall be written in the contract according to the concrete conditions).
合营企业关于技术转让的规定：1、在注册资本中进行出资 2、专章规定转让问题
如果不是合营企业引进技术（技术转让费高、限制性条款多），与合营企业从合营股东引进技术
（关联公司）～ ～ ～所以我国鼓励从股东中引进技术。
Article 16
Party B offers the following guarantees on the transfer of technology:
(Note: Article applies only when Party B is responsible for transferring technology to the joint venture
company).
1. Party B guarantees that the overall technology such as the designing, manufacturing technology,
technological process, tests and inspection of products (Note: The name of the products shall be
written) provided to the joint venture company must be integrated, precise and reliable. It is to meet
the requirement of the joint venture’s operation purpose, and be able to obtain the standard of
production quality and production capacity specified in the contract;
2. Party B guarantees that the technology specified in this contract and the technology transfer
agreement shall be fully transferred to the joint venture company, and pledges that the provided
technology should be truly advanced among the same type of technology produced by Party B, the
model, specification and quality of the equipment are excellent and it is to meet the requirement of
technological operation and practical usage;
3. Party B shall work out a detailed list of the provided technology and technological service at various
stages as specified in the technology transfer agreement to be an appendix to the contract, and
guarantee its performance;
4. The drawings, technological conditions and other detailed information are part of the transferred
technology and shall be provided on time;
5. During the term of the technology transfer agreement, Party B shall provide the joint venture
company with any improvements in the technology and the improved information and technological
materials in time, and shall not charge separate fees;
6. Party B shall guarantee that the technical personnel and the workers in the joint venture company
can master all the technology transferred within the period specified in the technology transfer
agreement.
Article 17
In case Party B fails to provide equipment and technology in accordance with the provisions of this
contract and the technology transfer agreement or in case any deceiving or concealing actions are
found, Party B shall be responsible for compensating the direct losses to the joint venture company.
Article 18
The technology transfer fee shall be paid in royalties. The royalty rate shall be ___________% of the
net sales value of the products. The term for royalty payment is the same as the term for the
technology transfer agreement specified in Article 19 of this contract.
Article 19
The term for the technology transfer agreement signed by the joint venture company and Party B is
___________ years. After the expiration of the technology transfer agreement, the joint venture
company shall have the right to use, research and develop the imported technology continuously.
(Note: The term for a technology transfer agreement is generally no longer than 10 years, and it shall
be approved by the Ministry of Foreign Trade and Economic Cooperation or other examination and
approval authorities entrusted by the Ministry of Foreign Trade and Economic Cooperation).

8、 Chapter 8 Selling of Products 产品的销售（现在已经不存在）

9、 Chapter 9 The Board of Directors 董事会
10、Chapter 10 Business Management Office（现在不太适用）
11、 Chapter 11 Purchase of Equipment（设备采购）
12、 Chapter 12 Preparation and Construction 筹备与建设
13、 Chapter 13 Labor Management 劳动管理
14、 Chapter 14 Taxes, Finance and Audit 税务、财务与审计
15、 Chapter 15 Duration of the Joint Venture
16、 Chapter 16 The Disposal of Assets after the Expiration of the Duration
17、 Chapter 17 Insurance 保险
18、 Chapter 18 The Amendment, Alteration and Termination of the Con- tract
19、 Chapter 19 Liability for Breach of Contract
20、 Chapter 20 Force Majeure
21、 Chapter 21 Applicable Law 法律适用
22、 Chapter 22 Settlement of Disputes 争端解决（可以选择仲裁或者诉讼）
23、 Chapter 23 Language

第三节：国内法律 Section 3 Domestic Law

3.1 Laws of Capital-Import-Countries 资本输入国的法律
3.1.1 Conditions for the Entry of Foreign Investment 外资准入条件
我国现在实行：准入前国民待遇 + 负面清单
3.1.2 Control over the Activities of Foreign Invested Enterprises 对外资经营活动的管理
比如：产品要外销、原材料要在东道国购买
我国目前不进行管制；但是其他国家，在原材料设备等的购买以及出口创汇等方面进行
管理，还有要求雇佣东道国的劳动力以及科学技术人员等，利润与原本汇出的问题的限制。
3.1.3 The Protection and Encouragement of Foreign Investment 保护和鼓励外国投资
保护性：一般不会对外商投资企业进行征收和国有化，如果要，则补偿标准会高。发展
中国家一般对补偿是“合理的”“适当的” 。
鼓励性：国内投资无法享受，主要表现在税收方面，比如三减两免：两年免费，三年减
半；这是一种超国民待遇。我国的超国民待遇很少了，发达国家没有这种超国民待遇的规定。
3.2 Laws of Capital-Export -Countries 资本输出国的法律制度
3.2.1 Enouagement and Control of Oversea Investment 鼓励与管理
鼓励性：在经济上和财政上进行鼓励。比如提供贷款；以及税收方面，在海外进行投资
的企业把利润汇回来时减免；在信息情报上会给投资人提供。
管理性：在税收方面进行严格管理，预防偷税与漏税。
3.2.2 Oversea Investment Insurance System 资本输出国的海外投资保险制度
（必考非常重要！）
（原因：因为政治风险一般是商业保险公司的除外条款）
1、Concept and characteristics 概念与特征
* 概念：
* 特征：
A.提供保险的一方不是商业保险公司，而是资本输出国的政府或公营机构。
B.所承保的风险是政治风险，而非普通的商业风险。
C.保险事故发生后，保险机构给予损失补偿
2、Scope 范围 : Political risk 政治风险
征收、外汇险、战争、内乱险
( inconvertability/ expropriation/ war, revolution,insurrection)
3、Object 承保对象
（1）投资（不能是贸易等）；
且必须属于投资的要求：
A. 投资是否符合资本输出国的利益，是否资本输出国鼓励投资的；
B. 投资是否有利于东道国（资本输入国）的利益（因为符合资本输入国的利益则风险会小）
对投资的东道国有要求
【比如美国要求必须是 BIT 国家，有的要求必须是发展中国家】
4、Parties 当事人
* 海外投资的保险人只有三种：
（1）政府成立的国有公司（典型美国）；
（2）政府机构（典型日本）；
（3）政府与公司共同承担，政府是审批，公司是进行业务的经营（典型德国）
无论保险人是什么性质，在海外投资保险中是当事人一方。
（是一种鼓励措施，鼓励海外投资）
B 投资者两种情况：
（1）在本国设立的具有本国国籍的企业 + 股份大多数由本国人掌握（51%）；
（2）外国企业但由本国国民控股绝大多数（90%）。
(5)Indemnification for loss 损失赔偿
海外投资保险与普通商业保险的差异性：
普通商业保险是有损失有补偿，有足额保险和足额赔偿规定；但海外投资保险没有足额
保险和足额赔偿，就算有，也要自担 10%的损失！！！只能赔偿补偿 90%。
(6)Right of subrogation 代位权
A. 原因：
财产保险中一份损失两份赔偿———不当得利；
但是人身保险一般不会存在只能一份赔偿的情形，不会存在不当得利（例外：可以明确的
数额一般只赔偿一份即可，比如医疗费）。
B. 方式：
当母国对投资者赔偿后，母国就取得了投资者对东道国的索赔权，母国可以向东道国要
求赔偿。
（有的国家有适用的要求：比如美国要求母国与东道国有双边投资协定；如果没有双边投资
协定，则可以去 WBG 中的 MIGN 进行投保，避免无法赔偿的情形；MIGN 鼓励资本投向发
展中国家）
注意:一般都是去发展中国家投资才需要进行保险，因为在发展中国家风险发生具有不确
定性。
P340 看看！

第四节：关于跨国投资的国际条约
Section 4 International Treaties Concerning Transnational Investment
4.1 Bilateral Investment Treaties 双边投资条约（BIT）
两个国家合意即可达成；但是也会存在一些强势性范本（比如美国的条约模板）。
4.1.1 Types and Function of Bilateral Investment Treaties 双边投资条约的类型与作用
Types:
（1）Friendship,Commercial and Navigation Treaties 友好通商航海条约
多在 2 战前存在，美国创设，那个时候没有单独的投资条约，体现在该综合性的双边条
约中，其中规定了投资的问题
（2）Investment Guarantee Agreement 投资保证协定
美国式的投资保证协定，为了配合海外投资保险制度，主要规定一些代位规范
（3）Agreement for Promotion and Protection of Investment 促进和保护投资协定
德国创设，怎样促进投资，双方的待遇以及如何保护，不仅仅配合海外投资保险制度，
还有其他的促进和保护规定，范围比投资保证协定广泛
4.1.2 Function 功能
A. 投资待遇
B. 投资安全问题
C. 争端解决（注意：征收与国有化问题— — — 岔路口条款、保护伞条款等等）
4.1.3 Content of Bilateral Investment Treaties

Article 2.Objective and Purposes

The objective of the Agency shall be to encourage the flow of investments for productive
purposes among member countries, and in particular to develop member countries, thus
supplementing the activities of the International Bank for Reconstruction and （鼓励向生产性的
投资，尤其是对发展中国家，以补充国际复兴开发银行和国际金融公司的业务不足）Development
(hereinafter referred to as the Bank), the International Finance Corporation and other
international development finance institutions.
To serve its objective, the Agency shall:
(a) issue guarantees, including coinsurance and reinsurance, against
non-commercial risks in respect of investments in a member country which
flow from other member countries;（提供保证，包括共同的保险用于抵御在投资
方面的非商业性的风险，且必须在成员国之间）
(b) carry out appropriate complementary activities to promote the flow of
investments to and among developing member countries; and（开展适当的辅
助性活动，以促进资产在发展中国家之间流通）
(c) exercise such other incidental powers as shall be necessary or desirable in
the furtherance of its objective.（推动目标的实现）
The Agency shall be guided in all its decisions by the provisions of this Article.

Membership and Capital

Article 4.Membership
(a) Membership in the Agency shall be open to all members of the Bank and to
Switzerland（特殊情况）.
(b) Original member shall be the States which are listed in Schedule A hereto
and become parties to this Convention on or before October 30, 1987.
Article 5.Capital 资本（因为类似于保险公司～～～只能用资本货币出资）
(a) The authorized capital stock of the Agency shall be one billion Special
Drawing Rights (SDR 1,000,000,000). The capital stock shall be divided into
100,000 shares having a par value of SDR 10,000 each, which shall be available
for subscription by members. All payment obligations of members with respect to
capital stock shall be settled on the basis of the average value of the SDR in
 terms of United States dollars for the period January 1, 1981 to June 30, 1985,
such value being 1.082 United States dollars per SDR.
(b) The capital stock shall increase on the admission of a new member to the
extent that the then authorized shares are insufficient to provide the shares to be
subscribed by such member pursuant to Article 6.
(c) The Council, by special majority, may at any time increase the capital stock of
the Agency.

Operations 操作 很重要！
Article 11.Covered Risks 承保风险
(a) Subject to the provisions of Sections (b) and (c) below, the Agency may
guarantee eligible investments against a loss resulting from one or more of the
following types of risk:
(i) Currency Transfer 货币汇兑险
any introduction attributable to the host government of restrictions
on the transfer outside the host country of its currency into a freely
usable currency or another currency acceptable to the holder of
the guarantee, including a failure of the host government to act
within a reasonable period of time on an application by such holder
for such transfer; 政府采取措施限制货币兑换，限制兑换为可以自
由使用的货币，或被保险人希望使用的货币，以及可以兑换但是限
制汇出，以及政府没有在合理时间内采取行动。（禁止兑换/禁止汇
出/政府不作为）
(ii) Expropriation and Similar Measures 征收或类似风险
any legislative action or administrative action or omission
attributable to the host government which has the effect of
depriving the holder of a guarantee of his ownership or control of,
or a substantial benefit from, his investment, with the exception of
non-discriminatory measures of general application which the
governments normally take for the purpose of regulating economic
activity in their territories;
东道国政府— — —立法、行政、懈怠，实际上剥夺了投资者的所
有权或控制权以及应获得的收益。但是政府为管理境内的经济活动
而采取的普通的普遍适用的非歧视性的措施并非算征收或类似行
为。
(iii) Breach of Contract 违约险
any repudiation or breach by the host government of a contract
with the holder of a guarantee, when (a) the holder of a guarantee
does not have recourse to a judicial or arbitral forum to determine
the claim of repudiation or breach, or (b) a decision by such forum
is not rendered within such reasonable period of time as shall be
 prescribed in the contracts of guarantee pursuant to the
Agency's regulations, or (c) such a decision cannot be
enforced; and
东道国政府违反合同：被保险人无法求助司法或仲裁机关对有关
诉讼作出裁决 ➕ 司法机构或仲裁机构没有在规定的期限内作
出裁决 ➕ 作出裁决但是裁决无法执行
(iv) War and Civil Disturbance 战争与内乱
any military action or civil disturbance in any territory of the
host country to which this Convention shall be applicable as
provided in Article 66.
东道国境内的任何军事活动或内乱
(b) Upon the joint application of the investor and the host country, the Board, by
special majority, may approve the extension of coverage under this Article to
specific non-commercial risks other than those referred to in Section (a) above,
but in no case to 【兜底条款】
除了上述四个外，根据投资者与东道国的联合申请，且董事会特别多数票通过了
的，可以扩大到上述之外的非商业风险，但是无论如何不可能包括货币贬值与货
币贬值的风险。（判断题并说明理由）
(c) Losses resulting from the following shall not be covered:
下列损失不予担保：
(i) any host government action or omission to which the holder
of the guarantee has agreed or for which he has been
responsible; and 担保持有人已同意或应对此负责的东道国政
府的任何作为或不作为;和
(ii) any host government action or omission or any other event
occurring before the conclusion of the contract of guarantee.
在订立担保合同之前发生的东道国政府作为或不作为或任何其
他事件。

Article 12.Eligible Investments 合格的投资

(a) Eligible investments shall include equity interest, including medium- or
long-term loans made or guaranteed by holders of equity in the enterprise
concerned, and such forms of direct investment as may be determined by the
Board.符合条件的投资应包括股权，包括有关企业股权持有人发放或担保的中期
或长期贷款，以及董事会可能确定的直接投资形式——注意必须直接投资！
(b) The Board, by special majority, may extend eligibility to any other medium-
or long-term form of investment, except that loans other than those mentioned
in Section (a) above may be eligible only if they are related to a specific
investment covered or to be covered by the Agency.
(c) Guarantees shall be restricted to investments the implementation of which
begins subsequent to the registration of the application for the guarantee by the
 Agency. Such investments may include:投资应该是一个“新的投资”，即投保的
时候还没有进行投资，因为保险是对未来的担保，如果已经投了再担保顺序倒置
了！！！
（不论如何，投资要由董事会判断）
(i) any transfer of foreign exchange made to modernize, expand,
or develop an existing investment; and 为使现有投资现代化、扩
大或发展而转让外汇;和
(ii) the use of earnings from existing investments which could
otherwise be transferred outside the host country.利用现有投资的
收益，否则这些收益可以转移到东道国以外。
(d) In guaranteeing an investment, the Agency shall satisfy itself as to:
审查的内容～～～关键：是否符合东道国的利益（注意：海外投资保险制度
要考虑母国的利益与东道国的利益！但 MIGA 只考虑东道国利益）
(i) the economic soundness of the investment and its contribution
to the development of the host country;对东道国有无贡献
(ii) compliance of the investment with the host country's laws and
regulations;投资符不符合东道国的法律
(iii) consistency of the investment with the declared development
objectives and priorities of the host country; and 投资与东道国的
发展目标与重点是否一致
(iv) the investment conditions in the host country, including the
availability of fair and equitable treatment and legal protection for
the investment. 是不是符合东道国的投资条件
股权的直接投资➕新的投资➕符合东道国利益的投资

Article 13.Eligible Investors 合格投资者

(a) Any natural person and any juridical person may be eligible to receive the Agency's
guarantee provided that:任何自然人和法人都有资格获得机构的担保，条件是:
(i) such natural person is a national of a member other than the
host country;该自然人是东道国以外成员的国民;
(ii) such juridical person is incorporated and has its principal
place of business in a member or the majority of its capital is
owned by a member or members or nationals thereof, provided
that such member is not the host country in any of the above
cases; and 该法人成立并主要营业地在某一成员，或其大部分资本
为某一成员或其成员或其国民所有，但该成员在上述任何情况下并
非东道国;和
(iii) such juridical person, whether or not it is privately owned,
operates on a commercial basis.该法人不论是否为私人所有，均
以商业方式经营。
 (b) In case the investor has more than one nationality, for the purposes of
Section (a) above the nationality of a member shall prevail over the nationality
of a non-member, and the nationality of the host country shall prevail over the
nationality of any other member.如投资者具有一种以上国籍，就上文第(a)节而
言，成员的国籍应优先于非成员的国籍，东道国的国籍应优先于任何其他成员
的国籍。
(c) Upon the join application of the investor and the host country, the Board,
by special majority, may extend eligibility to a natural person who is a national
of the host country or a juridical person which is incorporated in the host
country or the majority of whose capital is owned by its nationals, provided
that the assets invested are transferred from outside the host country.对投资
者和东道国的加入应用程序,董事会,通过特殊多数,资格可能延伸到东道国的自
然的人是一个国家或一个法人融入东道国或大部分的资本属于国民,但投资的
资产须从东道国境外转移。

*注意：在双边与多边的中间地带还有区域性的条约，但是在区域中没有哪一个条约专门是
规定有关投资的，而都是一种综合性的条约，比如欧盟、东盟、北美自贸区、RCEP（《区
域全面经济伙伴关系协定》）。
*注意：自贸港的开放与 RCEP 之间的关系：自贸港的开放是一种单方的，但是 RCEP 是一种
条约性的，且只有自贸港的开放比 RCEP 更加广泛，才有可能吸引外商投资。

4.2 Multilateral Treaties

4.2.1 Convention Establishing Multilateral Investment Guarantee 建立多边投资担保公约
(1)Legal Status and Structure
必须是非东道国的自然人，鼓励跨国投资行为
(2)Business of the Agency
(3)Function
4.2.2 Agreement on Trade -Related Investment Measures (TRIMs) 与贸易有关的投资措施协定
【书上 P330】
1、背景：乌拉圭谈判的产生的新的议题，美国与加拿大之间的投资问题，以美国胜诉为结
果
2、地位：WTO 中的附件 1 的 A
3、原则：国民待遇、取消数量限制原则
4、五种被禁止的与贸易有关的投资措施（理解掌握）
(1)要求企业购买或使用当地生产的或来自于当地的产品;
(2)限制企业购买或使用进口产品的数量，并把这一数量与该企业出口当地产品的数量或价
值相联系。
(3)普遍性地或依企业出口当地产品的数量或价值量，限制企业进 口用于当地生产或与当地
生产相关的产品;
(4)依据企业所创外汇收入的数量，通过限制其获得外汇的要求，限制企业进口用于当地生
产或与当 地生产有关的产品;
(5)限制企业出口产品或为出口而销售产品。
4.2.3 General Agreement on Trade in Service (GATS) 服务贸易总协定
1、背景：乌拉圭回合的新议题，发达国家提出，发展中国家反对（因为发展中国家不开放
服务贸易，不具有竞争力）
2、地位：WTO 附件 1 中的 B
3、四种类型的服务贸易：
（1）跨境提供：当事人- - -服务贸易的提供者和服务贸易的消费者都在自己的本国境内，完
成跨境服务
（2）境外消费：服务贸易的提供者没有动，但是服务贸易的消费者动
（3）商业存在：服务贸易的消费者没有动，服务贸易的提供者动了———国际投资（投资
的服务行业）
（4）自然人流动：服务贸易的消费者不动，服务贸易的提供者动了，即当提供者为自然人
时，非单位
4、注意的几个问题
（1）服务贸易与 WTO 附件一的 A 中的货物贸易
* GATS 服务贸易：最惠国待遇原则 + 透明度原则
*货物贸易：国民待遇原则 + 一般取消数量限制原则等
（2）GATS 服务贸易中的具体承诺：国民待遇 + 市场准入
具体承诺：加入 WTO 时承诺怎么开发市场，何时开放市场，开放什么市场
即要看该国在加入 WTO 时具体作出的关于市场准入与国民待遇的承诺，每个国家的规定
都不一样。
* 市场准入：货物贸易通过海关管理，服务贸易通过国家政策与法律管理
* 国民待遇：在加入要关于国民待遇的问题附承诺表，而非是 GATS 的基本原则！（注意：
国民待遇在 TRIPS 和货物贸易中是基本原则）

第五节：国际金融法（货币资金的融通）
Chapter 5 International Financing Law
* 整体框架：
1、Monetary System 货币制度
(1)History 历史
(2)Current situation 现状
2、Forms of International Finance 国际金融贷款形式
Loan 贷款 Bond 债券 Stock 股票 Project 项目
3、Legal Control on Finance 对金融的法律监管

Section 1 General Introduction 第一节 概论

1.1 Concept and Characteristics 概念和特征
1、概念：国际金融是指货币资金的融通，国际金融法是调整国际货币关系的法律规范的总
称。
2、特点：
A. 国际性：国际金融是一种国际性的货币金融关系，主体、标的、交易行为等具有跨国因
素，完全区别于国内的金融法。
B. 基础性：相对于国际投资和国际贸易而言，国际金融处于一种基础性的地位，如果没有
国际金融则无法进行前两项活动，只要有国际交往就需要货币制度，也就离不开国际金融法。
C. 实践性：国际金融法规定了许多跨国交易的管理等，在内容上、功能上具有实际操作性，
并且还具有技术性，并非空洞理论，与实践紧密结合。

1.2 International Monetary System 国际货币体制（制度）

1、Gold Standard System 金本位制
即：黄金作为国际货币通融手段
2、Bretton Woods System 布雷顿森林体系
第一，实行双挂钩制，即美元与黄金挂钩，其他国家的货币与美元挂钩，以美元作为国
际货币中心的货币体系；第二，固定汇率，确定以美元为中心的固定汇率制，即每个国家都
有义务确定自己的兑换比率与美国一致（上下比率不超过 1%）
【Triffin dilemma】美元与黄金脱钩，so 布雷顿森林体系解体
特里芬两难：又被称为“信心与清偿力两难”，是由著名国际金融专家、美国耶鲁大学教授
罗伯特·特里芬提出的布雷顿森林体系存在着的自身无法克服的内在矛盾，这一内在矛盾在
国际经济学界称为特里芬两难。
布雷顿森林体系是建立在美国一国的经济基础上的，以美元一国货币作为主要的国际储
备和支付货币，如果美国国际收支保持顺差，那么国际储备资产就不能满足国际贸易发展的
需要，就会发生美元供不应求的短缺现象；但如果美国的国际收支长期保持逆差，那么国际
储备资产就会发生过剩现象，造成美元泛滥，进而导致美元危机，并危及布雷顿森林体系。
特里芬两难决定了布雷顿森林体系的不稳定性和垮台的必然性。
3、Jamaica System 牙买加体系
实际上是对布雷顿森林体系瓦解的确认，非新的体系，即在会议上确定了布雷顿森林体
系的解体，并且脱钩了！实行浮动汇率！推行黄金非货币化，增强特别提款权的作用。
现在实行的是多元化货币体系：特别提款权 SDR，比较稳定。

1.3 International Financing Law Types of International Financing 国际融资的方式

1、Loan 贷款— — — 签订国际贷款合同
（1）概念：国际贷款：借款人以贷款协议方式向其他国家或地区的贷款人借贷资金的国际
融资方式。（借款人与贷款人的关系）
（2）特点：
A. 借款人与贷款人分布在不同地区
B. 本质上是债权债务关系
C. 是一种合同性融资
（3）类型：
A. Government Loan 政府贷款
借款方和贷款方都必须为政府，基本上都具有优惠性贷款——期限长、利息低且没有附
加费用，但是基本上都会附加条件，比如本国购买技术等，且政府贷款一般都为项目贷款（，
不能是日常开支，这种项目一般都是贷款方给借款方建设，带有劳务输出、技术输出、物资
输出等）
B. International Financial Institution Loan 国际金融机构贷款
一般都是优惠性贷款，国际利率也较低
C. International Commercial Bank Loan 国际商业银行贷款
利率、条件按照国际通用惯例进行，以营利为目的，没有优惠
2、International Bond Financing 国际债券融资
A. International Bond Financing 国际债券融资
（政府、企业、金融机构都可以发行，但是国际债券融资必须要跨国发行）
*国际贷款与 国际债券融资
共性：本质上都会产生债权债务关系
区别：
（1）当事人：国际贷款中双方当事人固定；国际债券融资中债权人不确定，债务人是确定
的
（2）合同性质不同：国际贷款的合同不能随便转让；国际债券融资基本上都可以转让，具
有流通性。国际贷款具有合同性质；国际债券融资具有证券性质
B. Foreign bonds 外国债券
在国外发行，在某个国家发行，用该国的货币标明债券的价值；比如中国在日本发行
C. Euro bonds 欧洲债券
在外国发行，但是债券上的价值以第三国标明债券价值；比如在日本发行的美元债券
一个用当地的货币表明，一个是用第三国
D. Fixed rate bond 固定利率债券
E. floating rate bond 浮动利率债券
债券上没有标明利率，但是可能会写明标准，比如比同期银行高多少，多为长期债券
F. zero-coupon bond 零息债券
债券上没有利息，在发行时一般都折价发行，在购买时打折购买，但是兑换时（股价不
可以折价发行：说明可能达不到注册资本，但是可以平价发行、溢价发行）
G. convertible bond 可转换债券
可以将债券转化为公司的股票，一旦转化就从债权人到公司股东
H. inconvertible bond 不可转换债券
即债券不能转换为公司的股票
I. Order bond 记名债券
记载债权人姓名，丢失了可以补发
J. bearer bond 不记名债券
丢失不得主张补发
3、International Stock Financing 国际股票融资 (必须先是股份有限公司)
* 国际债券融资与国际股票融资
共同：都是募集资金的手段，都是有价证券，都可以流通
区别：
（1）跟公司的关系：债权人与股东
（2）期限：债券都有期限，但是股票没有期限性
（3）收益不一样：债券收益是固定的，但是股东的收益并不确定，看有无红利
（4）清偿顺序不同：债权人的清偿顺序优于股东的清偿顺序
A. Domestically Listed B Shares in Foreign Currencies 境内上市外资股（即我国的 B 股）
在中国发行股票的外国企业，用人民币标明票面，但是中国人要用外币购买
B. Overseas Listed Shares in Foreign Currencies 境外上市外资股
我国的企业在外国上市，用当地的，境外的投资者要用外币购买（比如新加坡 S 股）

Section 2 International Loan Contract 第二节 国际借贷合同

2.1 Concept and Characteristics 概念和特征
1、概念：国际贷款合同：规定贷款人与借款人之间的国际借贷债权债务关系的国际协议
2、特征：借款人与贷款人在不同的国家，合同中的标的是，涉及的法律，争议解决的管辖
（归纳特点最好写三点比较稳妥：比如论文～国际贷款协议法律适用的现状-国际贷款协议
法律适用的问题-国际贷款协议法律适用的完善及对策）
———借款人是债务人 borrower；贷款人是债权人 lender；一般司法管辖会选择 lender 的
一方

2.2 Main Content 主要内容

1、Introductory clause (parties; whereasclause)
介绍条款 （当事人；鉴于条款～许可合同里也有）
（1）Principal amount
（2）Interest
（3）Security
（4）Expenses
（5）Duration
有合同模板！！！

Section 3 International Treaties 第三节 国际条约

巴塞尔协议：有三个，体现了对国际金融机构和国际金融活动的监管
3.1 General Introduction
3.2 Basel Accord
3.2.1 General Introduction
3.2.2 Main Contents

Chapter 6 International Tax Law 第六章 国际税法

Section 1 General Introduction
1.1 Concept and Characteristics
1、概念：调整国际税收关系的法律规范的总称。
税收关系：
狭义：国家之间的税收分配关系
广义：不仅包括国家间的税收分配关系，还调整与跨国纳税人的税收征纳关系
2、特点：
（1）调整对象为税收分配关系和税收征纳关系
（2）调整主体一个是国家一个是纳税人（自然人或法人），国家具有双重身份，在税收分
配关系上平等，但是在税收征纳关系不平等，国家只享有权利没有义务，但是纳税人只有义
务没有权利
（3）客体：纳税人的跨国所得，一定是跨国的应纳税所得
1.2 Sources of International Tax Law 国际税法的法律渊源
（1）公法性质的法律规范
（2）包括国际法规范和国内法规范
（3）国际税法既包括实体法上的法律规范，也包括程序上的法律规范
1.2.1 Domestic Laws
国内的所得税法
我国现在内外一致，不区分外国人与本国人
1.2.2 International Tax Agreement
国际条约：双边、多边、区域等
1.3 Function of International Tax Law 国际税法的作用（这次可能有简答题）
（1）国际税法是各国维护国家主权利益的重要法律手段
（2）国际税法是国家间贯彻平等互利原则、促进国家经济交往不断扩大的有效法律手段
（3）国际税法可以有效地保证本国鼓励外来投资的优惠政策措施真正地发挥作用
（比如：很多国家对外商投资企业具有优惠政策，比如中国对外来投资者实行三减两免的税
收优惠，但是外来投资者回到本国作为居民纳税人仍然需要纳税，根据国际法的税收饶让制
度规定虽然在中国没有缴纳税收，但是是因为税收减免，所以视为已经征税，所以在外国投
资者本国不再需要交税。）

Section 2 Taxation Jurisdiction 税收管辖权

2.1 Concept 概念
税收管辖权：一国政府对特定的人或特定的对象征税的权力。
税收管辖权产生的依据：国家主权，属人管辖或属地管辖
2.2 Resident and Resident Jurisdiction
1、居民税收管辖权：基于属人管辖获得的管辖权
2、收入来源地税收管辖权：基于属低管辖获得的管辖权
2.2.1 Confirmation Standard for Resident
居民身份判断的标准
Confirmation for Resident of Nature Person
* 自然人的居民税收管辖权的判定标准：
Domicile：住所标准
Period of Stay：居留的时间
Nationality：国籍
注意：一旦被该国认定为居民纳税人，则要对其全球所得进行纳税
2.2.2 Confirmation for Resident of Artificial Person
* 法人的居民税收管辖权的判定标准：
Place of actual administrative organization ：实际管理机构所在地
Place of registration ：法人的注册成立地
Place of the head office：法人的总部所在地

2.3 the Place of Source and Source Jurisdiction 收入来源地税收管辖权

2.3.1 Classification of Transnational Income 收入分类
Business income ：营业所得— — —营业活动发生地
Investment income：投资所得— — —支付国家/收入地（一般为支付地）
Income from labor service：劳务所得— — —劳务行为发生的、劳务费用支付地
Income from Property：财产所得— — —不动产所得（不动产所在地）
3.2 Confrmation Standard for the Place of Source

Section 3 International Double Taxation and Overlapping Taxation

第三节 国际重复征税和重叠征税
3.1 International Double Taxation 重复征税
3.1.1 Concept and Characteristics 概念和特征
1、概念：国际重复征税：不同国家（2 个或两个以上的国家）各自依据其税收管辖权，按
照同一税种对同一纳税人的同一征税对象在同一征税期间同时征税。
2、特点：
（1）征税主体两个或两个以上
（2）纳税主体是同一个人
（3）同一税种
（4）同一期间
（5）会加重纳税人的负担
3.1.2 Harm of International Double Taxation
3.1.3 Causes 重复征税的原因
本质：税收管辖权冲突
类型：
（1）居民税收管辖权与居民税收管辖权的冲突：比如一个以国籍，一个以居留时间，一个
以住所
（2）收入来源地管辖权与收入来源地管辖权的冲突：比如美国公司在沙特阿拉伯拍戏
（3）居民税收管辖权与收入来源地管辖权的冲突：比如外出工作等
3.1.4 Methods for Elimination of International Double Taxation 避免重复征税的方法
(1)International Agreement 国际税收协定
(2) Exemption System 免税制
两种做法：
①全额免税： 对来自境外的已经交过税的不再收税。
②累进免税： 对来自境外的收入不再征税，但是在境内纳税时会在税率方面考虑境外的收
入，适用的税率比较高，注意：对境外的收入不征税！
(3) Deduction 扣除制————不能真正地、实际地减轻税收负担
对境内与境外的收入都作为应纳税所得，把境外已经交过的税扣除，再乘以税率。
比如：境内收入 30 万，境外收入 20 万，境外的税率 10%，已缴纳 2 万，所以在国内的税收：
｛（30+20）-2｝* 国内税率=应纳税额
(4) Credit System 抵免制（我国适用限额抵免）～～～要考试
1、Full Credit
全额抵免：在境外缴纳的所有税，在境内都能被抵免
比如 A 是甲国人，在甲国有 30 万收入，在乙国有 20 万收入
2、Limitation Credit
限额抵免：不论在境外缴纳多少税，境内抵免的上限是以本国的税率为上限（最高限额）
①Overall Limitation 综合限额抵免
先分别算在其他国应该缴纳的，再用外国的收入总额乘以本国税率得出最高限额，再看是否
超过限额
②per country limitation 分国别限额抵免
看税率，如果高则用本国税率，如果低就用其他国税率

* 案例：
甲国某公司国内应纳税所得额为 100 万美元，来自乙国分公司的应纳税所得额为 20 万美元，
来自丙国分公司的应纳税所得额也是 20 万美元。甲乙丙三国的公司所得税税率分别是 46%、
60%和 30%。
问题：
（1）该公司在乙国和丙国分别应纳税多少？
乙国：20*60%=12 万
丙国：20*30%=6 万
（2）若甲国采用分国别限额抵免法避免国际重复征税，则该公司应向甲国缴纳公司所得税
多少？
分国别：
（100+20+20）*46%—20*46—20*30%=49.2
即：64.4-9.2-6=49.2 万
（3）若甲国采用综合抵免限额法避免国际重复征税，则该公司应向甲国缴纳公司所得税多
少？
综合：
（20+20）*46%=18.4 大于 20*60%+ 20*30%=18
SO：
（100+20+20）*46%—18=46.4

3.2 International Overlapping Taxation 国际重叠征税

3.2.1 Concept and Characteristic 概念与特征
国际重叠征税是指由于两个或两个以上的国家，各自依据其税收管辖权，对同一所得按本
国税法，对公司和股东分别征税，形成对不同纳税人的同一所得征收两次以上税收的行为。
法律意义上的（国际重复征税）和经济意义上的征税（国际重叠征税）
3.2.2 Difference between double taxation and overlapping taxation
国际重复征税与国际重叠征税的区别
①纳税人数量不同：国际重复征税同一纳税人的同一所得；国际重叠征税不同纳税人的同一
所得两次或者多次
②征税范围不同：国际重复征税只存在于国际间，一国内不存在；重叠征税既可以在国际间，
也可以在一国内
③征税对象不同：国际重复征税一般发生在单个公司或者单个个人；国际重叠征税至少有一
个纳税人是公司
3.2.3 Harm of international Overlapping 国际重叠征税的弊端
增加纳税人负担，影响国际投资
3.2.4 Methods for Elmintion of Overapping Taxation 避免重复征税的方法
1、股息收入国：
①对来自外国的股息减免所得税
②允许国内母公司和国外子公司合并报税（要有国际协议）
③采用间接抵免
* 间接抵免案例：
某公司境内所得 100 万，境外股息 10 万（税后），境内税率 30%，境外税率 20%，如果该
国采用间接抵免，则该公司应该缴纳多少税收？
未缴税之前的境外收入：X*（1-20%）=10 万，X=12.5 万
没有任何优惠下：（100+12.5）*30%=33.75 万
在境外已缴纳税收：12.5-10=2.5 万
应缴纳税：33.75-2.5=31.25 万
2、股息付出国：
①双税率制：对用于股息分配的利润和非用于股息分配的采用不同的税率
②冲抵制/折税制：实质是一种退税制，正常征税后将股息分配的利润税收退还
Section 4 International Avoidance and Evasion of Taxation
第四节 国际逃税与国际避税
4.1 Concept and Differences 概念与区别
1、概念：
国际逃税：一般是指纳税人采用某种违反税法的手段或措施，减少或逃避就其跨国所得
依法本应承担的纳税义务的行为。
国际避税：一般是指纳税人利用某种形式上并不违法的方式，减少或规避其就跨国所地
本应承担的纳税义务的行为。
2、区别：
①性质：国际逃税采用欺诈手段，是非法行为，国际避税是合法行为
②方法：国际逃税是一种比较隐秘的手段，比如做假账、虚开发票等等行为；国际避税采用
公开利用税法漏洞或各国间的税法差异达到避税目的
③后果：国际逃税要追究法律责任；国际避税只能要求国家完善税法或者是加强国际合作
4.2 Main Ways 主要方式
4.2.1 Main Ways of International Evasion of axation 国际逃税的主要方式
违法不向税务机关申报纳税资料；谎报应税收入；虚构、多列成本、费用、折旧等扣除
项目；伪造账册和收支凭证等直接违反有关国家税法的规定。
4.2.2 Main Ways of International Avoidance of Taxation 国际避税的主要方式
①国际关联企业滥用转移定价交易避税
②利用避税港基地公司避税
③资本弱化避税
④滥用国际税收协定避税
4.3 Counter measures 相应的措施