国际统一私法协会国际商事合同通则 第4至7章

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第四章 合同的解释CHAPTER 4 — INTERPRETATION

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

(1)合同应根据当事人各方的共同意思予以解释。

(1) A contract shall be interpreted according to the common intention of the parties.

 

(2)如果该意思不能确立，合同应根据一个与各方当事人具有同等资格的、通情达理的人在处于相同情况下时，对该合同所应有的理解来解释。

(2) If such an intention cannot be established, the contract shall be interpreted according to the meaning that reasonable persons of the same kind as the parties would give to it in the same circumstances.

 

第4.2条 对陈述和其他行为的解释

 ARTICLE 4.2 Interpretation of statements and other conduct

(1)一方当事人的陈述和其他行为应根据该当事人的意思来解释，如果另一方当事人已知或不可能不知道该意思。

(1) The statements and other conduct of a party shall be interpreted according to that party’s intention if the other party knew or could not have been unaware of that intention.

 

(2)如果前款不适用，上述陈述和其他行为应根据一个与另一方当事人具有同等资格的、通情达理的人在处于相同情况下时，对该合同所应有的理解来解释。

(2) If the preceding paragraph is not applicable, such statements and other conduct shall be interpreted according to the meaning that a reasonable person of the same kind as the other party would give to it in the same circumstances.

 

第4.3条 相关情况  ARTICLE 4.3 Relevant circumstances

适用本章第4.1条和第4.2条时，应考虑所有情况，包括:

In applying Articles 4.1 and 4.2, regard shall be had to all the circumstances, including

 

(a)当事人之间的初期谈判;

(a) preliminary negotiations between the parties;

 

(b)当事人之间已确立的习惯做法;

(b) practices which the parties have established between themselves;

 

(c)合同订立后当事人的行为;

(c) the conduct of the parties subsequent to the conclusion of the contract;

 

(d)合同的性质和目的;

(d) the nature and purpose of the contract;

 

(e)在所涉交易中，通常赋予合同条款和表述的含义;

(e) the meaning commonly given to terms and expressions in the trade concerned;

 

(f)惯例。(f) usages.

 

第4.4条 合同或陈述作为整体考虑  

ARTICLE 4.4 Reference to contract or statement as a whole

合同条款和表述应根据其所属的整个合同或全部陈述予以解释。

Terms and expressions shall be interpreted in the light of the whole contract or statement in which they appear.

 

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

对合同各项条款的解释应以使它们全部有效为宗旨，而不是排除其中一些条款的效力。

Contract terms shall be interpreted so as to give effect to all the terms rather than to deprive some of them of effect.

 

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

如果一方当事人所提出的合同条款含义不清，则应做出对该方当事人不利的解释。

If contract terms supplied by one party are unclear, an interpretation against that party is preferred.

 

第4.7条 语言差异  ARTICLE 4.7 Linguistic discrepancies

如果合同是以两种或两种以上具有同等效力的文字起草的，若这些文本之间存在差异，应优先依据合同最初起草的文字予以解释。

Where a contract is drawn up in two or more language versions which are equally authoritative there is, in case of discrepancy between the versions, a preference for the interpretation according to a version in which the contract was originally drawn up.

 

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

(1)如果合同当事人各方就一项确定其权利和义务的重要条款未达成一致，应补充一项于该情况下适当的条款。

(1) Where the parties to a contract have not agreed with respect to a term which is important for a determination of their rights and duties, a term which is appropriate in the circumstances shall be supplied.

 

(2)在决定何为适当的条款时，除其他因素外，还应考虑以下情况:

(2) In determining what is an appropriate term regard shall be had, among other factors, to

 

(a)各方当事人的意思;(a) the intention of the parties;

 

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

 

(c)诚实信用和公平交易原则;(c) good faith and fair dealing;

 

(d)合理性。(d) reasonableness.

 

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

第一节 合同的内容SECTION 1: CONTENT

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

各方当事人的合同义务可以是明示的，也可以是默示的。

The contractual obligations of the parties may be express or implied.

 

第5.1.2条 默示的义务  ARTICLE 5.1.2 Implied obligations

默示的义务源自于:Implied obligations stem from

 

(a)合同的性质与目的;(a) the nature and purpose of the contract;

 

(b)各方当事人之间确立的习惯做法，以及惯例;

(b) practices established between the parties and usages;

 

(c)诚实信用和公平交易原则;(c) good faith and fair dealing;

 

(d)合理性。(d) reasonableness.

 

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

每一方当事人应与另一方当事人合作，如果该一方当事人在履行其义务时，可合理地期待对方当事人提供此类合作。

Each party shall cooperate with the other party when such co-operation may reasonably be expected for the performance of that party’s obligations.

 

第5.1.4条 获得特定结果的义务和尽最大努力的义务

ARTICLE 5.1.4 Duty to achieve a specific result. Duty of best efforts

 

(1)如果一方当事人的义务在一定程度内涉及获得某一特定的结果，则该方当事人在该程度内有义务获得此特定结果。

(1) To the extent that an obligation of a party involves a duty to achieve a specific result, that party is bound to achieve that result.

 

(2)如果一方当事人的义务在一定程度内涉及履行某一项活动时应尽最大的努力，则该方当事人在该程度内有义务尽一个具有同等资格的、通情达理的人在相同情况下所会付出的努力。

(2) To the extent that an obligation of a party involves a duty of best efforts in the performance of an activity, that party is bound to make such efforts as would be made by a reasonable person of the same kind in the same circumstances.

 

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

在确定一方当事人的义务在多大程度内涉及履行某一项活动时应尽最大的努力或者应获得某一特定结果时，除其他因素外，应考虑以下情况:

In determining the extent to which an obligation of a party involves a duty of best efforts in the performance of an activity or a duty to achieve a specific result, regard shall be had, among other factors, to

 

(a)合同中表述该 义务的方式;

(a) the way in which the obligation is expressed in the contract;

 

(b)合同的价格以及合同的其他条款;

(b) the contractual price and other terms of the contract;

 

(c)获得预期结果时通常所涉及的风险程度;

(c) the degree of risk normally involved in achieving the expected result;

 

(d)另一方当事人影响义务履行的能力。

(d) the ability of the other party to influence the performance of the obligation.

 

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

如果合同中既未规定而且也无法根据合同确定履行的质量，则一方当事人有义务使其履行的质量达到合理的标准，并且不得低于此情况下的平均水准。

Where the quality of performance is neither fixed by, nor determinable from, the contract a party is bound to render a performance of a quality that is reasonable and not less than average in the circumstances.

 

第5.1.7条 价格的确定  ARTICLE 5.1.7 Price determination

(1)如果合同未规定价格，也无如何确定价格的规定，在没有任何相反表示的情况下，应视为当事人各方引用在订立合同时相关贸易中可比较的情况下进行此类履行时通常收取的价格，或者，若无此价格，应为一个合理的价格。

(1) Where a contract does not fix or make provision for determining the price, the parties are considered, in the absence of any indication to the contrary, to have made reference to the price generally charged at the time of the conclusion of the contract for such performance in comparable circumstances in the trade concerned or, if no such price is available, to a reasonable price.

 

(2)如果合同的价格应由一方当事人确定，而且此定价又明显地不合理，则不管合同中是否有任何条款的相反规定，均应以一个合理的价格予以替代。

(2) Where the price is to be determined by one party and that determination is manifestly unreasonable, a reasonable price shall be substituted notwithstanding any contract term to the contrary.

 

(3)如果价格应由一个第三人来确定，而该第三人不能或不愿确定该价格，则应采用一个合理的价格。

(3) Where the price is to be fixed by a third person, and that person cannot or will not do so, the price shall be a reasonable price.

 

(4)如果确定价格需要参照的因素不存在，或已不复存在或已不可获得，则应取最相似的因素作为替代。

(4) Where the price is to be fixed by reference to factors which do not exist or have ceased to exist or to be accessible, the nearest equivalent factor shall be treated as a substitute.

 

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

对于一个无固定期限的合同，任何一方当事人可通过在事先一段合理时间内发出通知，终止该合同。

A contract for an indefinite period may be ended by either party by giving notice a reasonable time in advance.

 

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

(1)债权人可以通过与债务人达成协议放弃其权利。

(1) An obligee may release its right by agreement with the obligor.

(2)一项无偿放弃权利的要约应视为被接受，如果债务人在知晓该要约后未毫不迟延地拒绝。

(2) An offer to release a right gratuitously shall be deemed accepted if the obligor does not reject the offer without delay after having become aware of it.

 

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

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

(1)合同当事人(即允诺人和受诺人)可通过明示或默示协议将权利授予第三方(即受益人)。

(1) The parties(the “promisor” and the “promisee”) may confer by express or implied agreement a right on a third party(the “beneficiary”).

 

(2)受益人对允诺人权利的存在以及内容，由当事人之间的协议确定，并受该协议项下的任何条件或其他限制性规定的约束。

(2) The existence and content of the beneficiary’s right against the promisor are determined by the agreement of the parties and are subject to any conditions or other limitations under the agreement.

 

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

根据合同，受益人必须能够充分明确地加以确定，但其不必须在订立合同时就存在。

The beneficiary must be identifiable with adequate certainty by the contract but need not be in existence at the time the contract is made.

 

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

授与受益人的权利，包括受益人援引合同中排除或限制其责任的条款的权利。

The conferment of rights in the beneficiary includes the right to invoke a clause in the contract which excludes or limits the liability of the beneficiary.

 

第5.2.4条 抗辩  ARTICLE 5.2.4 Defences

允诺人可以向受益人主张其可以向受诺人主张的所有抗辩。

The promisor may assert against the beneficiary all defences which the promisor could assert against the promisee.

 

第5.2.5条 撤销  ARTICLE 5.2.5 Revocation

在受益人接受该权利或已依赖该权利合理行事之前，合同当事人可以修改或者撤销其通过合同授予受益人的权利。

The parties may modify or revoke the rights conferred by the contract on the beneficiary until the beneficiary has accepted them or reasonably acted in reliance on them.

 

第5.2.6条 放弃权利  ARTICLE 5.2.6 Renunciation

受益人可以放弃被授与的权利。

The beneficiary may renounce a right conferred on it.

 

第六章 履行CHAPTER 6 — PERFORMANCE

 

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

 

第6.1.1条 履行时间  ARTICLE 6.1.1 Time of performance

一方当事人必须在下列时间履行其合同义务:

A party must perform its obligations:

 

(a)如果合同规定了时间，或者依合同可确定时间，则为此时间;

(a) if a time is fixed by or determinable from the contract, at that time;

 

(b)如果合同规定了或依合同可确定一段时间，则为此段期间内的任何时间，除非情况表明履行时间应由另一方当事人选择;

(b) if a period of time is fixed by or determinable from the contract, at any time within that period unless circumstances indicate that the other party is to choose a time;

 

(c)在其他任何情况下，则在合同订立后的一段合理时间之内。

(c) in any other case, within a reasonable time after the conclusion of the contract.

 

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

在属于本章第6.1.1条(b)项或(c)项的情况下，如果合同义务能一次完成履行，并且情况未有另外的表明，则当事人必须一次履行其全部合同义务。

In cases under Article 6.1.1(b) or(c), a party must perform its obligations at one time if that performance can be rendered at one time and the circumstances do not indicate otherwise.

 

第6.1.3条 部分履行  ARTICLE 6.1.3  Partial performance

(1)履行期限到来时，债权人有权拒绝任何部分履行的请求，无论该请求是否附有对未履行部分的担保，除非债权人这样作无合法利益;

(1) The obligee may reject an offer to perform in part at the time performance is due, whether or not such offer is coupled with an assurance as to the balance of the performance, unless the obligee has no legitimate interest in so doing.

 

(2)因部分履行给债权人带来的额外费用应由债务人承担，并且不得损害任何其他救济。

(2) Additional expenses caused to the obligee by partial performance are to be borne by the obligor without prejudice to any other remedy.

 

第6.1.4条 履行顺序  ARTICLE 6.1.4 Order of performance

(1)在合同当事人能够同时履行的限度内，则双方当事人应同时履行其合同义务，除非情况有相反的表示。

(1) To the extent that the performances of the parties can be rendered simultaneously, the parties are bound to render them simultaneously unless the circumstances indicate otherwise.

 

(2)在仅有一方当事人需要在一段时间内履行的限度内，则该方当事人应先行履行其义务，除非情况有相反的表示。

(2) To the extent that the performance of only one party requires a period of time, that party is bound to render its performance first, unless the circumstances indicate otherwise.

 

第6.1.5条 提前履行  ARTICLE 6.1.5 Earlier performance

(1)债权人可拒绝接受提前履行，除非债权人这样做无合法利益。

(1) The obligee may reject an earlier performance unless it has no legitimate interest in so doing.

 

(2)一方当事人接受提前履行并不影响其履行自己义务的时间，如果该履行时间已经确定，而不管另一方当事人义务的履行。

(2) Acceptance by a party of an earlier performance does not affect the time for the performance of its own obligations if that time has been fixed irrespective of the performance of the other party’s obligations.

 

(3)因提前履行给债权人带来的额外费用应由债务人承担，并且不得损害其他任何救济。

(3) Additional expenses caused to the obligee by earlier performance are to be borne by the obligor, without prejudice to any other remedy.

 

第6.1.6条 履行地  ARTICLE 6.1.6 Place of performance

(1)如果合同中既未规定履行地，或者依据合同也无法确定履行地，则应按下述地点履行:

(1) If the place of performance is neither fixed by, nor determinable from, the contract, a party is to perform:

 

(a)金钱债务，在债权人的营业地;(a) a monetary obligation, at the obligee’s place of business;

 

(b)任何其它义务，在债务人自己的营业地。

(b) any other obligation, at its own place of business.

 

(2)当事人应承担在合同订立后因其营业地的改变而给履行增加的费用。

(2) A party must bear any increase in the expenses incidental to performance which is caused by a change in its place of business subsequent to the conclusion of the contract.

 

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

(1)付款可以采用在付款地正常商业做法中所使用的任何形式做出。

(1) Payment may be made in any form used in the ordinary course of business at the place for payment.

 

(2)但是，债权人无论是根据第(1)款的规定还是自愿地接受支票、其他付款命令或付款承诺，均推定该接受是以这些票据能够获得支付为条件。

(2) However, an obligee who accepts, either by virtue of paragraph(1) or voluntarily, a cheque, any other order to pay or a promise to pay, is presumed to do so only on condition that it will be honoured.

 

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

(1)除非债权人已指定特定账户，付款可以通过将款项转至债权人已告知其设有账户的任何金融机构进行。

(1) Unless the obligee has indicated a particular account, payment may be made by a transfer to any of the financial institutions in which the obligee has made it known that it has an account.

 

(2)在采用转账支付的情况下，债务人的义务在款项有效转至债权人的金融机构时解除。

(2) In case of payment by a transfer the obligation of the obligor is discharged when the transfer to the obligee’s financial institution becomes effective.

 

第6.1.9条 付款货币   ARTICLE 6.1.9 Currency of payment

(1)如果金钱债务是以非付款地的货币表示的，则债务人可以用付款地之货币支付，除非:

(1) If a monetary obligation is expressed in a currency other than that of the place for payment, it may be paid by the obligor in the currency of the place for payment unless

 

(a)那种货币不能自由兑换;或者(a) that currency is not freely convertible; or

 

(b)当事人各方约定只能以表示金钱债务的货币进行支付。

(b) the parties have agreed that payment should be made only in the currency in which the monetary obligation is expressed.

 

(2)如果债务人不可能以表示金钱债务的货币支付，则债权人可要求以付款地的货币支付，即便属第(1)款(b)项规定的情况亦可如此要求。

(2) If it is impossible for the obligor to make payment in the currency in which the monetary obligation is expressed, the obligee may require payment in the currency of the place for payment, even in the case referred to in paragraph(1)(b).

 

(3)以付款地的货币支付时，应按照付款义务到期时付款地适用的通行汇率支付。

(3) Payment in the currency of the place for payment is to be made according to the applicable rate of exchange prevailing there when payment is due.

 

(4)但是，如果债务人在付款到期时未支付款项，则债权人既可要求债务人根据付款义务到期时或实际付款时所适用的通行汇率进行支付。

(4) However, if the obligor has not paid at the time when payment is due, the obligee may require payment according to the applicable rate of exchange prevailing either when payment is due or at the time of actual payment.

 

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

如果一项金钱债务未以某一具体货币作表示，则付款应以付款地的货币进行支付。

Where a monetary obligation is not expressed in a particular currency, payment must be made in the currency of the place where payment is to be made.

 

第6.1.11条 履行费用  ARTICLE 6.1.11 Costs of performance

每一方当事人应承担其履行义务时所发生的费用。

Each party shall bear the costs of performance of its obligations.

 

第6.1.12条 指定清偿  ARTICLE 6.1.12 Imputation of payments

(1)对同一债权人负有多项金钱债务的债务人，可在付款时指定该款项用以偿还的债务。但是，该款项应首先偿付任何费用，其次为应付利息，最后为本金。

(1) An obligor owing several monetary obligations to the same obligee may specify at the time of payment the debt to which it intends the payment to be applied. However, the payment discharges first any expenses, then interest due and finally the

principal.

 

(2)如果债务人未加指定，则债权人可在获得支付后的合理时间内向债务人声明该款项用以偿还的债务，但是该项债务必须是到期的，并且是无争议的。

(2) If the obligor makes no such specification, the obligee may, within a reasonable time after payment, declare to the obligor the obligation to which it imputes the payment, provided that the obligation is due and undisputed.

 

(3)如果根据第(1)款或第(2)款的规定无法确定清偿对象，则付款应按下列标准之一及指明的顺序偿还债务:

(3) In the absence of imputation under paragraphs(1) or(2) payment is imputed to that obligation which satisfies one of the following criteria in the order indicated:

 

(a)到期之债务，或者首先到期之债务;

(a) an obligation which is due or which is the first to fall due;

 

(b)债权人享有最少担保之债务;

(b) the obligation for which the obligee has least security;

 

(c)对债务人属于负担最重之债务;或者

(c) the obligation which is the most burdensome for the obligor;

 

(d)最先发生之债务。(d) the obligation which has arisen first.

 

若以上标准均不适用，则按比例用以清偿各项债务。

If none of the preceding criteria applies, payment is imputed to all the obligations proportionally.

 

第6.1.13条 非金钱债务的指定清偿 

ARTICLE 6.1.13 Imputation of non-monetary obligations

本章第6.1.12条的规定经适当修改后适用于非金钱债务的指定履行。

Article 6.1.12 applies with appropriate adaptations to the imputation of performance of non-monetary obligations.

 

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

若一国法律所要求的公共许可影响到合同的效力或其履行，并且该法律或有关情况都无其他表明，则

Where the law of a State requires a public permission affecting the validity of the contract or its performance and neither that law nor the circumstances indicate otherwise

 

(a)如果只有一方当事人的营业地在该国，则该方当事人应采取必要的措施以取得该许可;

(a) if only one party has its place of business in that State, that party shall takethe measures necessary to obtain the permission;

 

(b)在任何其他情况下，履行须经许可的那一方当事人应当采取必要的措施。

(b) in any other case the party whose performance requires permission shall take the necessary measures.

 

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

(1)有义务采取必要措施以取得许可的当事人，应毫不迟延地如此行事，并应该承担由此产生的一切费用。

(1) The party required to take the measures necessary to obtain the permission shall do so without undue delay and shall bear any expenses incurred.

 

(2)该方当事人应在任何适当的时候，毫不迟延地向另一方当事人发出该许可已获批准或遭到拒绝的通知。

(2) That party shall whenever appropriate give the other party notice of the grant or refusal of such permission without undue delay.

 

第6.1.16条 许可既未获批准又未遭拒绝 

ARTICLE 6.1.16 Permission neither granted nor refused

(1)尽管有义务的当事人采取了所有必要的措施，如果在约定的期间之内，或若无此约定，则在合同订立后的合理时间之内，许可申请既未获得批准又未遭到拒绝，则任何一方当事人均有权终止该合同。

(1) If, notwithstanding the fact that the party responsible has taken all measures required, permission is neither granted nor refused within an agreed period or, where no period has been agreed, within a reasonable time from the conclusion of the contract, either party is entitled to terminate the contract.

 

(2)当许可仅影响合同的某些条款时，如果维持合同的其余部分是合理的，即便许可遭到拒绝，也不适用上述第(1)款。

(2) Where the permission affects some terms only, paragraph(1) does not apply if, having regard to the circumstances, it is reasonable to uphold the remaining contract even if the permission is refused.

 

第6.1.17条 拒绝许可  ARTICLE 6.1.17 Permission refused

(1)当拒绝许可影响合同的效力时，则该拒绝导致合同无效。如果拒绝许可只影响合同部分条款的效力，则仅该部分条款无效，如果考虑到各种情况维持合同的其余部分是合理的。

(1) The refusal of a permission affecting the validity of the contract renders the contract void. If the refusal affects the validity of some terms only, only such terms are void if, having regard to the circumstances, it is reasonable to uphold the remaining contract.

 

(2)当拒绝许可导致合同的全部或部分履行不可能时，适用有关不履行的规定。

(2) Where the refusal of a permission renders the performance of the contract impossible in whole or in part, the rules on non-performance apply.

 

第二节:艰难情形SECTION 2: HARDSHIP

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

如果合同的履行使一方当事人变得负担加重，该方当事人仍应履行其义务，但属于下列艰难情形规定的除外。

Where the performance of a contract becomes more onerous for one of the parties, that party is nevertheless bound to perform its obligations subject to the following provisions on hardship.

 

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

所谓艰难情形，是指发生的事件使得一方当事人履约成本增加或者一方当事人所获履约的价值减少，因而根本改变了合同均衡，并且

There is hardship where the occurrence of events fundamentally alters the equilibrium of the contract either because the cost of a party’s performance has increased or because the value of the performance a party receives has diminished, and

 

(a)该事件的发生或为处于不利地位的当事人知道事件的发生在合同订立之后;

(a) the events occur or become known to the disadvantaged party after the conclusion of the contract;

 

(b)处于不利地位的当事人在订立合同时不能合理地预见事件的发生;

(b) the events could not reasonably have been taken into account by the disadvantaged party at the time of the conclusion of the contract;

 

(c)事件不能为处于不利地位的当事人所控制;而且

(c) the events are beyond the control of the disadvantaged party; and

 

(d)事件的风险不由处于不利地位的当事人承担。

(d) the risk of the events was not assumed by the disadvantaged party.

 

第6.2.3条(艰难情形的后果)

ARTICLE 6.2.3(Effects of hardship)

 

(1)若出现艰难情形，处于不利地位的当事人有权要求重新谈判。但是，提出此要求应毫不迟延地，而且说明提出该要求的理由。

(1) In case of hardship the disadvantaged party is entitled to request renegotiations. The request shall be made without undue delay and shall indicate the grounds on which it is based.

 

(2)重新谈判的要求本身并不能使处于不利地位的当事人有权停止履约。

(2) The request for renegotiation does not in itself entitle the disadvantaged party to withhold performance.

 

(3)在合理时间内不能达成协议时，任何一方当事人均可诉诸法院。

(3) Upon failure to reach agreement within a reasonable time either party may resort to the court.

 

(4)如果法院认定存在艰难情形，只要合理，法院可以:

(4) If the court finds hardship it may, if reasonable,

 

(a)在确定的日期并按确定的条件终止合同，或者

(a) terminate the contract at a date and on terms to be fixed, or

 

(b)为恢复合同的均衡而修改合同。

(b) adapt the contract with a view to restoring its equilibrium.

 

第七章 不履行CHAPTER 7 — NON-PERFORMANCE

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

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

不履行是指一方当事人未能履行其合同项下的任何一项义务，包括瑕疵履行和迟延履行。

Non-performance is failure by a party to perform any of its obligations under the contract, including defective performance or late performance.

 

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

一方当事人不得依赖另一方当事人的不履行，如果该不履行是在由前者的作为或不作为或由其承担风险的其他事件所致的范围内。

A party may not rely on the non-performance of the other party to the extent that such non-performance was caused by the first party’s act or omission or by another event as to which the first party bears the risk.

 

第7.1.3条 停止履行  ARTICLE 7.1.3 Withholding performance

(1)当事人各方应同时履行合同义务的，任何一方当事人可在另一方当事人提供履行前停止履行。

(1) Where the parties are to perform simultaneously, either party may withhold performance until the other party tenders its performance.

 

(2)当事人各方应相继履行合同义务的，后履行的一方当事人可在应先予履行的一方当事人完成履行之前停止履行。

(2) Where the parties are to perform consecutively, the party that is to perform later may withhold its performance until the first party has performed.

 

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

(1)不履行一方当事人可自己承担费用对其不履行进行补救，但须符合下述条件:

(1) The non-performing party may, at its own expense, cure any nonperformance, provided that

 

(a)该方当事人毫不迟延地通知另一方当事人其拟进行补救的方式和时间;

(a) without undue delay, it gives notice indicating the proposed manner and timing of the cure;

 

(b)该补救在当时情况下是适当的;(b) cure is appropriate in the circumstances;

 

(c)受损害方对于拒绝补救无合法利益;并且

(c) the aggrieved party has no legitimate interest in refusing cure; and

 

(d)补救是立即进行的。(d) cure is effected promptly.

 

(2)补救的权利并不因终止合同的通知被排除。

(2) The right to cure is not precluded by notice of termination.

 

(3)在收到有效的补救通知后，受损害方所享有的与不履行方的履行行为不一致的权利应予中止，直至补救期限届满。

(3) Upon effective notice of cure, rights of the aggrieved party that are inconsistent with the non-performing party’s performance are suspended until the time for cure has expired.

 

(4)受损害方在补救期间有权停止履行。

(4) The aggrieved party may withhold performance pending cure.

 

(5)尽管进行补救，受损害方仍保留对迟延以及因补救所造成的、或补救未能阻止的损害要求损害赔偿的权利。

(5) Notwithstanding cure, the aggrieved party retains the right to claim damages for delay as well as for any harm caused or not prevented by the cure.

 

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

(1)在出现不履行的情况下，受损害方可通知另一方当事人，允许其有一段额外期间履行义务。

(1) In a case of non-performance the aggrieved party may by notice to the other party allow an additional period of time for performance.

 

(2)在此额外期间内，受损害方可停止履行其对应的义务，并且可要求损害赔偿，但不得采取任何其他救济手段。如果受损害方收到另一方当事人在此额外期间内将不会履行的通知，或者，在此额外期间届满时另一方当事人仍未完成对其义务的履行，则受损害方可采取本章所规定的任何救济手段。

(2) During the additional period the aggrieved party may withhold performance of its own reciprocal obligations and may claim damages but may not resort to any other remedy. If it receives notice from the other party that the latter will not perform within that period, or if upon expiry of that period due performance has not been made, the aggrieved party may resort to any of the remedies that may be available under this Chapter.

 

(3)在不属根本性的延迟履行的情况下，如果受损害方已发出通知，给予不履行方一段合理的额外期间履行其义务，则受损害方在该段期间届满时可终止合同。如果所允许的额外期间的长度不合理，则应延长至合理的长度。受损害方可在其通知中规定，如果另一方当事人在此额外期间内仍不履行其义务，合同应自动终止。

(3) Where in a case of delay in performance which is not fundamental the aggrieved party has given notice allowing an additional period of time of reasonable length, it may terminate the contract at the end of that period. If the additional period allowed is not of reasonable length it shall be extended to a reasonable length. The aggrieved party may in its notice provide that if the other party fails to perform within the period allowed by the notice the contract shall automatically terminate.

 

(4)如果未履行的义务只是不履行方合同义务中的一项轻微义务，则本条第(3)款不适用。

(4) Paragraph(3) does not apply where the obligation which has not been performed is only a minor part of the contractual obligation of the non-performing party.

 

第7.1.6条 免责条款  ARTICLE 7.1.6 Exemption clauses

若一项条款限制或排除一方当事人对不履行合同义务的责任，或者允许一方当事人的履行可与另一方当事人的合理期待有实质差异，在考虑到合同的目的的情况下，如援引该条款明显不公平，则不得援引该条款。

A clause which limits or excludes one party’s liability for non-performance or whichpermits one party to render performance substantially different from what the other party reasonably expected may not be invoked if it would be grossly unfair to do so, having regard to the purpose of the contract.

 

第7.1.7条 不可抗力  ARTICLE 7.1.7 Force majeure

(1)若不履行的一方当事人证明，其不履行是由于非他所能控制的障碍所致，而且在合同订立之时该方当事人无法合理地预见，或不能合理地避免或克服该障碍及其后果，则不履行方应予免责。

(1) Non-performance by a party is excused if that party proves that the nonperformance was due to an impediment beyond its control and that it could not reasonably be expected to have taken the impediment into account at the time of the conclusion of the contract or to have avoided or overcome it or its consequences.

 

(2)若障碍只是暂时的，则在考虑到这种障碍对合同履行影响的情况下，免责只在一段合理的期间内具有效力。

(2) When the impediment is only temporary, the excuse shall have effect for such period as is reasonable having regard to the effect of the impediment on the performance of the contract.

 

(3)未能履行义务的一方当事人必须将障碍及对其履约能力的影响通知另一方当事人。若另一方当事人在未履行方知道或应当知道该障碍后的一段合理时间内没有收到通知，则未履行方应对另一方当事人因未收到通知而导致的损害负赔偿责任。

(3) The party who fails to perform must give notice to the other party of the impediment and its effect on its ability to perform. If the notice is not received by the other party within a reasonable time after the party who fails to perform knew or ought to have known of the impediment, it is liable for damages resulting from such nonreceipt.

 

(4)本条并不妨碍一方当事人行使终止合同、停止履行或对到期应付款项要求支付利息的权利。

(4) Nothing in this article prevents a party from exercising a right to terminate the contract or to withhold performance or request interest on money due.

 

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

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

如果有义务付款的一方当事人未履行其付款义务，则另一方当事人可以要求付款。

Where a party who is obliged to pay money does not do so, the other party may require payment.

 

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

如果一方当事人未履行其不属支付金钱的债务，另一方当事人可要求履行，除非:

Where a party who owes an obligation other than one to pay money does not perform, the other party may require performance, unless

 

(a)履行在法律上或事实上不可能; (a) performance is impossible in law or in fact;

 

(b)履行或相关的执行带来不合理的负担或费用;

(b) performance or, where relevant, enforcement is unreasonably burdensome or expensive;

 

(c)有权要求履行的一方当事人可以合理地从其他渠道获得履行;

(c) the party entitled to performance may reasonably obtain performance from another source;

 

(d)履行完全属于人身性质;或者  (d) performance is of an exclusively personal character; or

 

(e)有权要求履行的一方当事人在已经知道或应当知道该不履行后的一段合理时间内未要求履行。

(e) the party entitled to performance does not require performance within a reasonable time after it has, or ought to have, become aware of the non-performance.

 

第7.2.3条 对瑕疵履行的修补和替换

ARTICLE 7.2.3 Repair and replacement of defective performance

要求履行的权利，在适当的情况下，包括对瑕疵履行要求修补、替换或其他补救的权利。这里也适用第7.2.1条和第7.2.2条的规定。

The right to performance includes in appropriate cases the right to require repair, replacement, or other cure of defective performance. The provisions of Articles 7.2.1 and 7.2.2 apply accordingly.

 

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

(1)当法院判决一方当事人履行义务时，若该方当事人不执行该判决，法院还可责令其支付罚金。

(1) Where the court orders a party to perform, it may also direct that this party pay a penalty if it does not comply with the order.

 

(2)罚金应支付给受损害方，除非法院地的强制性法规另有规定，向受损害方支付罚金并不排除其任何要求损害赔偿的主张权。

(2) The penalty shall be paid to the aggrieved party unless mandatory provisions of the law of the forum provide otherwise. Payment of the penalty to the aggrieved party does not exclude any claim for damages.

 

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

(1)要求履行非金钱债务的受损害方，在规定的期限内或若无此规定在一段合理的时间内，未获得履行，则该方当事人可诉诸任何其他的救济手段。

(1) An aggrieved party who has required performance of a non-monetary obligation and who has not received performance within a period fixed or otherwise within a reasonable period of time may invoke any other remedy.

 

(2)当对于履行非金钱债务的法院判决不能得到执行时，受损害方可诉诸任何其他的救济手段。

(2) Where the decision of a court for performance of a non-monetary obligation cannot be enforced, the aggrieved party may invoke any other remedy.

 

第三节 合同的终止SECTION 3: TERMINATION

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

(1)合同一方当事人可终止合同，如果另一方当事人未履行其合同项下的某项义务构成对合同的根本不履行。

(1) A party may terminate the contract where the failure of the other party to perform an obligation under the contract amounts to a fundamental non-performance.

 

(2)在确定不履行某项义务是否构成根本不履行时，应特别考虑是否存在以下情况:

(2) In determining whether a failure to perform an obligation amounts to a fundamental non-performance regard shall be had, in particular, to whether

 

(a)不履行从实质上剥夺了受损害方根据合同有权期待的利益，除非另一方当事人并未预见也不可能合理地预见到此结果;

(a) the non-performance substantially deprives the aggrieved party of what it was entitled to expect under the contract unless the other party did not foresee and could not reasonably have foreseen such result;

 

(b)对未履行义务的严格遵守是合同项下的实质内容;

(b) strict compliance with the obligation which has not been performed is of essence under the contract;

 

(c)不履行是有意所致还是疏忽所致;  (c) the non-performance is intentional or reckless;

 

(d)不履行使受损害方有理由相信，他不能信赖另一方当事人的未来履行;

(d) the non-performance gives the aggrieved party reason to believe that it cannot rely on the other party’s future performance;

 

(e)若合同被终止，不履行方将因已准备或已履行而蒙受不相称的损失。

(e) the non-performing party will suffer disproportionate loss as a result of the preparation or performance if the contract is terminated.

 

(3)在迟延履行的情况下，如果另一方当事人未在第7.1.5条允许的额外期间届满前履行合同，受损害方亦可终止合同。

(3) In the case of delay the aggrieved party may also terminate the contract if the other party fails to perform before the time allowed it under Article 7.1.5 has expired.

 

第7.3.2条 终止通知  ARTICLE 7.3.2 Notice of termination

(1)一方当事人终止合同的权利通过向另一方当事人发出通知来行使。

(1) The right of a party to terminate the contract is exercised by notice to the other party.

 

(2)若属迟延履行或履行与合同不符，受损害方将丧失终止合同的权利，除非他在已经知道或理应知道迟延履行或不符履行后一段合理时间内通知另一方当事人。

(2) If performance has been offered late or otherwise does not conform to the contract the aggrieved party will lose its right to terminate the contract unless it gives notice to the other party within a reasonable time after it has or ought to have become aware of the offer or of the non-conforming performance.

 

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

如果在一方当事人履行合同日期之前，情况表明该方当事人将根本不履行其合同义务，则另一方当事人可终止合同。

Where prior to the date for performance by one of the parties it is clear that there will be a fundamental non-performance by that party, the other party may terminate the contract.

 

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

一方当事人如果有理由相信另一方当事人将根本不履行，可要求其对如约履行提供充分保证，并可同时停止履行其自己的合同义务。若在合理时间内不能提供这种保证，则要求提供保证的一方当事人可终止合同。

A party who reasonably believes that there will be a fundamental non-performance by the other party may demand adequate assurance of due performance and may meanwhile withhold its own performance. Where this assurance is not provided within a reasonable time the party demanding it may terminate the contract.

 

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

(1)合同的终止解除双方当事人履行和接受未来履行的义务。

(1) Termination of the contract releases both parties from their obligation to effect and to receive future performance.

 

(2)终止并不排除对不履行要求损害赔偿的权利。

(2) Termination does not preclude a claim for damages for non-performance.

 

(3)终止并不影响合同中关于解决争议的任何规定，或者甚至在合同终止后仍应执行的其他合同条款。

(3) Termination does not affect any provision in the contract for the settlement of disputes or any other term of the contract which is to operate even after termination.

 

第7.3.6条 恢复原状  ARTICLE 7.3.6 Restitution

(1)终止合同时，任何一方当事人可主张返还他所提供的一切，但是要以该方同时亦返还他所收到的一切为条件。如果实物返还不可能或不适当，只要合理，应以金钱予以补偿。

(1) On termination of the contract either party may claim restitution of whatever it has supplied, provided that such party concurrently makes restitution of whatever it has received. If restitution in kind is not possible or appropriate allowance should be made in money whenever reasonable.

 

(2)但是若合同的履行已持续了一段时间，并且合同是可分割的，则只能对合同终止生效后的那段期间的履行请求此类恢复原状。

(2) However, if performance of the contract has extended over a period of time and the contract is divisible, such restitution can only be claimed for the period after termination has taken effect.

 

第四节 损害赔偿SECTION 4: DAMAGES

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

任何不履行均使受损害方取得损害赔偿请求权，该权利既可以单独行使，也可以和任何其他救济手段一并行使，但该不履行根据本通则属可以免责的除外。

Any non-performance gives the aggrieved party a right to damages either exclusively or in conjunction with any other

remedies except where the non-performance is excused under these Principles.

 

第7.4.2条 赔偿  ARTICLE 7.4.2 Full compensation

(1)受损害方对由于不履行而遭受的损害有权得到完全赔偿。该损害既包括该方当事人遭受的任何损失，也包括其被剥夺的任何收益，但应当考虑到受损害方因避免发生的成本或损害而得到的任何收益。

(1) The aggrieved party is entitled to full compensation for harm sustained as a result of the non-performance. Such harm includes both any loss which it suffered and any gain of which it was deprived, taking into account any gain to the aggrieved party resulting from its avoidance of cost or harm.

 

(2)此损害可以是非金钱性质的，并且包括例如肉体或精神上的痛苦。

(2) Such harm may be non-pecuniary and includes, for instance, physical suffering or emotional distress.

 

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

(1)赔偿仅适用于根据合理的确定性程度而证实的损害，包括未来损害。

(1) Compensation is due only for harm, including future harm, that is established with a reasonable degree of certainty.

 

(2)对机会损失的赔偿可根据机会发生的可能性程度来确定。

(2) Compensation may be due for the loss of a chance in proportion to the probability of its occurrence.

 

(3)凡不能以充分确定性程度来确定损害赔偿的金额，赔偿金额的确定取决于法院的自由裁量权。

(3) Where the amount of damages cannot be established with a sufficient degree of certainty, the assessment is at the discretion of the court.

 

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

不履行方仅对在订立合同时他已经预见到的或应当合理预见到的、因其不履行可能产生的损害承担责任。

The non-performing party is liable only for harm which it foresaw or could reasonably have foreseen at the time of the conclusion of the contract as being likely to result from its non-performance.

 

第7.4.5条 存在替代交易情况时的损害证明 

ARTICLE 7.4.5 Proof of harm in case of replacement transaction

在受损害方已终止合同并在合理时间内以合理方式进行了替代交易的情况下，该方当事人可对原合同价格与替代交易价格之间的差额以及任何进一步的损害要求赔偿。

Where the aggrieved party has terminated the contract and has made a replacement transaction within a reasonable time and in a reasonable manner it may recover the difference between the contract price and the price of the replacement transaction as well as damages for any further harm.

 

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

(1)在受损害方已终止合同但未进行替代交易的情况下，如果对于合同约定的履行存在时价，则该方当事人可对合同价格与合同终止时的时价之间的差额以及任何进一步的损害要求赔偿。

(1) Where the aggrieved party has terminated the contract and has not made a replacement transaction but there is a current price for the performance contracted for, it may recover the difference between the contract price and the price current at the time the contract is terminated as well as damages for any further harm.

 

(2)时价是指在合同应当履行的地点，对应交付之货物或应提供之服务在可比情况下通常所收取的价格，或者如果该地无时价，时价为可合理参照的另一地的时价。

(2) Current price is the price generally charged for goods delivered or services rendered in comparable circumstances at the place where the contract should have been performed or, if there is no current price at that place, the current price at such other place that appears reasonable to take as a reference.

 

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

如果损害部分归咎于受损害方的作为或不作为，或是由该方当事人承担风险的其他事件所导致，在考虑到各方当事人行为的情况下，损害赔偿金额应扣除因上述因素导致的损害部分。

Where the harm is due in part to an act or omission of the aggrieved party or to another event as to which that party bears the risk, the amount of damages shall be reduced to the extent that these factors have contributed to the harm, having regard to the conduct of each of the parties.

 

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

(1)不履行方对于受损害方所蒙受的本来可以通过其采取合理措施减少的那部分损害，不承担责任。

(1) The non-performing party is not liable for harm suffered by the aggrieved party to the extent that the harm could have been reduced by the latter party’s taking reasonable steps.

 

(2)受损害方有权对试图减少损害而发生的一切合理费用要求补偿。

(2) The aggrieved party is entitled to recover any expenses reasonably incurred in attempting to reduce the harm.

 

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

(1)如果一方当事人未支付一笔到期的金钱债务，受损害方有权要求支付自该笔债务到期时起至支付时止的利息，而不管该不付款是否可被免责。

(1) If a party does not pay a sum of money when it falls due the aggrieved party is entitled to interest upon that sum from the time when payment is due to the time of payment whether or not the non-payment is excused.

 

(2)利率应为付款地银行对主要借款人借贷支付货币的短期平均贷款通行利率。若该地无此利率，则为支付货币国家的此种利率。当上述两地均无此利率时，应为支付货币国法律规定的适当利率。

(2) The rate of interest shall be the average bank short-term lending rate to prime borrowers prevailing for the currency of payment at the place for payment, or where no such rate exists at that place, then the same rate in the State of the currency of payment. In the absence of such a rate at either place the rate of interest shall be the appropriate rate fixed by the law of the State of the currency of payment.

 

(3)受损害方有权对不付款给其造成的更大的损害要求额外的损害赔偿。

(3) The aggrieved party is entitled to additional damages if the non-payment caused it a greater harm.

 

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

除非另有约定，对非金钱债务不履行的损害赔偿的利息自不履行之时起算。

Unless otherwise agreed, interest on damages for non-performance of non-monetary obligations accrues as from the time of non-performance.

 

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

(1)损害赔偿应一次付清。但是，当损害的性质适于分期付款偿付时，也可分期偿付。

(1) Damages are to be paid in a lump sum. However, they may be payable in instalments where the nature of the harm makes this appropriate.

(2)分期支付损害赔偿金时，可以按指数调整。

(2) Damages to be paid in instalments may be indexed.

 

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

损害赔偿金既可以用表示金钱债务的货币确定，也可以用遭受损害的货币确定，以两者中最为适当的货币为准。

Damages are to be assessed either in the currency in which the monetary obligation was expressed or in the currency in which the harm was suffered, whichever is more appropriate.

 

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

(1)如果合同规定不履行方应支付受损害方一笔约定的金额，则受损害方有权获得该笔金额，而不管其实际损害如何。

(1) Where the contract provides that a party who does not perform is to pay a specified sum to the aggrieved party for such non-performance, the aggrieved party is entitled to that sum irrespective of its actual harm.

 

(2)但是，如果约定金额严重超过因不履行以及其他情况导致的损害，则可将该约定金额减少至一个合理的数目，而不考虑任何与此相反的约定。

(2) However, notwithstanding any agreement to the contrary the specified sum may be reduced to a reasonable amount where it is grossly excessive in relation to the harm resulting from the non-performance and to the other circumstances.
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