合同保函统一规则（中英文）

 

UNIFORM RULES FOR CONTRACT GUARANTEES
 
             INTERNATIONAL CHAMBER OF COMMERCE PUB. NO. 325 (1978)

 
Article 1. Scope第一条 范围
1. These Rules apply to any guarantee, bond, indemnity, surety or similar undertaking, however named or described ("guarantee"), which states that it is subject to the Uniform Rules for Tender, Performance and Repayment Guarantees ("Contract Guarantees") of the International Chamber of Commerce (Publication No. 325) and are binding upon all parties thereto unless otherwise expressly stated in the guarantee or any amendment thereto.
本规则适用于声明受国际商会（第３２５号出版物） 关于投标、履行和偿还款项担保的规则（合同担保）管辖的任何担保、保函、赔偿函、保证或类似的义务承担，不论其使用何种名称或用何种措词来表达（担保）这一名称，本规则对此种担保的所有当事人都有约束力，除非在担保文书或此种担保的任何修改文件中另有不同的明文规定。
 
2. Where any of these Rules is contrary to a provision of the law applicable to the Guarantee from which the parties cannot derogate, that provision prevails.
凡本规则的任何规定与应适用于担保的法律规定有抵触，而当事人又不得背离该项法律规定者，则适用该项法律规定。
 
Article 2. Definition第二条 定义
For the purposes of these Rules: 就本规则来说：
 a "tender guarantee" means an undertaking given by a bank, insurance company or other party ("the guarantor") at the request of a tenderer ("the principal" or given on the instructions of a bank, insurance company, or other party so requested by the principal ("the instructing party") to a party inviting tenders ("the beneficiary") whereby the guarantor undertakes  in the event of default by the principal in the obligations resulting from the submission of the tender  to make payment to the beneficiary within the limits of a stated sum of money;
投标担保，系指一家银行、保险公司或其他当事人（即担保人）应投标人（即被担保人）的请求，或按照另一家银行、保险公司或其他当事人根据被担保人（即指示人）的请求所发出的指示，向招标的一方（受益人）所作出的义务承担。根据此项义务承担，担保人承担因被担保人不履行投标所产生的义务而发生违约事件时，在规定的金额限度内向受益人付款。
 
b "performance guarantee" means an undertaking given by a bank, insurance company or other party ("the guarantor") at the request of a supplier of goods or services or other contractor ("the principal") or given on the instructions of a bank, insurance company, or other party so requested by the principal ("the instructing party") to a buyer or to an employer ("the beneficiary") whereby the guarantor undertakes in the event of default by the principal in due performance of the terms
terms of a contract between the principal and the beneficiary ("the contract")  to make payment to the beneficiary within the limits of a stated sum of money or, if the guarantee so provides, at the guarantor's option, to arrange for performance of the contract;
．履行保证，系指一家银行、保险公司或其他当事人（即担保人）应货物或劳务供应人或承包商（即被担保人）的请求，或按照另一家银行、保险公司或其他当事人根据被担保人（即指示人）的请求所发出的指示，向买方或发包人（即受益人）所作出的义务承担。根据此项义务承担，担保人承担因被担保人不履行被担保人与受益人之间的合同（下称合同）而发生违约事件时，在规定的金额限度内向受益人付款，或者如果担保文书上有此规定，亦可由担保人选择由其安排履行合同。
 
c "repayment guarantee" means an undertaking given by a bank, insurance company or other party ("the guarantor") at the request of a supplier of goods or services or other contractor ("the principal") or given on the instructions of a bank, insurance company or other party so requested by the principal ("the instructing party") to a buyer or to an employer ("the beneficiary") whereby the guarantor undertakes  in the event of default by the principal to repay in accordance with
the terms and conditions of a contract between the principal and the beneficiary ("the contract") any sum or sums advanced or paid by the beneficiary to the principal and not otherwise repaid  to make payment to the beneficiary within the limits of a stated sum of money.
偿还款项担保，系指一家银行、保险公司或其他当事人（即担保人）应货物或劳务供应人或承包商（即被担保人）的请求，或按照另一家银行、保险公司或其他当事人根据被担保人（即指示人）的请求所发出的指示，向买方或发包人（即受益人）所作出的义务承担。根据此项义务承担，担保人承担因被担保人不按照被担保人与受益人之间的合同条款和条件的规定偿还款项而发生违约事件时，担保人应就受益人预付或已付给被担保人但被担保人未予偿还的一笔或几笔款项，在规定的金额限度内向受益人付款。
 
Article 3. Liability of the guarantor to the beneficiary
第三条 担保人对受益人的责任
1. The guarantor is liable to the beneficiary only in accordance with the terms and conditions specified in the guarantee and these Rules and up to an amount not exceeding that stated in the guarantee.
担保人只按照担保文书所规定的条款与条件和本规则对受益人承担责任，其承担的责任不得超过担保文书上所载明的金额。
 
2. The amount of liability stated in the guarantee shall not be reduced by reason of any partial performance of the contract, unless so specified in the guarantee.
除担保文书上另有规定外，担保文书上所载的承担责任的金额不得以合同的部分履行为理由而要求减少。
 
3. The guarantor may rely only on those defences which are based on the terms and conditions specified in the guarantee or are allowed under these Rules.
担保人只能主张以担保文书上所规定的各项条款与条件为依据的抗辩，或本规则所允许的各项抗辩。
 
Article 4. Last date for claim第四条 提出请求的最后日期
If a guarantee does not specify a last date by which a claim must have been received by the guarantor, such last date ("expiry date") is deemed to be:
　如果担保文书对担保人应当收到请求通知的最后日期没有作出具体规定，则此项最后日期（到期日）应当认为是：
 
a in the case of a tender guarantee, six months from the date of the guarantee;
如系投标担保，自出具担保函之日起６个月；
 
b in the case of a performance guarantee, six months from the date specified in the contract for delivery or completion or any extension thereof, or one month after the expiry of any maintenance period (guarantee period) provided for in the contract if such maintenance period is expressly covered by the performance guarantee;
如系履行担保，自合同规定的交货或完工之日起或自上述日期的延展之日起６个月，或者自合同上规定的保修期限（保证期限）届满之日起１个月，但以该项保修期限已明示包括在履行担保内为条件；
 
c in the case of a repayment guarantee, six months from the date specified in the contract for delivery or completion or any extension thereof.
If the expiry date falls on a non-business day, the expiry date is extended until the first following business day.
如系偿还款项担保，自合同规定的交货或完工之日起或自上述日期的延展之日起６个月。
如到期日适逢非营业日，则该到期日应延展到下一个营业日。
 
Article 5. Expiry of guarantee第五条 担保的满期
1. If no claim has been received by the guarantor on or before the expiry date or if any claim arising under the guarantee has been settled in full satisfaction of all the rights of the beneficiary
thereunder, the guarantee ceases to be valid.
如果担保人在到期日或在到期日之前没有收到请求通知，或者根据担保所产生的任何请求已经得到解决，受益人的一切权利已全部得到满足，则担保即终止生效。
 
2. Notwithstanding the provisions of Article 4, in the case of tender guarantees:
尽管有第四条的规定，关于投标担保：
 
a upon acceptance by the beneficiary of the tender by the award of the contract to the principal and, if so provided for in the written contract, or, if no contract has been signed and it is so provided for
in the tender, the production by the principal of a performance guarantee or, if no such guarantee is required, the signature by the principal of the contract, the tender guarantee issued on his behalf
ceases to be valid;
于受益人与被担保人签订合同表示受益人接受被担保人的投标的时候，以及如果在书面合同中有此规定，或者如果没有订立合同但在投标书中有此规定，于被担保人提交履行保证书时，或者在不要求提交履行保证书的场合，则于被担保人签署合同时，为被担保人出具的投标担保即终止生效。
 
b a tender guarantee also ceases to be valid if and when the contract to which it relates is awarded to another tenderer, whether or not that tenderer meets the requirements referred to in para. 2(a) of this Article;
如果已由另一个投标人中标订约，则不问该投标人是否已经满足本条第２款（１）项的要求，投标担保即终止生效。
 
c a tender guarantee also ceases to be valid in the event of the beneficiary expressly declaring that he does not intend to place a contract.
　当受益人明示宣布他无意订立合同时，投标担保亦终止生效。
 
Article 6. Return of guarantee第六条 担保文件的退回
When a guarantee has ceased to be valid in accordance with its own terms and conditions or with these Rules, retention of the document embodying the guarantee does not in itself confer any rights upon the beneficiary, and the document should be returned to the guarantor without delay.
凡担保文书按照其条款与条件或按照本规则已终止生效时，保留体现担保内容的文书并不授与受益人以任何权利，该文书应毫无迟延地退回担保人。
 
Article 7. Amendments to contracts and guarantees
第七条 对合同和担保文书的修改
1. A tender guarantee is valid only in respect of the original tender submitted by the principal and does not apply in the case of any amendment thereto, nor is it valid beyond the expiry date specified in the guarantee or provided for by these Rules, unless the guarantor has given notice in writing or by cable or telegram or telex to the beneficiary that the guarantee so applies or that the expiry date has been extended.
投标担保只对被担保人提交的原始投标书有效，对该投标书的任何修改都不适用，同时，如超过担保文书规定的到期日或本规则规定的到期日，亦告无效，除非担保人以书面、电报、电传通知受益人；该项担保仍然有效或到期日已予以延展。
 
2. A performance guarantee or a repayment guarantee may stipulate that it shall not be valid in respect of any amendment to the contract, or that the guarantor be notified of any such amendment for his approval. Failing such a stipulation, the guarantee is valid in respect of the obligations of the principal as expressed in the contract and any amendment thereto. However, the guarantee shall not be valid in excess of the amount or beyond the expiry date specified in the guarantee or provided for by these Rules, unless the guarantor has given notice in writing or by cable or telegram or telex to the beneficiary that the amount has been increased to a stated figure or that the expiry date has been extended.
履行担保或偿还款项担保得规定如对合同作了任何修改则担保无效，或者规定应将此种修改通知担保人以取得他的同意。如无这样的规定，则担保对于合同及其任何修改所明示规定的被担保人的各项债务都有效。但担保对于超过担保文书所规定的金额或对于起过担保文书或本规则所规定的到期日都无效，除非担保人以书面、电报或电传通知受益人：金额已增加到规定的数额或到期日已予延展。
 
3. Any amendment made by the guarantor in the terms and conditions of the guarantee shall be effective in respect of the beneficiary only if agreed to by the beneficiary and in respect of the principal or the instructing party, as the case may be, only if agreed to by the principal or the instructing party, as the case may be.
担保人对担保文书的条款与条件所作的任何修改必须经受益人的同意，才能对受益人生效，同时须经被担保人或指示人的同意（视情况而定），才能分别对被担保人或指示人生效（视情况而定）。
 
Article 8. Submission of claim第八条 请求的提出
1. A claim under a guarantee shall be made in writing or by cable or telegram or telex to be received by the guarantor not later than on the expiry date specified in the guarantee or provided for by these Rules.
担保项下的请求权须以书面、电报或电传提出，并应使担保人最迟于担保文书或本规则规定的到期日之前收到；
 
2. On receipt of a claim the guarantor shall notify the principal or the instructing party, as the case may be, without delay, of such claim and of any documentation received.
担保人在收到请求通知时，应无延迟地将该项请求以及所收到的书面材料通知被担保人或指示人；请求必须具备下列条件才应予满足：
 
3. A claim shall not be honoured unless a it has been made and received as required by paragraph 1 of this Article; and
须按本条第１款的规定提出并收到；
 
b it is supported by such documentation as is specified in the guarantee or in these Rules; and
必须附有担保文书或本规则所规定的书面材料；
 
c such documentation is presented within the period of time after the receipt of a claim specified in the guarantee, or, failing such a specification, as soon as practicable, or, in the case of documentation of the beneficiary himself, at the latest within six months from the receipt of a claim.
In any event, a claim shall not be honoured if the guarantee has ceased to be valid in accordance with its own terms or with these Rules.
此项书面材料须于收到请求通知后在担保文书规定的期限内提出，如果担保文书没有规定期限则应尽快提出。如系受益人自己的书面材料则最迟应在（担保人）收到请求通知后６个月内提出。
在任何情况下，如果担保按照担保文书或本规则的规定已终止生效，请求就不应当予以满足。
 
Article 9. Documentation to support claim
第九条 作为支持请求权之用的书面材料
If a guarantee does not specify the documentation to be produced in support of a claim or merely specifies only a statement of claim by the beneficiary, the beneficiary must submit:
如果担保文书没有规定提交支付请求权的书面材料，或仅规定只须由受益人提出请求声明，则益人应提出：
 
a in the case of a tender guarantee, his declaration that the principal's tender has been accepted and that the principal has then either failed to sign the contract or has failed to submit a perform ance guarantee as provided for in the tender, and his declaration of agreement, addressed to the principal, to have any dispute on any claim by the principal for payment to him by the beneficiary of all or part of the amount paid under the guarantee settled by a judicial or arbitral tribunal as specified in the tender documents or, if not so specified or otherwise agreed upon, by arbitration in accordance with the Rules of the ICC Court of Arbitration or with the UNCITRAL Arbitration Rules, at the option of the principal;
如系投标担保，受益人应提出声明指出，被担保人的投标已被接受但后来被担保人却不签订合同或不按投标书上的规定提供履行担保，并应向被担保人发出一项表示同意下列事项的声明：即声明同意关于担保合同项下所付金额之全部或一部分，应由受益人支付给被担保人的请求权所引起的争议，应由投标书上所规定的法院或仲裁机构解除，或者如果没有规定或未能协商同意使用其他办法，则可由被担保人选择按照国际商会仲裁院的规则或者按照联合国国际贸易法委员会的仲裁规则进行仲裁。
 
b in the case of a performance guarantee or of a repayment guarantee, either a court decision or an arbitral award justifying the claim, or the approval of the principal in writing to the claim and the amount to be paid.
如系履行担保或偿还款项担保，则受益人应提供法院的裁定或证明其请求有理的仲裁裁决，或者提出被担保人对此项请求及应支付的金额所表示的书面同意。
 
Article 10. Applicable law第十条 准据法
If a guarantee does not indicate the law by which it is to be govern ed, the applicable law is that of the guarantor's place of business. If the guarantor has more than one place of business, the applicable law is that of the branch which issued the guarantee.
　如果担保文书没有指出担保应受哪一个国家的法律管辖，则以担保人营业所所在地国家的法律对准据法。如果担保人有两个以上的营业所，则以出具担保文书的分支机构所在地国家的法律为准据法。
 
Article 11. Settlement of disputes第十一条 争议的解决
1. Any disputes arising in connection with the guarantee may be referred to arbitration by agreement between the guarantor and the beneficiary, either in accordance with the Rules of the ICC Court of Arbitration, the UNCITRAL Arbitration Rules or such other rules of arbitration as may be agreed between the guarantor and the beneficiary.
有关担保所引起的一切争议，可按担保人与受益人之间的协议提交仲裁，仲裁按照国际商会仲裁院的规则或者按照联合国国际贸易法委员会的仲裁规则，或者按照担保人与受益人双方约定的其他仲裁规则办理。
 
2. If a dispute between the guarantor and the beneficiary which touches upon the rights and obligations of the principal or the instructing party is referred to arbitration, the principal or the
instructing party shall have the right to intervene in such arbitral proceedings.
如果将担保人与受益人之间涉及被担保人或指示人的权利义务的争议提交仲裁，则被担保人或指示人有权参加仲裁程序。
 
3. If the guarantor and the beneficiary have not agreed to arbitration or to the jurisdiction of any specific court, any dispute between them relating to the guarantee shall be settled exclusively by the competent court of the country of the guarantor's place of business or, if the guarantor has more than one place of business, by the competent court of the country of his main place of business or, at the option of the beneficiary, by the competent court of the country of the branch which issued the guarantee.
如果担保人与受益人未能就仲裁或受某一特定法院管辖达成一致意见，则他们之间有关担保所引起的一切争议，只能由担保人营业所所在地国家有管辖权的法院处理，或者如果担保人有一个以上的营业所，则由主营业所所在地国家有管辖权的法院处理，或者由受益人选择，由出具担保文书的分支机构所在国的有管辖权的法院处理。