貿(mào)易的協(xié)商及合同的擬定

1、Chapter 13Trade Negotiation and Formation of the Contract1. To understand the constitution of an offer;2. To learn the withdrawal and revocation of an offer;3. To learn the constitution and withdrawal of an acceptance;4. To understand the importance of contract in written form. Learning Objectives1.

2、 Trade NegotiationTrade Negotiation 交易磋商Forms of trade negotiation：口頭（面談、電話）書面（信函、電報、電傳、傳真、電子郵件等）Contents of trade negotiation：交易條件（即合同條款）Procedures of trade negotiation：Enquiry (詢盤)Offer(發(fā)盤)Counter-Offer(還盤)Acceptance(接受)1. Enquiry 詢盤Enquiry is also known as invitation to offer. Both importers and

3、exporters can make use of this step to initiate a potential transaction. 詢盤, 又稱詢價，是指交易的一方為購買或出售某種商品，向?qū)Ψ娇陬^或書面發(fā)出的探詢交易條件的過程。 法律上稱“邀請要約”，不具有法律約束力，也不是交易磋商的必經(jīng)程序，但往往是一筆交易的起點。1. Enquiry 詢盤表示詢盤的術(shù)語：Please advise/ quote/ offerInterested in pleaseE.g. (by cable): “INTERESTED IN BUTTERFLY BRAND SEWING MACHINE PL

4、EASE QUOTE.”Please make us a cable offer for 5 metric tons of walnut. 請電報5噸核桃仁的價格。 Sample Letter of EnquiryDear Sirs, We are interested in buying large quantities of steel screws in all size. We would be obliged if you would give us a quotation per kilogram C&F Liverpool, England. It would also be a

5、ppreciated if you could forward samples and your price list to us. We used to purchase these products from other sources. We may now prefer to buy from your company because we understand that you are able to supply larger quantities at more attractive prices. In addition, we have confidence in the q

6、uality of your products. We look forward to hearing from you by return. Yours faithfully, 2. Offer 發(fā)盤 An offer is a proposal that is made to a certain individual or legal entity to enter into a contract, which is definite in its terms, and which indicates the offerors intent to be bound. 發(fā)盤, 又稱發(fā)價，是指

7、交易的一方向另一方提出一定的交易條件，并表示愿意以這些條件達成交易并簽訂合同的一種口頭或書面的表示。法律上稱“要約”，在其有效期內(nèi)對發(fā)盤人具有法律約束力，是交易磋商的必經(jīng)程序之一。2. OfferAn offer may be made by the seller (selling offer) or the buyer (buying offer). 發(fā)盤人可以是買方，也可以是賣方。Parties of an offer:發(fā)盤人（offerer): 有效的發(fā)盤一成立，發(fā)盤人就有義務(wù)在對方接受時按發(fā)盤中規(guī)定的條件與對方訂立合同;受盤人 (offeree): 有權(quán)在發(fā)盤的有效期內(nèi)要求對方按發(fā)盤中

8、規(guī)定的條件與之簽約 .2. Offer 發(fā)盤發(fā)盤的分類：實盤：對發(fā)盤人有約束力的發(fā)盤，只要受盤人接受發(fā)盤中的主要交易條件，發(fā)盤人不能拒絕簽約；虛盤：對發(fā)盤人和受盤人都無約束力的發(fā)盤，發(fā)盤人可隨時撤回、撤銷和修改內(nèi)容，而受盤人對虛盤表示接受，需經(jīng)發(fā)盤人的確認。實盤一項實盤必須具備的條件： 1. 發(fā)盤的內(nèi)容和詞句必須肯定：不能用大約（about），參考價（reference price）等摸棱兩可的詞。 2. 發(fā)盤的內(nèi)容明確完整：其內(nèi)容應(yīng)包括商品品質(zhì)（Quality），數(shù)量（Quantity），包裝（Packing），價格（Price），裝運（Shipment），支付（Payment）,有效期(V

9、alidity )等。 3. 發(fā)盤中不能有保留條件：如以我方最后確認為準 subject to our final confirmation ；以貨物的未售出為準 subject to goods being unsold 虛盤虛盤的特點：在發(fā)盤中保留條件發(fā)盤的內(nèi)容模糊，不作肯定表示缺少主要交易條件出現(xiàn)下列一類的詞句者,皆為虛盤: * Without engagement. 不負任何責任. * subject to prior sale. 有權(quán)先售 * All quotations are subject to our final confirmation unless otherwise s

10、tated.所作報價,除特別注明外,須經(jīng)我方確認后方能生效. * Our offer is subject to approval of export license. 出口許可證準許簽證,我方報價才有效. 2. Offer 發(fā)盤發(fā)盤有效成立的要件：各項交易條件要明確、肯定(sufficiently definite)，不能存在含糊不清的內(nèi)容或模棱兩可的表達，不能有保留的條件。(我國合同法14條規(guī)定，要約須“內(nèi)容具體確定”。)發(fā)盤人應(yīng)明確表示愿按發(fā)盤的內(nèi)容訂立合同。發(fā)盤一經(jīng)受盤人接受，合同即告成立，無需再經(jīng)發(fā)盤人同意。發(fā)盤須在到達受盤人時才生效。2. Offer 發(fā)盤表示發(fā)盤的術(shù)語:offer

11、; firm offer; quote; supply; book; order; bid; firm bidE.g.“OFFER 2000DOZEN SPORT SHIRTS SAMPLED MARCH 15TH USD90 PER DOZEN CIF NEW YORK EXPORT STANDARD PACKING MAY/JUNE SHIPMENT IRREVOCABLE SIGHT L/C SUBJECT REPLY HERE 20TH.”O(jiān)ur offer is RMB300 per set of tape-recorder, F.O.B. Tianjin. 我們的報價是每臺收錄機3

12、00元人民幣， F.O.B.天津。Sample Letter of OfferDear Mr Brown, Thank you for your enquiry of 2 October 1995. In reply, we would like to make the followings offer, subject to our final confirmation: Production: Steel screws Specifications: As per the attached list Packing: Loose in boxes of 5kg net Quantity:

13、100 boxes Price: As per the attached list Shipment: January/February 1996 Payment: Confirmed, irrevocable letter of payable by draft on sight to be opened 30 days before the time of shipment. Under separate cover, we have sent you samples of various sizes, our catalogue and price list. If you find o

14、ur offer acceptable, please telex or fax us for confirmation. Yours sincerely, 3. Counter-Offer 還盤 A counter-offer is a reply to an offer that adds to, limits, or modifies materially the terms of the offer. 還盤,又稱還價，是受盤人不同意或不完全同意發(fā)盤中的內(nèi)容或條件而提出自己的修改意見或條件的表示。A counter-offer is a new offer made by the off

15、eree. The original offeror is the offerree of the new offer. 法律上稱“反要約”，既是受盤人對發(fā)盤的拒絕，又是一項新的發(fā)盤。The original offer become null and void and its original offeror is not bound any more. 一項發(fā)盤被還盤即失效。3. Counter-Offer 還盤在還盤中沒有被提到的其他交易條件，則意味著還盤人提出的與這些交易條件相同而不再重復(fù)。 E.g. We cant accept your offer unless the price

16、 is reduced by 5%. 除非你們減價5%，否則我們無法接受報盤。Sample Letter of Counter-OfferDear Sirs, We wish to thank you for your letter of the June 10th, offering us 3000 kilos of Walnut meat at $50 per kilogram. We regret to say that we find your price rather high and we believe well have a hard time convincing our c

17、lients at your price. Besides, theres keen competition from supplies in South Korea and Thailand. You cant very well ignore that. Should you be ready to reduce your price by 5%, we might come to business. Considering the long-standing business and relationship between us, we make you such a counter-

18、offer. As the market is declining, we hope you will consider our counter-offer most favorable and fax us as soon as possible. Yours faithfully,4. Acceptance 接受 An acceptance is an unconditional assent to an offer or an assent to an offer conditioned on only minor changes that do not affect any mater

19、ial terms of offer. 接受, 是指受盤人在發(fā)盤有效期內(nèi)無條件同意發(fā)盤的全部內(nèi)容，并愿意據(jù)此簽訂合同的一種口頭或書面的表示。法律上稱“承諾”，一方發(fā)盤被受盤人接受，交易即告達成，合同即告成立。是交易磋商的必經(jīng)程序之一。4. Acceptance 接受表示接受的術(shù)語:accept; agree; confirmE.g.“YOURS 14TH WE ACCEPT.”Sample Letter of AcceptanceDear Sirs, We refer to your fax of February 12 and are pleased to confirm having so

20、ld to you 50 long tons of Gum rosin on the terms and conditions agreed upon. We enclose our Sales Confirmation No. CF123 in duplicate, a copy of which please countersign and return to us for our file. Yours sincerely,敬啟者， 你2月12日傳真收悉，現(xiàn)按雙方同意的條款，確認售予你方50長噸松香。 茲隨函附寄第CF123號銷貨確認書一式兩份，其中一份請簽退我方，以便存檔。CASE S

21、TUDY美國A公司擬出售林肯轎車給的泰國B公司。A公司在發(fā)盤電報中說：“確認出售3輛95型lx轎車（附各項具體交易條件），請電匯30萬美元”。泰國B公司立即復(fù)電說：“確認你方來電，各項交易條件按你方電報辦，我已匯交了你方開戶銀行30萬美元，但該款在你方交貨前仍由我方代你方保管，請確認自本電之日起，三十天內(nèi)交貨?！泵绹鳤公司未作任何答復(fù)，并把該轎車以高價出售給第三者。 問：公司的做法是否合適？2. Formation of the Contract 訂立合同合同成立的法律程序 Offer 發(fā)盤According to Article 14 of CISG, a proposal for conc

22、luding a contract addressed to one or more specific persons constitutes an offer if it is sufficiently definite and indicates the intention of the offeror to be bound in case of acceptance. 根據(jù)公約對發(fā)盤的解釋，一個發(fā)盤的構(gòu)成必須具備下列四個條件 : 向一個或一個以上特定的受盤人發(fā)出;發(fā)盤內(nèi)容必須十分確定 ：至少應(yīng)列明貨物品名及質(zhì)量、數(shù)量或確定數(shù)量的方法、價格或確定價格的方法三項條件表明訂約意旨;送達受盤人

23、.There is a term of validity for each offer, a period within which the offeree can make acceptance, and the offeror is only bound. The offeror may clearly definite it in the offer, otherwise a reasonable time should be regarded as the term of validity. 指可供受盤人對發(fā)盤作出接受的時間或期限. E.g.(1) The latest time :

24、Reply reaching here before 15th. (2) A period of time: “This offer is valid for 3 days.”Term of Validity 發(fā)盤的有效期Withdrawal of an offer 發(fā)盤的撤回An offer becomes effective only after it reaches the offeree. Thus, offers can be withdrawn prior to their reaching the offeree.發(fā)盤的撤回是指發(fā)盤人將尚未被受盤人收到的發(fā)盤予以撤消的行為。說明：

25、 1、一項發(fā)價，即使是不可撤消的，得予撤回，如果撤回通知于發(fā)價送達被發(fā)價人之前或同時，送達被發(fā)價人。 2、在實際業(yè)務(wù)中，發(fā)盤的撤回只有在使用信件或電報向國外發(fā)盤時，方可適用。如果發(fā)盤系使用電傳或電子郵件等方式，則不存在撤回發(fā)盤的可能性。Revocation of an offer 發(fā)盤的撤銷發(fā)盤的撤銷是指發(fā)盤人將已經(jīng)為受盤人收到的發(fā)盤予以撤銷的行為。According to Article 16 of CISG: until a contract is concluded, an offer may be revoked if the revocation reaches the offere

26、e before he has dispatched an acceptance. However, an offer can not 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

27、 reliance on the offer. 合同成立的法律程序 Acceptance 接受根據(jù)公約的解釋，構(gòu)成有效的接受要具備四個條件: 1. The acceptance must be made by the offeree. 必須由特定的受盤人做出: 對發(fā)盤表示接受，必須是發(fā)盤中所指明的特定的受盤人，而不能是其他人。合同成立的法律程序 Acceptance 接受2. An acceptance must be indicated. 接受必須表示出來. 緘默或不行動本身不等于接受。 受盤人表示接受的兩種方式： （1）用聲明作出表示； （2）用做出行為來表示。 說明： （1）在用行為表示

28、接受時，這種表示接受的方式是根據(jù)該發(fā)盤的要求或依照當事人之間確立的習慣做法或慣例而行事的，而且該行為必須在發(fā)盤明確規(guī)定的有效期之內(nèi)，或在合理時間之內(nèi)作出方為有效。 （2）我國在批準參加公約時對公約承認合同可以書面外形式訂立的規(guī)定聲明保留。因此，在實際業(yè)務(wù)中，我外貿(mào)企業(yè)應(yīng)以書面形式表示對發(fā)盤的接受。合同成立的法律程序 Acceptance 接受3. The contents of an acceptance must conform to that of an offer. 接受的內(nèi)容須與發(fā)盤的內(nèi)容相符. 公約將接受中對發(fā)盤的條件所作的更改分為： A、實質(zhì)性變更（構(gòu)成一項新的發(fā)盤） 如對貨物的價

29、格、付款、質(zhì)量和數(shù)量、交貨時間和地點、賠償責任范圍、解決爭端的添加、限制或更改等。 B、非實質(zhì)性變更（除發(fā)盤人及時向受盤人表示反對其間的差異外，仍構(gòu)成接受，合同得以成立，并且合同的條件以該項發(fā)盤的條件以及在接受中所載的變更為準。) 如要求提供重量單、裝箱單、商檢證等單據(jù)，要求增加提供裝船樣品或某些單據(jù)的份數(shù)等。合同成立的法律程序 Acceptance 接受4. The acceptance must be made within the period of time for acceptance. 接受通知須在發(fā)盤的有效期內(nèi)送達發(fā)盤人 .在用信件或電報等方式進行磋商時，各國對接受生效時間的規(guī)定

30、： 1、英美法：采用投郵生效的原則 2、大陸法：采用到達生效的原則 3、公約：采用到達生效的原則。 4、我國：根據(jù)我國合同法，我國也采用到達生效的原則。Late Acceptance 逾期接受An acceptance which is made after the period of time for acceptance is late acceptance. 如果接受通知超過發(fā)盤規(guī)定的有效期限，或發(fā)盤未具體規(guī)定有效期限而超過合理時間才傳達到發(fā)盤人，這就成為一項逾期接受。A late acceptance is not effective, except that (according t

31、o CISG): 1、如果發(fā)盤人于收到逾期接受后，毫不遲延地通知受 盤人，確認其為有效，則該逾期接受仍有接受的效力；2、一項逾期接受，從它使用的信件或其他書面文件表明，在傳遞正常的情況下，本能及時送達發(fā)盤人，由于出現(xiàn)傳遞不正常的情況而造成了延誤，這種逾期接受仍可被認為是有效的，除非發(fā)盤人毫不延遲地用口 頭或書面形式通知受盤人發(fā)盤已經(jīng)失效。All in all, it depends on the offeror as to whether a late acceptance is effective or not. The moment when an acceptance becomes e

32、ffective According to article 18 (2) of CISG:“ 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

33、reasonable time, due account being taken of the circumstances of 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.”The Withdrawal of AcceptanceArticle 22 of CISG: “An acce

34、ptance may be withdrawn if the withdrawal reaches the offeror before or at the same time as the acceptance would have become effective.” 接受于表示同意的通知送達發(fā)盤人時生效。因此，在接受通知送達發(fā)盤人之前，受盤人可隨時撤回接受，即阻止接受生效，但以撤回通知先于或與接受通知同時到達發(fā)盤人為限。接受通知一經(jīng)到達發(fā)盤人即不能撤銷。CASE STUDY我某公司于7月16日收到法國某公司發(fā)盤：“馬口鐵500公噸，單價545美元CFR中國口岸，8月份裝運，即期L/C支付

35、，限7月20日付到有效”。我方于17日復(fù)電：“若單價500美元CFR中國口岸可接受，履約中如有爭議，在中國仲裁”。法國公司當日復(fù)電：“市場堅挺，價不能減，仲裁條件可接受，速復(fù)”。此時馬口鐵價格確實趨漲。我方于19日復(fù)電：“接受你方16日發(fā)盤，L/C已由中國銀行開出?！苯Y(jié)果對方退回L/C。合同是否成立？為什么？案例分析合同并未成立。我方19日電并不是有效的接受，因為16日的法商發(fā)盤經(jīng)我方17日還盤已經(jīng)失效，法商不再受約束。我方應(yīng)接受的是法國公司17日復(fù)電。合同具備法律效力的條件 一方的發(fā)盤經(jīng)對方有效接受，合同即告成立。合同具備法律效力的條件：當事人須在自愿基礎(chǔ)上就合同條款達成協(xié)議；當事人須有訂立

36、合同的行為能力：年齡、精神狀態(tài)、法律禁令等的限制；合同的標的、內(nèi)容、形式須合法；合同須有對價：合同當事人之間相互給付、互為有償Forms of the written contract書面合同的形式公約規(guī)定：銷售合同無須以書面訂立或書面證明，在形式方面也不受任何其他條件的限制。銷售合同可以用包括證人在內(nèi)的任何方法證明。（我國加入公約時對該條款作了保留。）The commonly used forms of the written contract are: 1、 Contract(合同) 2、 Confirmation (確認書) 3、 Agreement (協(xié)議) 4、 Memorandom

37、 (備忘錄) 5、 Letter of intent (意向書) 6、 Order (定單)Contents of the written contract書面合同的內(nèi)容約首 - 合同的名稱，交易雙方的地址，訂約意圖等：Name and address of the seller and buyer;The willingness and guarantee of both sides to carry out the contract;本文 - 交易條件、雙方當事人的權(quán)力和義務(wù)： Name, quality, quantity, packing, ect. of the goods ；Price;Terms of payment;Shipme