时间：2020-04-22 14:30 来源： 责任编辑：m
作者：ceciliaxu lindsey - 英国大律师、国际仲裁员
cecilia xulindsey 于座落在英国伦敦林肯会馆的石屋大厦9号大律师院 (9 stone buildings) 担任独立执业的大律师和有资质的国际仲裁员。她在诉讼、仲裁、争端解决和咨询方面拥有广泛的商事法律实践经验。她专业于商法、公司法、金融服务/银行法、保险法、国际法（包括国际贸易、外国直接投资和投资条约）以及国际仲裁。为此，她担任顾问大律师，并接受国际仲裁员的任命。她的中文口语和书面语均为母语水平。
背景
新型冠状病毒疫情现已被世界卫生组织 (who) 宣布为世界流行病。通常，许多跨境交易和国际贸易合同约定英国法为合同的管辖法律。作者在本文中从英国法（以英格兰法为主）的角度出发，面对该疫情的爆发，考虑以下诸多困扰国际商业合同履行的紧要的法律问题，抛砖引玉，提醒商业企业应时刻评估合同风险，并实施维持其商业持续运作的可行性计划。
审查合同
在英格兰法下，合同条款必须体现当事方的意图和当事方开展业务的特定境况，并且必须要符合当事方的营运目的。当事方必须要考虑：
1) 自合同或其它法律文件起草或最后审查、签订以来，相关法律法规是否有新的措施实施和发展。这些法律的变更可能会影响合同的履行以及双方对法律法规的遵守;
2) 是否需要在其协议中反映或包括法律的变化。例如，有可能由于用来遏制新型冠状病毒的政府措施，会影响合同条款的（临时阶段的）效益以及某方对合同义务的履行。
如果当事方意欲引入新的（标准）条款，可能会考虑将这些条款的副本发送给合同另一方。合同另一方必须要被告知新条款适用于该交易，而且要求他确认收到合同新条款。某些司法管辖区按照其法律针对某些合同要件与条款的要求，必须要有明确的认同，而默认可能并不足以满足这些法律要求；与这些不同的是，通常，英格兰法会承认通过行为或口头协议而订立的合同。但可以确定的是，以明确的方式列出合同的要件与条款始终是一种更好的营业运作方法。在签约之前，当事方必须确保合同中含括他所同意了的条款。许多中国的当事方可能会陷入如何面对第三方提起诉讼的权利的问题，而不能恰当处理在合同草案条款中的此类问题。此类第三方的诉权在英格兰法律中通常是正常的，即使中方可能认为该合同与任何第三方毫无关系，但中方却不应对(修改或与合同对方洽商)合同中的此类条款。并且，英格兰和威尔士的某些法律可以在合同中进行合法排除，而其它具有强制性的法律必须遵守、否则会隐含/默示在合同条款中，即使合同条款并未支应这些强制性法律要求。另外，很多国际贸易商属于某些海外的贸易协会（是这些协会的会员）。最有声誉的一家即国际商会。这些贸易协会可能设有本协会的管辖其成员或其他贸易商进行交易所使用的特定标准条款（诸如国际商会的«国际贸易术语解释通则2020» 及《跟单信用证统一惯例-2007年修订本，国际商会第600号出版物»），这在国际上是比较常见的。此类事宜通常要求必须由执业于管辖合同的所在法辖区（国家）以及合同履约地的当地商事专业律师提供相应的法律建议，并针对相关条款进行风险分析。
不可抗力
自新型冠状病毒疫情爆发以来，不可抗力的法律问题是相当被关注的法律问题。新型冠状病毒疫情爆发可能会被争辩为不可抗力事件而该不可抗力事件的发生使履行合同义务成为不可能。依据英格兰的法律（判例法），为了能够依赖合同中的不可抗力条款以获得免责，这些条款必须明确限定出触发不可抗力事件或事件的类别，如“世界流行病造成的行为”；否则，这些条款会被视为无效。依据期望依赖不可抗力条款的那一方的意图，不可抗力事件可以被限定为“超出其合理控制范围”。严格来说，英格兰法律不要求不可抗力事件的不可预见性。英格兰法庭将会对条款中的所用词语进行解释，以反映这些词语的自然含义以及当事方签订合同之时的实际意图。如果某事件可能会影响合同的履行而使履约变得更加昂贵或责任繁重，英格兰法庭将不会允许基于不可抗力来寻求免责的救济，除非当事双方在合同中已经明确规定了此类救济。并且，英格兰法庭将审查相关事件与无法履约之间的因果关系；不可抗力事件必须是造成未能履约的唯一缘由。
为应对不可抗力事件，当事方必须依据合同的明示要求、或依减缓原则而产生的默示义务，来采取合理的措施以避免或减轻损失。期望依赖不可抗力而寻求救济的那一方承担举证责任。该当事方还必须通知对方（这作为先决条件）他将依赖不可抗力条款。如何发出此通知，则取决于双方应遵守的合同约定的实际要求。当使用通知时，时间（很可能）是实质性的条款（及合同的要件），尤其是在合同中对发出此通知的时间有所限制的情形。在回应此通知时，应答方可以考虑要求援用方提供相关境况的确切的详细信息（该境况影响了援用方的履约）并可以要求定期及时提供更新的境况信息。若双方可以共同计划并达成凯发k8娱乐唯一官网的解决方案，那将更加有效。遗憾的是，许多国际当事方无法与其合同对方达成任何方案而最终不得不诉诸法律进行诉讼或仲裁。
商业企业必须仔细审查合同中不可抗力条款中具体所使用的语言。这些语言将决定该不可抗力条款的援用是否成功以及该援用可能产生什么结果。如果不可抗力事件在较长时间内持续发生，那么，精心策划并起草完善的不可抗力条款会为援用方提供合法的补救措施，例如，中止、延长期限、免除某些经济方面的责任，等等。这些补救措施旨在帮助当事双方在彼此之间寻求到凯发k8娱乐唯一官网的解决方案（而无需通过诉讼/仲裁等方式升级双方的分歧）。各方应考虑在审查和管理合同时采取更积极的应对方法，诸如：重新洽商和修改相关条款、（通过自己已经积累的商业美誉）与业务伙伴和顾客及时联系，以及取得相关法律建议。
支付价款
许多中国贸易当事方常面临从国际贸易的合同对方获得合同价款的困境，而这些国际贸易合同对方已经收到中方出口给他们的货物。中国的卖方何时可以开具发票？价款如何支付，是通过付款到帐、信用证、还是其它方式？这些是许多中方在跨境交易和国际贸易中常面临的实际问题。另一方面，如果中国卖方已经预收定金甚至是全额价款，则国际买方可能要确保如果中方违约那么如何从中方那里追回该款项。
当中国采取针对新型冠状病毒疫情的措施时，许多中方当事方无法履行他们的合同义务，这引起了针对履约的特别关注。目前，许多国家已采取各自的相应措施遏制该病毒的传播，中方同样面临国际同行们不大可能履约的境况。尤其若相关货物是易腐烂商品、或者合同针对履约期限有约定并且该期限已届满，此类境况会相当严峻。在这种情况下，诸多商业银行若已经向有关当事方提供了预付款担保或支付了付款保证金，那么这些银行也将会受到影响。
法律责任
在合同约定违约赔偿责任时，无论赔偿责任的产生是否缘于合同、侵权、违反议会法案规定的义务、虚假陈述及返还原状，英格兰法律考虑双方协议项下可能的赔偿责任。合同中是否提供了针对责任的限制？该限制是否满足所适用的英格兰法律要求的合理性检验标准？当事方是否有相关的责任保险？合同中是否有补偿条款？依据英格兰法，某些违约责任是不能被任何合同的条款排除或限制的；在这种情况下，当事方是否同意承担无限责任？
可以理解，没有任何一方希望承担无限责任，因此，一方会试图限制合同的违约责任；但是，上限是否合理并且有效？而且，合同条款的约定中能排除什么责任或哪些责任，诸如，所遭受的利润损失、商机损失、商誉损失、间接损失，这些能被排除吗？可以理解的是，每一方都必须仔细考虑他所面临的违约责任，以降低商业风险，并从订立的合同中取得确定性（这是英格兰法下合同要达到的最终目的）。
终止合同
当一方决定终止或取消合同,而另一方认为合同仍然有效并且终止/取消合同是不合法或不公平时，双方纠纷即会产生。终止合同的理由是什么？一方终止/取消合同会对另一方造成严重后果。在终止/取消合同之后，是否还有合同约定的义务仍然有效并要求履行？若与买方破产有关，卖方是否可以终止合同、中断未来的交货、并取消现有订单？如果一方终止/取消合同，而其终止/取消合同被英格兰法院或英格兰法认为是非法的，那么该方可能会成为违约方并将必须承担另一方所遭受的损害赔偿。因此，当一方意欲终止/取消他所签订的合同时，该当事方必须提起相当的注意、并寻求相关的法律建议，以避免自己首先成为违约方。
结语
显然，不可抗力是合同各方将考虑或面临的关键问题；而且，不同法辖区的相关法律不同，对不可抗力的认定和救济方面的许可规定也不同。在目前情况下，涉及到英格兰合同法下的其它一系列的重大法律问题也很可能出现。各当事方应在商业合同中针对其履约能力（包括履约成本）进行适当的约定，并互相沟通，谈判、再谈判。精明的商人始终会审查合同和履约绩效，并会及时与合同对方进行沟通，找到适合双方的的凯发k8娱乐唯一官网的解决方案、克服障碍，而不致于使事情及双方的商业关系恶化。如有疑问，寻求适当的法律建议，这远比支付参与诉讼/仲裁程序的争议解决的费用要有效得多。
© cecilia xu lindsey
9stone buildings, lincoln’s inn, london wc2n 3aa, uk
www.9stonebuildings.com
clerks@9stonebuildings.com
tel:0044 (0)20 7404 5055
fax:0044 (0)20 7405 1551
2020年4月
（公众号编辑 傅灼）
background
many cross-border transactions and international trade deals are governed by english law. world health organisation (who) has recently declared the outbreak of covid-19 a pandemic. in this article, the author considers from an english-law perspective, a number of topical issues disrupting performance of international commercial contracts when faced with this pandemic. businesses are reminded to constantly assess risks and implement appropriate plans as going concern.
reviewing the contract
contractual terms must give effect toparties’ intentions and the specific circumstances in which the parties operate, and must remain fit for purpose. what commercial parties must consider are:
1) whether there has been any new measures and development in the laws and regulations since their contract and other legal documents were last reviewed or drafted.any of such changes in the laws and regulations may impact on the contract and compliance;
2) whether any changes in the law need to be incorporated or reflected in their contract.for instance, there may be governmental measures adopted for containing covid-19, some of which will affect the (interim) effectiveness of the terms in a contract and the respective party’s performance of its contractual obligations.
where one party intends to introduce new terms into a transaction (where possible), it may consider sending a copy of the new terms to the other contracting party.the other party should be informed that these new terms will apply and be required to acknowledge receipt of these terms. unlike some jurisdictions where express agreement to certain terms of conditions is required and acquiescence may not be sufficient, english law usually recognises a contract which is entered into by conduct or oral agreement; but for certainty, it is always good practice to set out the terms in an explicit format. before executing the contract, one must always make sure that the contract contains the agreed terms. many chinese parties may fall into the trap of third-party’s rights to sue and cannot properly deal with such issues in the draft contract. such right is often normal in english law, even if the chinese party may think that the contract has nothing to do with any third parties, the chinese party will not deal with(revise or re-negotiate) such terms in the contract. further, certain laws in england and wales may be excluded by contractual provisions, whereas mandatory laws must be complied with, and are otherwise implied into the contract even if the terms do not deal with certain mandatory legal requirements. in addition, it is common that many international traders belong to trade associations (of which the trades are members). a most well-known one is the international chamber of commerce (icc). trade associations may have specific standard terms (such as icc’s incoterms2020 and ucp600) governing the business of its members and other traders, which is common in the international market. such matters often demand proper legal advice with risk analysis by a local commercial lawyer in the country whose law will govern the contract and/or where the contract is to be performed.
force majeure
force majeureis amost concerned legal topic since the outbreak of covid-19. the outbreak could be argued as a force majeureevent, which made performance of contractual obligations impossible. under english law (case law),to be able to rely on force majeure provisions in a contract for relief, the terms must specifically define the triggering events or classes of events, such as “acts of pandemic”; otherwise such terms may be regarded as void. the force majeure event can be defined as “beyond the reasonable control” of the party who wishes to rely on the force majeure term. strictly speaking, english law does not require unforeseeability in the force majeure events. the english court will interpret words used in the terms to reflect the natural meaning of the words as well as the actual intention of the parties at the time when they entered into the contract. where impact of an event may render the performance of the contract to become more expensive or onerous, the english court will not allow relief based on force majeure unless the parties have expressly provided for such relief in their contract. the english court will examine causation; aforce majeure event must be the sole cause of the failure to perform a contractual obligation.
in response to a force majeure event, parties must use reasonable endeavours to mitigate loss, either under an express requirement of their contract or through an implied obligation under the doctrine of mitigation. the party who wishes to rely on force majeure to seek relief bears the burden of proof. the party must also give notice (as a condition precedent)of its reliance on the force majeure clause; how to give such a notice depends on the actual requirements of the parties’ contract with which the parties should comply. time is (likely to be) of essence in invoking a notice,especially where in the contract there is time limitation for giving the notice. in responding to such a notice, the respondent may consider requiring the invoker to provide details of the exact circumstances (allegedly intervening the performance of the invoker) and requiring regular updates. it would be more effective if the parties could plan together and reach a solution. unfortunately, many an international party could not reach a solution with its contractual party and would have to resort to legal means in proceeding with litigation or arbitration.
commercial parties must review carefully the exact language used in the force majeure clause of their contract. the language will determine whether or not invoking the force majeure clause is successful and what are the possible outcomes of such an invocation. a well planned and carefully drafted force majeure clause may also provide the invoking party with legitimate remedies, for example, suspension, extension of time, relief from certain financial obligations if the force majeure event becomes recurring over a prolonged period. these remedies are designed to aid the parties in finding a solution between themselves (without the need to escalate the disagreement through litigious/arbitral means). parties ought to consider taking a more proactive approach in reviewing and managing their contract, such as renegotiating and amending the relevant terms, reaching out (by using goodwill)promptly to their business partners and consumers, and seeking legal advice.
payment
many chinese traders often face difficulties of obtaining payment from their international counterparts who have received goods exported to them by the chinese parties.when can the chinese seller invoice for the goods? how will payment be made, by payment on account, letter of credit, or other means? these are practical issues facing many chinese parties in cross-border transactions and international trade. onthe other side, where a chinese seller has received full payment inadvance or even a deposit, the international purchaser may wish to ensure that it can recover this if the chinese seller defaults.
this becomes particular concerns on the outbreak of covid-19 against which measures in china were put in place and, as a result of which, many contracts could not be performed. at present, many countries have placed respective measures in order to contain the spreading of the virus, chinese parties equally face situations that their international counterparts may likely not perform the contract. the situation becomes even dire when related goods are perishable or when performance has a time limit which has becomes lapsed. in such circumstances, commercial banks are also likely to be affected where an advance payment guarantee or bond had been provided to the relevant parties.
liability
when liability is to be determined, english law considers possible liability under the parties‘ agreement, whether such arises in contract, tort, breach of statutory duty, misrepresentation and restitution. is there a limitation of liability?does the limitation satisfy reasonableness test under the applicable law? is there insurance for any liability? does the contract have indemnity provision?under english law, certain liability cannot be excluded or restricted; in such situation, would a party be content to face unlimited liability?
it is understandable that no one would wish to face unlimited liability, so one may try to cap liability in the contract; but is the cap reasonable and valid? further, what liability can be excluded from the contract, such as loss of profits, loss of business opportunity, loss of good will, consequential / indirect loss? understandably, each party must give careful thoughts on liability so as to reduce commercial risks, as well as achieving certainty (the ultimate goal of a contract in english law) in the contract into which the parties are to enter.
termination
dispute also often arises when one party decides to terminate or cancel the contract whereas the other party thinks that the contract remains valid and termination /cancellation would not be lawful or fair. what are the grounds for termination?one party’s termination / cancellation of the contract would bear severe consequences on the other. are there any obligations that could still be effective and demand performance after termination / cancellation? where insolvency on the buyer’s sideis concerned, can the seller terminate the contract, suspend future deliveries and cancel existingorders? where one party terminates / cancels the contract unlawfully (as regarded by the english court or under english law), this party could become having breached the contract and would have to bear the loss and damages of the other party. therefore,when one party wishes to terminate / cancel its contract, it must take great care and seek legal advice in order to avoid first becoming the breaching party.
conclusion
it is clear that force majeure is a critical issue facing contractual parties; the laws of different jurisdictions on force majeure vary, which will have varied effect on recognising force majeure events and relief. series of other issues under english contract law are also likely to arise in the current circumstances. it is down to the commercial parties to provide for situations in their contract (which arelikely to affect their ability to perform, including costs for performance), to communicate, negotiate and re-negotiate. smart businessmen always keep their contract and the performance under review and communicate promptly with their counterparts in order to find suitable solutions and overcome challenges without allowing matters to deteriorate. if in doubt, seek proper legal advice, which would be far more effective than paying costs for engaging in legal / arbitral proceedings.
© cecilia xu lindsey
9stone buildings, lincoln’s inn, london wc2n 3aa, uk
www.9stonebuildings.com
clerks@9stonebuildings.com
tel:0044 (0)20 7404 5055
fax:0044 (0)20 7405 1551
april 2020
