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汽车金融公司管理办法(中英)
April 27th, 2010
中国银行业监督管理委员会令（2003年第4号）
《汽车金融公司管理办法》已经国务院批准，现予以印发施行。
主席：刘明康
二OO三年十月三日
汽车金融公司管理办法
第一章 总则
第一条 为适应汽车金融服务业发展的需要，规范经营汽车金融业务的非银行金融机构的行为，依据有关法律、行政法规，制定本办法。
第二条 本办法所称汽车金融公司，是指经中国银行业监督管理委员会依据有关法律、行政法规和本办法规定批准设立的，为中国境内的汽车购买者及销售者提供贷款的非银行金融企业法人。
第三条 中国银行业监督管理委员会负责对汽车金融公司的监督管理。
第二章 机构的设立、变更与终止
第四条 设立汽车金融公司应当经中国银行业监督管理委员会批准。
未经中国银行业监督管理委员会批准，任何单位和个人不得擅自设立汽车金融公司或者变相从事汽车金融业务,不得在机构名称中擅自使用“汽车金融”、“汽车信贷”等表明从事汽车金融业务的字样。
第五条 出资设立汽车金融公司，出资人应具备下列条件：
（一） 中国境内外依法设立的企业法人。
非金融机构，其最近一年的总资产不低于40亿元人民币或等值的自由兑换货币，年营业收入不低于20亿元人民币或等值的自由兑换货币；
非银行金融机构，其注册资本不低于3亿元人民币或等值的自由兑换货币。
（二）经营业绩良好，最近3年连续盈利。
（三）遵守注册所在地法律，无违法、犯罪行为。
（四）主要出资人须为汽车企业、非银行金融机构。
汽车企业是指生产或销售汽车整车的企业。
主要出资人是指出资数额最多且出资额不得低于拟设汽车金融公司全部股本30%的出资人。
（五）同一企业法人不得投资一个以上的汽车金融公司。
（六）中国银行业监督管理委员会规定的其他审慎性条件。
第六条 设立的汽车金融公司，应当具备下列条件:
（一）具有符合本办法要求的最低注册资本。
（二）具有符合《中华人民共和国公司法》等相关法律和本办法要求的章程。
（三）具有熟悉汽车融资及相关业务的高级管理人员。
（四）具有健全的组织机构、管理制度和风险控制制度。
（五）具有与业务经营相适应的营业场所、安全防范措施和其他设施。
（六）中国银行业监督管理委员会规定的其他条件。
第七条 汽车金融公司注册资本的最低限额为 5亿元人民币或等值的自由兑换货币。注册资本为实缴货币资本。
中国银行业监督管理委员会根据汽车金融业务发展情况及审慎监管的需要，可以调整注册资本的最低限额，但不得少于前款规定的限额。
第八条 汽车金融公司的设立须经过筹建和开业两个阶段。 申请人提交的申请筹建、申请开业的资料，应以中文书写为准。
第九条 申请筹建汽车金融公司，应由主要出资人作为申请人向中国银行业监督管理委员会提交下列资料:
(一) 筹建申请书。其内容应包括拟设汽车金融公司名称、公司注册所在地、注册资本金，出资人及各自的出资额、业务范围等。
(二) 设立汽车金融公司的可行性研究报告。其内容包括对拟设公司的市场前景分析、未来业务发展规划、组织管理架构和风险控制能力分析、公司开业后3年的资产负债规模和盈利预测等内容。
(三) 拟设立汽车金融公司的章程（草案）。
(四) 出资人基本情况，包括出资人名称、法定代表人、注册地址、营业执照复印件、经营情况等。
(五)出资人最近3年经法定机构审计的资产负债表、损益表和现金流量表。
(六) 筹建负责人名单及简历。
(七) 中国银行业监督管理委员会要求提交的其他文件。
申请人为外国非银行金融机构的，申请筹建时应提供其注册地金融监管当局出具的书面意见。申请人为非金融机构的，申请筹建时应提供评级机构对申请人最近1年的信用评级报告。
第十条 中国银行业监督管理委员会自收到完整的筹建申请资料之日起6个月内作出是否批准筹建的书面答复。
第十一条 申请人应当自接到中国银行业监督管理委员会批准筹建文件之日起6个月内完成筹建工作。有正当理由需要延长筹建期限的，应当在筹建期限届满前书面向中国银行业监督管理委员会提出申请，经批准可以延长3个月。
筹建期限届满或延长期限届满，申请人未提出开业申请的，原筹建批准决定自动失效。
筹建期内不得以汽车金融公司名义从事经营活动。
第十二条 申请人应当在筹建期限届满前或延长期限届满前，向中国银行业监督管理委员会提出开业申请，并提交下列文件、资料:
(一) 筹建工作完成情况报告和申请开业报告。
(二) 中国法定验资机构出具的验资证明、工商行政管理机关出具的对拟设机构名称的预核准登记书。
(三) 汽车金融公司章程。
(四) 拟任高级管理人员的名单、详细履历。
(五) 股东名称及其出资额。
(六) 拟办业务的规章制度及内部风险控制制度。
(七) 有权部门出具的营业场所及其他与业务有关设施安全验收合格文件。
(八) 中国银行业监督管理委员会要求的其他文件。
第十三条 中国银行业监督管理委员会自收到完整的开业申请文件、资料之日起3个月内作出核准开业或不核准开业的决定。决定核准开业的，书面通知申请人，颁发经营金融业务许可证，核准其业务范围。不予核准开业的，应书面通知申请人并说明理由。
申请人凭该许可证到工商行政管理部门办理注册登记，领取《企业法人营业执照》后方可营业。
汽车金融公司自领取营业执照之日起，无正当理由3个月不开业或开业后自行停业连续6个月的，由中国银行业监督管理委员会收回其许可证，并予以公告。
第十四条 汽车金融公司不得设立分支机构。
第十五条 中国银行业监督管理委员会对汽车金融公司高级管理人员实行任职资格核准或备案制度。
汽车金融公司董事长、总经理及副总经理、董事和财务总监等的任职资格应当报经中国银行业监督管理委员会审查核准。有关高级管理人员的任职资格及其核准或备案程序另行规定。
第十六条 汽车金融公司有下列变更事项之一的，应报经中国银行业监督管理委员会批准:
(一) 变更公司名称。
(二) 变更注册资本。
(三) 变更营业场所。
(四) 调整业务范围。
(五) 改变组织形式。
(六) 调整股权结构。
(七) 修改章程。
(八) 更换高级管理人员。
(九) 合并或分立。
(十) 中国银行业监督管理委员会规定的其他变更事项。
第十七条 汽车金融公司因解散、依法被撤销或被宣告破产而终止的，其清算事宜，按照有关法律法规的规定办理。
第三章 业务范围和监督管理
第十八条 经批准，汽车金融公司可从事下列部分或全部人民币业务：
（一）接受境内股东单位3个月以上期限的存款。
（二）提供购车贷款业务。
（三）办理汽车经销商采购车辆贷款和营运设备贷款（包括展示厅建设贷款和零配件贷款以及维修设备贷款等）。
（四）转让和出售汽车贷款应收款业务。
（五）向金融机构借款。
（六）为贷款购车提供担保。
（七）与购车融资活动相关的代理业务。
（八）经中国银行业监督管理委员会批准的其他信贷业务。
第十九条 汽车金融公司向自然人发放购车贷款应符合有关监管部门关于个人汽车贷款管理的规定；向法人或其他组织发放汽车贷款应遵守《贷款通则》等有关规定的要求。
第二十条 未经有关监管部门批准，汽车金融公司不得擅自发行债券、向境外借款。汽车金融公司设立和开展业务中涉及汇兑管理、利润汇出、向非居民发放汽车消费贷款、资本金管理等外汇管理事项的，由有关监管部门会同国家外汇管理部门作出相关规定。
第二十一条 汽车金融公司应实行资本总额与风险资产比例控制管理。汽车金融公司资本充足率不得低于10%，中国银行业监督管理委员会视汽车金融公司风险状况和风险管理能力，可提高单个公司资本充足率的最低标准。有关其他各类资产风险控制与管理的具体要求，由中国银行业监督管理委员会另行规定。
第二十二条 汽车金融公司应当执行相关的金融企业财务会计制度。
第二十三条 汽车金融公司应按规定编制并向中国银行业监督管理委员会报送资产负债表、损益表、现金流量表及中国银行业监督管理委员会要求的其他报表，并于每年会计年度终了后的3个月内报送上一年度的财务会计报告。
汽车金融公司不得提供虚假或隐瞒重要事实的财务会计报告。
第二十四条 汽车金融公司应参照中国人民银行制定的《商业银行内部控制指引》的要求，建立、健全各项业务管理制度与内部控制制度，并在该制度施行前报告中国银行业监督管理委员会。
第二十五条 汽车金融公司应自觉接受中国银行业监督管理委员会对其实施的现场检查及非现场检查。
第二十六条 中国银行业监督管理委员会根据日常监管中发现的问题，可以向汽车金融公司的法定代表人和其他高级管理人员提出质询，并责令该公司限期改正。
第二十七条 汽车金融公司应建立定期外部审计制度。应在每个会计年度结束后的6个月内，将经法定代表人签名确认的年度审计报告报送中国银行业监督管理委员会。
第二十八条 汽车金融公司出现支付困难等紧急情况时，应采取紧急自救措施，并立即向中国银行业监督管理委员会报告。
第二十九条 汽车金融公司出现下列情况之一的，中国银行业监督管理委员会可视情况责令其进行整顿：
（一） 当年亏损超过注册资本的50%或连续3年累计亏损超过注册资本的30%。
（二） 出现支付困难。
（三） 有其他重大经营风险，中国银行业监督管理委员会认为应当整顿的情况。
第三十条 中国银行业监督管理委员会责令汽车金融公司整顿后，可对汽车金融公司采取下列措施：
（一） 要求更换或禁止更换汽车金融公司高级管理人员。
（二） 暂停其部分业务或禁止其开办新业务。
（三） 要求在规定期限内增加资本金。
（四） 责令汽车金融公司进行改变股权结构等形式的重组。
（五） 禁止分红。
（六） 中国银行业监督管理委员会认为必要的其他措施。
第三十一条 汽车金融公司经过整顿，符合下列条件的，报经中国银行业监督管理委员会批准后方可结束整顿：
（一） 支付能力得到恢复。
（二） 亏损得到弥补。
（三） 重大经营风险得到化解。
第三十二条 汽车金融公司整顿时间最长不超过1年，逾期未实现整顿目标的，依法予以市场退出。
第三十三条 汽车金融公司可成立行业性自律组织，实行自律管理。自律组织开展活动，应当接受中国银行业监督管理委员会的指导和监督。
第四章 法律责任
第三十四条 未经中国银行业监督管理委员会批准，擅自设立汽车金融公司或者非法从事汽车金融业务的，由中国银行业监督管理委员会依法予以取缔；构成犯罪的，依法追究刑事责任；尚不构成犯罪的，由中国银行业监督管理委员会没收非法所得，并处非法所得1倍以上5倍以下的罚款；没有非法所得的，由中国银行业监督管理委员会责令改正，并处10万元以上50万元以下的罚款。
第三十五条 未经中国银行业监督管理委员会批准，擅自在机构名称中使用“汽车金融”、“汽车信贷”等表明从事汽车金融业务字样的，由中国银行业监督管理委员会责令其改正，并处1000元罚款。
第三十六条 汽车金融公司超出中国银行业监督管理委员会批准的业务范围从事金融业务活动的，给予警告，没收违法所得，并处违法所得1倍以上 5倍以下的罚款；没有违法所得的，处10万元以上50万元以下的罚款；构成非法经营罪或者其他罪的，依法追究刑事责任。
第三十七条 汽车金融公司违反本办法有关规定，提供虚假或者隐瞒重要事实的财务会计报告的，由中国银行业监督管理委员会予以警告，并处10万元以上50万元以下的罚款；构成提供虚假财会报告罪或者其他罪的，依法追究刑事责任。
第三十八条 汽车金融公司违反本办法有关规定，拒绝、阻碍依法监督检查的，由中国银行业监督管理委员会给予警告，并处1万元以上3万元以下的罚款。
第三十九条 汽车金融公司违反本办法规定，除依据本章第三十四条至第三十八条的有关规定给予处罚外，情节严重的，中国银行业监督管理委员会可以取消该公司高级管理人员1至10年直至终身的金融机构高级管理人员任职资格。
第四十条 汽车金融公司违反我国其他法律、法规的，由有关主管机关依法处理。
第五章 附则
第四十一条 香港特别行政区、澳门特别行政区和台湾地区投资者在内地设立汽车金融公司，适用本办法。
第四十二条 本办法自2003年10月3日起施行，并由中国银行业监督管理委员会负责解释。
China Banking Regulatory Commission No. 4 Order
Upon the approval of the State Council, the Administrative Rules Governing the Auto Financing Company is now promulgated by the China Banking Regulatory Commission.
Chairman Liu Mingkang
October 3, 2003
Administrative Rules Governing the Auto Financing Company
Chapter I General Provisions
Article 1 The Administrative Rules Governing the Auto Financing Company (hereinafter referred to as the Rules) is stipulated in accordance with relevant laws and regulations to serve the need of developing auto financing business and regulating the business activities of the non-bank financial institutions engaging in auto financing business.
Article 2 Auto financing companies referred to in the Rules are defined as non-bank financial legal entities charted by the China Banking Regulatory Commission in compliance with relevant laws, regulations and the Rules to provide loans for auto buyers and dealers in the mainland of China.
Article 3 Auto financing companies are supervised and regulated by the China Banking Regulatory Commission.
Chapter II Incorporation, Change and Termination
Article 4 The establishment of an auto financing company shall be subject to the approval of the China Banking Regulatory Commission.
Without the approval of the China Banking Regulatory Commission, no individual or entity shall be allowed to establish an auto financing company, or engage in auto financing business, or include in the name of a company such names as “auto financing” or “auto loan” that indicate the company‘s engagement in auto financing business
Article 5 An investor of an auto financing company shall satisfy following requirements:
(a) It shall be a corporate legal entity incorporated in and outside China.
If the investor is a non-financial entity, its total assets of the previous year shall be no less than RMB4 billion yuan or an equivalent amount in convertible currencies; its annual business revenue of the previous year shall be no less than RMB2 billion yuan or an equivalent amount in convertible currencies.
If the investor is a non-bank financial institution, its registered capital shall be no less than RMB300 million yuan or an equivalent amount in convertible currencies;
(b) It shall have sound business performance and remain profitable for the last three consecutive years;
(c) It shall comply with the laws of the countries where it is incorporated and shall have a clean record;
(d) In case of the largest investor, it shall be an auto enterprise or a non-bank financial institution.
The auto enterprise refers to an enterprise that manufactures and sells the whole unit of an automobile.
The largest investor refers to the investor with the largest share of capital and its capital contribution accounting for no less than 30 percent of the total equity of the auto financing company;
(e) It shall not invest in more than one auto financing company; and
(f) It shall satisfy other prudential supervisory requirements set forth by the China Banking Regulatory Commission.
Article 6 An auto financing company shall satisfy the following conditions in order to be incorporated:
a) the minimum amount of registered capital required by the Rules;
b) Articles of Association that complies with relevant laws including the Company Law of the People‘s Republic of China and the Rules;
c) senior management familiar with auto financing and other related business;
d) a sound organizational structure, management and risk control systems;
e) proper business premises, safety measures and other facilities for business operations; and
f) other conditions set out by the China Banking Regulatory Commission.
Article 7 The minimum registered capital of an auto financing company shall be no less than RMB500 million yuan or an equivalent amount in convertible currencies. Registered capital shall be paid-in capital.
The China Banking Regulatory Commission shall have the power to adjust the minimum registered capital of an auto financing company in line with the developments of auto financing business and the prudential requirements, but the adjusted floor shall not be lower than the amount provided in this Article.
Article 8 The establishment of an auto financing company shall cover two stages, i.e. the preparation stage and the business commencement stage. The Chinese text of all application documents for the preparation and the business commencement stages shall prevail.
Article 9 To apply for the preparation of a prospective auto financing company, the largest investor of the company shall act as the applicant and submit the following documents to the China Banking Regulatory Commission:
(a) an application letter, including the auto financing company‘s name, location of incorporation, registered capital, business scope and investors’ names and amounts of investment, etc.;
(b) a feasibility study on establishing the auto financing company, including a market analysis, a business plan, the organizational structure, an assessment of the company‘s risk control capability, the proforma balance sheet and profits in the following three years after the business commencement;
(c) an Articles of Association of the auto financing company (a draft note);
(d) basic information of each investor of the auto financing company, including name, legal representative, location of incorporation, a photocopy of the business license and a summary of business performance, etc.;
(e) the investor‘s balance sheet, profit and loss statement and cash flow statement for the latest three years audited by qualified auditing firms;
(f) name and resume of the person in charge of the preparation; and
(g) other documents required by the China Banking Regulatory Commission.
If the applicant is a foreign non-bank financial institution, it shall submit the consent of its home country supervisory authority in writing. If the applicant is a non-financial entity, it shall submit the credit rating report of the previous year by a rating agency.
Article 10 The China Banking Regulatory Commission, upon receiving a complete set of application documents for the preparation of an auto financing company, shall provide its decision of approval or denial in writing within six months.
Article 11 The applicant shall, upon receiving the approval letter from the China Banking Regulatory Commission, complete the preparation within six months. If the applicant has justification for prolonging the preparation stage beyond the prescribed period, it shall submit a written application to the China Banking Regulatory Commission before the original deadline falls due, and may extend the preparation stage for up to three months subject to the approval.
If the applicant fails to apply for business commencement upon the completion of the preparation stage or the extended preparation stage, the original approval document for the preparation shall become void automatically.
During the preparation stage, the applicant shall not conduct any auto financing business.
Article 12 The applicant shall, before the deadline of the preparation stage or the extended preparation stage, apply for business commencement to the China Banking Regulatory Commission with the following attachments:
(a) a report on completion of the preparation and an application letter for business commencement;
(b) a certification of paid-in capital issued by a qualified Chinese certifying agency, and a registration certificate issued by the State Administration of Industry and Commerce;
(c) articles of Association of the auto financing company;
(d) names and detailed resumes of proposed senior managerial personnel;
(e) name and capital contribution of each shareholder;
(f) proposed business rules and procedures and internal controls;
(g) verification documents on business premises and other business-related facilities issued by relevant authorities; and
(h) other documents required by the China Banking Regulatory Commission.
Article 13 The China Banking Regulatory Commission, upon receiving a complete set of business commencement application documents, shall provide its decision of approval or denial of the application within three months. If the application is approved, the applicant shall receive a written approval letter attached with a license to conduct financial business with the prescribed business scope. If the application is denied, the applicant shall receive a written notice in which reasons for denial are provided.
The applicant shall, before commencing operations, register with the State Administration of Industry and Commerce with the presentation of the license to conduct financial business, and receive a corporate legal entity business License.
The China Banking Regulatory Commission shall revoke the license to conduct financial business and issue a public notice of the revocation if the auto financing company, after receiving the business license, fails without justification to open business within three months, or, without approval, stops operation for six consecutive months after business commencement.
Article 14 An auto financing company shall not set up any branch or subsidiary.
Article 15 The appointment of the senior managerial personnel of an auto financing company shall be either subject to the qualification review by the China Banking Regulatory Commission or filed with the China Banking Regulatory Commission for record.
The chairman of the board of directors, general manager and deputy general manager, executive directors, and chief financial officer of an auto financing company are subject to the qualification view by the China Banking Regulatory Commission. The qualifications of these senior managerial personnel and procedures relating to qualification review and filing for record shall be issued separately.
Article 16 An auto financing company, in case of any of the following changes, shall seek the approval of the China Banking Regulatory Commission:
(a) change of company name;
(b) change of registered capital;
(c) change of business premises;
(d) change of business scope;
(e) change of organizational structure;
(f) change of equity structure;
(g) revision of Articles of Association;
(h) change of senior managerial personnel;
(i) merger or split; and
(j) other changes that require the approval of the China Banking Regulatory Commission.
Article 17 The liquidation of an auto financing company whose operation is terminated because of dissolution, closure or bankruptcy, shall be carried out in compliance with relevant laws and regulations.
Chapter III Business Scope and Supervision
Article 18 An auto financing company may conduct all or part of the following lines of Renminbi business with the approval of the China Banking Regulatory Commission:
(a) taking deposits with maturity of no less than three months from its shareholders in the mainland of China;
(b) extending loans for auto purchase;
(c) extending loans to auto dealers for purpose of purchasing automobiles or facilities for operations (including the show-room construction, purchase of spare parts and equipment repairs);
(d) transferring and selling auto loan receivables;
(e) borrowing from financial institutions;
(f) providing guarantee for auto purchase financing;
(g) agency business relating to auto purchase financing; and
(h) other loan business approved by The China Banking Regulatory Commission.
Article 19 An auto financing company, in case of extending loans to a natural person for auto purchase, shall observe relevant rules governing the auto loans to individual buyers promulgated by the relative supervisory authority. In case of extending auto loans to a legal entity or other organizations, an auto financing company shall observe relevant rules set out by General Provisions of Loans and other regulations.
Article 20 An auto financing company, without the approval of relevant regulatory authorities, shall not issue bonds or borrow funds from overseas. When an auto financing company‘s establishment and business operations involve currency exchange, outward repatriation of profits, provision of auto loans for non-residents, capital management or other business transactions relating to foreign exchange administration, the company shall be subject to relevant regulations to be jointly issued by relative regulatory authorities and the State Administration of Foreign Exchange.
Article 21 An auto financing company shall meet the requirement on the capital to risk assets ratio, and the capital adequacy ratio shall not be less than ten percent. The China Banking Regulatory Commission may increase the minimum requirement of capital adequacy ratio of an individual company in line with the company‘s risk profile and risk management capability. Other requirements on risk control and management relating to various kinds of assets shall be issued separately by the China Banking Regulatory Commission.
Article 22 An auto financing company shall adopt relevant accounting rules for financial institutions.
Article 23 An auto financing company shall compile in required format and submit to the China Banking Regulatory Commission the balance sheet, the profit and loss Statement, the cash flow statement and other statements required by the China Banking Regulatory Commission, and submit the financial statements of the previous year within three months after the end of each accounting year.
An auto financing company shall not provide false financial statements, or statements in which important facts are concealed.
Article 24 An auto financing company shall establish and improve various business management systems and internal controls in line with Guidelines on Strengthening Internal Controls of Commercial Banks issued by the People‘s Bank of China, and report the systems to the China Banking Regulatory Commission before their implementation.
Article 25 An auto financing company shall accept the on-site examination and the off-site surveillance by the China Banking Regulatory Commission.
Article 26 The China Banking Regulatory Commission may call the legal representatives or other senior managerial personnel of an auto financing company for inquiries into problems discovered during regular examinations, and demand the company to correct within a prescribed time frame.
Article 27 An auto financing company shall establish a system of external audit on a regular basis and submit to the China Banking Regulatory Commission annual auditor‘s report signed by the company’s legal representative within six months after the end of each accounting year.
Article 28 An auto financing company, in case of encountering payment difficulties or other emergencies, shall take remedial actions, and promptly report to the China Banking Regulatory Commission.
Article 29 The China Banking Regulatory Commission shall demand remedial actions by an auto financing company in case of the following circumstances:
(a) The company suffers from a loss in the current year of above 50 percent of the registered capital or losses in the last three consecutive years of above 10 percent of the registered capital;
(b) The company is in payment difficulties; and
(c) The company faces other major operational risks that the China Banking Regulatory Commission deems necessary to issue an order for corrective actions.
Article 30 The China Banking Regulatory Commission, after issuing an order for corrective actions to an auto financing company, may take the following enforcement actions:
(a) demanding or prohibiting the change of the company‘s senior managerial personnel;
(b) suspending part of the company‘s business or prohibiting the company’s engagement in new business lines;
(c) demanding an increase of the company‘s capital within a prescribed time frame;
(d) demanding the company to change its equity structure or implement other forms of restructuring;
(e) prohibiting the dividend distribution; and
(f) other enforcement actions that the China Banking Regulatory Commission deems necessary.
Article 31 An auto financing company, when receiving an order for remedial actions, shall not resume normal business operations until the following conditions are met and are approved by the China Banking Regulatory Commission:
(a) Solvency is restored;
(b) Losses are covered; and
(c) Major operational risks are addressed.
Article 32 The maximum time limit that an auto financing company is allowed for corrective actions shall not exceed one year. If the company fails to meet the objectives of remedial actions within the prescribed time limit, its operation shall be terminated in accordance with relevant laws and regulations.
Article 33 Auto financing companies may establish a trade association for self-regulation purposes. The activities of the trade association are subject to the guidance and oversight of the China Banking Regulatory Commission.
Chapter IV Legal Liabilities
Article 34 Any establishment of an auto financing company or any auto financing business without the approval of the China Banking Regulatory Commission shall be banned. If the case constitutes a crime, criminal liabilities shall be investigated. If the case dose not constitute a crime, the China Banking Regulatory Commission shall confiscate the illegal earnings and impose a fine between one to five times the illegal earnings. If no illegal earnings are involved, the China Banking Regulatory Commission shall issue an order for remedial actions and impose a fine of no less than RMB100,000 yuan and no more than RMB500,000 yuan.
Article 35 The China Banking Regulatory Commission shall demand correction and impose a fine of RMB1000 yuan if a company, without the approval of the China Banking Regulatory Commission, includes in its name such words as “auto finance”, “auto loan”, etc. that indicate the company‘s engagement in auto financing business.
Article 36 In case of an auto financing company being found to engage in business activities beyond its prescribed business scope, the China Banking Regulatory Commission shall issue a warning against the company, confiscate the illegal earnings and impose a fine in a range of one to five times the illegal earnings. If no illegal earnings are involved, the China Banking Regulatory Commission imposes a fine of no less than RMB100,000 yuan and no more than RMB500,000 yuan. If the case constitutes a crime, the criminal liabilities shall be investigated.
Article 37 In case of an auto financing company being found in violation of relevant provisions of the Rules to provide false financial statements or statements in which important facts are concealed, the China Banking Regulatory Commission shall issue a warning against the company, and impose a fine of no less than RMB100,000 yuan and no more than RMB500,000 yuan. If the case constitutes a crime, the criminal liabilities shall be investigated.
Article 38 In case of an auto financing company being found in violation of relevant provisions of the Rules to reject or impede the examinations and oversight by the supervisor, the China Banking Regulatory Commission shall issue a warning against the company, and impose a fine of no less than RMB10,000 yuan and no more than RMB30,000 yuan.
Article 39 An auto financing company, in case of being found in violation of the Rules, shall be punished in accordance with the provisions of Article 34 to Article 38. If the violation is a serious one, the China Banking Regulatory Commission may ban the company‘s senior managerial personnel from holding senior management position for one to ten years, or in some particular case, for life.
Article 40 An auto financing company, in case of being found in violation of other Chinese laws and regulations, shall be subject to enforcement actions by relevant regulatory authorities.
Chapter V Supplementary Provisions
Article 41 The Rules is applicable to all auto financing companies incorporated in the mainland of China funded by investors from Hong Kong Special Administrative Region, Macao Special Administrative Region and Taiwan province.
Article 42 The Rules enters into effect on October 3, 2003, and the power of the interpretation rests with the China Banking Regulatory Commission.
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上市公司治理准则(中英)
April 27th, 2010
导言
为推动上市公司建立和完善现代企业制度，规范上市公司运作，促进我国证券市场健康发展，根据《公司法》、《证券法》及其它相关法律、法规确定的基本原则，并参照国外公司治理实践中普遍认同的标准，制订本准则。
本准则阐明了我国上市公司治理的基本原则、投资者权利保护的实现方式，以及上市公司董事、监事、经理等高级管理人员所应当遵循的基本的行为准则和职业道德等内容。
本准则适用于中国境内的上市公司。上市公司改善公司治理，应当贯彻本准则所阐述的精神。上市公司制定或者修改公司章程及治理细则，应当体现本准则所列明的内容。本准则是评判上市公司是否具有良好的公司治理结构的主要衡量标准，对公司治理存在重大问题的上市公司，证券监管机构将责令其按照本准则的要求进行整改。
第一章 股东与股东大会
第一节 股东权利
第一条 股东作为公司的所有者，享有法律、行政法规和公司章程规定的合法权利。上市公司应建立能够确保股东充分行使权利的公司治理结构。
第二条 上市公司的治理结构应确保所有股东，特别是中小股东享有平等地位。股东按其持有的股份享有平等的权利，并承担相应的义务。
第三条 股东对法律、行政法规和公司章程规定的公司重大事项，享有知情权和参与权。上市公司应建立和股东沟通的有效渠道。
第四条 股东有权按照法律、行政法规的规定，通过民事诉讼或其他法律手段保护其合法权利。股东大会、董事会的决议违反法律、行政法规的规定，侵犯股东合法权益，股东有权依法提起要求停止上述违法行为或侵害行为的诉讼。董事、监事、经理执行职务时违反法律、行政法规或者公司章程的规定，给公司造成损害的，应承担赔偿责任。股东有权要求公司依法提起要求赔偿的诉讼。
第二节 股东大会的规范
第五条 上市公司应在公司章程中规定股东大会的召开和表决程序，包括通知、登记、提案的审议、投票、计票、表决结果的宣布、会议决议的形成、会议记录及其签署、公告等。
第六条 董事会应认真审议并安排股东大会审议事项。股东大会应给予每个提案合理的讨论时间。
第七条 上市公司应在公司章程中规定股东大会对董事会的授权原则，授权内容应明确具体。
第八条 上市公司应在保证股东大会合法、有效的前提下，通过各种方式和途径，包括充分运用现代信息技术手段，扩大股东参与股东大会的比例。股东大会时间、地点的选择应有利于让尽可能多的股东参加会议。
第九条 股东既可以亲自到股东大会现场投票，也可以委托代理人代为投票，两者具有同样的法律效力。
第十条 上市公司董事会、独立董事和符合有关条件的股东可向上市公司股东征集其在股东大会上的投票权。投票权征集应采取无偿的方式进行，并应向被征集人充分披露信息。
第十一条 机构投资者应在公司董事选任、经营者激励与监督、重大事项决策等方面发挥作用。
第三节 关联交易
第十二条 上市公司与关联人之间的关联交易应签订书面协议。协议的签订应当遵循平等、自愿、等价、有偿的原则，协议内容应明确、具体。公司应将该协议的订立、变更、终止及履行情况等事项按照有关规定予以披露。
第十三条 上市公司应采取有效措施防止关联人以垄断采购和销售业务渠道等方式干预公司的经营，损害公司利益。关联交易活动应遵循商业原则, 关联交易的价格原则上应不偏离市场独立第三方的价格或收费的标准。公司应对关联交易的定价依据予以充分披露。
第十四条 上市公司的资产属于公司所有。上市公司应采取有效措施防止股东及其关联方以各种形式占用或转移公司的资金、资产及其他资源。上市公司不得为股东及其关联方提供担保。
第二章 控股股东与上市公司
第一节 控股股东行为的规范
第十五条 控股股东对拟上市公司改制重组时应遵循先改制、后上市的原则，并注重建立合理制衡的股权结构。
第十六条 控股股东对拟上市公司改制重组时应分离其社会职能，剥离非经营性资产，非经营性机构、福利性机构及其设施不得进入上市公司。
第十七条 控股股东为上市公司主业服务的存续企业或机构可以按照专业化、市场化的原则改组为专业化公司，并根据商业原则与上市公司签订有关协议。从事其他业务的存续企业应增强其独立发展的能力。无继续经营能力的存续企业，应按有关法律、法规的规定，通过实施破产等途径退出市场。企业重组时具备一定条件的，可以一次性分离其社会职能及分流富余人员，不保留存续企业。
第十八条 控股股东应支持上市公司深化劳动、人事、分配制度改革，转换经营管理机制，建立管理人员竞聘上岗、能上能下，职工择优录用、能进能出，收入分配能增能减、有效激励的各项制度。
第十九条 控股股东对上市公司及其他股东负有诚信义务。控股股东对其所控股的上市公司应严格依法行使出资人的权利，控股股东不得利用资产重组等方式损害上市公司和其他股东的合法权益，不得利用其特殊地位谋取额外的利益。
第二十条 控股股东对上市公司董事、监事候选人的提名，应严格遵循法律、法规和公司章程规定的条件和程序。控股股东提名的董事、监事候选人应当具备相关专业知识和决策、监督能力。控股股东不得对股东大会人事选举决议和董事会人事聘任决议履行任何批准手续；不得越过股东大会、董事会任免上市公司的高级管理人员。
第二十一条 上市公司的重大决策应由股东大会和董事会依法作出。控股股东不得直接或间接干预公司的决策及依法开展的生产经营活动，损害公司及其他股东的权益。
第二节 上市公司的独立性
第二十二条 控股股东与上市公司应实行人员、资产、财务分开，机构、业务独立，各自独立核算、独立承担责任和风险。
第二十三条 上市公司人员应独立于控股股东。上市公司的经理人员、财务负责人、营销负责人和董事会秘书在控股股东单位不得担任除董事以外的其他职务。控股股东高级管理人员兼任上市公司董事的，应保证有足够的时间和精力承担上市公司的工作。
第二十四条 控股股东投入上市公司的资产应独立完整、权属清晰。控股股东以非货币性资产出资的，应办理产权变更手续，明确界定该资产的范围。上市公司应当对该资产独立登记、建帐、核算、管理。控股股东不得占用、支配该资产或干预上市公司对该资产的经营管理。
第二十五条 上市公司应按照有关法律、法规的要求建立健全的财务、会计管理制度，独立核算。控股股东应尊重公司财务的独立性，不得干预公司的财务、会计活动。
第二十六条 上市公司的董事会、监事会及其他内部机构应独立运作。控股股东及其职能部门与上市公司及其职能部门之间没有上下级关系。控股股东及其下属机构不得向上市公司及其下属机构下达任何有关上市公司经营的计划和指令，也不得以其他任何形式影响其经营管理的独立性。
第二十七条 上市公司业务应完全独立于控股股东。控股股东及其下属的其他单位不应从事与上市公司相同或相近的业务。控股股东应采取有效措施避免同业竞争。
第三章 董事与董事会
第一节 董事的选聘程序
第二十八条 上市公司应在公司章程中规定规范、透明的董事选聘程序，保证董事选聘公开、公平、公正、独立。
第二十九条 上市公司应在股东大会召开前披露董事候选人的详细资料，保证股东在投票时对候选人有足够的了解。
第三十条 董事候选人应在股东大会召开之前作出书面承诺，同意接受提名，承诺公开披露的董事候选人的资料真实、完整并保证当选后切实履行董事职责。
第三十一条 在董事的选举过程中，应充分反映中小股东的意见。股东大会在董事选举中应积极推行累积投票制度。控股股东控股比例在30%以上的上市公司，应当采用累积投票制。采用累积投票制度的上市公司应在公司章程里规定该制度的实施细则。
第三十二条 上市公司应和董事签订聘任合同，明确公司和董事之间的权利义务、董事的任期、董事违反法律法规和公司章程的责任以及公司因故提前解除合同的补偿等内容。
第二节 董事的义务
第三十三条 董事应根据公司和全体股东的最大利益，忠实、诚信、勤勉地履行职责。
第三十四条 董事应保证有足够的时间和精力履行其应尽的职责。
第三十五条 董事应以认真负责的态度出席董事会，对所议事项表达明确的意见。董事确实无法亲自出席董事会的，可以书面形式委托其他董事按委托人的意愿代为投票，委托人应独立承担法律责任。
第三十六条 董事应遵守有关法律、法规及公司章程的规定，严格遵守其公开作出的承诺。
第三十七条 董事应积极参加有关培训, 以了解作为董事的权利、义务和责任, 熟悉有关法律法规, 掌握作为董事应具备的相关知识。
第三十八条 董事会决议违反法律、法规和公司章程的规定，致使公司遭受损失的，参与决议的董事对公司承担赔偿责任。但经证明在表决时曾表明异议并记载于会议记录的董事除外。
第三十九条 经股东大会批准，上市公司可以为董事购买责任保险。但董事因违反法律法规和公司章程规定而导致的责任除外。
第三节 董事会的构成和职责
第四十条 董事会的人数及人员构成应符合有关法律、法规的要求，确保董事会能够进行富有成效的讨论，作出科学、迅速和谨慎的决策。
第四十一条 董事会应具备合理的专业结构，其成员应具备履行职务所必需的的知识、技能和素质。
第四十二条 董事会向股东大会负责。上市公司治理结构应确保董事会能够按照法律、法规和公司章程的规定行使职权。
第四十三条 董事会应认真履行有关法律、法规和公司章程规定的职责，确保公司遵守法律、法规和公司章程的规定，公平对待所有股东，并关注其他利益相关者的利益。
第四节 董事会议事规则
第四十四条 上市公司应在公司章程中规定规范的董事会议事规则，确保董事会高效运作和科学决策。
第四十五条 董事会应定期召开会议,并根据需要及时召开临时会议。董事会会议应有事先拟定的议题。
第四十六条 上市公司董事会会议应严格按照规定的程序进行。董事会应按规定的时间事先通知所有董事，并提供足够的资料，包括会议议题的相关背景材料和有助于董事理解公司业务进展的信息和数据。当2名或2名以上独立董事认为资料不充分或论证不明确时，可联名以书面形式向董事会提出延期召开董事会会议或延期审议该事项，董事会应予以采纳。
第四十七条 董事会会议记录应完整、真实。董事会秘书对会议所议事项要认真组织记录和整理。出席会议的董事、董事会秘书和记录人应在会议记录上签名。董事会会议记录应作为公司重要档案妥善保存，以作为日后明确董事责任的重要依据。
第四十八条 董事会授权董事长在董事会闭会期间行使董事会部分职权的，上市公司应在公司章程中明确规定授权原则和授权内容，授权内容应当明确、具体。凡涉及公司重大利益的事项应由董事会集体决策。
第五节 独立董事制度
第四十九条 上市公司应按照有关规定建立独立董事制度。独立董事应独立于所受聘的公司及其主要股东。独立董事不得在上市公司担任除独立董事外的其他任何职务。
第五十条 独立董事对公司及全体股东负有诚信与勤勉义务。独立董事应按照相关法律、法规、公司章程的要求，认真履行职责，维护公司整体利益，尤其要关注中小股东的合法权益不受损害。独立董事应独立履行职责，不受公司主要股东、实际控制人、以及其他与上市公司存在利害关系的单位或个人的影响。
第五十一条 独立董事的任职条件、选举更换程序、职责等，应符合有关规定。
第六节 董事会专门委员会
第五十二条 上市公司董事会可以按照股东大会的有关决议,设立战略、审计、提名、薪酬与考核等专门委员会。专门委员会成员全部由董事组成，其中审计委员会、提名委员会、薪酬与考核委员会中独立董事应占多数并担任召集人，审计委员会中至少应有一名独立董事是会计专业人士。
第五十三条 战略委员会的主要职责是对公司长期发展战略和重大投资决策进行研
究并提出建议。
第五十四条 审计委员会的主要职责是：（1）提议聘请或更换外部审计机构；（2）监督公司的内部审计制度及其实施；（3）负责内部审计与外部审计之间的沟通；（4）审核公司的财务信息及其披露；（5）审查公司的内控制度。
第五十五条 提名委员会的主要职责是：（1）研究董事、经理人员的选择标准和程序并提出建议；（2）广泛搜寻合格的董事和经理人员的人选；（3）对董事候选人和经理人选进行审查并提出建议。
第五十六条 薪酬与考核委员会的主要职责是：（1）研究董事与经理人员考核的标准，进行考核并提出建议；（2）研究和审查董事、高级管理人员的薪酬政策与方案。
第五十七条 各专门委员会可以聘请中介机构提供专业意见，有关费用由公司承担。
第五十八条 各专门委员会对董事会负责，各专门委员会的提案应提交董事会审查决定。
第四章 监事与监事会
第一节 监事会的职责
第五十九条 上市公司监事会应向全体股东负责，对公司财务以及公司董事、经理和其他高级管理人员履行职责的合法合规性进行监督，维护公司及股东的合法权益。
第六十条 监事有了解公司经营情况的权利，并承担相应的保密义务。监事会可以独立聘请中介机构提供专业意见。
第六十一条 上市公司应采取措施保障监事的知情权，为监事正常履行职责提供必要的协助，任何人不得干预、阻挠。监事履行职责所需的合理费用应由公司承担。
第六十二条 监事会的监督记录以及进行财务或专项检查的结果应成为对董事、经理和其他高级管理人员绩效评价的重要依据。
第六十三条 监事会发现董事、经理和其他高级管理人员存在违反法律、法规或公司章程的行为，可以向董事会、股东大会反映，也可以直接向证券监管机构及其他有关部门报告。
第二节 监事会的构成和议事规则
第六十四条 监事应具有法律、会计等方面的专业知识或工作经验。监事会的人员和结构应确保监事会能够独立有效地行使对董事、经理和其他高级管理人员及公司财务的监督和检查。
第六十五条 上市公司应在公司章程中规定规范的监事会议事规则。监事会会议应严格按规定程序进行。
第六十六条 监事会应定期召开会议，并根据需要及时召开临时会议。监事会会议因故不能如期召开，应公告说明原因。
第六十七条 监事会可要求公司董事、经理及其他高级管理人员、内部及外部审计人员出席监事会会议，回答所关注的问题。
第六十八条 监事会会议应有记录，出席会议的监事和记录人应当在会议记录上签字。监事有权要求在记录上对其在会议上的发言作出某种说明性记载。监事会会议记录应作为公司重要档案妥善保存。
第五章 绩效评价与激励约束机制
第一节 董事、监事、经理人员的绩效评价
第六十九条 上市公司应建立公正透明的董事、监事和经理人员的绩效评价标准和程序。
第七十条 董事和经理人员的绩效评价由董事会或其下设的薪酬与考核委员会负责组织。独立董事、监事的评价应采取自我评价与相互评价相结合的方式进行。
第七十一条 董事报酬的数额和方式由董事会提出方案报请股东大会决定。在董事会或薪酬与考核委员会对董事个人进行评价或讨论其报酬时，该董事应当回避。
第七十二条 董事会、监事会应当向股东大会报告董事、监事履行职责的情况、绩效评价结果及其薪酬情况，并予以披露。
第二节 经理人员的聘任
第七十三条 上市公司经理人员的聘任，应严格按照有关法律、法规和公司章程的规定进行。任何组织和个人不得干预公司经理人员的正常选聘程序。
第七十四条 上市公司应尽可能采取公开、透明的方式，从境内外人才市场选聘经理人员，并充分发挥中介机构的作用。
第七十五条 上市公司应和经理人员签订聘任合同，明确双方的权利义务关系。
第七十六条 经理的任免应履行法定的程序，并向社会公告。
第三节 经理人员的激励与约束机制
第七十七条 上市公司应建立经理人员的薪酬与公司绩效和个人业绩相联系的激励机制，以吸引人才，保持经理人员的稳定。
第七十八条 上市公司对经理人员的绩效评价应当成为确定经理人员薪酬以及其它激励方式的依据。
第七十九条 经理人员的薪酬分配方案应获得董事会的批准，向股东大会说明，并予以披露。
第八十条 上市公司应在公司章程中明确经理人员的职责。经理人员违反法律、法规和公司章程规定，致使公司遭受损失的，公司董事会应积极采取措施追究其法律责任。
第六章 利益相关者
第八十一条 上市公司应尊重银行及其它债权人、职工、消费者、供应商、社区等利益相关者的合法权利。
第八十二条 上市公司应与利益相关者积极合作，共同推动公司持续、健康地发展。
第八十三条 上市公司应为维护利益相关者的权益提供必要的条件，当其合法权益受到侵害时，利益相关者应有机会和途径获得赔偿。
第八十四条 上市公司应向银行及其它债权人提供必要的信息，以便其对公司的经营状况和财务状况作出判断和进行决策。
第八十五条 上市公司应鼓励职工通过与董事会、监事会和经理人员的直接沟通和交流，反映职工对公司经营、财务状况以及涉及职工利益的重大决策的意见。
第八十六条 上市公司在保持公司持续发展、实现股东利益最大化的同时，应关注所在社区的福利、环境保护、公益事业等问题，重视公司的社会责任。
第七章 信息披露与透明度
第一节 上市公司的持续信息披露
第八十七条 持续信息披露是上市公司的责任。上市公司应严格按照法律、法规和公司章程的规定，真实、准确、完整、及时地披露信息。
第八十八条 上市公司除按照强制性规定披露信息外，应主动、及时地披露所有可能对股东和其它利益相关者决策产生实质性影响的信息，并保证所有股东有平等的机会获得信息。
第八十九条 上市公司披露的信息应当便于理解。上市公司应保证使用者能够通过经济、便捷的方式（如互联网）获得信息。
第九十条 上市公司董事会秘书负责信息披露事项，包括建立信息披露制度、接待来访、回答咨询、联系股东，向投资者提供公司公开披露的资料等。董事会及经理人员应对董事会秘书的工作予以积极支持。任何机构及个人不得干预董事会秘书的工作。
第二节 公司治理信息的披露
第九十一条 上市公司应按照法律、法规及其他有关规定，披露公司治理的有关信息，包括但不限于：（1）董事会、监事会的人员及构成；（2）董事会、监事会的工作及评价；（3）独立董事工作情况及评价，包括独立董事出席董事会的情况、发表独立意见的情况及对关联交易、董事及高级管理人员的任免等事项的意见；（4）各专门委员会的组成及工作情况；（5）公司治理的实际状况，及与本准则存在的差异及其原因；（6）改进公司治理的具体计划和措施。
第三节 股东权益的披露
第九十二条 上市公司应按照有关规定，及时披露持有公司股份比例较大的股东以及一致行动时可以实际控制公司的股东或实际控制人的详细资料。
第九十三条 上市公司应及时了解并披露公司股份变动的情况以及其它可能引起股份变动的重要事项。
第九十四条 当上市公司控股股东增持、减持或质押公司股份，或上市公司控制权发生转移时，上市公司及其控股股东应及时、准确地向全体股东披露有关信息。
第八章 附则
第九十五条 本准则自发布之日起施行。
Code of Corporate Governance for Listed Companies in China
Issued by:
China Securities Regulatory Commission
State Economic and Trade Commission
January 7, 2001
(Zhengjianfa No.1 of 2002)
Code of Corporate Governance for Listed Companies
Preface
In accordance with the basic principles of the Company Law, the Securities Law and other relevant laws and regulations, as well as the commonly accepted standards in international corporate governance, the Code of Corporate Governance for Listed Companies (hereinafter referred to as “the Code”) is formulated to promote the establishment and improvement of modern enterprise system by listed companies, to standardize the operation of listed companies and to bring forward the healthy development of the securities market of our country.
The Code sets forth, among other things, the basic principles for corporate governance of listed companies in our country, the means for the protection of investors’ interests and rights, the basic behavior rules and moral standards for directors, supervisors, managers and other senior management members of listed companies.
The Code is applicable to all listed companies within the boundary of the People’s Republic of China. Listed companies shall act in the spirit of the Code in their efforts to improve corporate governance. Requirements of the Code shall be embodied when listed companies formulate or amend their articles of association or rules of governance. The Code is the major measuring standard for evaluating whether a listed company has a good corporate governance structure, and if major problems exist with the corporate governance structure of a listed company, the securities supervision and regulation authorities may instruct the company to make corrections in accordance with the Code.
Chapter 1. Shareholders and Shareholders’ Meetings
(1) Rights of Shareholders
1. As the owner of a company, the shareholders shall enjoy the legal rights stipulated by laws, administrative regulations and the company’s articles of association. A listed company shall establish a corporate governance structure sufficient for ensuring the full exercise of shareholders’ rights.
2. The corporate governance structure of a company shall ensure fair treatment toward all shareholders, especially minority shareholders. All shareholders are to enjoy equal rights and to bear the corresponding duties based on the shares they hold.
3. Shareholders shall have the right to know about and the right to participate in major matters of the company set forth in the laws, administrative regulations and articles of association. A listed company shall establish efficient channels of communication with its shareholders.
4. Shareholders shall have the right to protect their interests and rights through civil litigation or other legal means in accordance with laws and administrative regulations. In the event the resolutions of shareholders’ meetings or the resolutions of the board of directors are in breach of laws and administrative regulations or infringe on shareholders’ legal interests and rights, the shareholders shall have the right to initiate litigation to stop such breach or infringement. The directors, supervisors and managers of the company shall bear the liability of compensation in cases where they violate laws, administrative regulations or articles of association and cause damages to the company during the performance of their duties. Shareholders shall have the right to request the company to sue for such compensation in accordance with law.
(2) Rules for Shareholders’ Meetings
5. A listed company shall set out convening and voting procedures for shareholders’ meetings in its articles of association, including rules governing such matters as notification, registration, review of proposals, voting, counting of votes, announcement of voting results, formulation of resolutions, recording of minutes and signatories, public announcement, etc.
6. The board of directors shall earnestly study and arrange the agenda for a shareholders’ meeting. During a shareholders’ meeting, each item on the agenda shall be given a reasonable amount of time for discussion.
7. A listed company shall state in its articles of association the principles for the shareholders’ meeting to grant authorization to the board of directors. The content of such authorization shall be explicit and concrete.
8. Besides ensuring that shareholders’ meetings proceed legally and effectively, a listed company shall make every effort, including fully utilizing modern information technology means, to increase the number of shareholders attending the shareholders’ meetings. The time and location of the shareholders’ meetings shall be set so as to allow the maximum number of shareholders to participate.
9. The shareholders can either be present at the shareholders’ meetings in person or they may appoint a proxy to vote on their behalf, and both means of voting possess the same legal effect.
10. The board of directors, independent directors and qualified shareholders of a listed company may solicit for the shareholders’ right to vote in a shareholders’ meeting. No payments shall be made to the shareholders for such solicitation, and adequate information shall be provided to persons whose voting rights are being solicited.
11. Iinstitutional investors shall play a role in the appointment of company directors, the compensation and supervision of management and major decision-making processes.
(3) Related Party Transactions
12. Written agreements shall be entered into for related party transactions among a listed company and its connected parties. Such agreements shall observe principles of equality, voluntarity, and making compensation for equal value. The contents of such agreements shall be specific and concrete. Matters such as the signing, amendment, termination and execution of such agreements shall be disclosed by the listed company in accordance with relevant regulations.
13. Efficient measures shall be adopted by a listed company to prevent its connected parties from interfering with the operation of the company and damaging the company’s interests by monopolizing purchase or sales channels. Related party transactions shall observe commercial principles. In principle, the prices for related party transactions shall not deviate from an independent third party’s market price or charging standard. The company shall fully disclose the basis for pricing for related party transactions.
14. The assets of a listed company belong to the company. The company shall adopt efficient measures to prevent its shareholders and their affiliates from misappropriating or transferring the capital, assets or other resources of the company through various means. A listed company shall not provide financial guarantees for its shareholders or their affiliates.
Chapter 2. Listed Company and Its Controlling Shareholders
(1) Behavior Rules for Controlling Shareholders
15. During the restructuring and reorganization of a company that plans to list, the controlling shareholders shall observe the principle of “first restructuring, then listing”, and shall emphasize the establishment of a reasonably balanced shareholding structure.
16. During the restructuring and reorganization of a company that plans to list, the controlling shareholders shall sever the company’s social functions and strip out non-operational assets. Non-operational institutions, welfare institutions and their facilities shall not be included in the listed company.
17. Controlling shareholders’ remaining enterprises or institutions that provide services for the major business of the listed company may be restructured into specialized companies in accordance with the principles of specialization and market practice, and may enter into relevant agreements with the listed company in accordance with commercial principles. Remaining enterprises engaged in other businesses shall increase their capability of independent development. Remaining enterprises not capable to continue operation shall exit the market, through such channels as bankruptcy, in accordance with relevant laws and regulations. Enterprises meeting certain requirements during restructuring may sever all their social functions and disperse surplus employees at one time and keep no remaining enterprises.
18. The controlling shareholders shall support the listed company to further reform labor, personnel and distribution systems, to transform operational and managerial mechanisms, and to establish such systems as: management selection through bidding and competition, with the chance for both promotion and demotion; employment of employees on the basis of competitive selection, with the chance for both employment and termination of employment; income distribution scheme that provides sufficient incentive, with the chance to both increase and decrease the remuneration; etc.
19. The controlling shareholders owe a duty of good faith toward the listed company and other shareholders. The controlling shareholders of a listed company shall strictly comply with laws and regulations while exercising their rights as investors, and shall be prevented from damaging the listed company’s or other shareholders’ legal rights and interests, through means such as assets restructuring, or from taking advantage of their privileged position to gain additional benefit.
20. The controlling shareholders shall nominate the candidates for directors and supervisors in strict compliance with the terms and procedures provided for by laws, regulations and the company’s articles of association. The nominated candidates shall possess certain relevant professional knowledge and the capability to make decisions or supervise. The resolutions made by the shareholders’ meetings electing personnel or the board of directors’ resolutions appointing personnel shall not be subjected to approval procedures by the controlling shareholders. The controlling shareholders are forbidden to appoint senior management personnel by circumventing the shareholders’ meetings or the board of directors.
21. The important decisions of a listed company shall be made through a shareholders’ meeting or board of directors’ meeting in accordance with law. The controlling shareholders shall not directly or indirectly interfere with the company’s decisions or business activities conducted in accordance with laws; nor shall they impair the listed company’s or other shareholders’ rights and interests.
(2) Independence of Listed Company
22. A listed company shall be separated from its controlling shareholders in such aspects as personnel, assets and financial affairs, shall be independent in institution and business, shall practice independent business accounting, and shall independently bear risks and obligations.
23. The personnel of a listed company shall be independent from the controlling shareholders. The management, financial officers, sales officers and secretary of the board of directors of the listed company shall not take posts other than as a director in a controlling shareholder’s entities. In the case where a member of a controlling shareholder’s senior management concurrently holds the position of director of the listed company, such member shall ensure adequate time and energy to perform the work for the listed company.
24. The assets invested by a controlling shareholder in a listed company shall be independent, complete and with clear indication of ownership. Where controlling shareholders invest non-cash assets into a listed company, ownership transfer procedures shall be completed and explicit boundaries for such assets shall be clarified. The listed company shall independently register such assets, independently set up account for such assets, and independently carry out business accounting and management for such assets. The controlling shareholders shall not misappropriate or control such assets or interfere with the listed company’s management of such assets.
25. A listed company shall establish sound financial and accounting management systems in accordance with laws and regulations and shall conduct independent business accounting. Controlling shareholders shall respect the financial independence of the company and shall not interfere with the financial and accounting activities of the company.
26. The board of directors, the supervisory committee and other internal offices of a listed company shall operate in an independent manner. There shall be no subordination relationship between, on the one hand, a listed company or its internal offices and, on the other hand, the company’s controlling shareholders or their internal offices, and the latter shall not give plans or instructions concerning the listed company’s business operation to the former, nor shall the latter interfere with the independent operation of the former in any other manner.
27. A listed company’s business shall be completely independent from that of its controlling shareholders. Controlling shareholders and their subsidiaries shall not engage in the same or similar business as that of the listed company. Controlling shareholders shall adopt efficient measures to avoid competition with the listed company.
Chapter 3. Directors and Board of Directors
(1) Election Procedures for Directors
28. A company shall establish a standardized and transparent procedure for director election in its articles of association, so as to ensure the openness, fairness, impartialness and independence of the election.
29. Detailed information regarding the candidates for directorship shall be disclosed prior to the convening of the shareholders’ meeting to ensure adequate understanding of the candidates by the shareholders at the time of voting.
30. Candidates for directorship shall give written undertakings to accept their nomination, to warrant the truthfulness and completeness of the candidate’s information that has been publicly disclosed and to promise to earnestly perform their duties once elected.
31. The election of directors shall fully reflect the opinions of minority shareholders. A cumulative voting system shall be earnestly advanced in shareholders’ meetings for the election of directors. Listed companies that are more than 30% owned by controlling shareholders shall adopt a cumulative voting system, and the companies that do adopt such a system shall stipulate the implementing rules for such cumulative voting system in their articles of association.
32. Appointment agreements shall be entered into by a listed company and its directors to clarify such matters as the rights and obligations between the company and the director, the term of the directorship, the director’s liabilities in case of breach of laws, regulations or articles of association, and the compensation from the company in case of early termination of the appointment agreement for cause by the company.
(2) The Duties and Responsibilities of Directors
33. Directors shall faithfully, honestly and diligently perform their duties for the best interests of the company and all the shareholders.
34. Directors shall ensure adequate time and energy for the performance of their duties.
35. Directors shall attend the board of directors meetings in a diligent and responsible manner, and shall express their clear opinion on the topics discussed. When unable to attend a board of directors meeting, a director may authorize another director in writing to vote on his behalf and the director who makes such authorization shall be responsible for the vote.
36. The board of directors shall abide by relevant laws, regulations, rules and the company’s articles of association, and shall strictly fulfill the undertakings they made publicly.
37. Directors shall earnestly attend relevant trainings to learn about the rights, obligations and duties of a director, to familiarize themselves with relevant laws and regulations and to master relevant knowledge necessary for acting as directors.
38. In cases where the resolutions of board of directors violate laws or regulations or a listed company’s articles of association and cause losses to the listed company, directors responsible for making such resolutions shall be liable for compensation, except those proved to have objected and the objections of whom have been recorded in the minutes.
39. After approval by the shareholders’ meeting, a listed company may purchase liability insurance for directors. Such insurance shall not cover the liabilities arising in connection with directors’ violation of laws, regulations or the company’s articles of association.
(3) Duties and Composition of the Board of Directors
40. The number of directors and the structure of the board of directors shall be in compliance with laws and regulations and shall ensure the effective discussion and efficient, timely and prudent decision-making process of the board of directors.
41. The board of directors shall possess proper professional background. The directors shall possess adequate knowledge, skill and quality to perform their duties.
42. The board of directors shall be made accountable to shareholders. A listed company’s corporate governance framework shall ensure that the board of directors can exercise its power in accordance with laws, administrative regulations and the company’s articles of association.
43. The board of directors shall earnestly perform its duties as stipulated by laws, regulations and the company’s articles of association, shall ensure that the company complies with laws, regulations and its articles of association, shall treat all the shareholders equally and shall be concerned with the interests of stakeholders.
(4) Rules and Procedure of the Board of Directors
44. A listed company shall formulate rules of procedure for its board of directors in its articles of association to ensure the board of directors’ efficient function and rational decisions.
45. The board of directors shall meet periodically and shall convene interim meetings in a timely manner when necessary. Each board of directors’ meeting shall have a pre-decided agenda.
46. The meetings of the board of directors of a listed company shall be conducted in strict compliance with prescribed procedures. The board of directors shall send notice to all directors in advance, at the stipulated time, and shall provide sufficient materials, including relevant background materials for the items on the agenda and other information and data that may assist the directors in their understanding of the company’s business development. When two or more independent directors deem the materials inadequate or unclear, they may jointly submit a written request to postpone the meeting or to postpone the discussion of the related matter, which shall be granted by the board of directors.
47. The minutes of the board of directors’ meetings shall be complete and accurate. The secretary of the board of directors shall carefully organize the minutes and the records of discussed matters. Directors that have attended the meetings and the person who drafted the minutes shall sign the minutes. The minutes of the board of directors’ meetings shall be properly maintained and stored as important records of the company, and may be used as an important basis for clarifying responsibilities of individual directors in the future.
48. In the case of authorization to the chairman of the board of directors to exercise part of the board of directors’ power of office when the board of directors is not in session, clear rules and principles for such authorization shall be stated in the articles of association of the listed company. The content of such authorization shall be clear and specific. All matters related to material interests of the company shall be submitted to the board of directors for collective decision.
(5) Independent Directors
49. A listed company shall introduce independent directors to its board of directors in accordance with relevant regulations. Independent directors shall be independent from the listed company that employs them and the company’s major shareholders. An independent director may not hold any other position apart from independent director in the listed company.
50. The independent directors shall bear the duties of good faith and due diligence toward the listed company and all the shareholders. They shall earnestly perform their duties in accordance with laws, regulations and the company’s articles of association, shall protect the overall interests of the company, and shall be especially concerned with protecting the interests of minority shareholders from being infringed. Independent directors shall carry out their duties independently and shall not subject themselves to the influence of the company’s major shareholders, actual controllers, or other entities or persons who are interested parties of the listed company.
51. Relevant laws and regulations shall be complied with for matters such as the qualifications, procedure of election and replacement, and duties of independent directors.
(6) Specialized Committees of the Board of Directors
52. The board of directors of a listed company may establish a corporate strategy committee, an audit committee, a nomination committee, a remuneration and appraisal committee and other special committees in accordance with the resolutions of the shareholders’ meetings. All committees shall be composed solely of directors. The audit committee, the nomination committee and the remuneration and appraisal committee shall be chaired by an independent director, and independent directors shall constitute the majority of the committees. At least one independent director from the audit committee shall be an accounting professional.
53. The main duties of the corporate strategy committee shall be to conduct research and make recommendations on the long-term strategic development plans and major investment decisions of the company.
54. The main duties of the audit committee are (1) to recommend the engagement or replacement of the company’s external auditing institutions; (2) to review the internal audit system and its execution; (3) to oversee the interaction between the company’s internal and external auditing institutions; (4) to inspect the company’s financial information and its disclosure; and (5) to monitor the company’s internal control system.
55. The main duties of the nomination committee are (1) to formulate standards and procedures for the election of directors and make recommendations; (2) to extensively seek qualified candidates for directorship and management; and (3) to review the candidates for directorship and management and make recommendations.
56. The main duties of the remuneration and appraisal committee are (1) to study the appraisal standard for directors and management personnel, to conduct appraisal and to make recommendations; and (2) to study and review the remuneration policies and schemes for directors and senior management personnel.
57. Each specialized committee may engage intermediary institutions to provide professional opinions, the relevant expenses to be borne by the company.
58. Each specialized committee shall be accountable to the board of directors. All proposals by specialized committees shall be submitted to the board of directors for review and approval.
Chapter 4. The Supervisors and the Supervisory Board
(1) Duties and Responsibilities of the Supervisory Board
59. The supervisory board of a listed company shall be accountable to all shareholders. The supervisory board shall supervise the corporate finance, the legitimacy of directors, managers and other senior management personnel’s performance of duties, and shall protect the company’s and the shareholders’ legal rights and interests.
60. Supervisors shall have the right to learn about the operating status of the listed company and shall have the corresponding obligation of confidentiality. The supervisory board may independently hire intermediary institutions to provide professional opinions.
61. A listed company shall adopt measures to ensure supervisors’ right to learn about company’s matters and shall provide necessary assistance to supervisors for their normal performance of duties. No one shall interfere with or obstruct supervisors’ work. A supervisor’s reasonable expenses necessary to perform their duties shall be borne by the listed company.
62. The record of the supervisory committee’s supervision as well as the results of financial or other specific investigations shall be used as an important basis for performance assessment of directors, managers and other senior management personnel.
63. The supervisory board may report directly to securities regulatory authorities and other related authorities as well as reporting to the board of directors and the shareholders’ meetings when the supervisory board learns of any violation of laws, regulations or the company’s articles of association by directors, managers or other senior management personnel.
(2) The Composition and Steering of the Supervisory Board
64. Supervisors shall have professional knowledge or work experience in such areas as law and accounting. The members and the structure of the supervisory board shall ensure its capability to independently and efficiently conduct its supervision of directors, managers and other senior management personnel and to supervise and examine the company’s financial matters.
65. A listed company shall formulate in its articles of association standardized rules and procedures governing the steering of the supervisory board. The supervisory board’s meetings shall be convened in strict compliance with the rules and procedures.
66. The supervisory board shall meet periodically and shall convene interim meetings in a timely manner when necessary. If for any reason a supervisory board meeting cannot be convened as scheduled, an explanation shall be publicly announced.
67. The supervisory board may ask directors, managers and other senior management personnel, internal auditing personnel and external auditing personnel to attend the meetings of supervisory board and to answer the questions that the supervisory board is concerned with.
68. Minutes shall be drafted for the meetings of the supervisory board, which shall be signed by the supervisors that attended the meetings and the person who drafted the minutes. The supervisors shall have the right to request to record in the minutes explanatory notes to their statements in the meetings. Minutes of the meetings of the supervisory board shall be properly maintained and stored as important records of the company.
Chapter 5. Performance Assessments and Incentive and Disciplinary Systems
(1) Performance Assessment for Directors, Supervisors and Management Personnel
69. A listed company shall establish fair and transparent standards and procedures for the assessment of the performance of directors, supervisors and management personnel.
70. The evaluation of the directors and management personnel shall be conducted by the board of directors or by the remuneration and appraisal committee of the board of directors. The evaluation of the performance of independent directors and supervisors shall be conducted through a combination of self-review and peer review.
71. The board of directors shall propose a scheme for the amount and method of compensation for directors to the shareholders’ meeting for approval. When the board of directors or the remuneration and appraisal committee reviews the performance of or discusses the compensation for a certain director, such director shall withdraw.
72. The board of directors and the supervisory board shall report to the shareholder meetings the performance of the directors and the supervisors, the results of the assessment of their work and their compensation, and shall disclose such information.
(2) Selection of Management Personnel
73. The recruiting of management personnel of a listed company shall be conducted in strict observation with relevant laws and regulations and the company’s articles of association. No institution or individual shall interfere with a listed company’s normal recruiting procedure for management personnel.
74. The recruiting of management personnel of a listed company shall, to the extent possible, be carried out in a fair and transparent manner, through domestic and international markets for professional management, making full use of intermediary agencies.
75. Employment agreements shall be entered into by a listed company and its management personnel to clarify each party’s rights and obligations.
76. The appointment and removal of managers shall be in compliance with legal procedure and shall be publicly announced.
(3) Incentive and Disciplinary Systems for Management
77. To attract qualified personnel and to maintain the stability of management, a listed company shall establish rewarding systems that link the compensation for management personnel to the company’s performance and to the individual’s work performance.
78. The performance assessment for management personnel shall become a basis for determining the compensation and other rewarding arrangements for the person reviewed.
79. The results of the performance assessment shall be approved by the board of directors, explained at the shareholders’ meetings and disclosed.
80. A listed company shall specify management personnel’s duties and responsibilities in its articles of association. If management personnel violate laws, regulations or the company’s articles of association and cause damages to the company, the board of directors of the company shall actively investigate and pursue such personnel’s legal liabilities.
Chapter 6. Stakeholders
81. A listed company shall respect the legal rights of banks and other creditors, employees, consumers, suppliers, the community and other stakeholders.
82. A listed company shall actively cooperate with its stakeholders and jointly advance the company’s sustained and healthy development.
83. A company shall provide the necessary means to ensure the legal rights of stakeholders. Stakeholders shall have opportunities and channels for redress for infringement of rights.
84. A company shall provide necessary information to banks and other creditors to enable them to make judgments and decisions about the company’s operating and financial situation.
85. A company shall encourage employees’ feedback regarding the company’s operating and financial situations and important decisions affecting employee’s benefits through direct communications with the board of directors, the supervisory board and the management personnel.
86. While maintaining the listed company’s development and maximizing the benefits of shareholders, the company shall be concerned with the welfare, environmental protection and public interests of the community in which it resides, and shall pay attention to the company’s social responsibilities.
Chapter 7. Information Disclosure and Transparency
(1) Listed Companies’ Ongoing Information Disclosure
87. Information disclosure is an ongoing responsibility of listed companies. A listed company shall truthfully, accurately, completely and timely disclose information as required by laws, regulations and the company’s articles of association.
88. In addition to disclosing mandatory information, a company shall also voluntarily and timely disclose all other information that may have a material effect on the decisions of shareholders and stakeholders, and shall ensure equal access to information for all shareholders.
89. Disclosed information by a listed company shall be easily comprehensible. Companies shall ensure economical, convenient and speedy access to information through various means (such as the Internet).
90. The secretary of the board of directors shall be in charge of information disclosure, including formulating rules for information disclosure, receiving visits, providing consultation, contacting shareholders and providing publicly disclosed information about the company to investors. The board of directors and the management shall actively support the secretary’s work. No institutions or individuals shall interfere with the secretary’s work.
(2) Disclosure of Information Regarding Corporate Governance
91. A listed company shall disclose information regarding its corporate governance in accordance with laws, regulations and other relevant rules, including but not limited to: (1) the members and structure of the board of directors and the supervisory board; (2) the performance and evaluation of the board of directors and the supervisory board; (3) the performance and evaluation of the independent directors, including their attendance at board of directors’ meetings, their issuance of independent opinions and their opinions regarding related party transactions and appointment and removal of directors and senior management personnel; (4) the composition and work of the specialized committees of the board of directors; (5) the actual state of corporate governance of the company, the gap between the company’s corporate governance and the Code, and the reasons for the gap; and (6) specific plans and measures to improve corporate governance.
(3) Disclosure of Controlling Shareholder’s Interests
92. A company shall timely disclose detailed information about each shareholder who owns a comparatively large percentage of shares of the company, the shareholders who actually control the company when acting in concert and the company’s actual controllers in accordance with relevant regulations.
93. A listed company shall learn about and disclose in a timely manner, changes in the shareholding of the company and other important matters that may cause changes in the shareholding of the company.
94. When controlling shareholders increase or decrease their shareholding or pledge the company’s shares, or when the actual control of the company transfers, the company and its controlling shareholders shall timely and accurately disclose relevant information to all shareholders.
Chapter 8. Supplementary Article
95. This Code shall come into effect on the date of issuance.
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最高人民法院关于审理融资租赁合同纠纷案件若干问题的规定(中英)
April 27th, 2010
最高人民法院审判委员会第793次会议讨论通过
为正确审理融资租赁合同纠纷案件，保障当事人的合法权益，根据我国的有关法律规定和审判实践经验，特作如下规定：
一、融资租赁合同纠纷案件的当事人应包括出租人、承租人。供货人是否需要列为当事人，由法院根据案件的具体情况决定。但供货合同中有仲裁条款的，则不应当将供货人列为当事人。
二、融资租赁合同中的承租人与租赁物的实际使用人不一致时，法院可以根据实际情况决定将实际使用人列为案件的当事人。
三、融资租赁合同纠纷案件的当事人，可以协议选择与争议有实际联系地点的法院管辖。当事人未选择管辖法院的，应由被告住所地或合同履行地法院管辖。租赁物的使用地为融资租赁合同的履行地。
四、涉外融资租赁合同纠纷案件的当事人可以协议选择处理合同争议所适用的法律；当事人没有选择的，适用承租人所在地的法律。
五、融资租赁合同所涉及的项目应当报经有关部门批准而未经批准的，应认定融资租赁合同不生效。
六、有下列情形之一的，应认定融资租赁合同为无效合同：
（一）出租人不具有从事融资租赁经营范围的；
（二）承租人与供货人恶意串通，骗取出租人资金的；
（三）以融资租赁合同形式规避国家有关法律、法规的；
（四）依照有关法律、法规规定应认定为无效的。
七、融资租赁合同被确定为无效后，应区分下列情形分别处理：
（一）因承租人的过错造成合同无效，出租人不要求返还租赁物的，租赁物可以不予返还，但承租人应赔偿因其过错给出租人造成的损失；
（二）因出租人的过错造成合同无效，承租人要求退还租赁物的，可以退还租赁物，如有损失，出租人应赔偿相应损失；
（三）因出租人和承租人的共同过错造成合同无效的，可以返还租赁物，并根据过错大小各自承担相应的损失和赔偿责任。
租赁物正在继续使用且发挥效益的，对租赁物是否返还，可以协商解决；协商不成的，由法院根据实际情况作出判决。
八、在《最高人民法院关于贯彻执行〈中华人民共和国民法通则〉若干问题的意见（试行）》中规定国家机关不能担任保证人之后，国家机关所作的保证应认定无效。因保证无效而给债权人造成损失的，提供保证的国家机关应当承担相应的赔偿责任。
九、租赁物从境外购买的，融资租赁合同当事人约定用外币支付租金，应认定为有效。
十、在租赁合同履行完毕之前，承租人未经出租人同意，将租赁物进行抵押、转让、转租或投资入股，其行为无效，出租人有权收回租赁物，并要求承租人赔偿损失。因承租人的无效行为给第三人造成损失的，第三人有权要求承租人赔偿。
十一、在融资租赁合同有效期间内，出租人非法干预承租人对租赁物的正常使用或者擅自取回租赁物，而造成承租人损失的，出租人应承担赔偿责任。
十二、在供货人有迟延交货或交付的租赁物质量、数量存在问题以及其他违反供货合同约定的行为时，对其进行索赔应区别不同情形予以处理：
（一）供货合同或租赁合同中未约定转让索赔权的，对供货人的索赔应由出租人享有和行使，承租人应提供有关证据；
（二）在供货合同和租赁合同中均约定转让索赔权的，应由承租人直接向供货人索赔。
十三、有下列情形之一的，当租赁物质量、数量等存在问题，在对供货人索赔不着或不足时，出租人应承担赔偿责任：
（一）出租人根据租赁合同的约定完全是利用自己的技能和判断为承租人选择供货人或租赁物的；
（二）出租人为承租人指定供货人或租赁物的；
（三）出租人擅自变更承租人已选定的供货人或租赁物的。
除上列情形外，出租人对租赁物的质量、数量等问题一般不承担责任。
十四、在出租人无过错的情形下，对供货人索赔的费用和结果，均由承租人承担和享有。如因出租人的过错造成索赔逾期或索赔不着，出租人应承担相应的责任。
十五、因租赁物的质量、数量等问题对供货人索赔，如出租人无过错，不影响出租人向承租人行使收取租金的权利。
十六、承租人未按合同约定支付部分或全部租金，属违约行为，承租人应按合同约定支付租金、逾期利息，并赔偿出租人相应的损失。
十七、在承租人破产时，出租人可以将租赁物收回；也可以申请受理破产案件的法院拍卖租赁物，将拍卖所得款用以清偿承租人所欠出租人的债务。租赁物价值大于出租人债权的，其超出部分应退还承租人；租赁物价值小于出租人债权的，其未受清偿的债权应作为一般债权参加破产清偿程序，或者要求承租人的保证人清偿。
十八、在承租人破产时，出租人可以作为破产债权人申报债权，参加破产程序；出租人的债权有第三人提供保证的，出租人也可以要求保证人履行保证责任。
十九、出租人在参加承租人破产清偿后，其债权未能全部受偿的，可就不足部分向保证人追偿。
二十、出租人决定不参加承租人破产程序的，应及时通知承租人的保证人，保证人可以就保证债务的数额申报债权参加破产分配。
二十一、融资租赁合同当事人请求法院保护其权利的诉讼时效应适用《中华人民共和国民法通则》第一百三十五条的规定。
Rules of the Supreme People’s Court on Some Issues
Concerning the Trial on the Disputed Cases over the Contracts for Financial Leasing
Fa Fa [1996] No.19
Adopt Date: 27th May 1996
Effective Date: 27th May 1996
Issued by: the Supreme People’s Court at its 793rd Meeting of Judicial Committee
In order to ensure the correct trial and judgment on the disputed cases over the contracts for financial leasing and protect the legal rights and interests of the litigants, and pursuant to the provisions of related laws of the People’s Republic of China as well as on the basis of the experience gained in the trial practice, we hereby issue the following rules:
Article 1 The litigants of the disputed case over the contract for financial leasing shall include the leasor and the lessee. Whether the supplier must be one of the litigants or not shall be decided by the court according to the actual circumstances of the case. However, if arbitration clause is included in the contract, the supplier shall not be determined to be one of the litigants.
Article 2 When the lessee in the contract for financial leasing is not the user who actually uses the leased property, the court may determine the user to be one of the litigants in the case according to the related facts.
Article 3 The litigants in the disputed case over the contract for financial leasing, may choose through negotiation the court in the place substantially associating to the controversy to have the jurisdiction over the case. If the litigants do not choose the court with jurisdiction, the court in the place of residence of the defendant or the place of the performance of the contract shall have the jurisdiction over the case. The place where the leased property is used shall be deemed to be the place of the performance of the contract for financial leasing.
Article 4 The litigants in the disputed case for the contract for financial leasing relating to the foreign interests may choose through negotiation the law applicable to the dispute over the contract. If the litigants do not choose such law, the law in enforcement in the place of residence of the lessee shall be applicable to the case.
Article 5 If the items involved in the contract for financial leasing shall have been approved by the related authorities but actually have not been approved, such contract shall be held null and void.
Article 6 If one of the following circumstances exists, the contract for financial leasing shall be deemed to be invalid contract:
(1) The leasor has no right to do business within the scope of financial leasing;
(2) The lessee and supplier swindles the fund of the leasor through malicious collaboration;
(3) The contract sidesteps the law and regulations of the State in the form of the contract for financial leasing; and
(4) The contracts that shall be deemed to be null and void in accordance with the related laws and regulations.
Article 7 The contract for financial leasing, after being deemed to be null and void, shall be handled respectively according to the following circumstances:
(1) If the invalidity of the contract is caused due to the fault of the lessee, and the leasor do not claim for returning the leased property to it, the leased property may not be returned to the leasor, but the lessee shall make compensation for the damages caused to the leasor due to the faults of the lessee;
(2) If the invalidity of the contract is caused due to the fault of the leasor, and the lessee claims for returning the leased property to the leasor, the leased property may be returned to the leasor, and the leasor shall make compensation for the damages caused to the lessee due to the faults of the leasor, if any; and
(3) If the invalidity of the contract is caused due to the faults of both the leasor and lessee, the leased property may be returned to its owner, and each party shall bear the responsibilities for compensating for the damages corresponding to its own faults.
If the leased property is in use currently and is producing economic benefits, the leasor and lessee may decide through negotiation whether the leased property shall be returned. If the negotiation fails, the court shall make a ruling based on the facts.
Article 8 If the State’s agencies act as guarantor after it was stipulated in the Opinions of the Supreme People’s Court on Some Issues Concerning the Implementation of the General Principles of the Civil Law of the People’s Republic of China (trial implementation), such guarantor shall be deemed null and void. If the invalidity of the guarantor has caused damages to the creditor, the State’s agency that has provided the guarantee shall bear corresponding responsibility for compensation.
Article 9 The leased property purchased from foreign countries and for which the litigants in the contract for financial leasing agreed in the contract to pay the rent in foreign currency, such contract shall be deemed valid.
Article 10 Before the completion of the performance of the contract for financial leasing, the lessee, without prior consent of the leasor, provides mortgage against the leased property, transfers or subleases it to others, or makes investment based on the leased property and holds shares in a venture, his acts shall be deemed null and void, and the leasor has right to take back the leased property and claim damages if any from the lessee. The third party has right to request the lessee to make compensation for damages caused to it.
Article 11 If the leasor illegally interferes in the normal use of the leased property by the lessee, or takes back the leased property without prior consent of the lessee, and such act has resulted in damage to the lessee, the leasor shall bear the responsibilities for compensation.
Article 12 If the supplier delayed in the delivery of the goods, or the quality or quantities of the delivered goods is not in accordance with the agreement, or other acts in breach of the supply contract, the claims for the damage shall be handled in consideration of the following different circumstances:
(1) For the supply contract or lease contract where the transfer of claim is stipulated, the leasor shall enjoy and exercise the claim right, and the lessee shall provide necessary evidences; and
(2) If the transfer of claim is stipulated in the supply contract or lease contract, the lessee shall directly lodges claim to the supplier.
Article 13 Where one of the following circumstances exists, the leasor shall bear the responsibilities for compensation when the lessee is unable to lodge claim to the supplier or the compensation provided by the supplier is insufficient for the damage caused due to the quantity or quality of the leased property:
(1) According to the lease contract, the leasor has selected the supplier or leased property completely based on its own knowledge and judgement for the lessee;
(2) The leasor has appointed the supplier or leased property; and
(3) The leasor, not subject to the approval of the lessee, has changed the supplier or leased property chosen by the lessee;
Save as stated in the above, the leasor shall generally not bear any responsibilities for the quantity or quality of the leased property.
Article 14 Where the lessee has no faults, the cost incurred and the result produced in the claim against the supplier shall be respectively born and enjoyed by the lessee. If the non-claim or overdue claim is caused due to the faults of the leasor, the leasor shall bear the corresponding responsibility.
Article 15 Where claim is lodged against the supplier for the quality or quantity, and the leasor has not any faults, the exercise of the right of the leasor to collect the rent to the lessee shall not be affected.
Article 16 Where lessee has not paid the partial or whole rent as agreed in the contract, such acts shall be deemed illegal and the lessee shall pay the rent according to the contract, overdue interests and make compensation for the damage to the leasor accordingly.
Article 17 Where the lessee goes bankrupt, the leasor may take back the leased property, or request the court that accept the bankruptcy case to auction the leased property, and apply the incomes from the auction for repayment of the debts of the lessee due to the leasor. Where the value of the leased property is greater than the credit of the leasor, the amount above the credit shall be returned to the lessee. Where the value of the leased property is less than the credit, the part of the debt that is not repaid, shall enter the liquidation procedure as general credit or shall be paid off by the guarantor of the lessee.
Article 18 Where the lessee goes bankrupt, the leasor may, as the creditor for the bankruptcy, declares its credit, and participate into the bankruptcy. Where a third party has provided security for the credit of the leasor, the leasor also may request the guarantor to perform his obligations as a guarantor.
Article 19 If the credit of the leasor is not satisfied completely, the leasor may request the guarantor to pay off the shortfalls.
Article 20 Where the leasor has decided not to participate in the bankruptcy procedure, he shall inform the guarantor of the lessee in time, and the guarantor may declare his credit equal to the amount of the debt under his guarantee and participate in the distribution of the insolvent properties.
Article 21 The limitation of action for the litigants in the contract for financial leasing to request the court to protect the rights thereof shall be governed by the provisions of Article 135 of the General Principles of the Civil Law of the People’s Republic of China.
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青岛仲裁委员会仲裁规则
April 27th, 2010
青岛仲裁委员会仲裁规则
(2001年9月12日青岛仲裁委员会第二届五次委员会会议修订并通过)
第一章 总 则
第一条 为了保证公正、及时地仲裁民商事纠纷，保护当事人的合法权益，青岛仲裁委员会(以下简称本会)根据《中华人民共和国仲裁法》(以下简称《仲裁法》)和《中华人民共和国民事诉讼法》(以下简称《民事诉讼法》)的有关规定，制定本规则。
第二条 平等主体的公民、法人和其他组织之间发生的合同纠纷和其他权益纠纷，可以依法向本会申请仲裁。
本会不受理因下列纠纷和争议提出的仲裁申请：
(一)婚姻、收养、监护、扶养、继承纠纷；
(二)依法应由行政机关处理的行政争议；
(三)劳动争议；
(四)农业集体经济组织内部的农业承包合同纠纷。
第三条 当事人采用仲裁方式解决纠纷，应当双方自愿，达成仲裁协议。
第四条 仲裁协议包括合同中订立的仲裁条款和以其他书面方式在纠纷发生前或纠纷发生后达成的请求仲裁的协议及补充协议。
仲裁协议应当具有下列内容：
(一) 请求仲裁的意思表示；
(二)仲裁事项；
(三) 选定本会的意思表示。
第五条 仲裁协议独立存在，合同的变更、解除、终止或者无效，不影响仲裁协议的效力。
第六条 本会有权对仲裁协议的效力及仲裁案件管辖权作出决定。
第七条 当事人对仲裁协议的效力有异议的，可以请求本会作出决定或者请求人民法院作出裁定。一方请求本会作出决定，另一方请求人民法院作出裁定的，由人民法院裁定。
当事人对仲裁协议的效力有异议，应当在首次开庭前以书面形式提出，未在上述期限提出的，视为同意接受本会仲裁；当事人协议不开庭审理的，应当在首次提交答辩书前以书面形式提出。
第八条 《仲裁法》实施前当事人约定青岛市原仲裁机构仲裁的，可凭原仲裁条款或仲裁协议向本会申请仲裁。
第九条 当事人协议向本会申请仲裁的，即视为同意按本规则进行仲裁。当事人另有约定并经本会主任同意的从其约定。
第二章 申请与受理
第十条 当事人申请仲裁，应当具备下列条件：
(一)有仲裁协议；
(二)有具体的仲裁请求和事实、理由；
(三)属于本会的受理范围。
第十一条 申请人申请仲裁，应当向本会递交仲裁协议、仲裁申请书，并按被申请人人数提交申请书副本。
第十二条 仲裁申请书应当载明下列事项：
(一)申请人、被申请人及其委托代理人的姓名、性别、年龄、职业、工作单位、住所，法人或其他组织的名称、住所和法定代表人姓名或者主要负责人的姓名、职务；
(二)仲裁请求和所依据的事实、理由；
(三)证据和证据来源、证人姓名和住所。
申请书应当由申请人或申请人授权的委托代理人签名或盖章。
第十三条 本会收到仲裁申请书之日起5日内，认为符合受理条件的，应当予以受理，并通知申请人，也可当即受理，并通知当事人；认为不符合受理条件的，应当书面通知当事人不予受理并说明理由。
本会收到仲裁申请书后认为仲裁申请书不符合本规则第十二条规定的，可以要求当事人补正逾期不补正的，视为未申请。
第十四条 本会受理仲裁申请后，应当在10日内将本规则和仲裁员名册送达申请人，并将仲裁申请书副本和本规则、仲裁员名册送达被申请人。
被申请人收到仲裁申请书副本后，应当在15日内向本会提交答辩书。本会收到答辩书后，应当在5日内将答辩书副本送达申请人。被申请人未提交答辩书的，不影响仲裁程序的进行。
第十五条 申请人收到本会受理通知后，应当按照本规则及其所附仲裁案件受理费表的规定预交案件受理费，并根据有关规定预交案件处理费。
当事人预交案件受理费有困难的，由当事人提出申请，经本会主任批准，可以缓交。
当事人在规定期限内不预交案件受理费，又不提出缓交申请，或未在批准缓交的期限内交齐仲裁费用的，视为撤回仲裁申请。
第十六条 申请人可以放弃或者变更仲裁请求。被申请人可以承认或者反驳仲裁请求，有权提出反请求。当事人变更仲裁请求、提出反请求应当在最后一次开庭论终结前以书面形式提出，仲裁庭认为理由正当的，可以不受此限。
本会在收到被申请人反请求申请书之日起5日内，认为符合受理条件且仲裁庭同意合并审理的，应当予以受理，并于受理后10日内将反请求申请书送达申请人；认为不符合受理条件或仲裁庭认为不宜合并审理的，应当通知当事人不予受理，并说明理由。
申请人应当自收到反请求申请书副本之日起15日内向本会提交答辩书。申请人未提交答辩书的，不影响仲裁程序的进行。
第十七条 一方当事人因另一方当事人的行为或者其他原因，可能使裁决不能执行或者难以执行的，可以申请财产保全。
当事人申请财产保全的，本会依照《仲裁法》的有关规定将当事人的申请提交人民法院。
第十八条 当事人、法定代理人可以委托律师或其他代理人进行仲裁活动。委托律师或其他代理人进行仲裁活动的，应当向本会提交授权委托书。
授权委托书应写明授权代理的事项和权限。当事人变更或解除委托代理人代理的事项和权限的，应当说明并书面通知本会。委托代理人或委托代理人权限变更的，已进行的仲裁程序不受影响。
第三章 仲裁庭的组成
第十九条 仲裁庭可以由三名仲裁员或者一名仲裁员组成。由三名仲裁员组成的，设首席仲裁员。
第二十条 当事人约定由三名仲裁员组成仲裁庭的，应当各自选定或者各自委托本会主任指定一名仲裁员，首席仲裁员由当事人共同选定或者共同委托本会主任指定。
当事人约定由一名仲裁员组成仲裁庭的，应当由当事人共同选定或者共同委托本会主任指定仲裁员。
双方当事人未就仲裁庭组成方式达成一致的，本会主任有权指定组庭方式及仲裁员。
第二十一条 仲裁案件有两个或者两个以上的申请人或被申请人时，申请人之间或被申请人之间应当经过协商由各方选定一名仲裁员；申请人之间或被申请人之间在规定期限内未就仲裁员选定达成一致时，由本会主任指定。
第二十二条 当事人自收到仲裁案件受理通知书或仲裁答辩通知书之日起十日内没有约定仲裁庭的组成方式或者选定仲裁员的，由本会主任指定。
本会作出对案件有管辖权的决定后，当事人未在答辩通知书规定的期限内约定仲裁庭组成方式或选定仲裁员的，应当在收到决定书之日起三日内约定仲裁庭组成方式或选定仲裁员。未在上述期限内约定仲裁庭组成方式或选定仲裁员，又未委托本会主任指定仲裁员的，由本会主任决定仲裁庭组成方式，并指定仲裁员。
第二十三条 仲裁庭组成后，本会应当将仲裁庭的组成情况书面通知当事人。
仲裁员有下列情形之一的，当事人应当自收到本会通知之日起，按照本章第二十条、第二十一条、第二十二条规定的程序重新选定仲裁员：
(一)因出差、出国不能承办仲裁案件的；
(二)因患病休息不能从事仲裁工作的；
(三)依法应当回避的；
(四)其他不能履行职责的情形。
第二十四条 仲裁员有下列情形之一的，必须回避，当事人有权提出回避申请：
(一)是本案当事人或者当事人、代理人的近亲属；
(二)与本案有利害关系；
(三)与本案当事人、代理人有其他关系，可能影响公正仲裁的；
(四)私自会见当事人、代理人，或者接受当事人、代理人的请客送礼的。
第二十五条 当事人提出回避申请，应当在首次开庭前提出。并说明理由。回避事由在首次开庭后知道的，可以在最后一次开庭终结前提出。
第二十六条 仲裁员是否回避，由本会主任决定；本会主任担任仲裁员时，由本会委员会会议决定。
第二十七条 仲裁员因回避或其他原因不能履行职责的，原是当事人选定的，由本会通知该当事人在收到通知之日起五日内重新选定。逾期未选定的，由本会主任指定；原是本会主任指定的，由本会主任另行指定。
重新选定或指定的情况由本会书面通知当事人。重新选定或指定仲裁员后，当事人可以请求已进行的仲裁程序重新进行。是否准许，由仲裁庭决定；仲裁庭也可以自行决定已进行的仲裁程序是否重新进行。
第二十八条 仲裁员不得对外透露有关案件的实体和程序情况。
第四章 开庭和裁决
第二十九条 仲裁应当开庭进行。当事人协议不开庭的，仲裁庭可以根据仲裁申请书、答辩书以及其他材料作出裁决。
第三十条 仲裁不公开进行。当事人协议公开的，可以公开进行，但涉及国家秘密的除外。
第三十一条 本会应当在仲裁庭首次开庭五日前将开庭日期通知双方当事人，双方当事人经协商并经仲裁庭同意，可以提前开庭。是否延期，由仲裁庭决定。
第一次开庭审理以后的开庭审理日期，不受五天期限的限制。
第三十二条 申请人经书面通知，无正当理由不到庭或者未经仲裁庭许可中途退庭的，可以视为撤回仲裁申请。被申请人经书面通知，无正当理由不到庭或者未经仲裁庭许可中途退庭的，可以缺席裁决。
反请求适用前款规定。
第三十三条 当事人对自己的主张，应当提供证据。
当事人应当对自己所提供的证据进行分类、编订，对证据来源、证明对象、内容应当作简要说明，并写明提交人和提交日期。
第三十四条 当事人及其代理人因客观原因不能自行收集的证据，经当事人提出调取证据的申请和该证据线索，仲裁庭认为有必要收集的，仲裁庭可以自行收集。
第三十五条 仲裁庭对专门性问题认为需要鉴定的，可以交由当事人约定的鉴定部门或者专家鉴定，也可以由仲裁庭指定的鉴定部门或者专家鉴定。
根据当事人的请求或仲裁庭的要求，鉴定部门应当派鉴定人参加开庭。当事人经仲裁庭许可，可以向鉴定人提问。
第三十六条 证据应当经过庭审质证并经仲裁庭核实，方可作为认定事实的依据。对开庭后当事人递交的证据材料，在送达其他当事人并给予合理的质证期间后亦可作为认定事实的依据。
第三十七条 书证应当提交原件，物证应当提交原物。提交原件或原物有困难的，可以提交复制品、照片、副本、节录本等，但必须说明来源。
第三十八条 在证据可能灭失或者以后难以取得的情况下，当事人可以申请证据保全。
当事人申请证据保全的，本会应当将当事人的申请及时提交证据所在地的基层人民法院。
第三十九条 当事人在仲裁过程中有权进行辩论。辩论终结时，仲裁庭应当征询当事人的最后意见。
第四十条 仲裁庭应当将开庭情况记入笔录。当事人和其他仲裁参与人认为对自己陈述的记录有遗漏或者差错的，有权申请补正，仲裁庭不予补正时，应当记录该申请。
笔录应当由仲裁员、当事人和其他仲裁参与人、记录人签名或者盖章。
第四十一条 当事人申请仲裁后，可以自行和解。达成和解协议的，可以撤回仲裁申请，也可以请求仲裁庭根据和解协议制作裁决书。
第四十二条 当事人达成和解协议，撤回仲裁申请后反悔的，可以根据仲裁协议申请仲裁。
第四十三条 仲裁庭在作出裁决前，可以先行调解。当事人自愿调解的，仲裁庭应当调解。调解不成的，仲裁庭应当及时作出裁决。
调解达成协议的，仲裁庭应当制作调解书或者根据调解的结果制作裁决书。调解书与裁决书具有同等法律效力。
第四十四条 调解书应当写明仲裁请求和当事人协议的结果。调解书由仲裁员签名，加盖本会印章，送达双方当事人。
调解书经双方当事人签收后，即发生法律效力。
在调解书签收前当事人反悔的，仲裁庭应当及时作出裁决。
第四十五条 仲裁裁决应当按照多数仲裁员的意见作出，少数仲裁员的不同意见可以记入笔录。仲裁庭不能形成多数意见时，应当按照首席仲裁员的意见作出裁决
第四十六条 仲裁进行中，对其中一部分争议事实已经清楚的，可以该部分先行裁决。当事人不履行先行裁决，不影响仲裁程序继续进行。
第四十七条 仲裁庭应当在仲裁庭组成后三个月内作出裁决。
申请人提出变更仲裁请求、被申请人提出反请求的，审理期限自本会受理申请人变更仲裁请求、被申请人反请求的次日起重新计算。
仲裁案件需要评估、审计、鉴定或有其他类似情况，评估、审计、鉴定等所需时间不计算在
三个月的审理期限之内。
仲裁庭遇有特殊情况需要延长审理期限的，由首席仲裁员或独任仲裁员提请本会主任批准，
可以适当延长。
第四十八条 裁决书应当写明仲裁请求、争议事实、裁决理由、裁决结果、仲裁费用的负担和裁决日期。
当事人协议不愿写明争议事实和裁决理由的，可以不写。
第四十九条 裁决书应当由仲裁员签名，并加盖本会印章。
对裁决持有不同意见的仲裁员，可以签名，也可以不签名。
第五十条 裁决书自作出之日起发生法律效力。
第五十一条 对裁决书中的文字、计算错误或者仲裁庭已经裁决但在裁决书中遗漏的事项，仲裁庭应当补正，并作出裁决补正书；对当事人申请仲裁的事项遗漏未作裁决的，仲裁庭应当作出补充裁决书。
当事人发现裁决书中有前款规定情形的，可以自收到裁决书之日起三十日内，书面请求仲裁庭补正或者作出补充裁决。
仲裁庭作出的裁决补正书和补充裁决书是原裁决书的组成部分。
第五十二条 当事人提出证据证明裁决有下列情形之一的，可以在收到仲裁裁决书之日起六个月内，向青岛市中级人民法院申请撤销裁决：
(一) 没有仲裁协议的；
(二) 裁决事项不属于仲裁协议的范围或者本会无权仲裁的；
(三) 仲裁庭的组成或者仲裁的程序违反法定程序的；
(四) 裁决所根据的证据是伪造的；
(五) 对方当事人隐瞒了足以影响公正裁决的证据的；
(六) 仲裁员在仲裁该案时有索贿受贿，徇私舞弊，枉法裁决行为的。
第五十三条 当事人应当在仲裁裁决书确定的期限内履行裁决。
一方当事人不履行仲裁裁决的，另一方当事人可以依照《民事诉讼法》的有关规定向有管辖权的人民法院申请执行。
第五章 简易程序
第五十四条 除非当事人另有约定，凡案件争议标的额不超过人民币三十万元的，适用简易程序。
第五十五条 本会收到仲裁申请后，经审查认为符合受理条件的可以当即受理，并向双方当事人分别发送受理通知书和答辩通知书。
双方当事人应当自被申请人收到答辩通知书后五日内共同选定一名仲裁员或者共同委托本会主任指定一名仲裁员组成仲裁庭。双方当事人逾期未能共同选定或共同委托本会主任指定一名仲裁员的，本会主任可以立即指定一名仲裁员组成仲裁庭。仲裁庭组成后，仲裁员应当本着简捷、迅速的原则审理案件，审理的期限、形式可以不受本规则第二章、第三章、第四章的限制。
第五十六条 仲裁请求的变更或者反请求的提出，不影响简易程序的进行。
第五十七条 仲裁庭应当在组成之日起两个月内作出裁决。需要延长的，经本会主任批准后可能适当延长。
第六章 涉外仲裁的特别规定
第七章
第五十八条 当事人一方或者双方为外国公民，法人或其他组织的仲裁适用本章规定。本章没有规定的，适用本规则其他有关规定。
香港、澳门、台湾当事人的仲裁，参照本章规定进行。
第五十九条 当事人应当在收到本会仲裁案件受理通知书或者答辩通知书之日起三十日内约定仲裁庭组成方式并选定或委托本会主任指定仲裁员。当事人在上述期限内未就仲裁庭的组成达成一致的，由本会主任指定仲裁员。
第六十条 被申请人收到仲裁申请书副本、被反请求人收到仲裁反请求申请书副本后，应当在三十日内向本会提交答辩书。本会收到答辩书后，应当在十五日内将答辩书送达申请人或反请求人。被申请人或被反请求人未提交答辩书的，不影响仲裁程序的进行。
第六十一条 本会应当在仲裁庭开庭十五日前将开庭日期通知双方当事人。双方当事人经商仲裁庭同意，可以提前开庭。当事人有正当理由的，可以在开庭五日前请求延期开庭。是否延期，由仲裁庭决定。
第六十二条 仲裁庭应当在仲裁庭组成后六个月内作出仲裁裁决。
申请人提出变更仲裁请求、被申请人提出反请求的，审理期限自本会受理申请人变更仲裁请求、被申请人反请求的次日重新计算。
仲裁案件需要评估、审计、鉴定或者有其他类似情况的，评估、审计、鉴定等所需要的时间不计算在6个月的审理期限内。
仲裁庭遇有特殊情况需要延长审理期限的，由首席仲裁员或独任仲裁员提请本会主任批准，可以适当延长。
第七章附则
第六十三条 法律对仲裁时效有规定的，适用该规定。法律对仲裁时效没有规定的，适用诉讼时效的规定。
第六十四条 本会以中文为正式语言文字，仲裁庭审理案件有权根据当事人的意见或案件具体情况决定使用其他语言文字。
当事人提交的外文文书和证明材料，应当附有中文译本。当事人提交的文书和证明材料，本会或仲裁庭认为有必要时，可以要求当事人提供相应的其他语言文字的译本。
仲裁庭开庭时，如果当事人或其代理人、证人等需要语言文字翻译，可以由本会提供，但费用由当事人负担。
第六十五条 仲裁文书、通知书、书面材料可以直接送达当事人、代理人、或者以邮寄、电报、传真方式送达当事人、代理人。
直接送达当事人的，以受送达人在送达回证上的签收日期为送达日期；邮寄送达的，以邮寄件签收或邮寄件返还日期为送达日期。
第六十六条 向当事人送达任何仲裁文书、通知书、书面材料，如经合理查询不能找到受送达人的营业地点、住所或通讯地址，只要以邮寄、留置等合理方式送到受送达人最后一个为人所知的营业地点、住所或通讯地址即视为已经送达。
第六十七条 本规则中的期间以日、月、年计算。开始日不计算在期间内。
期间届满的最后一日是节假日的，以节假日后的第一日为期间届满日期。
期间不包括在途时间，仲裁文书在期满前交邮、发出的，不算逾期。
第六十八条 当事人因不可抗拒的事由或者其他正当理由耽误期限的，在障碍消除后十日内，可以申请顺延期限；是否准许由仲裁庭决定。
第六十九条 当事人知道或应当知道本规则的任何条款未被遵守，又不及时就此情况提出书面异议的，视为放弃其提出异议的权利。
第七十条 本规则由本会办公室负责解释。
第七十一条 本规则自2001年9月12日起施行。在本规则实施前本会受理的仲裁案件，仍适用案件受理时实施的《青岛仲裁委员会仲裁规则》。双方当事人同意的，也可适用本规则。
Qingdao Arbitration Commission
Arbitration Rules
Chapter Ⅰ General Provision
Article 1. In order to impartially and promptly arbitrate civil and commercial disputes and thereby protect the parties’ legitimate rights and interests, Qingdao Arbitration Commission (hereinafter referred to as the Arbitration Commission) formulated these Rules in accordance with the Arbitration Law of the People’s Republic of China (hereinafter referred to as the Arbitration Law) and with relevant provision of the Civil Procedure Law of the People’ Republic of China (hereinafter referred to as the Civil Procedure Law).
Article 2. Contractual disputes and other property rights and interests disputes between natural persons, legal persons and other organizations which have equal status may be submitted for arbitration to the Arbitration Commission in accordance with the law.
The following disputes should not be referred to the Arbitration Commission for arbitration:
(1) disputes arising from matrimony, adoption, guardianship, support or inheritance;
(2) administrative disputes which should be resolved by relevant administrative organ pursuant to relevant law;
(3) labor disputes;
(4) agricultural contract disputes arising within the agricultural collective economic organization.
Article 3. The Arbitration Commission takes cognizance of cases when the parties have reached an arbitration agreement out of their own will.
Article 4. An arbitration agreement means an arbitration clause stipulated by the parties in their contract of a written agreement or a supplementary agreement concluded by the parties in other forms to submit their dispute for arbitration before or after the occurrence of the dispute.
The arbitration agreement shall have the following contents:
(1) the intention to resolve the dispute by means of arbitration;
(2) the dispute to be arbitrated;
(3) the intention to submit the dispute to the Arbitration Commission.
Article 5. An arbitration agreement exists independently and separately from the contract. The validity of the arbitration agreement shall not be affected by the modification, rescission, termination or invalidity of the contract.
Article 6. The Arbitration Commission has the power to decide on the validity of a contract and the jurisdiction of the arbitration cases.
Article 7. If a party challenges the validity of an arbitration agreement, he may request the Arbitration Commission or the People’s Court to make a decision.If a party requests the Arbitration Commission to make a decision， and the other party applies to the People’s Court for a ruling, the latter’s ruling shall prevail.
Any challenges to the validity of the arbitration agreement shall be raised before the first hearing conducted by the arbitration tribunal; if no challenges are raised before the first hearing, it shall be deemed that the parties have agreed to submit their dispute to the Arbitration Commission for arbitration. If oral hearings are omitted at the request of the parties or with their consent the challenges shall be raised before the first submission of the written defense .
Article 8. In case the parties had applied to the original arbitration institutions of Qingdao for arbitration before the Arbitration Law came into force, then they may apply to the Arbitration Commission for arbitration with their original arbitration clause or arbitration agreement.
Article 9. Once the parties agreed to submit their disputes to the Arbitration Commission for arbitration, it shall be deemed that they have agreed to conduct arbitration in accordance with these Rules. If any other request arise, it shall be agreed to by the Chairman of the Arbitration Commission.
Chapter Ⅱ Application and Acceptance
Article10. The Claimant shall satisfy the following requirements when applying for application:
(1) the arbitration agreement relied upon by the Claimant;
(2) the Claimant’s claim and the facts and reasons on which his claim is based;
(3) within the Arbitration Commission’s cognizance.
Article 11. When applying for arbitration, the Claimant shall submit the arbitration agreement and Application for Arbitration to the Arbitration Commission and a copy of Application for Arbitration to each Respondent.
Article 12. The following shall be specified in the Application for Arbitration:
(1) the name, gender, age, occupation, work unit and address of the Claimant, those of the Respondent and the attorney, name and address of legal persons or other organizations, with the names and rank of their legal representatives or person in charge;
(2) the Claimant’s claim and the facts and reasons on which his claim is based;
(3) the evidence and its origin, the name and address of the witness.
The Application for Arbitration shall be signed or stamped by the Claimant or the attorney authorized by the Claimant.
Article 13. The Arbitration Commission shall, immediately or within 5 days from the date of receipt of the Application for Arbitration, decide whether to accept the case. If the Arbitration Commission, after examination, deems that the Claimant has satisfied all the Arbitration Commission’s requirements, a Notice of Arbitration shall be served to the Claimant. If the Arbitration Commission deems that the Claimant has not satisfied all the requirements, they shall serve a written notice to the party of not taking cognizance of the case with the relevant reasons.
After receipt of the Application for Arbitration and when the Arbitration Commission, after examination, deems that the Application for Arbitration is not in conformity with Article 12 of these Rules, the Arbitration Commission shall require the Claimant to correct and complete the application. If the party does not correct and complete the application within a specified period, it shall be deemed as invalid.
Article 14. The Arbitration Commission shall, within 10 days as from the date of taking cognizance of a case, serve an Arbitration Rules and a Panel of Arbitrators to the Claimant, and one copy of the Application for Arbitration, the Arbitration Rules and the Panel of Arbitrators to the Respondent.
The Respondent shall, within 15 days from the date of receipt of the Application for Arbitration, submit his written defense to the Arbitration Commission. The Arbitration Commission shall, within 5 days from the date of receipt of the written defense, serve the copy of the written defense to the Claimant. The arbitration proceedings shall not be affected in case the Respondent fails to file his defense in writing.
Article 15. The Claimant shall, from the date of receipt of the Notice of Arbitration, pay the arbitration fee in advance to the Arbitration Commission according to the Arbitration Fee Schedule and the Rules of the Arbitration Commission, and pay the expenses which will be reasonably incurred in dealing with the case according to relevant rules.
The Claimant having difficulty in paying the arbitration fee in advance may postpone paying the fee if he has duly requested and the request has been approved by the Chairman of the Arbitration Commission.
The Claimant not paying the arbitration fee in time as stipulated in the first paragraph of this article and not duly requesting a postponement as well,or not paying the arbitration fee in time as stipulated in the request for postponement which has been approved by the Arbitration Commission, shall be deemed to have withdrawn his application.
Article 16. The Claimant may request to withdraw or to modify his arbitration claim. The Respondent may acknowledge or disprove the claim, and may lodge a counterclai. The request to modify the claim or to file a counterclaim shall be raised before the end of the last oral hearing;it may be raised after the end of the last hearing if the Arbitration Commission deems that the reasons for the request are justified.
The Arbitration Commission shall, within 5 days from the date of receipt of the Respondent’s written statement of counterclaim, decide to accept the case if the Arbitration Commission, after examination, deems that the counterclaim statement has satisfied all the Arbitration Commission’s requirements, and thereafter serve a written counterclaim to the Claimant. If the Arbitration Commission deems that the Respondent’s counterclaim has not satisfied all the requirements, they shall serve a written notice of not taking cognizance of the case with the relevant reasons to the party.
The Claimant shall, within 15 days from the date of receipt of the copy of the written statement of counterclaim, submit his written defense to the Arbitration Commission. The arbitration proceedings shall not be affected in case the Claimant fails to submit an written defense again the Respondent’s counterclaim.
Article 17. A party may applies for property preservative measures when he deems that the arbitral award may not be executed or may be difficult to enforce because of the other party’s acts or other reasons.
Where a party applies for preservative measures, the Arbitration Commission shall transmit the party’s application for a ruling to the People’s Court in accordance with the Civil Procedure Law.
Article 18. The parties and legal representatives may authorize lawyers or other agents to deal with the matters relating to arbitration, the authorized attorney must submit a Power of Attorney to the Arbitration Commission.
The Power of Attorney shall be specified with matters and scope of authority. If the parties modify or terminate the authorized agent’s authorized matters and scope of authority, they shall submit a written statement to inform the Arbitration Commission. The arbitration procedure shall not be affected by the alternation of authorized agent or the scope of authority.
Chapter Ⅲ Formation of Arbitration Tribunal
Article 19. There shall be three arbitrators or one arbitrator to form an arbitration tribunal. An arbitrator shall be appointed as the presiding arbitrator if there are three arbitrators.
Article 20. When the parties have agreed to have three arbitrators to form an arbitration tribunal, each of the parties shall appoint one arbitrator or entrust the Chairman of the Arbitration Commission to make such appointment. The third arbitrator shall be jointly appointed by the parties or appointed by Chairman of the Arbitration Commission upon the parties’ joint authorization.
When the parties have agreed to have one sole arbitrator, the arbitrator shall be appointed jointly by the parties or by Chairman of the Arbitration Commission upon the parties’ joint authorization.
If the parties fail to jointly appoint the formation of the arbitration tribunal and arbitrator(s), the Chairman of the Arbitration Commission has the right to appoint the formation of the arbitration tribunal and arbitrator(s).
Article 21. When there are two or more Claimants or two or more Respondents in an arbitration case, the Claimants’ side an /or the Respondents’ side each shall, through consultation, appoint one arbitrator from among the Panel of Arbitrators of the Arbitration Commission; if the Claimants’ side or the Respondents’ side fails to make such appointment within the time limit, the appointment shall be made by the Chairman of the Arbitration Commission.
Article 22. In case the parties fail to agree on the number of the arbitrator or appoint the arbitrator(s) within 10 days from the date of receipt of the Notice of Arbitration or Notice of Defense, the Chairman of the Arbitration Commission shall make the appointment.
After the Arbitration Commission deems that the Arbitration Commission has the jurisdiction of the case, if the parties fail to agree on the formation of the arbitration tribunal and fail to appoint the arbitrator(s) within the time limit which was stated in the Notice of Defense , the parties shall appoint the formation of the arbitration tribunal or select the arbitrator(s) within 3 days from the date of receipt of the letter of decision. The parties fails to agree on the formation of the arbitration or select the arbitrator(s) within the above stated time limit, and failed to entrust the Director of the Arbitration Commission to make such an appointment, the Director of the Arbitration Commission shall appoint the formation of the arbitration and the arbitrator(s).
Article 23. After the arbitration tribunal is formed, the Arbitration Commission shall send a written notice of the formation of the arbitration tribunal to the parties.
In case an appointed arbitrator cannot perform his/her duty owing to the following situations, the party or parties shall, from the date of receipt of the notice from the Arbitration Commission reappoint the substitute arbitrator(s) in accordance with Article 20, Article 21 and Article 22 of these Rules:
(1) he cannot deal with the case because of being on a business trip in China or being abroad;
(2) he cannot conduct arbitration because of healthy condition;
(3) he should remove from his office for legal reasons;
(4) there are other reasons that cause the arbitrator(s) unable to perform his duty.
Article 24. If an arbitrator is in such a condition as follows, he shall, as the parties have the right to request him to, remove from his office:
(1) he is a party of the case or a close relative of a party or of his/her agent;
(2) he has a personal interest in the case;
(3) he has other relations with a party or his/her agent, which may affect the impartiality of the arbitration;
(4) he meets a party or his/her agent personally or takes bribes.
Article 25. A party requesting the removal of an appointed arbitrator from his office shall give the reasons and put forward the request no later than the first oral hearing. If the reasons for the request are made known after the first oral hearing, the request may be raised after the first hearing but before the end of the last hearing.
Article 26. The Chairman of the Arbitration Commission shall decide whether to approve the request for the removal of an appointed arbitrator from his office. The Arbitration Commission Conference shall decide on the approval of the request in case the Chairman acts as the arbitrator.
Article 27. In case the arbitrator appointed by the parties fails to perform his duty owing to his withdrawal or any other reasons, the parties shall reappoint a substitute arbitrator within 5 days from the date of receipt the notice. If the parties do not appoint the arbitrator within the time limit, the Chairman of the Arbitration Commission shall make the appointment. The arbitrator originally appointed by the Chairman of the Arbitration Commission fails to perform his duty, the Chairman of the Arbitration Commission shall reappoint a substitnte arbitrator. The Arbitration Commission shall notify the parties in writing of the reappointed situation.
After the appointment of the substitute arbitrator, the arbitration tribunal has discretion to decide whether or not to repeat the previous hearings at the parties’request. The tribunal may also decide by itself whether the previous hearing shall be repeated.
Article 28. The arbitrator should not disclose the substantive and procedural matters of the case to the outsiders.
Chapter Ⅳ Hearing and Award
Article 29. The arbitration tribunal shall hold oral hearings. With both parties’ consent, oral hearings may be omitted and thus the arbitration tribunal shall examine the case and make an award on the basis of the Application for Arbitration, written defense and other documents.
Article 30. Arbitration shall not hear cases in open session. If both parties have agreed, a hearing may be held in open session except the national secrets involved.
Article 31. The notice of the date of hearing shall be communicated by the Arbittion commission to the parties 5 days before the date of the hearing. The arbitration tribunal may hold the hearing ahead of the fixed time with both parties’ consent. A party having justified reasons may request a postponement of hearing. His request must be submitted to the Arbitration Commission 3 days before the date of the hearing and the arbitration tribunal shall decide whether to postpone the hearing or not.
The notice of the date of the hearing subsequent to the first hearing is not subject to the 5-day time limit required.
Article 32. The Claimant should be present at the hearing as informed by the arbitration tribunal. In case the Claimant having no justified reasons fails to appear at the hearing or leaves the hearing before the end of it without the permission of the arbitration tribunal, the arbitration tribunal shall deems that the Claimant has withdrawn his Application for Arbitration. Should the Respondent, having no justified reasons, fail to appear at the hearing fore the tribunal or leave the hearing before the end of it without the permission of the arbitration tribunal, the arbitration tribunal shall make an award by default.
Article 32 is applicable to the counterclaim.
Article 33. The parties shall produce evidence to support his claim.
The parties shall classify, edit and revise the provided evidence, and make brief statement of the source of evidence, object and content of proof, and the name of the submitter and the date of submission.
Article 34. For objective cause that the parties and agents thereof could not collect evidence on their own, after the parties submit the application for undertaking investigation and collecting evidence and offer the clue of the evidence, the arbitration tribunal may collect vidence for the parties as it considers necessary.
Article 35. The arbitration tribunal may consult an expert or appraiser appointed by either the parties or the arbitration tribunal itself for the clarification of special questions relating to the case if it deems it necessary.
At the request of any party to the case or with demand of the arbitration tribunal, the expert or appraiser should be present at the hearing. With the approval of the arbitration tribunal, the parties may question the appraiser.
Article 36. The evidence could be cognized as grounds for the facts after the cross-examination at the hearing and verification by the arbitration tribunal. The evidential materials that the parties submit after the commencement of the hearing, upon the evidence materials has been served to the parties and reasonable cross-examination time limit, could be cognized as the basis of the facts.
Article 37. The originals should be submitted as documentary evidence and material evidence. In case it is difficult to submit the originals, the parties can submit duplications, photos, copies and extracts, and the source of the aforesaid items shall be contained.
Article 38. In case the evidence may be missing or be difficult to get later on, a party may apply for taking interim measures for the protection of evidence.
The Arbitration Commission shall then transmit the party’s application for a ruling to the primary people’s court in the place where the evidence is located.
Article 39. The parties have the right of debate during the arbitration proceedings. At the end of debate, the presiding arbitrator or the sole arbitrator shall ask the parties for their final opinions.
Article 40. The arbitration tribunal shall make a record in writing during the hearing. If the parties or other persons involved deem that there are omissions or errors in the record, they may make a request to the arbitration tribunal for rectification, the arbitration tribunal shall take down the request if it refuses to rectify the record.
The arbitrator(s), the parties, other persons involved and the recorder shall sign their names on the record or affix their seals to it.
Article 41. If the parties to arbitration case reach an amicable settlement by themselves after submitting the Application for Arbitration, they may either request a dismissal of the case or request the arbitration tribunal to make an award in accordance with the contents of their amicable settlement agreement to end the case.
Article 42. If a party goes back on the amicable settlement agreement previously made after the dismissal of the case, he may submit his Application for Arbitration in accordance with the arbitration agreement.
Article 43. The arbitration tribunal may conciliate the case under its cognizance before making of the arbitral award. If both parties have a desire for conciliation, the arbitration tribunal should conciliate the case. Should conciliation fail, the arbitration tribunal shall timely render the arbitral award.
Should the parties reach an amicable settlement agreement through conciliation conducted by the arbitration tribunal, the arbitration tribunal shall make a conciliation statement or an arbitral award in accordance with the contents of the settlement agreement. The conciliation statement and the arbitral award have equal legal effect.
Article 44. The arbitration tribunal shall state in the conciliation statement the claim and the result of conciliation. The conciliation statement should be signed by the arbitrator(s) and the Arbitration Commission’s stamp shall be affixed to it and then be sent to both parties.
Once the conciliation statement is served and the parties signed on the receipt,it shall become legally effective.
If one or two parties retract their conciliation agreement before the conciliation statement is served and signed, the arbitration tribunal should timely make an award.
Article 45. The arbitral award shall be decided by majority of the arbitrators, and the minority opinion may be taken down in the record. When the arbitration tribunal cannot attain a majority opinion, the arbitral award shall be decided in accordance with the presiding arbitrator’s opinion.
Article 46. In the lourse of arbitration,the arbitration tribunal may make a partial award on any issue of the case if the fact of the issue is clear. The arbitration proceedings shall not be affected in case one party fails to execute the partial award.
Article 47. The arbitration tribunal shall render an arbitral award within 3 months as from the date on which the Claimant modifies his claim o the Respondent lodges his counterclaim.
In case the Claimant modifies his claim and/or the Respondent files a counterclaim, the arbitral award should be rendered within 3 months as from the date on which the Claimant modifies his claim or the Respondent lodges his counterclaim.
If appraisement or audition is necessary in a case, the time for appraisement or audition is not included in the 3-month time limit.
When there are specific reasons for extension of the 3-month time limit, the presiding arbitrator or the sole arbitrator may make a request. The Arbitration Commission may extend the 3-month time limit if the Chairman of the Arbitration Commission deems that the reasons for extension are jutisfied.
Article 48. The arbitration tribunal shall state in the arbitration award the claims, the facts of the dispute, the reasons on which the arbitral award is based, the result of the arbitral award, the allocation of the arbitration costs and the date on which the arbitral award in made.
The facts of the dispute and the reasons on which the arbitral award is based may not be stated in the arbitral award if the parties have agreed not to state them in the arbitral award.
Article 49. The arbitral award shall be signed by the arbitrator(s), and the Arbitration Commission’s stamp shall be affixed to it.
The arbitrator(s) who has a dissenting opinion to the arbitral award may sign or not sign his name on it.
Article 50. The arbitral award shall come into legal effect from the date on which the arbitral award is made.
Article 51. The arbitration tribunal shall make a rectification to the wording or calculating errors and take down things that have been awarded but thereafter omitted in the arbitral award. In case things of the parties’ application for arbitration that should be awarded have not been awarded by the arbitration tribunal and therefore are omitted in the arbitral award, the arbitration tribunal shall make an additional award.
In the aforesaid situation exists in an arbitral award, the parties may request the arbitration tribunal in writing from the date of receipt of the arbitral award for rectifying it or making an additional award.
The rectification in writing and the additional award are a part of the arbitral award which has been previously issued.
Article 52. Either party may make a request to Qingdao Intermediate People’s court for setting aside the arbitral award within 6 months from the date of receipt of the arbitral award if
entrust the Chairman of the Arbitration Commission to make such appointment, the Chairma of the Arbitration Commission may immediately appoint one arbitrator to form the arbitration tribunal.After the arbitration tribunal is formed, the arbitrator shall hear the case concisely and promptly. The time limit and method of hearing may not be pursuant to Chapter 2, Chapter3 and Chapter4 of these Rules.
Article 56. The modified arbitration claim or counterclaim which is filed by the parties does not affect the proceedings of the Summary Procedure.
Article 57. The arbitration tribunal shall render an award within 2 months from the date of the formation. The time limit could be extended by the approval of the Director of the Arbitration Commission if necessary.
Chapter Ⅵ Special Provisions for Foreigninvolved Arbitration
Article 58. Provisions of this Chapter shall be applied to one or two parties are foreign citizens, legal person or other organization. In case there is no provision in this Chapter, provisions of other chapters shall be applied.
For parties from Hong Kong, Macao and Taiwan, this Chapter shall be applied.
Article 59. The parties shall agree on the number of the arbitrator and appoint the arbitrator(s) or entrust the Chairman of the Arbitration Commission to make such appointment within 30 days from the date of receipt of the Notice of Arbitration or the Notice of Defense. In case the parties fail to make such appointment within the time limit, the Chairman of the Arbitration Commission may make such appointment.
Article 60. The Respondent shall submit his written defense within 30 days from the date of receipt of the Application for Arbitration. In case the Respondent files a counterclaim, the Claimant (Respondent to the counterclaim) shall also submit a written defense to the counterclaim within 30 days from the date of receipt of the counterclaim. The Arbitration Commission shall, within 15 days from the date of receipt of the written defense, serve the copy of the written defense to the Claimant or the Respondent. The arbitration proceedings shall not be affected in case the Respondent or the Claimant fails to file the defense in writing.
Article 61. The notice of the date of hearing shall be communicated by the Arbitration Commission to the parties 15 days before the date of hearing. The arbitration tribunal may hold the hearing ahead of the fixed time with both parties’ consent. A party having justified reasons may request a postponement of the date of the hearing. The request must be communicated to the Arbitration Commission 5 days before the date of hearing. The arbitration tribunal shall decide whether to postpone the hearing or not.
Article 62. The arbitration tribunal shall render an arbitral award within 6 months as from the date on which the arbitration tribunal is formed.
In case the Claimant modifies his claim or the Respondent files a counterclaim, the arbitral award should be rendered within 6 months as from the date on which the Claimant modifies his claim or the Respondent files his counterclaim.
If appraisement or audition is necessary in a case, the time for the appraisement or audition is not included in the 6-month time limit.
When there are specific reasons for extension of the 6-month time limit, the presiding arbitrator or the sole arbitrator may make a request. The Arbitration Commission may extend the 6-month time limit if the Chairman of the Arbitration Commission deems that the reasons for extension are justified.
Chapter Ⅶ Supplementary Provisions
Article63. The prescription of arbitration stipulated by relevant laws shall be applicable. In case there is no arbitration prescription stipulated by relevant laws, the prescription of action should be applied.
Article 64. The Chinese language is the working language of the Arbitration Commission. The arbitration tribunal has discretion on the working language of a case according to the opinion of the parties or the special circumstances of the case.
If the evidential documents are in a foreign language, the parties should hand in the corresponding translation copies in Chinese language. The parties may be required to submit the corresponding translation copies in other language if the Arbitration Commission deems it necessary.
Translation or interpretation of language may be provided at the hearing by the Arbitration Commission if the parties request and pay the cost.
Article 65. The Arbitration document, Notice and written material may be served to the parties or their agents in person, or by mail, cable and electric facsimile transmit.
A receipt shall be required for every arbitration document that is served in person and it shall bear the date of receipt and the addressee’s signature or seal. The date of receipt as signed by the addressee shall be regarded as the date that the document is served; the date of receipt as signed by the addressee on the receipt shall be regarded as the date of service if the document is delivered by mail.
Article66. In case the party’s place of business, habitual residence or mailing address can not be found after making a reasonable inquiry, the written communication to the parties is deemed to have been properly served if there is a record of delivering it to the addressee’s last known place of business, habitual residence or mailing address by registered letter or any other reasonable means.
Article67. The arbitration time period shall be calculated by the day, the month and the year. The day from which a time period begins shall not be counted as within the time period.
In case the last day prior to the expiration of the period is vacation or holiday, the first day after the vocation or holiday shall be regarded as the expiration date.
A time period shall not include traveling time. The arbitration documents that are mailed before a deadline shall not be regarded overdue.
Article 68. If a party fails to meet a deadline due to force majeure or for other justified reasons, he may apply for an extension of the time limit within 10 days after the obstacle is removed. The requested extension shall be subjected to approval by the arbitration tribunal.
Article 69. A party who knows or should have known that any provision of these Rules has not been complied with and not explicitly raise in writing his objection to non-compliance in a timely manner shall be deemed to have waived his right to object.
Article 70. The power to interpret these Rules is vested in the Arbitration Commission.
Article 71. These Rules shall come into force from the date of September 12, 2001. For cases accepted by the Arbitration Commission before the date of the enforcement of these Rules, the arbitration rules applied at the time of acceptance of the case shall apply. these Rules may also be applied with both parties’ consent.
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关于审批和管理外国企业在华常驻代表机构的实施细则(附英文)
April 27th, 2010
1995年2月13日，中华人民共和国对外贸易经济合作部
第一章 总 则
第一条 为发展我国的对外贸易，促进国际间经济技术合作，加强对外国公司、企业和其他经济组织在中华人民共和国境内设立的常驻代表机构的管理，根据中华人民共和国国务院1980年10月30日发布的《关于管理外国企业常驻代表机构的暂行规定》，特制定本实施细则。
第二条 本实施细则适用于外国贸易商、制造厂商、货运代理商、承包商、咨询公司、广告公司、投资公司、租赁公司和其他经济贸易组织（以下简称外国企业）在中华人民共和国境内设立常驻代表机构。
第三条 外国企业申请在中华人民共和国境内设立常驻代表机构，必须经中华人民共和国对外贸易经济合作部或其授权的各省、自治区、直辖市及计划单列市对外经济贸易委员会（厅）（以下简称审批机关）批准，并在中华人民共和国国家工商行政管理局或其授权的各省、自治区、直
辖市及计划单列市工商行政管理局（以下简称登记机关）办理登记手续。
第四条 外国企业常驻代表机构可以在中华人民共和国境内从事非直接经营性活动，代表该企业进行其经营范围内的业务联络、产品介绍、市场调研、技术交流等业务活动。
第五条 外国企业未经批准和登记不得在中华人民共和国境内设立常驻代表机构，不得开展本实施细则允许从事的各项业务活动。
第六条 外国企业常驻代表机构及其成员必须遵守中华人民共和国的法律和法规，不得损害中华人民共和国安全和社会公共利益。
第七条 外国企业常驻代表机构及其成员，在本实施细则范围内从事的各项业务活动，受中华人民共和国法律的保护。
第八条 外国企业申请设立常驻代表机构的基本条件：
一、该外国企业必须在所在国合法注册；
二、该外国企业必须具有良好的商业信誉；
三、该外国企业必须提供真实可靠的本实施细则规定的各类材料；
四、该外国企业必须按照本实施细则的规定办理申报手续。
第二章 设立、延期、变更和终止
第九条 外国企业申请在中华人民共和国境内设立常驻代表机构，须向审批机关提出书面申请，审批机关对其申请进行审查，在30个工作日内作出批准或不予批准的决定，并及时通知该外国企业。
第十条 外国企业申请设立常驻代表机构必须委托一家经中华人民共和国政府主管部门批准的、享有对外经济贸易经营权的公司或经审批机关认可的对外经济贸易组织和外事服务单位作为承办单位，由承办单位代外国企业向审批机关报送各类材料，办理申报手续。
第十一条 由中华人民共和国各部委所属公司、对外经济贸易组织和外事服务单位承办的外国企业常驻代表机构报对外贸易经济合作部审批；由各省、自治区、直辖市及计划单列市所属公司、对外经济贸易组织和外事服务单位承办的外国企业常驻代表机构报各省、自治区、直辖市及计
划单列市对外经济贸易委员会（厅）审批。
第十二条 外国企业申请设立常驻代表机构，须向审批机关提供下列材料：
一、由该企业董事长或总经理签署的申请书，内容包括：该企业简况、设立常驻代表机构的目的、常驻代表机构的名称、派驻人员（首席代表、代表）、业务范围、驻在期限、办公地址等；
二、由该企业所在国的有关当局出具的开业合法证书（副本）；
三、由同该企业有业务往来的银行出具的资本信用证明书（正本）；
四、由该企业董事长或总经理签署的委任常驻代表机构首席代表和代表的授权书、首席代表和代表的简历及身份证件（复印件）。如董事长任首席代表或代表，其授权书必须由该企业董事会两名以上董事签署。不设董事会的企业可由执行董事签署有关文件；
五、填写《外国企业常驻代表机构设立申报表》和《外国企业常驻代表机构人员申报表》（样表见附件一、二）；
六、审批机关认为有必要提供的其他申报材料。
第十三条 外国企业常驻代表机构的名称应以”国别＋企业名称＋城市名＋代表处”的方式确定。
第十四条 外国企业设立常驻代表机构的申请获得批准后，由常驻代表机构的首席代表向审批机关领取批准证书，并在批准之日起的30天内，持批准证书到登记机关办理登记手续。逾期不办理登记手续的，批准证书自行失效，由审批机关收回批准证书。
第十五条 外国企业设立常驻代表机构的申请获得批准和办理登记手续后，外国企业常驻代表机构必须在30天内持批准证书、登记证和代表证到公安机关、税务机关、海关、银行等部门办理有关手续。
第十六条 外国企业常驻代表机构一次批准的最长期限为3年，驻在期自审批机关颁发批准证书之日起算，驻在期满如需延期，外国企业须提前60天通过原承办单位向审批机关提出申请，办理延期手续。
第十七条 外国企业常驻代表机构申请延期，须向审批机关提供下列材料：
一、由该企业董事长或总经理签署的延期申请书；
二、该企业常驻代表机构前一个驻在期内的业务活动报告；
三、同该企业有业务往来的银行出具的资本信用证明书（正本）；
四、该企业所在国有关当局出具的开业合法证书（副本）；
五、该企业常驻代表机构的批准证书及登记证复印件；
六、填写《外国企业常驻代表机构延期申报表》（样表见附件三）。
第十八条 外国企业常驻代表机构的延期申请获得批准后，由审批机关颁发延期批准证书，外国企业常驻代表机构于批准后30天内持延期批准证书到登记机关办理延期登记手续及公安、税务、海关、银行等有关手续。
第十九条 外国企业要求变更常驻代表机构的名称，更换或增加首席代表或代表，变更常驻机构的业务范围、驻在期限和办公地址，须通过原承办单位向原审批机关提交由该企业董事长或总经理签署的申请书（变更办公地址的申请书可由首席代表签署）及与变更相关的材料，并填写《
外国企业常驻代表机构变更申报表》（样表见附件四）。变更申请获得批准后，外国企业常驻代表机构必须在30天内持变更批准证书向原登记机关办理变更登记手续及公安、税务、海关、银行等有关手续。
第二十条 外国企业常驻代表机构驻在期限届满或者提前终止业务活动，外国企业申请撤销其常驻机构，应在终止前30天，由该企业董事长或总经理签署撤销申请书，通过原承办单位报告原审批机关备案，并于清理债务、税务和其他有关事宜后，办理工商登记、长期居留及海关备案
等注销手续。
第二十一条 外国企业常驻代表机构设立、延期、变更和撤销的申请书和首席代表、代表的授权书应用中文书写；如用其他文字书写，必须附中文译本。其他申报材料如用中文以外的文字书写，必须附中文译本。
第二十二条 审批机关在必要时有权要求就外国企业设立常驻代表机构的全部或部分申报材料经所在国公证机关公证，并经中华人民共和国驻该国使领馆认证。
第三章 管 理
第二十三条 中华人民共和国对外贸易经济合作部及其授权的各省、自治区、直辖市及计划单列市对外经济贸易委员会（厅）依照中华人民共和国国务院1980年10月30日发布的《关于管理外国企业常驻代表机构的暂行规定》和本实施细则以及有关法律、法规，会同各有关部门
对外国企业常驻代表机构的业务活动进行管理、监督和检查。
第二十四条 外国企业常驻代表机构及其成员在出入境、居留、工商、税务、海关、外汇管理、聘请工作人员、租房以及其他方面的一切活动应当依照中华人民共和国的法律和法规进行，并接受中华人民共和国政府各有关主管机关的管理、监督和检查。
第二十五条 外国企业常驻代表机构进口用于在其办公场所内展示的展品，应向原审批机关提出申请并附进口展品清单，经批准后持批准文件和进口展品清单报请所在地海关核准具体品种和数量。海关按《中华人民共和国海关对暂时进口货物监管办法》和《中华人民共和国海关关于进
出口货物申请担保的管理办法》的规定，收取与税款等值的保证金后查验放行。展品在担保期限内须受海关监管，不得出售、转让或赠送。展品自进境之日起，6个月内须复运出境，逾期未能复运出境的，海关按有关规定处理。
第二十六条 外国企业对其设立的常驻代表机构在中华人民共和国境内的一切业务活动承担法律责任。
第二十七条 各省、自治区、直辖市及计划单列市对外经济贸易委员会（厅），须于每年1月和7月将其批准设立的外国企业常驻代表机构汇总报对外贸易经济合作部备案。
第二十八条 对外贸易经济合作部及其授权的各省、自治区、直辖市及计划单列市对外经济贸易委员会（厅）对违反中华人民共和国法律、法规和本实施细则规定的外国企业常驻代表机构，根据情节轻重，可给予警告、责令暂停业务直至撤销批准的处分。
第四章 首席代表和代表资格
第二十九条 外国企业常驻代表机构的首席代表和代表必须具备下列资格：
一、持合法普通护照的外国公民（不含外国在中国的留学生）；
二、在境外已经获得外国长期居住资格的中国公民；
三、持有效证件的港澳同胞、台湾同胞；
四、外国企业聘请中国公民（不含本条第二款所指中国公民）任其常驻代表机构的首席代表或代表，必须委托当地外事服务单位或中华人民共和国政府指定的其他单位，根据中华人民共和国有关法律和法规办理申报手续。
第五章 附 则
第三十条 外国企业申请在中华人民共和国委派常驻代表，比照本实施细则执行。
第三十一条 本实施细则未尽事宜，应根据中华人民共和国有关法律和法规办理。
第三十二条 台湾、香港和澳门地区的企业申请在大陆设立常驻代表机构参照本实施细则执行。
第三十三条 本实施细则由中华人民共和国对外贸易经济合作部负责解释。
第三十四条 本实施细则自公布之日起施行。1992年8月11日《关于审批外国港澳企业常驻代表机构有关问题的规定》〔1992外经贸管发第272号〕同时废止。
Detailed Rules of the Ministry of Foreign Trade and Economic Co-operation for the Implementation of the Examination-Approval and Adminis-tration of the Resident Representative offices of Foreign Enterprises inChina
(Promulgated on February 13, 1995)
Whole document
Detailed Rules of the Ministry of Foreign Trade and Economic Cooperation
for the Implementation of the Examination-Approval and Administration
of the Resident Representative offices of Foreign Enterprises in China
(Promulgated on February 13, 1995)
Chapter 1 General Principles
Article 1
With a view to developing China’s foreign trade, promoting international economic cooperation and fortifying the administration of the resident representative offices of foreign companies, enterprises and other economic entitles in the People’s Republic of China, the present Detailed Rules are formulated in accordance with the Interim Provisions Concerning the Administration of the Resident Representative Offices in China of Foreign Enterprises, which were promulgated by the State Council of the People’s Republic of China on October 30, 1980.
Article 2
These Detailed Rules shall apply to the resident representative offices set up within the territory of the People’s Republic of China by foreign traders, manufacturers, shipping agents, contractors, consultant companies, advertising agencies, investment companies, leasing companies and other economic entities (hereinafter called “foreign enterprises”).
Article 3
A foreign enterprise which applies for the establishment of its resident representative office in the territory of the People’s Republic of China shall, upon approval by the Ministry of Foreign Trade and Economic Cooperation or its authorized commissions for foreign trade and economic relations (hereinafter called the “examination-approval authorities”) of the provinces, autonomous regions, municipalities directly under the Central Government and of cities with separate listing in the state plan, register with the State Administration for Industry and Commerce or its authorized administrations for industry and commerce (hereinafter called the “registration authorities”) of the provinces, autonomous regions, municipalities directly under the Central Government and of the cities with separate listing in the state plan.
Article 4
The resident representative office of a foreign enterprise may, on its behalf and within its business scope, be engaged in such indirect business activities as business liaison, products recommendation, market research, technological exchange, etc. in the territory of the People’s Republic of China.
Article 5
Without prior approval and registration, no foreign enterprise shall have its resident representative office or be engaged in any of the business activities set forth in these Rules in the territory of the People’s Republic of China.
Article 6
The resident representative office and its staff members of a foreign enterprise shall abide by the laws and regulations of, and shall not injure the national security and social public interests of the People’s Republic of China.
Article 7
The business activities conducted by the resident representative office and its staff members of a foreign enterprise pursuant to these Rules shall be protected by law of the People’s Republic of China.
Article 8
The essential conditions and requirements for a foreign enterprise to apply for the establishment of a resident representative office are as follows:
(1) the enterprise must be legally registered in the country where it is located;
(2) the enterprise must enjoy a good commercial reputation;
(3) the enterprise must provide the authentic and reliable materials and documents required by these Rules; and
(4) the enterprise must go through the registration and application procedures as provided for in these Rules.
Chapter 2 Establishment, Extension, Alteration and Termination
Article 9
A foreign enterprise which applies for the establishment of a resident representative office in the territory of the People’s Republic of China shall submit to the examination and approval authorities a written application. The examination and approval authorities shall, within thirty (30) working days, decide whether to approve or disapprove it, and inform the foreign enterprise in due course.
Article 10
A foreign enterprise which applies for the establishment of a resident representative office shall commission as its undertaking agency a company which is approved by the competent authorities of the People’s Republic of China and enjoys the right of foreign trade operation, or a foreign economic relations and trade entity or a service unit for foreigners recognized by the examination and approval authorities to submit, on its behalf, to the examination and approval authorities all the documents and materials and go through the application and registration procedures.
Article 11
Applications for the establishment of resident representative offices undertaken by the companies, foreign economic relations and trade entities, services units for foreigners directly under the ministries and commissions of the State Council shall be submitted to the Ministry of Foreign Trade and Economic Cooperation for examination and approval; those undertaken by the companies, foreign economic relations and trade entities, service units for foreigners of the provinces, autonomous regions, municipalities directly under the Central Government and cities with separate listing in the state plan shall be submitted to the local commissions (offices) for foreign economic relations and trade at the same level for examination and approval.
Article 12
A foreign enterprise which applies for the establishment of a resident representative office shall submit to the examination and approval authorities the following documents:
(1) an application signed by chairman of the board of directors or general manager of the enterprise with the inclusion of: a brief introduction of the enterprise, purpose of such establishment, and the name, personnel accredited (chief representative and representatives), scope of business, residence period, office location, etc. of the resident representative office;
(2) a certificate of legal operation (transcript) issued by the competent authority of the country where the enterprise is located;
(3) a certificate of credit (original) issued by a bank which has business relations with the enterprise;
(4) letters of authorization signed by the chairman of the board of directors or general manager of the enterprise for commissioning the chief representative and representative(s) of the resident representative office, and resumes of the chief representative and representatives and their identity cards (duplicate). If the chairman of the board of directors is appointed as the chief representative or representative, the letter of authorization shall be signed by no less than two members of the board of directors of the enterprise. In case there is no board of directors in the enterprise, relevant papers shall be signed by the executive director;
(5) a completed Application Form for the Establishment of Resident Representative Office of Foreign Enterprises and a completed Application Form for the Staff Members of Resident Representative Offices of Foreign Enterprises; and
(6) other application materials which the examination and approval authorities deem necessary.
Article 13
The resident representative office of a foreign enterprise shall be named in the form of Name of Origin Country + Name of Enterprise + Name of City + Representative Office.
Article 14
After the enterprise acquires the approval for establishment of a resident representative office, the chief representative of the office shall, within thirty days from the date of receipt of the approval, register with the registration authorities by producing the certificate of approval. In case of failure to go through the registration formalities within the time limit, the certificate of approval shall be invalid automatically and shall be revoked by the examination and approval authorities.
Article 15
The resident representative office of a foreign enterprise shall, within thirty days after it has acquired the approval of its application and conducted its registration, go through the formalities with the public security organs, tax authorities, customs administration and banking units by presenting the certificate of approval, registration certificate and certificate of representative.
Article 16
The maximum residence period of the resident representative office of a foreign enterprise by one approval shall be not longer than three years. The residence period shall begin on the day of the issuance of the certificate of approval. Where the foreign enterprise intends to extend the period, it shall, sixty days before the expiration of the period, submit an application to the examination and approval authorities through the original undertaking agency and go through formalities for the extension.
Article 17
The resident representative office of a foreign enterprise which applies for extension shall provide the examination and approval authorities with the following documents;
(1) an application for extension signed by the chairman or general manager of the enterprise;
(2) a business report of the resident representative office during the last residence period;
(3) a certificate of credit (original) issued by a bank which has business relations with the enterprise;
(4) a certificate of legal operation (transcript) issued by the competent authority of the country where the enterprise is located;
(5) a duplicate certificate of approval and a certificate of registration of the resident representative office; and
(6) an Application Form for Extension of Resident Representative Offices of Foreign Enterprises.
Article 18
The resident representative office of a foreign enterprise which had its application for extension approved and obtained a certificate of approval for extension issued by the examination and approval authorities shall, within thirty days after receipt of the approval and by presenting such certificate, go through the formalities with the registration authorities for extension and the formalities with the public security organs, tax authorities, customs administration, banking units, etc.
Article 19
Where a foreign enterprise requests for an alteration of its name, a replacement or an addition of the chief representative or representative (s), or an alteration of the business scope, residence period or office location of its resident representative office, it shall, through the original undertaking agency, provide the original examination and approval authorities with an application for alteration signed by the chairman or general manager of the enterprise together with materials relevant to such alterations, and shall fill in the Application Form for Alteration of Resident Representative Offices of Foreign Enterprises. Upon the approval, the resident representative office shall, within thirty days and by presenting the certificate of approval for alteration, go through the formalities with the registration authorities for alteration and the formalities with the public security organs, tax authorities, customs administration, banking units, etc.
Article 20
Where a foreign enterprise applies for a revocation of its resident representative office due to the expiration of the residence period or for a termination of the business operation before such expiration, an application for cancellation signed by the chairman of the board of directors or general manager of the enterprise shall, thirty days before the expiration, be submitted by the original undertaking agency to the original examination and approval authorities for record, and the formalities of cancellation pertaining to registration of industry and commerce, permanent residence and record at customs shall be gone through after the clear-ups of debts and taxes and other issues.
Article 21
The applications concerning the establishment, extension, alteration and revocation as well as the letters of authorization for the chief representative and representative (s) of the resident representative office of a foreign enterprise shall be written in the Chinese language; if done in other languages, a translation in the Chinese language shall be attached hereto. Should languages other than the Chinese language be used in other materials for application, a translation in the Chinese language shall be attached hereto.
Article 22
The examination and approval authorities shall be entitled to, when it deems necessary, require the foreign enterprise which applies for the establishment of a resident representative office to have all or part of the materials for application notarized by the notary organ of the country where the enterprise is located, and to have them certified by the Chinese embassy or consulate in the country where the enterprise is located.
Chapter 3 Administration
Article 23
The Ministry of Foreign Trade and Economic Cooperation of the People’s Republic of China and its authorized commissions (offices) for foreign economic relations and trade of the provinces, autonomous regions, municipalities directly under the Central Government and cities with separate listing in the state plan shall, in accordance with the Interim Provisions Concerning the Administration of the Resident Representative Offices of Foreign Enterprises in China promulgated by the State Council of the People’s Republic of China on October 30, 1980 and the present Rules as well as relevant laws and regulations and jointly with other departments concerned, conduct administration, supervision and inspection of (over) the business activities of the resident representative offices of foreign enterprises.
Article 24
Resident representative offices of foreign enterprises and their staff members shall comply with the laws and regulations of the People’s Republic of China in respect of entry and exit, residence, industry and commerce, taxation, customs, foreign exchange control, employment of staff members, house-renting and other matters and be subject to the administration, supervision and inspection from the competent departments of the Chinese Government.
Article 25
Resident representative offices of foreign enterprises which import exhibits for display on their business premises shall submit to the original examination and approval authorities an application attached with a list of import exhibits, and, upon approval, report to the Customs of the cities where the offices are located for varied and quantitative verification by presenting the approval documents. The Customs shall, in accordance with the Measures of the Customs of the People’s Republic of China on Control over Imports for Temporary Purpose and the Regulations of the Customs of the People’s Republic of China on the Application for Guarantees for Import and Export Goods, give check and clearance of the exhibits after collecting guaranty money equivalent to the duties.
Exhibits in the guaranty period shall be subject to the Customs control, and shall not be sold, transferred or granted. The exhibits shall, within six months from the day on which they were imported, be re-exported; failure to do that within the period specified, they shall be dealt with in accordance with related provisions.
Article 26
A foreign enterprise shall be responsible legally for all the business activities conducted by its resident representative office within the territory of the People’s Republic of China.
Article 27
The commissions (offices) for foreign economic relations and trade of the provinces, autonomous regions, municipalities directly under the Central Government and cities with separate listing in the state plan shall, in every January and July, present data concerning all the resident representative offices they approved in the year to the Ministry of Foreign Trade and Economic Cooperation for record.
Article 28
The Ministry of Foreign Trade and Economic Cooperation and its authorized commissions (offices) for foreign economic relations and trade of the provinces, autonomous regions, municipalities directly under the Central Government and cities with separate listing in the state plan shall, depending on the seriousness of the case, impose such sanctions as disciplinary warning, suspension of business upon instruction and revocation of the approval on the resident representative offices of foreign enterprises which violate laws and regulations of the People’s Republic of China and the present Rules.
Chapter 4 Qualifications for Chief Representative and Repre- sentative(s)
Article 29
The chief representative and representative (s) of the resident offices of foreign enterprises shall meet one of the following qualifications:
(1) a foreign citizen with a legitimate passport (excluding foreign students studying in China);
(2) a Chinese citizen who has the right of permanent residence in a foreign country;
(3) compatriots from Hong Kong, Macao or Taiwan with valid credentials; or
(4) where a Chinese citizen (excluding Chinese citizens mentioned in Item 2 of this Article) is employed as the chief representative or representative of its resident representative office, a foreign enterprise shall entrust a local service unit for foreigners or other entity designated by the Government of the People’s Republic of China to process the application and report in accordance with relevant laws and regulations of the People’s Republic of China.
Chapter 5 Supplementary Provisions
Article 30
The present Rules shall apply, mutatis mutandis, to foreign enterprises which apply for the commission of their permanent representatives in China.
Article 31
Affairs not covered in these Rules shall be dealt with in accordance with related laws and regulations of the People’s Republic of China.
Article 32
The present Rules shall apply, mutatis mutandis, to enterprises in Hong Kong, Macao and Taiwan which apply for the establishment of their resident representative offices in the mainland areas of China.
Article 33
The authorities of interpretation of the present Rules resides in the Ministry of Foreign Trade and Economic Cooperation of the People’s Republic of China.
Article 34
The present Rules shall enter into force as of the date of their promulgation, and the provisions pertaining to Issues for the Examination and Approval of Resident Representative Offices of Foreign Enterprises and of Enterprises in Hong Kong and Macao (No. 272 by Wai Jing Mao Guan) shall be abrogated on the same day.
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最高人民法院关于适用《中华人民共和国合同法》 若干问题的解释（一）
April 27th, 2010
The Supreme People’s Court’s Interpretations of Certain Issues Concerning the Application of The Contract Law of the People’s Republic of China (Part One)
I. Scope of Application of the Law
II. Time Limit for Action
III. Validity of Contracts
IV. Subrogation
V. Cancellation Right
VI. Cancellation Right
VII. Interested Third Person in Case of Assignment of Contracts
VIII. Merger of Claims
The Supreme People’s Court’s Interpretations of Certain Issues Concerning the Application of The Contract Law of the People’s Republic of China(Part One)
Translated by John Jiang %26amp; Henry Liu
The Supreme People’s Court’s Interpretations of Certain Issues Concerning the Application of The Contract Law of the People’s Republic of China
(Part One)
[Judicial Interpretations (1999) No. 19]
Adopted at the 1090th Session of the Adjudication Committee of the Supreme People’s Court on December 1, 1999
The Supreme People’s Court’s Interpretations of Certain Issues Concerning the Application of The Contract Law of the People’s Republic of China (Part One), which shall become operative as from December 29, 1999, were adopted at the 1090th Session of the Adjudication Committee of the Supreme People’s Court on December 1, 1999 and are hereby promulgated.
Pursuant to The Contract Law of the People’s Republic of China (hereinafter the “Contract Law”), and with a view to facilitating the proper adjudication of contractual disputes, we hereby promulgate the following interpretations of certain issues concerning the application of the Contract Law by People’s Courts:
I. Scope of Application of the Law
Clause 1 Where a suit is brought to a People’s Court in respect of a dispute arising out of a contract formed after the operative date of the Contract Law, the provisions of the Contract Law shall apply; where a suit is brought to a People’s Court in respect of a dispute concerning a contract formed before the operative date of the Contract Law, except otherwise provided herein, the provisions of the law in effect at the time shall apply, provided that if the law in effect at the time did not provide for such matter, the relevant provision of the Contract Law may apply.
Clause 2 Where a contract was formed before the operative date of the Contract Law, but the prescribed time limit for performance extends beyond, or commences after, the operative date of the Contract Law, if a dispute arises out of its performance, the relevant provisions of Chapter Four of the Contract Law shall apply.
Clause 3 In determining the validity of a contract formed before the operative date of the Contract Law, if application of the law in effect at the time leads to its invalidation, but application of the Contract Law leads to affirmation of its validity, the People’s Court shall apply the Contract Law.
Clause 4 After the Contract Law became operative, a People’s Court may only invalidate a contract in accordance with laws adopted by the National People’s Congress or its Standing Committee, or administrative regulations adopted by the State Council, and may not invalidate a contract in accordance with any local statutes or administrative rules.
Clause 5 Where a People’s Court re-adjudicates a case on which a final judgment has been rendered, the Contract Law does not apply.
II. Time Limit for Action
Clause 6 In a dispute arising out of a technology contract, where infringement of the right of a party occurred before the operative date of the Contract Law, if there was a lapse of more than one year between the date on which the party knew or should have known that its right was infringed and the operative date of the Contract Law, the People’s Court will no longer enforce such right; where the lapse was less than one year, the time limit during which the party may bring a suit shall be two years.
Clause 7 In a dispute arising out of a technology import/export contract, where infringement of the right of a party occurred before the operative date of the Contract Law, if there was a lapse of more than two years between the date on which the party knew or should have known that its right was infringed and the operative date of the Contract Law, the People’s Court will no longer enforce such right; where the lapse was less than two years, the time limit during which the party may bring a suit shall be four years.
Clause 8 The time period of “one year” set out in Article 55, and the time period of “five years” set out in Article 75 and Paragraph 2 of Article 104 of the Contract Law are fixed, and are not subject to the rules governing the suspension, termination or extension of time limit for action.
III. Validity of Contracts
Clause 9 Where as set forth in Paragraph 2 of Article 44 of the Contract Law, the relevant law or administration regulation provides that the effectiveness of a certain contract is subject to completion of the relevant approval procedure, or the relevant approval and registration procedures, if before completion of court debate by the parties in the trial of first instance, the parties still fail to carry out the relevant approval procedure, or approval and registration procedures, as the case may be, the People’s Court shall rule that the contract has not yet taken effect; if the relevant law or administration regulation requires that a certain contract be registered without subjecting its effectiveness to such registration, then failure to effect registration shall not impair the effectiveness of the contract, provided that such failure constitutes an impediment to the conveyance of title to, or such other real right in, the subject matter of the contract.
In the case of amendment, assignment or termination of a contract as set forth in Paragraph 2 of Article 77, Article 87, and Paragraph 2 of Article 96 of the Contract Law, the provisions of the previous Paragraph apply.
Clause 10 Where the parties entered into a contract the subject matter of which was outside their scope of business, the People’s Court shall not invalidate the contract on such ground, except where conclusion of the contract was in violation of state restriction concerning, or licensing requirement for, a particular business sector, or in violation of any law or administrative regulation prohibiting the parties from participation in a particular business sector.
V. Subrogation
Clause 11 Where an obligee is to bring a suit of subrogation pursuant to Article 73 of the Contract Law, the following conditions shall be met:
(1) The obligee’s creditor’s right against the obligor is lawful;
(2) The obligor’s delay in exercising the creditor’s right due to it has caused harm to the obligee;
(3) The creditor’s right of the obligor is due;
(4) The creditor’s right of the obligor is not exclusively personal to it.
Clause 12 As referred to in Paragraph 1 of Article 73, a creditor’s right exclusively personal to the obligor means a claim for alimony, child support, parental support or succession, or, a claim for wage, retirement pension, old age pension, death benefits, relocation allowance or life insurance, or, a personal injury claim.
Clause 13 The clause “Where the obligor delayed in exercising its creditor’s right against a third person that was due, thereby harming the obligee” in Article 73 of the Contract Law refers to the following circumstance: The obligor fails to render performance which is due to the obligee, and further, it has failed to enforce a creditor’s right which is due to it and which involves the payment of money against an obligor either through a suit in court or through arbitration, thereby frustrating the obligee’s realization of the creditor’s right due to it.
Where the secondary obligor (i.e. the obligor of the original obligor) denies that the obligor has delayed in exercising its creditor’s right due to it, the secondary obligor bears the burden of proof.
Clause 14 Where an obligee brings a suit of subrogation pursuant to Article 73 of the Contract Law, jurisdiction shall vest in the People’s Court in the place where the defendant is domiciled.
Clause 15 Where after bringing a suit against an obligor to a People’s Court, an obligee brings a suit of subrogation against a secondary obligor to the same court, if such suit complies with the provisions of Article 13 hereof as well as the conditions for bringing a suit set forth in Article 108 of the Civil Procedural Law of the People’s Republic of China, the court shall accept such suit; where such suit does not comply with Article 13 hereof, the court shall direct the obligee to bring a separate suit to the People’s Court in the place where the secondary obligor is domiciled.
Before judgment on the suit brought by the obligee against the obligor takes legal effect, the People’s Court adjudicating the suit of subrogation against the secondary obligor shall stay such suit in accordance with Item (5) of Article 136 of the Civil Procedural Law of the People’s Republic of China.
Clause 16 Where in a suit of subrogation brought to a People’s Court, an obligee names only the secondary obligor as the defendant without also naming the original obligor as an interested third person, the People’s Court may add the original obligor as an interested third person.
Where in suits of subrogation brought separately by two or more obligees, the same secondary obligor is named as the defendant, the People’s Court may combine the suits for adjudication.
Clause 17 In a suit of subrogation, if the obligee petitions the People’s Court for preservative measure against the assets of the secondary obligor, it shall provide appropriate financial assurance.
Clause 18 In a suit of subrogation, the secondary obligor may, in respect of the obligee, avail itself of any defense it has against the original obligor.
In a suit of subrogation, where the obligor raises a defense against the obligee’s claim, if the People’s Court affirms the defense, it shall dismiss the suit brought by the obligee.
Clause 19 In a suit of subrogation, if the obligee prevails, the court fee shall be borne by the secondary obligor, and shall be paid in priority out of the proceeds from the enforced creditor’s right.
Clause 20 Where an obligee brings a suit of subrogation against a secondary obligor, and the People’s Court affirms the subrogation, the secondary obligor shall perform the payment obligation, whereupon the respective obligee-obligor relationships between the obligee and the obligor, and between the obligor and the secondary obligor, are discharged accordingly.
Clause 21 In a suit of subrogation, where the amount in subrogation claimed by the obligee exceeds the amount owed by the obligor or the amount owed to the obligor by the secondary obligor, the People’s Court shall not enforce the claim to the extent the claimed amount exceeds the actual amount.
Clause 22 In a suit of subrogation, if the obligor also brings a claim against the secondary obligor for the difference between the amount owed to it and the amount in subrogation claimed by the obligee, the People’s Court shall direct the obligor to bring a separate suit to the People’s Court with the proper jurisdiction.
Where such suit brought separately by the obligor meets the legally prescribed conditions, the People’s Court shall accept such suit; the People’s Court accepting the suit brought by the obligor shall stay such suit in accordance with the law pending the legal effectiveness of the judgment on the suit of subrogation.
V. Cancellation Right
Clause 23 Where an obligee brings a suit to enforce its cancellation right pursuant to Article 74 of the Contract Law, jurisdiction shall vest in the People’s Court in the place where the defendant is domiciled.
Clause 24 If in a suit to enforce its cancellation right pursuant to Article 74 of the Contract Law, the obligee only names the obligor as the defendant without also naming the beneficiary or the assignee as an interested third person, the People’s Court may add such beneficiary or assignee as an interested third person.
Clause 25 Where an obligee brings a suit to enforce its cancellation right pursuant to Article 74 of the Contract Law and petitions the People’s Court for cancellation of the obligor’s act of waiving its creditor’s right or transferring its property, the People’s Court shall adjudicate the case to the extent of the amount claimed by the obligee, and if the obligor’s act is canceled in accordance with the law, such act is invalid ab initio.
Where suits on the same subject matter are filed separately by two or more obligees to enforce their respective cancellation rights, and the same obligor is named as the defendant, the People’s Court may combine the suits for adjudication.
Clause 26 The necessary expenses incurred by the obligee in enforcing its cancellation right, such as attorney’s fee and travel expenses, shall be borne by the obligor; where the interested third person was also at fault, it shall share such expenses as appropriate.
VI. Interested Third Person in Case of Assignment of Contracts
Clause 27 If subsequent to the obligee’s assignment of its contractual right, a suit is brought to a People’s Court in respect of a dispute between the obligor and the assignee which arose from the performance of the contract, and the obligor raises a defense against the contractual right of the obligee, it may name the obligee as an interested third person.
Clause 28 If with the consent of the obligee, the obligor has delegated its contractual obligation, and subsequently a suit is brought to a People’s Court in respect of a dispute between the obligee and the delegatee which arose from the performance of the contract, and the delegatee, in defense against the obligee, avails itself of the obligor’s right against the obligee, it may name the obligor as an interested third person.
Clause 29 If with the consent of the other party, a party concurrently assigned its contractual rights and delegated its contractual obligations to an assignee, and subsequently a suit is brought to a People’s Court in respect of a dispute between the other party and the assignee which arose from the performance of the contract, and the other party raises a defense in respect of the rights and obligations under the contract, it may name the obligor as an interested third person.
VII. Merger of Claims
Clause 30 Where at the time the obligee brought a suit to a People’s Court, it made an election of claim in accordance with Article 122 of the Contract Law, and subsequently it changes its election, if the change is made before the commencement of hearing in the trial of first instance, the People’s Court shall allow such change. In the event the other party objects to the jurisdiction of the court and such objection is sustained, the People’s Court shall dismiss such suit.
最高人民法院关于适用《中华人民共和国合同法》 若干问题的解释（一）
法释〖一九九九〗十九号
（一九九九年十二月一日最高人民法院审判委员会第一千零九十次会议通过）
《最高人民法院关于适用〈中华人民共和国合同法〉若干问题的解释（一）》
已于1999年12月1日由最高人民法院审判委员会第1090次会议通过，现予公布，
自 1999年12月29日起施行。
一九九九年十二月十九日
为了正确审理合同纠纷案件，根据《中华人民共和国合同法》（以下简称合同法
）的规定，对人民法院适用合同法的有关问题作出如下解释：
一、法律适用范围
第一条合同法实施以后成立的合同发生纠纷起诉到人民法院的，适用合同法的规
定；合同法实施以前成立的合同发生纠纷起诉到人民法院的，除本解释另有规定的以
外，适用当时的法律规定，当时没有法律规定的，可以适用合同法的有关规定。
第二条合同成立于合同法实施之前，但合同约定的履行期限跨越合同法实施之日
或者履行期限在合同法实施之后，因履行合同发生的纠纷，适用合同法第四章的有关
规定。
第三条人民法院确认合同效力时，对合同法实施以前成立的合同，适用当时的法
律合同无效而适用合同法合同有效的，则适用合同法。
第四条合同法实施以后，人民法院确认合同无效，应当以全国人大及其常委会制
定的法律和国务院制定的行政法规为依据，不得以地方性法规、行政规章为依据。
第五条人民法院对合同法实施以前已经作出终审裁决的案件进行再审，不适用合
同法。
二、诉讼时效
第六条技术合同争议当事人的权利受到侵害的事实发生在合同法实施之前，自当
事人知道或者应当知道其权利受到侵害之日起至合同法实施之日超过一年的，人民法
院不予保护；尚未超过一年的，其提起诉讼的时效期间为两年。
第七条技术进出口合同争议当事人的权利受到侵害的事实发生在合同法实施之前
，自当事人知道或者应当知道其权利受到侵害之日起至合同法施行之日超过两年的，
人民法院不予保护；尚未超过两年的，其提起诉讼的时效期间为四年。
第八条合同法第五十五条规定的”一年”、第七十五条和第一百零四条第二款规
定的”五年”为不变期间，不适用诉讼时效中止、中断或者延长的规定。
三、合同效力
第九条依照合同法第四十四条第二款的规定，法律、行政法规规定合同应当办理
批准手续，或者办理批准、登记等手续才生效，在一审法庭辩论终结前当事人仍未办
理批准手续的，或者仍未办理批准、登记等手续的，人民法院应当认定该合同未生效
；法律、行政法规规定合同应当办理登记手续，但未规定登记后生效的，当事人未办
理登记手续不影响合同的效力，合同标的物所有权及其他物权不能转移。
合同法第七十七条第二款、第八十七条、第九十六条第二款所列合同变更、转让
、解除等情形，依照前款规定处理。
第十条当事人超越经营范围订立合同，人民法院不因此认定合同无效。但违反国
家限制经营、特许经营以及法律、行政法规禁止经营规定的除外。
四、代位权
第十一条债权人依照合同法第七十三条的规定提起代位权诉讼，应当符合下列条
件：
（一）债权人对债务人的债权合法；
（二）债务人怠于行使其到期债权，对债权人造成损害；
（三）债务人的债权已到期；
（四）债务人的债权不是专属于债务人自身的债权。
第十二条合同法第七十三条第一款规定的专属于债务人自身的债权，是指基于扶
养关系、抚养关系、赡养关系、继承关系产生的给付请求权和劳动报酬、退休金、养
老金、抚恤金、安置费、人寿保险、人身伤害赔偿请求权等权利。
第十三条合同法第七十三条规定的”债务人怠于行使其到期债权，对债权人造成
损害的”，是指债务人不履行其对债权人的到期债务，又不以诉讼方式或者仲裁方式
向其债务人主张其享有的具有金钱给付内容的到期债权，致使债权人的到期债权未能
实现。
次债务人（即债务人的债务人）不认为债务人有怠于行使其到期债权情况的，应
当承担举证责任。
第十四条债权人依照合同法第七十三条的规定提起代位权诉讼的，由被告住所地
人民法院管辖。
第十五条债权人向人民法院起诉债务人以后，又向同一人民法院对次债务人提起
代位权诉讼，符合本解释第十三条的规定和《中华人民共和国民事诉讼法》第一百零
八条规定的起诉条件的，应当立案受理；不符合本解释第十三条规定的，告知债权人
向次债务人住所地人民法院另行起诉。
受理代位权诉讼的人民法院在债权人起诉债务人的诉讼裁决发生法律效力以前，
应当依照《中华人民共和国民事诉讼法》第一百三十六条第（五）项的规定中止代位
权诉讼。
第十六条债权人以次债务人为被告向人民法院提起代位权诉讼，未将债务人列为
第三人的，人民法院可以追加债务人为第三人。
两个或者两个以上债权人以同一次债务人为被告提起代位权诉讼的，人民法院可
以合并审理。
第十七条在代位权诉讼中，债权人请求人民法院对次债务人的财产采取保全措施
的，应当提供相应的财产担保。
第十八条在代位权诉讼中，次债务人对债务人的抗辩，可以向债权人主张。
债务人在代位权诉讼中对债权人的债权提出异议，经审查异议成立的，人民法院
应当裁定驳回债权人的起诉。
第十九条在代位权诉讼中，债权人胜诉的，诉讼费由次债务人负担，从实现的债
权中优先支付。
第二十条债权人向次债务人提起的代位权诉讼经人民法院审理后认定代位权成立
的，由次债务人向债权人履行清偿义务，债权人与债务人、债务人与次债务人之间相
应的债权债务关系即予消灭。
第二十一条在代位权诉讼中，债权人行使代位权的请求数额超过债务人所负债务
额或者超过次债务人对债务人所负债务额的，对超出部分人民法院不予支持。
第二十二条债务人在代位权诉讼中，对超过债权人代位请求数额的债权部分起诉
次债务人的，人民法院应当告知其向有管辖权的人民法院另行起诉。
债务人的起诉符合法定条件的，人民法院应当受理；受理债务人起诉的人民法院
在代位权诉讼裁决发生法律效力以前，应当依法中止。
五、撤销权
第二十三条债权人依照合同法第七十四条的规定提起撤销权诉讼的，由被告住所
地人民法院管辖。第二十四条债权人依照合同法第七十四条的规定提起撤销权诉讼时
只以债务人为被告，未将受益人或者受让人列为第三人的，人民法院可以追加该受益
人或者受让人为第三人。
第二十五条债权人依照合同法第七十四条的规定提起撤销权诉讼，请求人民法院
撤销债务人放弃债权或转让财产的行为，人民法院应当就债权人主张的部分进行审理
，依法撤销的，该行为自始无效。
两个或者两个以上债权人以同一债务人为被告，就同一标的提起撤销权诉讼的，
人民法院可以合并审理。
第二十六条债权人行使撤销权所支付的律师代理费、差旅费等必要费用，由债务
人负担；第三人有过错的，应当适当分担。
六、合同转让中的第三人
第二十七条债权人转让合同权利后，债务人与受让人之间因履行合同发生纠纷诉
至人民法院，债务人对债权人的权利提出抗辩的，可以将债权人列为第三人。
第二十八条经债权人同意，债务人转移合同义务后，受让人与债权人之间因履行
合同发生纠纷诉至人民法院，受让人就债务人对债权人的权利提出抗辩的，可以将债
务人列为第三人。
第二十九条合同当事人一方经对方同意将其在合同中的权利义务一并转让给受让
人，对方与受让人因履行合同发生纠纷诉至人民法院，对方就合同权利义务提出抗辩
的，可以将出让方列为第三人。
七、请求权竞合
第三十条债权人依照合同法第一百二十二条的规定向人民法院起诉时作出选择后
，在一审开庭以前又变更诉讼请求的，人民法院应当准许。对方当事人提出管辖权异
议，经审查异议成立的，人民法院应当驳回起诉。
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中华人民共和国担保法英译本
April 27th, 2010
Guaranty Law of the People’s Republic of China
1995-06-30 Order of the President of the People’s Republic of China No. 50
The Guaranty Law of the People’s Republic of China, adopted at the 14th Meeting of the Standing Committee of the Eighth National People’s Congress of the People’s Republic of China on June 30, 1995, is hereby promulgated and shall enter into force as of October 1, 1995.
Jiang Zemin
President of the People’s Republic of China
June 30, 1995
Content
Chapter 1 General Provisions
Chapter 2 Suretyship
Section 1 Suretyship and Surety
Section 2 Suretyship Contract and Modes of Suretyship
Section 3 Suretyship Liability
Chapter 3 Mortgage
Section 1 Mortgage and Mortgaged Property
Section 2 Mortgage Contract and Registration of Mortgaged Property
Section 3 Effect of Mortgage
Section 4 Enforcement of Mortgage Right
Section 5 Mortgage of Maximum Amount
Chapter 4 Pledge
Section 1 Pledge of Movables
Section 2 Pledge of Rights
Chapter 5 Lien
Chapter 6 Deposit
Chapter 7 Supplementary Provisions
Chapter 1 General Provisions
Article 1
This Law is enacted with a view to promoting the accommodation of funds and the circulation of commodities, ensuring the enforcement of creditor’s rights and developing the socialist market economy.
Article 2
This Law is enacted with a view to promoting the accommodation of funds and the circulation of commodities, ensuring the enforcement of creditor’s rights and developing the socialist market economy.
Article 3
In guaranty activities, the principles of equality, voluntariness, fairness, honesty and credibility shall be observed.
Article 4
Where a third party provides a guaranty to creditor for a debtor, the third party may require the debtor to provide him with a counter-guaranty. The provisions on guaranty in this Law shall apply to the counter-guaranty.
Article 5
A guaranty contract is an ancillary contract of the principal contract. If the principal contract is null and void, the guaranty contract shall be null and void, accordingly. Where it is otherwise agreed in the guaranty contract, such agreement shall prevail. If a guaranty contract is determined to be null and void, the debtor, the guarantor or the creditor who is in default shall bear civil liability according to their respective fault.
Chapter 2 Suretyship
Section 1 Suretyship and Surety
Article 6
Suretyship as used in this Law means an agreement pursuant to which a surety and a creditor agree that the surety shall perform the obligation or bear the liability according to the agreement, when the debtor fails to perform his obligation.
Article 7
A legal person, other organization or a citizen capable of assuming debts may act as a surety.
Article 8
No State organ may act as a surety, except in the case of securing loans, for onlending, from a foreign government or an international economic organization as is approved by the State Council.
Article 9
Institutions such as schools, kindergartens and hospitals established for purposes of public welfare, and public organizations may not act as a surety.
Article 10
Branches and functioning departments of an enterprise as a legal person may not act as a surety. If a branch of an enterprise as a legal person has a power of attorney from the legal person, it may provide a suretyship within the scope of authority.
Article 11
No organization or individual may compel a bank or another financial institution or an enterprise to provide a suretyship for another; a bank or another financial institution or an enterprise shall have the right to refuse to provide suretyship for another.
Article 12
Where there are two or more sureties for one obligation, the sureties shall undertake suretyship liability according to their proportion of suretyship agreed in the suretyship contract. In the absence of an agreement on the proportion of suretyship, the sureties shall be jointly and severally liable. The creditor may demand any one of the sureties to undertake all suretyship liability, and every surety shall have the obligation to ensure all of the creditor’s rights. The surety who has undertaken the suretyship liability shall have the right of recourse against the debtor, or have the right to demand other sureties who are jointly and severally liable to discharge the proportion of obligations which they should respectively assume.
Section 2 Suretyship Contract and Modes of Suretyship
Article 13
A surety and a creditor shall conclude a suretyship contract in writing.
Article 14
A surety and a creditor may conclude separate suretyship contracts for a single principal contract, or may reach an agreement to conclude, to the extent of the maximum amount of claim, a single suretyship contract for loan contracts or for certain commodities transaction contracts which successively occur in a given period of time.
Article 15
A suretyship contract shall contain the following particulars: (1) the kind and amount of the principal claim guaranteed; (2) the time limit for the debtor to perform the obligation; (3) the modes of suretyship; (4) the scope of the suretyship guaranty; (5) the term of the suretyship; and (6) other matters the parties deem appropriate. If a suretyship contract does not contain all the particulars specified in the preceding paragraph, the particulars omitted may be added by amendment.
Article 16
The modes of suretyship include: (1) general suretyship; (2) suretyship of joint and several liability.
Article 17
A general suretyship refers to a suretyship contract wherein the parties agree that the surety shall undertake suretyship liability in case the debtor defaults. A general suretyship allows the surety to refuse to undertake suretyship liability towards the creditor before a dispute over the principal contract is tried or arbitrated and the obligations are not enforceable even after the debtor’s assets have been seized according to law. A surety may not exercise the right provided in the preceding paragraph in any of the following circumstances: (1) The change of the debtor’s domicile makes it extremely difficult for the creditor to have the debtor’s obligation enforced; (2) A People’s Court suspends the enforcement proceedings due to its acceptance of the debtor’s bankruptcy case; or (3) The surety waives in writing the right provided in the preceding paragraph.
Article 18
A suretyship of joint and several liability refers to a suretyship contract wherein the parties agree that the surety and the debtor shall be jointly and severally liable. Where the debtor of a suretyship of joint and several liability defaults when the time limit for his performance of the obligation provided in the principal contract expires, the creditor may demand that the debtor perform his obligation, or demand that the surety undertake the suretyship liability within the scope of the suretyship agreement.
Article 19
In the absence of an agreed or explicitly agreed mode of suretyship, the parties shall bear the suretyship liability following the mode of a suretyship of joint and several liability.
Article 20
The surety of a general suretyship or a suretyship of joint and several liability shall enjoy the debtor’s right of defense. Where a debtor waives his right of defense against the obligation, the surety shall still enjoy a right of defense. The right of defense means a debtor’s right to exercise his right of claim on legal basis against the creditor when the creditor seeks to enforce his rights.
Section 3 Suretyship Liability
Article 21
The scope of the suretyship guaranty includes the principal claim and the interest thereof, default fine, compensation for damage and expenses for enforcing the claim, unless the suretyship contract provides otherwise. In the absence of an agreed or explicitly agreed scope of the suretyship guaranty, the surety shall be liable for payment of all the above costs.
Article 22
If a creditor transfers, in accordance with law, his principal claim to a third party during the period of the suretyship, the surety shall continue to be bound by the suretyship contract within the scope of the original suretyship guaranty, unless the suretyship contract provides otherwise.
Article 23
Where a creditor permits a debtor to transfer his debts to a third party during the period of the suretyship, a consent in writing shall need to be obtained from the surety; the surety shall no longer be liable if the debts are transferred without his prior consent in writing.
Article 24
When a creditor and a debtor agree to alter the principal contract, they shall have to obtain the surety’s consent in writing; the surety shall no longer be liable if the contract is altered without his prior consent in writing, unless the suretyship contract provides otherwise.
Article 25
If the surety of a general suretyship and the creditor have no agreement on the term of suretyship, the term of suretyship shall be six months from the date of maturity of the principal debts. Where the creditor neither files a lawsuit against the debtor nor applies for arbitration during the term of suretyship agreed in the contract or provided in the preceding paragraph, the surety shall be relieved of the suretyship liability; where the creditor has filed a lawsuit or applied for arbitration, the provisions on the interruption of prescription shall apply to the term of suretyship.
Article 26
Where the surety of a suretyship of joint and several liability and the creditor have no agreement on the term of suretyship, the creditor shall, within six months from the date of maturity of the principal debts, have the right to demand that the surety undertake suretyship liability. If the creditor does not demand that the surety undertake suretyship liability during the term of suretyship agreed in the contract or provided by the preceding paragraph, the surety shall be relieved of the suretyship liability.
Article 27
Where in accordance with the provisions of Article 14 of this Law, a surety provides a suretyship to a creditor’s claims which successively occur but there is no agreement on the term of the suretyship, the surety may at any time notify in writing the creditor of termination of the suretyship contract, nevertheless, the surety shall be liable for the creditor’s claims which vested before the creditor receives the notice.
Article 28
Where there are both suretyship and property security for the same claim, the surety shall be liable for the creditor’s claim unsecured by the property security. If the creditor waives the property security, the surety shall be relieved of his suretyship liability to the extent of the creditor’s waiver.
Article 29
If a branch of an enterprise as a legal person concludes a suretyship contract with a creditor without the written authorization of the enterprise or beyond the scope of the authorization, the suretyship contract shall be null and void or the part of the contract that is beyond the scope of the authorization shall be null and void . If the creditor and the enterprise as a legal person are both at fault, they shall bear their respective civil liabilities commensurate with their own fault; if the creditor is not at fault, the enterprise as a legal person shall be civilly liable.
Article 30
The surety shall not be civilly liable under any of the following circumstances: (1) the parties to the principal contract conspire to defraud the surety of a suretyship; and (2) the creditor to the principal contract resorts to deception or coercion to induce or cause the surety to provide a suretyship against its will.
Article 31
The surety, after his assumption of the suretyship liability, shall be entitled to recourse against the debtor.
Article 32
If the creditor does not seek to enforce his claim after a People’s Court’s acceptance of the debtor’s bankruptcy case, the surety may participate in the distribution of the bankruptcy property and exercise his right of recourse in advance.
Chapter 3 Mortgage
Section 1 Mortgage and Mortgaged Property
Article 33
Mortgage as used in this Law means that the debtor or a third party secures the creditor’s rights with property listed in Article 34 of this Law without transference of its possession. If the debtor defaults, the creditor shall be entitled to convert the property into money to offset the debts or have priority in satisfying his claim from the proceeds of auction or sale of the property in accordance with the provisions of this Law. The debtor or the third party specified in the preceding paragraph is the mortgagor, the creditor is the mortgagee, and the property provided as security is the mortgaged property.
Article 34
The following property may be mortgaged: (1) houses and other things firmly fixed on the land which are owned by the mortgagor; (2) machines, means of transport and other property owned by the mortgagor; (3) the land-use right to the State-owned land, State-owned houses and other things firmly fixed on the land which the mortgagor is entitled to dispose of according to law; (4) State-owned machines, means of transport and other property which the mortgagor is entitled to dispose of according to law; (5) the land-use right to barren hills, barren gullies, barren hillocks, waste flood land and other unreclaimed land contracted by the mortgagor according to law and consent for the mortgage of such right is obtained from the party granting the contract; and (6) other property that may be mortgaged according to law. A mortgagor may at the same time mortgage all the property listed in the preceding paragraph.
Article 35
The amount of a claim secured by a mortgagor shall not exceed the value of his mortgaged property. If the value of the mortgaged property exceeds that of the claim secured, the surplus may be mortgaged again, but not in excess of the surplus.
Article 36
Where houses on State-owned land acquired in accordance with law are mortgaged, the land-use right to the State-owned land occupied by the houses shall be mortgaged at the same time. Where the land-use right to State-owned land acquired by means of granting is mortgaged, the houses on the State-owned land shall be mortgaged at the same time. The land-use right to the land used by a township (town) or village enterprise may not be mortgaged separately. Where factories and other buildings of township (town) or village enterprises are mortgaged, the land-use right to the land occupied by such buildings shall be mortgaged at the same time.
Article 37
The following property may not be mortgaged: (1) ownership of the land; (2) the land-use right to the land owned by the collectives such as cultivated land, house sites, private plots and private hills, with the exception of those provided in sub-paragraph (5) of Article 34 and sub-paragraph (3) of Article 36 of this Law; (3) educational facilities, medical and health facilities of schools, kindergartens, hospitals and other institutions or public organizations established in the interest of the public and other facilities in the service of public welfare; (4) property in relation to which the ownership or the right of use is unknown or disputed; (5) property sealed up, distrained or placed under surveillance in accordance with law; or (6) other property which may not be mortgaged as prescribed by law.
Section 2 Mortgage Contract and Registration of Mortgaged Property
Article 38
A mortgagor and a mortgagee shall conclude a mortgage contract in writing.
Article 39
A mortgage contract shall include the following particulars: (1) the kind and amount of the principal claim secured; (2) the term in which the debtor performs his obligation; (3) the name, quantity, quality, condition, location, ownership or ownership of the right to the use of the mortgaged property; (4) the scope of the guaranty of mortgage; and (5) other matters the parties deem necessary to include in the contract. If a mortgage contract does not include all the particulars specified in the preceding paragraph, the omissions may be added by amendment.
Article 40
In concluding a mortgage contract, the mortgagor and the mortgagee may not stipulate that the ownership of the mortgaged property shall be transferred to the creditor in case the mortgagee’s claim is not satisfied after maturity of the debt.
Article 41
Where a party mortgages property provided for in Article 42 of this Law, he shall register the mortgaged property, and the mortgage contract shall become effective as of the date of registration.
Article 42
The departments responsible for the registration of mortgaged property are as follows: (1) the land administration departments which verify and issue certificates evidencing the land-use right if the land-use right to the land to which nothing is firmly attached is mortgaged; (2) the departments designated by local people’s governments at or above the county level, if urban real estates or factories and other buildings of township (town) or village enterprises are mortgaged; (3) the forestry administration departments at or above the county level, if forest trees are mortgaged; (4) the registration departments for means of transport, if aircraft, ships and vehicles are mortgaged; or (5) the administrative departments of industry and commerce in the place where the property is located, if the equipment and other movables of enterprises are mortgaged.
Article 43
Where a party mortgages other property, he may, of his own will, register the mortgaged property, and the mortgage contract shall become effective as of the date of execution. If a party does not register the mortgaged property, he may not defend against the claims of third party. If a party intends to register the mortgaged property, the notary department in the place where the mortgagor resides shall be the registration department.
Article 44
To register the mortgaged property, a party shall submit to the registration department the following documents or their duplicates: (1) the principal contract and the mortgage contract; and (2) the certificates evidencing the ownership of or the use right to the mortgaged property.
Article 45
Consulting, transcribing or duplicating the materials registered with the registration departments shall be permitted.
Section 3 Effect of Mortgage
Article 46
The scope of guaranty of mortgage includes the principal debt and the interest thereof, default fine, compensation for damage and expenses for enforcing the mortgage, unless otherwise provided in the mortgage contract.
Article 47
If the mortgaged property is seized by a People’s Court because of the debtor’s failure to perform his obligation prior to the maturity of the debt, the mortgagee shall, from the date of seizure, be entitled to collect the natural fruits severed from the mortgaged property and the legal fruits which the mortgagor may collect from the mortgaged property. If the mortgagee fails to notify the person who has the obligation to pay legal fruits of the fact that the mortgaged property is seized, the mortgagee’s right shall not extend to such fruits. The fruits provided for in the preceding paragraph shall first be used to offset the expenses for collecting the fruits.
Article 48
If a mortgagor mortgages leased property, he shall notify the lessee of the fact in writing, and the original contract of lease continues in effect.
Article 49
If a mortgagor transfers mortgaged property already registered during the period of mortgage, he shall notify the mortgagee and inform the transferee that the transferred property is mortgaged; if the mortgagor fails to notify the mortgagee or inform the transferee of the fact, the transfer shall be null and void. If the proceeds expected from the transfer of the mortgaged property are evidently less than its value, the mortgagee may demand that the mortgagor provide an additional guaranty; if the mortgagor fails to provide the additional guaranty, then he may not transfer the mortgaged property. The proceeds which the mortgagor obtains from the transfer of the mortgaged property shall first be used to liquidate the claim secured by the mortgage or it shall be deposited with a third party agreed upon by the mortgagor and the mortgagee. If the proceeds exceed the claim, the balance shall belong to the mortgagor; if the proceeds do not cover the claim, the difference shall be paid by the debtor.
Article 50
The right of mortgage may not be separated from the creditor’s rights and transferred singly, nor used to secure other creditors’ rights.
Article 51
Where a mortgagor’s acts are likely to cause the value of the mortgaged property to decline, the mortgagee shall be entitled to demand that the mortgagor cease and deist from such acts. Where the value of the mortgaged property has declined, the mortgagee shall be entitled to demand that the mortgagor restore the original value of the mortgaged property or provide security corresponding to the amount of the lost value. If the mortgagor is not responsible for the decline in the value of the mortgaged property, the mortgagee may only demand that the mortgagor provide security to cover the loss resulting from the decline in value. The part of the mortgaged property whose value has not declined shall continue to serve as guaranty for the creditor’s right.
Article 52
The right of mortgage shall co-exist with the creditor’s right secured. If the creditor’s right lapses, the right of mortgage shall also lapse.
Section 4 Enforcement of Mortgage Right
Article 53
The mortgagee, who is not paid at the maturity of the obligation, may, through agreement with the mortgagor, be paid out of the proceeds from the conversion of the mortgaged property or from the auction or sale of the mortgaged property; if they fail to reach an agreement, the mortgagee may bring a lawsuit in a People’s Court. If the proceeds from the conversion of the mortgaged property or the proceeds from the auction or sale thereof exceed the claim, the balance shall be returned to the mortgagor; if the proceeds do not cover the claim, the difference shall be paid by the debtor.
Article 54
Where the same property is mortgaged to two or more creditors, the proceeds from the auction or sale of the mortgaged property shall be used for liquidation according to the following provisions: (1) Where a mortgage contract takes effect with its registration, the liquidation shall be made in the order of the time of registration of the mortgaged property; if the registration is in the same order, the liquidation shall be made according to the respective proportions of the claims; (2) Where a mortgage contract takes effect on the date of its execution and the mortgaged property is registered, the liquidation shall be made according to the provisions of sub-paragraph (1) of this Article; if the mortgaged property is not registered, the liquidation shall be made in the order of the effective dates of the contracts; if the order of the effective dates is the same, the liquidation shall be made according to the respective proportions of the claims. The claim secured by registered mortgage shall be satisfied prior to the claim secured by unregistered mortgage.
Article 55
After the execution of a contract in which urban real estate is mortgaged , the newly-built houses on the land shall not be included in the mortgaged property. Where it is necessary to auction the mortgaged real estate, the newly-built houses on the land may be auctioned, according to law, together with the mortgaged property, but the mortgagee shall have no right to enjoy the priority of having his claim satisfied with the proceeds from auction of the newly-built houses. Where the land-use right to contracted barren hills is mortgaged or the land-use right to the land occupied by the factories and other buildings of a township (town) or village enterprise is mortgaged in accordance with the provisions of this Law, the collective ownership and the uses of the land may not be altered without following the legal procedure after enforcement of the right of mortgage.
Article 56
The mortgagee shall be entitled to the priority of having his claim satisfied with the proceeds from auction of the land-use right to the allocated State-owned land after payment of the granting fees for the land-use right.
Article 57
The third party who provides guaranty of mortgage for the debtor shall have the right of recourse against the debtor after enforcement of the right of mortgage by the mortgagee.
Article 58
The right of mortgage shall lapse due to loss or destruction of the mortgaged property. The compensation obtained for the loss or destruction shall be used as the mortgaged property.
Section 5 Mortgage of Maximum Amount
Article 59
A mortgage of maximum amount as used in this Law means that the mortgaged property shall be used to secure the creditor’s claims which occur successively during a given period of time and to the extent of the total amount of the claims, as agreed upon between a mortgagor and a mortgagee.
Article 60
A loan contract may be accompanied by a contract of mortgage of maximum amount. The contract executed by a creditor and a debtor for the continuous transaction of a specific commodity in a given period of time may be accompanied by a contract of mortgage of maximum amount.
Article 61
The creditor’s right to the principal contract secured by a mortgage of maximum amount may not be transferred.
Article 62
The provisions of this section plus other provisions of this Chapter shall apply to mortgage of maximum amount.
Chapter 4 Pledge
Section 1 Pledge of Movables
Article 63
Pledge of movables as used in this Law means that the debtor or a third party transfers the possession of his movables to the creditor as a security for debt. If the debtor defaults, the creditor shall, in accordance with the provisions of this Law, be entitled to convert the property into money as payment of the debt or enjoy priority of having his claim satisfied with the proceeds of auction or sale of the pledged property. The debtor or the third party mentioned in the preceding paragraph shall be the pledgor, the creditor shall be the pledgee, and the movables transferred shall be the pledged property.
Article 64
A pledgor and a pledgee shall conclude a pledge contract in writing. A pledge contract shall become effective upon the delivery of the pledged property to the possession of the pledgee.
Article 65
A pledge contract shall include the following particulars: (1) the kind and amount of the principal debt secured; (2) the time limit for the debtor to perform his obligation; (3) the name, quantity, quality and condition of the pledged property; (4) the scope of the guaranty of pledge; (5) the time for delivering the pledged property; and (6) other matters the parties deem necessary to include in the contract. If a pledge contract does not contain all the particulars specified in the preceding paragraph, the omissions may be added by amendment.
Article 66
A pledgor and a pledgee may not stipulate in the contract that ownership of the pledged property shall be transferred to the pledgee if the obligation is not discharged at its maturity.
Article 67
The scope of guaranty of pledge includes the principal claim and the interest thereof, default fine, the compensation for damage, the storage charges and the cost of enforcing the right of the pledge. If otherwise provided for in the pledge contract, the provisions there shall apply.
Article 68
The pledgee shall be entitled to collect the fruits derived from the pledged property. If otherwise provided for in the pledge contract, the provisions there shall apply. The fruits mentioned in the preceding paragraph shall first be used to pay the expenses for collecting the fruits.
Article 69
The pledgee shall have the obligation to maintain the pledged property in good condition. The pledgee shall be civilly liable for the loss or destruction of or damage to the pledged property resulting from his negligence in storage. Where the pledgee is unable to maintain the pledged property in good condition and may thus cause loss or destruction of or damage to the pledged property, the pledgor may demand that the pledgee have the pledged property deposited, or demand that his obligation be discharged in advance and the pledged property returned.
Article 70
Where there is a possibility for the pledged property to perish or for its value to obviously decline to a point sufficient to impair the rights of the pledgee, the pledgee may demand that the pledgor provide additional security in like amount. If the pledgor refuses to provide the additional security, the pledgee may auction or sell the pledged property, and conclude an agreement with the pledgor that the proceeds from the auction or sale shall be used to pay in advance the debt secured or be deposited with a third party as agreed upon with the pledgor.
Article 71
Where the debtor performs his obligation at its maturity, or where the pledgor pays, prior to maturity, the debt secured, the pledgee shall return the pledged property. If the pledgee is not paid at the maturity of the obligation, he may conclude an agreement with the pledgor that the pledged property be converted into money in order to pay the debt, or he may auction or sell the said property according to law. Where the money converted from the pledged property or the proceeds from auction or sale exceed the debt secured, the balance shall be paid to the pledgor. Where the money or the proceeds do not cover the whole debt secured, the difference shall be paid by the debtor.
Article 72
The third party who secures the obligation of the debtor shall have the right of recourse against the debtor after the pledgee’s enforcement of the right of the pledge.
Article 73
The right of pledge shall lapse due to loss or destruction of the pledged property. The compensation obtained for the loss or destruction shall be used as the pledged property.
Article 74
The right of pledge shall co-exist with the creditor’s right secured. When the creditor’s right lapses, the right of pledge shall also lapse.
Section 2 Pledge of Rights
Article 75
The following rights may be pledged: (1) bills of exchange, cheques, promissory notes, bonds, certificates of deposit, warehouse receipts, bills of lading; (2) shares of stocks or certificates of stocks which are transferable according to law; (3) the rights to exclusive use of trademarks, the property right among patent rights and copyrights which are transferable according to law; and (4) other rights which may be pledged according to law.
Article 76
Where a bill of exchange, cheque, promissory note, bond, certificate of deposit, warehouse receipt or bill of lading is pledged, the document of title shall be delivered to the pledgee within the time limit specified in the pledge contract. The pledge contract shall become effective upon the delivery of the document of title.
Article 77
Where a bill of exchange, cheque, promissory note, bond, certificate of deposit warehouse receipt or bill of lading, which carries the date of payment or the date of delivery of goods, is pledged and if the date of its payment or delivery of goods is prior to the time limit for the performance of the obligation, the pledgee may be paid or accept the delivery of the goods before the expiration of the time limit for the performance of the obligation, and conclude an agreement with the pledgor that the payment or the goods accepted shall be used to pay in advance the debt secured or be deposited with a third party as agreed upon with the pledgor.
Article 78
Where certificates of stock transferable according to law are pledged, the pledgor and the pledgee shall conclude a contract in writing and register the pledge contract with the securities registration authorities. The pledge contract shall become effective on the date of the registration. The certificates of stocks pledged may not be transferred, unless agreed between the pledgor and the pledgee. The proceeds the pledgor obtained from the transfer of the certificates of stocks shall be used to pay in advance the pledgee’s claims secured, or be deposited with a third party as agreed upon with the pledgor. Where shares of stocks of a limited liability company are pledged, the relevant provisions of the Company Law governing the transfer of shares shall apply. The pledge contract shall become effective on the date on which the pledge of shares is written into the shareholders’ name-list.
Article 79
Where the right to exclusive use of trademarks, the property rights among patent rights and copyrights transferable according to law are pledged, the pledgor and the pledgee shall conclude a contract in writing and register the pledge contract with the administrative department in charge. The pledge contract shall become effective upon registration.
Article 80
If a right mentioned in Article 79 of this Law is pledged, the pledgor may not transfer or permit the right to be used by another , unless agreed between the pledgee and the pledgor. The proceeds from the transfer or the use obtained by the pledgor shall be used to pay in advance the pledgee’s claims secured or be deposited with a third party as agreed between the pledgor and the pledgee.
Article 81
The pledge of rights is governed not only by the provisions of this Section, but also by the provisions of Section 1 of this Chapter.
Chapter 5 Lien
Article 82
”Lien” as used in this Law means that the creditor shall possess the debtor’s movables according to the terms of the contract as provided by Article 84 of this Law. If the debtor defaults on his debt, the creditor shall be entitled to retain the property in accordance with the provisions of this Law and to the priority of having the debt paid with the money converted from the property or proceeds from sale or auction of the property.
Article 83
The scope of guaranty of lien covers the principal claim and the interest thereof, default fine, compensation for damage, cost of preservation of the retained property and expenses for enforcing the lien.
Article 84
In the event of any costs arising from a storage, transportation or processing contract, if the debtor defaults, the creditor shall have the right to retain the property. The provisions of the preceding paragraph shall be applicable to other contracts whereby the creditor has the right of retention as provided by law. The parties may specify in the contract the property that may not be retained.
Article 85
Where the retained property can be divided, the value of the part retained shall be equal to the sum of the debt.
Article 86
The lien holder shall have the obligation to maintain the retained property in good condition. The lien holder shall be civilly liable for loss or destruction of or damage to the retained property resulting from his negligence.
Article 87
The creditor and the debtor shall stipulate in the contract that the debtor shall perform his obligation within not less than two months after the creditor takes possession of the debtor’s property. If the creditor and the debtor fail to stipulate the same in the contract, the creditor shall, after taking possession of the debtor’s property, fix a time limit of two months or more and notify the debtor to perform his obligation within such time limit . If the debtor defaults within the specified time limit, the creditor may convert the retained property into money upon agreement with the debtor, or may auction or sell the retained property according to law. Where the money converted from the retained property or the proceeds from auction or sale exceed the debt secured, their balance shall be paid to the debtor; where the money or proceeds do not cover the entire secured debt; the difference shall be paid by the debtor.
Article 88
The right of retention shall lapse due to the following reasons: (1) the creditor’s right lapses; or (2) the debtor gives other security which is accepted by the creditor.
Chapter 6 Deposit
Article 89
The parties may agree that one party shall pay a deposit to the other for the security of a debt. After the debtor performs his obligation, the deposit shall either be retained as partial payment or be returned. If the party paying the deposit defaults, he shall have no right to demand the return of the deposit; if the party accepting the deposit defaults, he shall return twice the amount of the deposit.
Article 90
The deposit shall be executed in written form. The parties shall specify the time limit for the delivery of the deposit in the deposit contract . The deposit contract shall become effective on the date of the actual delivery of the deposit.
Article 91
The amount of the deposit shall be stipulated by the parties, but it shall not exceed 20 percent of the amount of the principal contract.
Chapter 7 Supplementary Provisions
Article 92
The “immovables” as used in this Law means land, and houses, forest, tress and other things firmly fixed on the land. The “movables” as used in this Law means things other than the immovables.
Article 93
”Suretyship contract”, “mortgage contract”, “pledge contract” or “deposit contract” as used in this Law may be contract concluded separately in writing that includes the letters and telex in the nature of guaranty between the parties, or the guaranty clauses in the principal contract.
Article 94
Where the mortgaged property, the pledged property or the retained property is converted into money or sold, the price shall be fixed with reference to the market price.
Article 95
Where the Maritime Code and other laws have special provisions on guaranty, such provisions shall apply.
Article 96
This Law shall be implemented as of October 1, 1995.
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国际海事卫星组织特权和豁免议定书(附英文)
April 27th, 2010
【标 题】 国际海事卫星组织（ＩＮＭＡＲＳＡＴ）特权和豁免议定书(附英文)
【分 类】 国际海事
【时 效 性】 有效
【颁布时间】 1981.12.01
【实施时间】 1983.07.30
全文
本议定书各成员国：
注意到１９７６年９月３日在伦敦开放签字的国际海事卫星组织（ＩＮＭＡＲＳＡＴ）公约和业务协定，特别是公约第二十五条和第二十六条（４）；注意到国际海事卫星组织与大不列颠和北爱尔兰联合王国政府已于１９８０年２月２５日达成了总部协议，考虑到本议定书的目的是为了促进达到国际海事卫星组织的宗旨，并保证其功能的有效实施；协议如下：
第一条 名词的使用
在本协议中：
（ａ）“公约”系指１９７６年９月３日在伦敦开放签字的国际海事卫星组织公约及其附件；
（ｂ）“业务协定”系指１９７６年９月３日在伦敦开放签字的国际海事卫星组织业务协定及其附件；
（ｃ）“缔约国”系指公约对其生效之国家；
（ｄ）“总部国”系指国际海事卫星组织在其领土上建立该组织总部之缔约国；
（ｅ）“签字者”系指业务协定对其生效的议定书成员国或议定书成员国所指定的某个实体；
（ｆ）“议定书成员国”系指本议定书对其生效之国家；
（ｇ）“职员”系指总干事和由国际海事卫星组织所雇用的全日制工作的并受人事条例规定制约的任何人员；
（ｈ）“代表”就议定书成员国、总部国和签字者而言，系指赴国际海事卫星组织的代表，在具体情况下，系指代表团团长、副代表和顾问；
（ｉ）“档案”包括国际海事卫星组织所拥有或掌管的一切手稿、信件、文件、照片、影片、光记录和磁记录、数据记录、图表和计算机程序；
（ｊ）“公务活动”国际海事卫星组织的公务活动，系指本组织按公约所规定的宗旨而进行的活动，并包括其行管活动；
（ｋ）“专家”系指职员以外的被指定的为国际海事卫星组织或以该组织名义完成某种特殊使命、其费用由本组织支付的人员；
（ｌ）“国际海事卫星组织空间段”系指国际海事卫星组织所拥有或租用的卫星以及跟踪、遥测、指令、控制、监测和辅助卫星运行所需要的有关设施和设备。
（ｍ）“财产”系指涉及所有权的任何物品，包括合同权。
第二条 国际海事卫星组织的管辖豁免和实施豁免
（１）除国际海事卫星组织在特定情况下已明确表示了放弃豁免外，该组织在其公务活动范围内，享有管辖豁免，但下列情况除外：
（ａ）有关其商务活动；
（ｂ）由于国际海事卫星组织所拥有或以该组织的名义工作的机动车辆或其他运输工具所造成的事故中所引起的损失，或有关此种运输工具违反交通规则事，而第三者就此提出的民事诉讼；
（ｃ）按法院最后决议，对国际海事卫星组织所拥有而支付给职员或前职员的工资和报酬金包括抚恤金享有权进行扣留；
（ｄ）有关对国际海事卫星组织提出的直接关系到法律程序的反诉。
（２）虽有（１）款之规定，但就有关公约或业务协定中所规定的权利和义务，各缔约国，签字者或其代理人或提出申诉的任何人，均不得将对国际海事卫星组织的起诉提交本议定书成员国进行处理。
（３）（ａ）国际海事卫星组织空间段不论设在何处，亦不论由何人持有，应豁免无论是执行、行政或司法行为进行的搜查、管制、征用、查封、没收、剥夺、扣押或实施。
（ｂ）国际海事卫星组织的所有其他财产和资产，不论位于何处，也不论由何人持有，享有３（ａ）款中所规定的豁免，但下列情况除外：
（ｉ）为了使法院对按第（１）款向国际海事卫星组织提出的任何上诉做出最终判决或决议而进行的查封及处置。
（ｉｉ）根据有关国家的法律，为防止和调查有关国际海事卫星组织所拥有或以其名义而进行工作的机动车辆或其他运输工具的事故，而采取的临时的必要措施。
（ｉｉｉ）为公用之目的对不动产进行征用，并用公正价格立即支付，只要这种征用不危及国际海事卫星组织的功能和操作。
第三条 档案不可侵犯
国际海事卫星组织的档案不论置于何处或由何人掌管，均不可侵犯。
第四条 税捐和关税的免除
（１）在国际海事卫星组织的公务活动范围内，应免除国际海事卫星组织及其财产和收入的一切国家直接税及一般与物品和服务的价格无关的其他各种税捐。
（２）如果国际海事卫星组织在其公务活动范围内购置物品或利用高价的服务，若这些物品或服务的价格中包括了税捐或关税，则本议定书各成员国必须在可能的情况下，采取适当措施，豁免或退还此种税捐或关税的金额。
（３）在国际海事卫星组织的公务活动范围内，须免除该组织在国际海事卫星组织空间段和有关发射空间段中所用的卫星的设备的关税，税捐及相应费用。
（４）国际海事卫星组织在其公务活动范围内所增添的物品，在运入或运出中，须免除一切禁止和限制。
（５）有关所提供的特殊服务的费用方面的税捐和关税。不得享受豁免。
（６）国际海事卫星组织所购置的物品，或向该组织提供的服务，用于职员的个人利益，不得享受豁免。
（７）除本议定书成员国所规定的条件而享受豁免的物品之外，在本条中的豁免物品不得永久或临时出租或转让。
（８）国际海事卫星组织按业务协定支付给各签字者的款项，本议定书的任何成员国须免除国家税。但成员国已指明其签字者需纳税时，不在此限。
第五条 资金、货币和保证金
国际海事卫星组织可以收受和持有任何种类的资金、货币或保证金，并为其任何公务活动而自由进行处置。该组织可以持有为满足其义务所要求的任何货币的帐目。
第六条 公务通信和出版
（１）对于国际海事卫星组织的公务通信和所有文件的传送，在本议定书每个成员国的领土内，本组织享受不低于一般给予同等的政府间组织在邮件和一切形式的电信上的优先权、费率和税收方面的待遇，应尽可能与议定书成员国为其一方的任何国际协议相一致。
（２）关于公务通信，国际海事卫星组织可以使用包括电码或密码在内的一切适当通信手段。本议定书各成员国不得对国际海事卫星组织的公务通信或公务出版物的传送施加任何限制。对此种通信和出版物不得进行检查。
（３）只有在本议定书成员国同意的情况下，国际海事卫星组织才可安装和使用无线电发信机。
第七条 职 员
（１）职员享受下列特权和豁免：
（ａ）在履行其公务使命期间，即使他们已离开国际海事卫星组织的工作，他们的行为，包括口头或书面的言论，免除管辖。但职员违反交通规则，或本人所拥有或由其驾驶的机动车辆或其它运输工具造成损伤时，不得享受此种豁免。
（ｂ）其本人，连同其家庭成员，免除国民服务，包括军役服务；
（ｃ）在国际海事卫星组织的公务活动范围内，他们履行其职能的所有公务文件不可侵犯；
（ｄ）其本人，连同其家庭成员，免除移民限制和侨民登记；
（ｅ）在货币和兑换管制方面享受给予政府间组织职员同样的待遇；
（ｆ）其本人，连同其家庭成员，在国际危机时，享受给予政府间组织职员遣返的同样便利；
（ｇ）在有关国家首次任职时，有权免税带进家具和个人用品，包括一部机动车辆，并且在结束职务而离开该国时，有权免税带出这些物品。此两种情况，应遵循有关国家的相应法律和规定。然而，除遵照此种法律和规定的情况外，按本款规定所享受豁免的物品不得永久或临时性转让、出租或转借或出售。
（２）自职员为国际海事卫星组织的利益承担其工资税之日起，国际海事卫星组织付给职员的工资和报酬免除交纳所得税。议定书成员国可以将这些工资和报酬的税捐金额在其他方面的收入中进行征收。不要求议定书成员国对支付给原来职员的退休金和年金的所得税予以免除。
（３）除职员属于国际海事卫星组织的社会治安体制外，国际海事卫星组织及其职员须免除向国民社会治安体制一切强制性纳款。此种豁免不排除根据议定书有关成员国的法律而自愿参加国民社会治安体制；也不排除议定书成员国按社会治安体制向按本段规定享受豁免的职员支付受益金。
（４）不得要求议定书成员国给其国民或永久性居民以（１）款中（ｂ）、（ｄ）、（ｅ）、（ｆ）和（ｇ）项所述的特权和豁免。
第八条 总 干 事
（１）除第七条所述的职员所享受的特权和豁免之外，总干事还享受：
（ａ）逮捕和拘留豁免；
（ｂ）外交人员享受的公民和行政管辖和实施豁免。由其本人拥有或由其驾驶的机动车辆或其他运输工具造成损伤的情况除外；
（ｃ）按上面（ａ）项享受刑事管辖的完全豁免。由其本人所拥有或由其驾驶的机动车辆或其它运输工具，违反交通规则造成损害的情况除外。
（２）不得要求议定书成员国给其国民或永久性居民以本条所述的豁免。
第九条 成员国代表
（１）议定书成员国的代表和总部国的代表在履行公务职能及在其往返会议地点的旅途中享受下列特权和豁免：
（ａ）免予任何形式的审讯前的逮捕或拘留；
（ｂ）在履行其公务职能的过程中，即使已结束了其使命，他们的行动，包括口头或书面的言论，免受管辖；但是在代表违反交通规则的情况下不得享受豁免，或由其本人所有或由其驾驶的机动车辆或其他运输工具造成损伤时，不得享受豁免；
（ｃ）他们的所有公务文件不可侵犯；
（ｄ）其本人，连同其家庭成员，免除移民限制和侨民登记；
（ｅ）在货币和兑换管制方面，与执行临时公务使命时的外国政府代表享受同样待遇。
（ｆ）在海关对待其私人行李方面，与执行临时公务使命的外国政府代表享受同样待遇。
（２）议定书成员国与其代表之间不适用第（１）款之规定。另外，议定书成员国与其国民或永久性居民之间不适用（１）款中的（ａ）、（ｄ）、（ｅ）和（ｆ）款之规定。
第十条 签字者代表
（１）签字者的代表和总部国的签字者的代表，在执行与国际海事卫星组织的工作有关的公务职能时，以及在其往返于会议地点的旅途中，享受下列特权和豁免：
（ａ）在履行其职能的过程中，即使已结束其使命，他们的行动，包括口头或书面言论，免予管辖；但是，在代表违反交通规则的情况下，或由其本人所有或由其驾驶的机动车辆或其他运输工具造成损伤的情况下，不得享受豁免；
（ｂ）他们的所有公务文件不可侵犯；
（ｃ）其本人，连同其家庭成员，免除移民限制和侨民登记。
（２）议定书成员国和由它指定的签字者之间不适用第（１）款之规定。另外，议定书成员国与其国民和永久性居民之间不适用第（１）款中（ｃ）项之规定。
第十一条 专 家
（１）专家在其执行与国际海事卫星组织有关的公务时，以及在其往返于其使命地点的旅途中，享受下述特权和豁免：
（ａ）在履行其公务职能的过程中，即使已结束其使命，他们的行动，包括口头或书面言论，免受管辖。但是，由其本人所拥有或由其驾驶的机动车辆或其他运输工具造成损伤时，不得享受豁免；
（ｂ）他们的所有公务文件不可侵犯；
（ｃ）在货币和兑换管制方面，享受给予政府间组织成员的同样待遇；
（ｄ）其本人，连同其家庭成员，免除移民限制和侨民登记；
（ｅ）在其个人行李方面，享受给予其他政府间组织专家的同样便利。
（２）不得要求议定书成员国给其国民或永久性居民以（１）款中的（ｃ）、（ｄ）和（ｅ）项中所规定的特权和豁免。
第十二条 关于职员和专家的通知
国际海事卫星组织总干事必须最少一年一次将适于第七条、第八条和第十条规定的职员和专家的姓名和国籍通知给议定书各成员国。
第十三条 特权和豁免的放弃
（１）本议定书中所规定的特权、免除和豁免不是为了每个人的个人利益，而是为了有效地执行其公务职能。
（２）如果下列当局认为，特权和豁免有碍于司法的实行，而在各种情况下放弃特权和豁免又无损于特权和豁免的主旨，则这些当局有权和有义务取消此种特权和豁免：
（ａ）议定书各成员国对于其代表和签字者的代表；
（ｂ）理事会对于国际海事卫星组织的总干事；
（ｃ）国际海事卫星组织的总干事对于职员和专家；
（ｄ）如属必要，召开大会的特别会议，对于国际海事卫星组织。
第十四条 对人员的协助
议定书成员国应采取一切适当措施，为代表、职员和专家的入境、停留和离境提供方便。
第十五条 法律和规章的遵守
享受本议定书所规定的特权和豁免的国际海事卫星组织和所有人员，在不损害本议定书中其他规定的情况下，必须尊重本议定书的有关成员国的法律和规章，并要和这些成员国的有资格的当局配合，以保证遵守其法律和各种规章。
第十六条 预防措施
议定书的每个成员国为其安全利益，有权采取一切预防措施。
第十七条 争议的解决
议定书成员国之间，或国际海事卫星组织和议定书某一成员国之间就本议定书的解释或应用发生任何争议，须通过磋商或双方同意的其他方法加以解决。如果争议在六个月内未获得解决，各有关方经一致同意，可将争议提交由三名仲裁人组成的法庭进行裁决。争议双方各选出一名仲裁人，第三名仲裁人担任法庭主席，由前二名仲裁人选定。如果前两名仲裁人在其被指定后的两个月内还未能就第三名仲裁人取得一致意见，则第三名仲裁人由国际法院院长选定。仲裁法庭应制定自己的程序。其裁决为最终裁决，对争议各方有约束力。
第十八条 补充协议
国际海事卫星组织可以与议定书任一成员国签定补充协议，以便有效地将议定书各条款实施于该成员国，从而保证国际海事卫星组织的有效职能。
第十九条 签字、批准和加入
（１）本议定书自１９８１年１２月１日至１９８２年５月３１日，在伦敦开放签字。
（２）除总部国以外，公约的所有成员国均可通过下列方式成为本议定书的成员国：
（ａ）无须经批准、接受或核准而签字；或
（ｂ）须经批准、接受或核准而签字，随后再批准、接受或核准；或
（ｃ）加入。
（３）批准、接受、核准或加入，须有适当文件交存后生效。
（４）按国际法，可以对本议定书进行保留。
第二十条 议定书的生效和有效期
（１）本议定书在公约的１０个缔约国满足了第十九条第（２）款中的要求之后的第３０天起生效。
（２）如果公约失效，本议定书亦随之生效。
第二十一条 对某一国家的生效和有效期
（１）在本议定书生效之后，一个已满足了第十九条第（２）款各项要求的国家，在本议定书生效之后，本议定书在签字或此种文件由文件保存人存档之日后的第３０天起对该国生效。
（２）本议定书的任一成员国可以通过给文件保存人以书面通知而宣告本议定书对其失效。在文件保存人收到该通知书之日起十二个月后，或通知中所提出的一段时间后，议定书始对其失效。
（３）本议定书的成员国在其停止为公约缔约国时，也随之停止为议定书成员国。
第二十二条 文件保存人
（１）国际海事卫星组织总干事，是本议定书的保存人；
（２）保存人必须特别将下列事项立即通知给所有缔约国；
（ａ）议定书的任一签字；
（ｂ）任何批准、接受、核准或加入的文件的存档；
（ｃ）本议定书的生效日期；
（ｄ）一个国家停止为本议定书成员国的日期；
（ｅ）有关本议定书的任何其他联系。
（３）本议定书生效时，保存人须将正本的一份核证无误的副本，按联合国宪章第一百零二条的规定交给联合国秘书处进行登记和公布。
第二十三条 有效文本
本议定书正本一份，用英文、法文、俄文和西班牙文写成，各种文本具有同等效力，由国际海事卫星组织总干事保存，总干事须将一核证无误的副本送交公约的每一缔约国。
下列签字者，经各自政府授权，就此签署了本议定书，以昭信守。
PROTOCOL ON THE PRIVILEGES AND INMUNITIES OF THE INTERNATIONALMARITIME SATELLITE ORGANIZATION (INMARSAT)
Whole document
THE STATES PARTIES TO THIS PROTOCOL:
Having regard to the Convention and the Operating Agreement on the International Maritime Satellite Organization (INMARSAT) opened for signature at London on 3 September 1976 and, in particular, to Articles 25 and 26 (4) of the Convention;
Taking note the INMARSAT has concluded a Headquarters Agreement with the Government of the United Kingdom of Great Britain and Northern Ireland on 25 February 1980;
Considering that the aim of this Protocol is to facilitate the achievement of the purpose of INMARSAT and to ensure the efficient performance of its functions; HAVE AGREED AS FOLLOWS:
ARTICLE 1 Use of Terms
For the purposes of this Protocol:
(a) “Convention” means the Convention on the International Maritime Satellite Organization (INMARSAT), including its Annex, opened for signature at London on 3 September 1976;
(b) “Operating Agreement” means the Operating Agreement on the International Maritime Satellite Organization (INMARSAT), including its Annex, opened for signature at London on 3 September 1976;
(c) “Party to the Convention” means a State for which the Convention is in force;
(d) “Headquarters Party” means the Party to the Convention in whose territory INMARSAT has established its headquarters;
(e) “Signatory” means either a Party to the Protocol or an entity designated by a Party to the Protocol for which the Operating Agreement is in force;
(f) “Party to the Protocol” means a State for which this Protocol is in force;
(g) “Staff member” means the Director General and any person employed full time by INMARSAT and subject to its staff regulations;
(h) “Representatives” in the case of Parties to the Protocol, the Headquarters Party and Signatories means representatives to INMARSAT and in each case means heads of delegations, alternates and advisers;
(i) “Archives” includes all manuscripts, correspondence, documents, photographs, films, optical and magnetic recordings, data recordings, graphic representations and computer programmes, belonging to or held by INMARSAT;
(j) “Official activities” of INMARSAT means activities carried out by the Organization in pursuance of its purpose as defined in the Convention and includes its administrative activities;
(k) “Expert” means a person other than a staff member appointed to carry out a specific task for or on behalf of INMARSAT and at its expense;
(l) “INMARSAT space segment” means the satellites, and tracking, telemetry, command, control, monitoring and related facilities and equipment required to support the operation of these satellites, which are owned or leased by INMARSAT;
(m) “Property” means anything that can be the subject of a right of ownership, including contractual rights.
ARTICLE 2 Immunity of INMARSAT from Jurisdiction and Execution
(1) Unless it has expressly waived immunity in a particular case, INMARSAT shall, within the scope of its official activities, have immunity from jurisdiction except in respect of:
(a) its commercial activities;
(b) a civil action by a third party for damage arising from an accident caused by a motor vehicle or other means of transport belonging to, or operated on behalf of, INMARSAT, or in respect of a traffic offence involving such means of transport;
(c) the attachment, pursuant to the final order of a court of law, of the salaries and emoluments, including pension rights, owed by INMARSAT to a staff member, or a former staff member;
(d) a counter-claim directly connected with judicial proceedings initiated by INMARSAT.
(2) Notwithstanding paragraph (1), no action shall be brought in the course of Parties to the Protocol against INMARSAT by Parties to the Convention, Signatories or persons acting for or deriving claims from any of them, relating to rights and obligations under the Convention or Operating Agreement.
(3) (a) The INMARSAT space segment, wherever located and by whomsoever held, shall be immune from any search, restraint, requisition, seizure, confiscation, expropriation, sequestration or execution, whether by executive, administrative or judicial action.
(b) All other property and assets of INMARSAT, wherever located and by whomsoever held, shall enjoy the immunity set out in paragraph (3) (a), except in respect of: (i) an attachment or execution in order to satisfy a final judgement or order of a court of law that relates to any proceedings that may be brought against INMARSAT pursuant to paragraph (1); (ii) any action taken in accordance with the law of the State concerned which is temporarily necessary in connection with the prevention of and investigation into accidents involving motor vehicles or other means of transport belonging to, or operated on behalf of, INMARSAT; (iii) expropriation in respect of real property for public purposes and subject to prompt payment of fair compensation, provided that such expropriation shall not prejudice the functions and operations of INMARSAT.
ARTICLE 3 Inviolability of Archives
The archives of INMARSAT shall be inviolable wherever located and by whomsoever held.
ARTICLE 4 Exemption from Taxes and Duties
(1) Within the scope of its official activities, INMARSAT and its property and income shall be exempt from all national direct and other taxes not normally incorporated in the price of goods and services.
(2) If INMARSAT, within the scope of its official activities, acquires goods or uses services of substantial value, and if the price of these goods or services includes taxes or duties Parties to the Protocol shall, whenever possible, take appropriate measures to remit or reimburse the amount of such taxes or duties.
(3) Within the scope of its official activities, INMARSAT shall be exempt from customs duties, taxes and related charges on the INMARSAT space segment and on equipment connected with the launching of satellites for use in the INMARSAT space segment.
(4) Goods acquired by INMARSAT within the scope of its official activities shall be exempt from all prohibitions and restrictions on import or export.
(5) No exemption shall be accorded in respect of taxes and duties which represent charges for specific services rendered.
(6) No exemption shall be accorded in respect of goods acquired by, or services provided to, INMARSAT for the personal benefit of staff members.
(7) Goods exempted under this Article shall not be transferred, hired out or lent, permanently or temporarily, or sold, except in accordance with conditions laid down by the Party to the Protocol which granted the exemption.
(8) Payments from INMARSAT to Signatories pursuant to the Operating Agreement shall be exempt from national taxes by any Party to the Protocol, other than the Party which has designated the Signatory.
ARTICLE 5 Funds, Currency and Securities
INMARSAT may receive and hold any kind of funds, currency or securities and dispose of them freely for any of its official activities. It may hold accounts in any currency to the extent required to meet its obligations.
ARTICLE 6 Official Communications and Publications
(1) With regard to its official communications and transfer of all its documents, INMARSAT shall enjoy in the territory of each Party to the Protocol treatment not less favourable than that generally accorded to equivalent intergovernmental organizations in the matter of priorities, rates and taxes on mails and all forms of telecommunications as far as may be compatible with any international agreements to which that Party to the Protocol is a party.
(2) With regard to its official communications, INMARSAT may employ all appropriate means of communication, including messages in code or cypher. Parties to the Protocol shall not impose any restriction on the official communications of INMARSAT or on the circulation of its official publications. No censorship shall be applied to such communications and publications.
(3) INMARSAT may install and use a radio transmitter only with the consent of the Party to the Protocol concerned.
ARTICLE 7 Staff Members
(1) Staff members shall enjoy the following privileges and immunities:
(a) immunity from jurisdiction, even after they have left the service of INMARSAT, in respect of acts, including words spoken or written, done by them in the exercise of their official functions; this immunity shall not, however, apply in the case of a traffic offence committed by a staff member, or in the case of damage caused by a motor vehicle or other means of transport belonging to or driven by him;
(b) exemption, together with members of their families forming part of their respective households, from any obligations in respect of national service, including military service;
(c) inviolability for all their official papers related to the exercise of their functions within the scope of the official activities of INMARSAT;
(d) exemption, together with members of their families forming part of their respective households, from immigration restrictions and alien registration;
(e) the same treatment in the matter of currency and exchange control as is accorded to staff members of intergovernmental organizations;
(f) together with members of their families forming part of their respective households, the same facilities as to repatriation in time of international crisis as are accorded to staff members of intergovernmental organizations;
(g) the right to import free of duty their furniture and personal effects, including a motor vehicle, at the time of first taking up their post in the State concerned, and the right to export them free of duty on termination of their functions in that State, in both cases in accordance with the laws and regulations of the State concerned. However, except in accordance with such laws and regulations, goods which have been exempted under this sub-paragraph shall not be transferred, hired out or lent, permanently or temporarily, or sold.
(2) Salaries and emoluments paid by INMARSAT to staff members shall be exempt from income tax from the date upon which such staff members have begun to be liable for a tax imposed on their salaries by INMARSAT for the latter’s benefit. Parties to the Protocol may take these salaries and emoluments into account for the purpose of assessing the amount of taxes to be applied to income from other sources. Parties to the Protocol are not required to grant exemption from income tax in respect of pensions and annuities paid to former staff members.
(3) Provided that staff members are covered by an INMARSAT social security scheme, INMARSAT and its staff members shall be exempt from all compulsory contributions to national social security schemes. This exemption does not preclude any voluntary participation in a national social security scheme in accordance with the law of the Party to the Protocol concerned; neither does it oblige a Party to the Protocol to make payments of benefits under social security schemes to staff members who are exempt under the provisions of this paragraph;
(4) The Parties to the Protocol shall not be obliged to accord to their nationals or permanent residents the privileges and immunities referred to in sub-paragraphs (b), (d), (e), (f) and (g) of paragraph (1).
ARTICLE 8 Director General
(1) In addition to the privileges and immunities provided for staff members under Article 7, the Director General shall enjoy:
(a) immunity from arrest and detention;
(b) immunity from civil and administrative jurisdiction and execution enjoyed by diplomatic agents, except in the case of damage caused by a motor vehicle or other means of transport belonging to or driven by him;
(c) full immunity from criminal jurisdiction, except in the case of a traffic offence caused by a motor vehicle or other means of transport belonging to, or driven by him, subject to subparagraph (a) above.
(2) The Parties to the Protocol shall not be obliged to accord to their nationals or permanent residents the immunities referred to in this Article.
ARTICLE 9 Representatives of Parties
(1) Representatives of the Parties to the Protocol and representatives of the Headquarters Party shall enjoy, while exercising their official functions and in the course of their journeys to and from their place of meeting, the following privileges and immunities:
(a) immunity from any form of arrest or detention pending trial;
(b) immunity from jurisdiction, even after the termination of their mission, in respect of acts, including words spoken or written, done by them in the exercise of their official functions; however, there shall be no immunity in the case of a traffic offence committed by a representative, or in the case of damage caused by a motor vehicle or other means of transport belonging to or driven by him;
(c) inviolability for all their official papers;
(d) exemption, together with members of their families forming part of their respective households, from immigration restrictions and alien registration;
(e) the same treatment in the matter of currency and exchange control as is accorded to representatives of foreign governments on temporary official missions;
(f) the same treatment in the matter of customs as regards their personal luggage as is accorded to representatives of foreign governments on temporary official missions.
(2) The provisions of paragraph (1) shall not apply in relations between a Party to the Protocol and its representatives. Further, the provisions of paragraphs (a), (d), (e) and (f) of paragraph (1) shall not apply in relations between a Party to the Protocol and its nationals or permanent residents.
ARTICLE 10 Representatives of Signatories
(1) Representatives of Signatories and representatives of the Signatory of the Headquarters Party shall, while exercising their official functions in relation to the work of INMARSAT and in the course of their journeys to and from their place of meeting, enjoy the following privileges and immunities:
(a) immunity from jurisdiction, even after the termination of their mission, in respect of acts, including words spoken or written, done by them in the exercise of their official functions; however, there shall be no immunity in the case of a traffic offence committed by a representative, or in the case of damage caused by a motor vehicle or other means of transport belonging to or driven by him;
(b) inviolability for all their official papers;
(c) exemption, together with members of their families forming part of their respective households, from immigration restrictions and alien registration.
(2) The provisions of paragraph (1) shall not apply in relations between a Party to the Protocol and the representative of the Signatory designated by it. Further, the provisions of subparagraph (c) of paragraph
(1) shall not apply in relations between a Party to the Protocol and its nationals or permanent residents.
ARTICLE 11 Experts
(1) Experts, while exercising their official functions in relation to the work of INMARSAT, and in the course of their journeys to and from the place of their missions, shall enjoy the following privileges and immunities:
(a) immunity from jurisdiction, even after the termination of their mission, in respect of acts, including words spoken or written, done by them in the exercise of their official functions; however, there shall be no immunity in the case of damage caused by a motor vehicle or other means of transport belonging to or driven by him;
(b) inviolability for all their official papers;
(c) the same treatment in the matter of currency and exchange control as is accorded to the staff members of intergovernmental organizations;
(d) exemption, together with members of their families forming part of their respective households, from immigration restrictions and alien registration;
(e) the same facilities as regards their personal luggage as are accorded to experts of other intergovernmental organizations.
(2) The Parties to the Protocol shall not be obliged to accord to their nationals or permanent residents the privileges and immunities referred to in sub-paragraphs (c), (d), and (e) of paragraph (1).
ARTICLE 12 Notification of Staff Members and Experts
The Director General of INMARSAT shall at least once every year notify the Parties to the Protocol of the names and nationalities of the staff members and experts to whom the provisions of Articles 7, 8 and 11 apply.
ARTICLE 13 Waiver
(1) The privileges, exemptions and immunities provided for in this Protocol are not granted for the personal benefit of individuals but for the efficient performance of their official functions.
(2) If, in the view of the authorities listed below, privileges and immunities are likely to impede the course of justice, and in all cases where they may be waived without prejudice to the purposes for which they have been accorded, these authorities have the right and duty to waive such privileges and immunities:
(a) the Parties to the Protocol in respect of their representatives and representatives of their Signatories;
(b) the Council in respect of the Director General of INMARSAT;
(c) the Director General of INMARSAT in respect of staff members and experts;
(d) the Assembly, convened if necessary in extraordinary session, in respect of INMARSAT.
ARTICLE 14 Assistance to Individuals
The Parties to the Protocol shall take all appropriate measures to facilitate entry, stay and departure of representatives, staff members and experts.
ARTICLE 15 Observance of Laws and Regulations
INMARSAT, and all persons enjoying privileges and immunities under this Protocol, shall, without prejudice to the other provisions thereof, respect the laws and regulations of the Parties to the Protocol concerned and cooperate at all times with the competent authorities of those Parties in order to ensure the observance of their laws and regulations.
ARTICLE 16 Precautionary Measures
Each Party to the Protocol retains the right to take all precautionary measures necessary in the interest of its security.
ARTICLE 17 Settlement of Disputes
Any dispute between Parties to the Protocol or between INMARSAT and a Party to the Protocol concerning the interpretation or application of the Protocol shall be settled by negotiation or by some other agreed method. If the dispute is not settled within twelve (12) months, the parties concerned may, by common agreement, refer the dispute for decision to a tribunal of three arbitrators. One of these arbitrators shall be chosen by each of the parties to the dispute, and the third, who shall be the Chairman of the tribunal, shall be chosen by the first two arbitrators. Should the first two arbitrators fail to agree upon the third within two months of their own appointment, the third arbitrator shall be chosen by the President of the International Court of Justice. The tribunal shall adopt its own procedures and its decisions shall be final and binding on the parties to the dispute.
ARTICLE 18 Complementary Agreements
INMARSAT may conclude with any Party to the Protocol complementary agreements to give effect to the provisions of this Protocol as regards such Party to the Protocol to ensure the efficient functioning of INMARSAT.
ARTICLE 19 Signature, Ratification and Accession
(1) This Protocol shall be open for signature at London from 1 December 1981 to 31 May 1982.
(2) All Parties to the Convention, other than the Headquarters Party, may become Parties to this Protocol by:
(a) signature not subject to ratification, acceptance or approval; or (b) signature subject to ratification, acceptance or approval, followed by ratification, acceptance or approval; or (c) accession.
(3) Ratification, acceptance, approval or accession shall be effected by the deposit of the appropriate instrument with the Depositary.
(4) Reservations to this Protocol may be made in accordance with international law.
ARTICLE 20 Entry into Force and Duration of Protocol
(1) This Protocol shall enter into force on the thirtieth day after the date on which ten Parties to the Convention have fulfilled the requirements of paragraph (2) of Article 19.
(2) This Protocol shall cease to be in force if the Convention ceases to be in force.
ARTICLE 21 Entry into Force and Duration for a State
(1) For a State which has fulfilled the requirements of paragraph (2) of Article 19 after the date of entry into force of this Protocol, the Protocol shall enter into force on the thirtieth day after the date of signature or of the deposit of such instrument with the Depositary respectively.
(2) Any Party to the Protocol may denounce this Protocol by giving written notice to the Depositary. The denunciation shall become effective twelve (12) months after the date of receipt of the notice by the Depositary or such longer period as may be specified in the notice.
(3) A Party to the Protocol shall cease to be a Party to the Protocol on the date that it ceases to be a Party to the Convention.
ARTICLE 22 Depositary
(1) The Director General of INMARSAT shall be the Depositary of this Protocol.
(2) The Depositary shall, in particular, promptly notify all Parties to the Convention of:
(a) any signature of the Protocol;
(b) the deposit of any instrument of ratification, acceptance, approval or accession;
(c) the date of entry into force of this Protocol;
(d) the date when a State has ceased to be a Party to this Protocol;
(e) any other communications relating to this Protocol.
(3) Upon entry into force of this Protocol, the Depositary shall transmit a certified copy of the original to the Secretariat of the United Nations for registration and publication in accordance with Article 102 of the Charter of the United Nations.
ARTICLE 23 Authentic Texts
This Protocol is established in a single original in the English, French, Russian and Spanish languages, all the texts being equally authentic, and shall be deposited with the Director General of INMARSAT who shall send a certified copy to each Party to the Convention. IN WITNESS WHEREOF the undersigned *. duly authorized for that purpose by their respective Governments, have signed this Protocol. [* Signature Omitted.]
DONE AT LONDON this first day of December one thousand nine hundred and eighty one.
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中华人民共和国公务员法(含外文报道)
April 27th, 2010
（2005年4月27日第十届全国人民代表大会常务委员会第十五次会议通过）
目 录
第一章 总 则
第二章 公务员的条件、义务与权利
第三章 职务与级别
第四章 录 用
第五章 考 核
第六章 职务任免
第七章 职务升降
第八章 奖 励
第九章 惩 戒
第十章 培 训
第十一章 交流与回避
第十二章 工资福利保险
第十三章 辞职辞退
第十四章 退 休
第十五章 申诉控告
第十六章 职位聘任
第十七章 法律责任
第十八章 附 则
第一章 总 则
第一条 为了规范公务员的管理，保障公务员的合法权益，加强对公务员的监督，建设高素质的公务员队伍，促进勤政廉政，提高工作效能，根据宪法，制定本法。
第二条 本法所称公务员，是指依法履行公职、纳入国家行政编制、由国家财政负担工资福利的工作人员。
第三条 公务员的义务、权利和管理，适用本法。
法律对公务员中的领导成员的产生、任免、监督以及法官、检察官等的义务、权利和管理另有规定的，从其规定。
第四条 公务员制度坚持以马克思列宁主义、毛泽东思想、邓小平理论和“三个代表”重要思想为指导，贯彻社会主义初级阶段的基本路线，贯彻中国共产党的干部路线和方针，坚持党管干部原则。
第五条 公务员的管理，坚持公开、平等、竞争、择优的原则，依照法定的权限、条件、标准和程序进行。
第六条 公务员的管理，坚持监督约束与激励保障并重的原则。
第七条 公务员的任用，坚持任人唯贤、德才兼备的原则，注重工作实绩。
第八条 国家对公务员实行分类管理，提高管理效能和科学化水平。
第九条 公务员依法履行职务的行为，受法律保护。
第十条 中央公务员主管部门负责全国公务员的综合管理工作。县级以上地方各级公务员主管部门负责本辖区内公务员的综合管理工作。上级公务员主管部门指导下级公务员主管部门的公务员管理工作。各级公务员主管部门指导同级各机关的公务员管理工作。
第二章 公务员的条件、义务与权利
第十一条 公务员应当具备下列条件：
（一）具有中华人民共和国国籍；
（二）年满十八周岁；
（三）拥护中华人民共和国宪法；
（四）具有良好的品行；
（五）具有正常履行职责的身体条件；
（六）具有符合职位要求的文化程度和工作能力；
（七）法律规定的其他条件。
第十二条 公务员应当履行下列义务：
（一）模范遵守宪法和法律；
（二）按照规定的权限和程序认真履行职责，努力提高工作效率；
（三）全心全意为人民服务，接受人民监督；
（四）维护国家的安全、荣誉和利益；
（五）忠于职守，勤勉尽责，服从和执行上级依法作出的决定和命令；
（六）保守国家秘密和工作秘密；
（七）遵守纪律，恪守职业道德，模范遵守社会公德；
（八）清正廉洁，公道正派；
（九）法律规定的其他义务。
第十三条 公务员享有下列权利：
（一）获得履行职责应当具有的工作条件；
（二）非因法定事由、非经法定程序，不被免职、降职、辞退或者处分；
（三）获得工资报酬，享受福利、保险待遇；
（四）参加培训；
（五）对机关工作和领导人员提出批评和建议；
（六）提出申诉和控告；
（七）申请辞职；
（八）法律规定的其他权利。
第三章 职务与级别
第十四条 国家实行公务员职位分类制度。
公务员职位类别按照公务员职位的性质、特点和管理需要，划分为综合管理类、专业技术类和行政执法类等类别。国务院根据本法，对于具有职位特殊性，需要单独管理的，可以增设其他职位类别。各职位类别的适用范围由国家另行规定。
第十五条 国家根据公务员职位类别设置公务员职务序列。
第十六条 公务员职务分为领导职务和非领导职务。
领导职务层次分为：国家级正职、国家级副职、省部级正职、省部级副职、厅局级正职、厅局级副职、县处级正职、县处级副职、乡科级正职、乡科级副职。
非领导职务层次在厅局级以下设置。
第十七条 综合管理类的领导职务根据宪法、有关法律、职务层次和机构规格设置确定。
综合管理类的非领导职务分为：巡视员、副巡视员、调研员、副调研员、主任科员、副主任科员、科员、办事员。
综合管理类以外其他职位类别公务员的职务序列，根据本法由国家另行规定。
第十八条 各机关依照确定的职能、规格、编制限额、职数以及结构比例，设置本机关公务员的具体职位，并确定各职位的工作职责和任职资格条件。
第十九条 公务员的职务应当对应相应的级别。公务员职务与级别的对应关系，由国务院规定。
公务员的职务与级别是确定公务员工资及其他待遇的依据。
公务员的级别根据所任职务及其德才表现、工作实绩和资历确定。公务员在同一职务上，可以按照国家规定晋升级别。
第二十条 国家根据人民警察以及海关、驻外外交机构公务员的工作特点，设置与其职务相对应的衔级。
第四章 录 用
第二十一条 录用担任主任科员以下及其他相当职务层次的非领导职务公务员，采取公开考试、严格考察、平等竞争、择优录取的办法。
民族自治地方依照前款规定录用公务员时，依照法律和有关规定对少数民族报考者予以适当照顾。
第二十二条 中央机关及其直属机构公务员的录用，由中央公务员主管部门负责组织。地方各级机关公务员的录用，由省级公务员主管部门负责组织，必要时省级公务员主管部门可以授权设区的市级公务员主管部门组织。
第二十三条 报考公务员，除应当具备本法第十一条规定的条件外，还应当具备省级以上公务员主管部门规定的拟任职位所要求的资格条件。
第二十四条 下列人员不得录用为公务员：
（一）曾因犯罪受过刑事处罚的；
（二）曾被开除公职的；
（三）有法律规定不得录用为公务员的其他情形的。
第二十五条 录用公务员，必须在规定的编制限额内，并有相应的职位空缺。
第二十六条 录用公务员，应当发布招考公告。招考公告应当载明招考的职位、名额、报考资格条件、报考需要提交的申请材料以及其他报考须知事项。
招录机关应当采取措施，便利公民报考。
第二十七条 招录机关根据报考资格条件对报考申请进行审查。报考者提交的申请材料应当真实、准确。
第二十八条 公务员录用考试采取笔试和面试的方式进行，考试内容根据公务员应当具备的基本能力和不同职位类别分别设置。
第二十九条 招录机关根据考试成绩确定考察人选，并对其进行报考资格复审、考察和体检。
体检的项目和标准根据职位要求确定。具体办法由中央公务员主管部门会同国务院卫生行政部门规定。
第三十条 招录机关根据考试成绩、考察情况和体检结果，提出拟录用人员名单，并予以公示。
公示期满，中央一级招录机关将拟录用人员名单报中央公务员主管部门备案；地方各级招录机关将拟录用人员名单报省级或者设区的市级公务员主管部门审批。
第三十一条 录用特殊职位的公务员，经省级以上公务员主管部门批准，可以简化程序或者采用其他测评办法。
第三十二条 新录用的公务员试用期为一年。试用期满合格的，予以任职；不合格的，取消录用。
第五章 考 核
第三十三条 对公务员的考核，按照管理权限，全面考核公务员的德、能、勤、绩、廉，重点考核工作实绩。
第三十四条 公务员的考核分为平时考核和定期考核。定期考核以平时考核为基础。
第三十五条 对非领导成员公务员的定期考核采取年度考核
的方式，先由个人按照职位职责和有关要求进行总结，主管领导在听取群众意见后，提出考核等次建议，由本机关负责人或者授权的考核委员会确定考核等次。
对领导成员的定期考核，由主管机关按照有关规定办理。
第三十六条 定期考核的结果分为优秀、称职、基本称职和不称职四个等次。
定期考核的结果应当以书面形式通知公务员本人。
第三十七条 定期考核的结果作为调整公务员职务、级别、工资以及公务员奖励、培训、辞退的依据。
第六章 职务任免
第三十八条 公务员职务实行选任制和委任制。
领导成员职务按照国家规定实行任期制。
第三十九条 选任制公务员在选举结果生效时即任当选职务；任期届满不再连任，或者任期内辞职、被罢免、被撤职的，其所任职务即终止。
第四十条 委任制公务员遇有试用期满考核合格、职务发生变化、不再担任公务员职务以及其他情形需要任免职务的，应当按照管理权限和规定的程序任免其职务。
第四十一条 公务员任职必须在规定的编制限额和职数内进行，并有相应的职位空缺。
第四十二条 公务员因工作需要在机关外兼职，应当经有关机关批准，并不得领取兼职报酬。
第七章 职务升降
第四十三条 公务员晋升职务，应当具备拟任职务所要求的思想政治素质、工作能力、文化程度和任职经历等方面的条件和资格。
公务员晋升职务，应当逐级晋升。特别优秀的或者工作特殊需要的，可以按照规定破格或者越一级晋升职务。
第四十四条 公务员晋升领导职务，按照下列程序办理：
（一）民主推荐，确定考察对象；
（二）组织考察，研究提出任职建议方案，并根据需要在一定范围内进行酝酿；
（三）按照管理权限讨论决定；
（四）按照规定履行任职手续。
公务员晋升非领导职务，参照前款规定的程序办理。
第四十五条 机关内设机构厅局级正职以下领导职务出现空缺时，可以在本机关或者本系统内通过竞争上岗的方式，产生任职人选。
厅局级正职以下领导职务或者副调研员以上及其他相当职务层次的非领导职务出现空缺，可以面向社会公开选拔，产生任职人选。
确定初任法官、初任检察官的任职人选，可以面向社会，从通过国家统一司法考试取得资格的人员中公开选拔。
第四十六条 公务员晋升领导职务的，应当按照有关规定实行任职前公示制度和任职试用期制度。
第四十七条 公务员在定期考核中被确定为不称职的，按照规定程序降低一个职务层次任职。
第八章 奖 励
第四十八条 对工作表现突出，有显著成绩和贡献，或者有其他突出事迹的公务员或者公务员集体，给予奖励。奖励坚持精神奖励与物质奖励相结合、以精神奖励为主的原则。
公务员集体的奖励适用于按照编制序列设置的机构或者为完成专项任务组成的工作集体。
第四十九条 公务员或者公务员集体有下列情形之一的，给予奖励：
（一）忠于职守，积极工作，成绩显著的；
（二）遵守纪律，廉洁奉公，作风正派，办事公道，模范作用突出的；
（三）在工作中有发明创造或者提出合理化建议，取得显著经济效益或者社会效益的；
（四）为增进民族团结、维护社会稳定做出突出贡献的；
（五）爱护公共财产，节约国家资财有突出成绩的；
（六）防止或者消除事故有功，使国家和人民群众利益免受或者减少损失的；
（七）在抢险、救灾等特定环境中奋不顾身，做出贡献的；
（八）同违法违纪行为作斗争有功绩的；
（九）在对外交往中为国家争得荣誉和利益的；
（十）有其他突出功绩的。
第五十条 奖励分为：嘉奖、记三等功、记二等功、记一等功、授予荣誉称号。
对受奖励的公务员或者公务员集体予以表彰，并给予一次性奖金或者其他待遇。
第五十一条 给予公务员或者公务员集体奖励，按照规定的权限和程序决定或者审批。
第五十二条 公务员或者公务员集体有下列情形之一的，撤销奖励：
（一）弄虚作假，骗取奖励的；
（二）申报奖励时隐瞒严重错误或者严重违反规定程序的；
（三）有法律、法规规定应当撤销奖励的其他情形的。
第九章 惩 戒
第五十三条 公务员必须遵守纪律，不得有下列行为：
（一）散布有损国家声誉的言论，组织或者参加旨在反对国家的集会、游行、示威等活动；
（二）组织或者参加非法组织，组织或者参加罢工；
（三）玩忽职守，贻误工作；
（四）拒绝执行上级依法作出的决定和命令；
（五）压制批评，打击报复；
（六）弄虚作假，误导、欺骗领导和公众；
（七）贪污、行贿、受贿，利用职务之便为自己或者他人谋取私利；
（八）违反财经纪律，浪费国家资财；
（九）滥用职权，侵害公民、法人或者其他组织的合法权益；
（十）泄露国家秘密或者工作秘密；
（十一）在对外交往中损害国家荣誉和利益；
（十二）参与或者支持色情、吸毒、赌博、迷信等活动；
（十三）违反职业道德、社会公德；
（十四）从事或者参与营利性活动，在企业或者其他营利性组织中兼任职务；
（十五）旷工或者因公外出、请假期满无正当理由逾期不归；
（十六）违反纪律的其他行为。
第五十四条 公务员执行公务时，认为上级的决定或者命令有错误的，可以向上级提出改正或者撤销该决定或者命令的意见；上级不改变该决定或者命令，或者要求立即执行的，公务员应当执行该决定或者命令，执行的后果由上级负责，公务员不承担责任；但是，公务员执行明显违法的决定或者命令的，应当依法承担相应的责任。
第五十五条 公务员因违法违纪应当承担纪律责任的，依照本法给予处分；违纪行为情节轻微，经批评教育后改正的，可以免予处分。
第五十六条 处分分为：警告、记过、记大过、降级、撤职、开除。
第五十七条 对公务员的处分，应当事实清楚、证据确凿、定性准确、处理恰当、程序合法、手续完备。
公务员违纪的，应当由处分决定机关决定对公务员违纪的情况进行调查，并将调查认定的事实及拟给予处分的依据告知公务员本人。公务员有权进行陈述和申辩。
处分决定机关认为对公务员应当给予处分的，应当在规定的期限内，按照管理权限和规定的程序作出处分决定。处分决定应当以书面形式通知公务员本人。
第五十八条 公务员在受处分期间不得晋升职务和级别，其中受记过、记大过、降级、撤职处分的，不得晋升工资档次。
受处分的期间为：警告，六个月；记过，十二个月；记大过，十八个月；降级、撤职，二十四个月。
受撤职处分的，按照规定降低级别。
第五十九条 公务员受开除以外的处分，在受处分期间有悔改表现，并且没有再发生违纪行为的，处分期满后，由处分决定机关解除处分并以书面形式通知本人。
解除处分后，晋升工资档次、级别和职务不再受原处分的影响。但是，解除降级、撤职处分的，不视为恢复原级别、原职务。
第十章 培 训
第六十条 机关根据公务员工作职责的要求和提高公务员素质的需要，对公务员进行分级分类培训。
国家建立专门的公务员培训机构。机关根据需要也可以委托其他培训机构承担公务员培训任务。
第六十一条 机关对新录用人员应当在试用期内进行初任
培训；对晋升领导职务的公务员应当在任职前或者任职后一年内进行任职培训；对从事专项工作的公务员应当进行专门业务培训；对全体公务员应当进行更新知识、提高工作能力的在职培训，其中对担任专业技术职务的公务员，应当按照专业技术人员继续教育的要求，进行专业技术培训。
国家有计划地加强对后备领导人员的培训。
第六十二条 公务员的培训实行登记管理。
公务员参加培训的时间由公务员主管部门按照本法第六十一条规定的培训要求予以确定。
公务员培训情况、学习成绩作为公务员考核的内容和任职、晋升的依据之一。
第十一章 交流与回避
第六十三条 国家实行公务员交流制度。
公务员可以在公务员队伍内部交流，也可以与国有企业事业单位、人民团体和群众团体中从事公务的人员交流。
交流的方式包括调任、转任和挂职锻炼。
第六十四条 国有企业事业单位、人民团体和群众团体中从事公务的人员可以调入机关担任领导职务或者副调研员以上及其他相当职务层次的非领导职务。调任人选应当具备本法第十一条规定的条件和拟任职位所要求的资格条件，并不得有本法第二十四条规定的情形。调任机关应当根据上述规定，对调任人选进行严格考察，并按照管理权限审批，必要时可以对调任人选进行考试。
第六十五条 公务员在不同职位之间转任应当具备拟任职位所要求的资格条件，在规定的编制限额和职数内进行。
对省部级正职以下的领导成员应当有计划、有重点地实行跨地区、跨部门转任。
对担任机关内设机构领导职务和工作性质特殊的非领导职务的公务员，应当有计划地在本机关内转任。
第六十六条 根据培养锻炼公务员的需要，可以选派公务员到下级机关或者上级机关、其他地区机关以及国有企业事业单位挂职锻炼。
公务员在挂职锻炼期间，不改变与原机关的人事关系。
第六十七条 公务员应当服从机关的交流决定。
公务员本人申请交流的，按照管理权限审批。
第六十八条 公务员之间有夫妻关系、直系血亲关系、三代以内旁系血亲关系以及近姻亲关系的，不得在同一机关担任双方直接隶属于同一领导人员的职务或者有直接上下级领导关系的职务，也不得在其中一方担任领导职务的机关从事组织、人事、纪检、监察、审计和财务工作。
因地域或者工作性质特殊，需要变通执行任职回避的，由省级以上公务员主管部门规定。
第六十九条 公务员担任乡级机关、县级机关及其有关部门主要领导职务的，应当实行地域回避，法律另有规定的除外。
第七十条 公务员执行公务时，有下列情形之一的，应当回避：
（一）涉及本人利害关系的；
（二）涉及与本人有本法第六十八条第一款所列亲属关系人员的利害关系的；
（三）其他可能影响公正执行公务的。
第七十一条 公务员有应当回避情形的，本人应当申请回避；利害关系人有权申请公务员回避。其他人员可以向机关提供公务员需要回避的情况。
机关根据公务员本人或者利害关系人的申请，经审查后作出是否回避的决定，也可以不经申请直接作出回避决定。
第七十二条 法律对公务员回避另有规定的，从其规定。
第十二章 工资福利保险
第七十三条 公务员实行国家统一的职务与级别相结合的工资制度。
公务员工资制度贯彻按劳分配的原则，体现工作职责、工作能力、工作实绩、资历等因素，保持不同职务、级别之间的合理工资差距。
国家建立公务员工资的正常增长机制。
第七十四条 公务员工资包括基本工资、津贴、补贴和奖金。
公务员按照国家规定享受地区附加津贴、艰苦边远地区津贴、岗位津贴等津贴。
公务员按照国家规定享受住房、医疗等补贴、补助。
公务员在定期考核中被确定为优秀、称职的，按照国家规定享受年终奖金。
公务员工资应当按时足额发放。
第七十五条 公务员的工资水平应当与国民经济发展相协调、与社会进步相适应。
国家实行工资调查制度，定期进行公务员和企业相当人员工资水平的调查比较，并将工资调查比较结果作为调整公务员工资水平的依据。
第七十六条 公务员按照国家规定享受福利待遇。国家根据经济社会发展水平提高公务员的福利待遇。
公务员实行国家规定的工时制度，按照国家规定享受休假。公务员在法定工作日之外加班的，应当给予相应的补休。
第七十七条 国家建立公务员保险制度，保障公务员在退休、患病、工伤、生育、失业等情况下获得帮助和补偿。
公务员因公致残的，享受国家规定的伤残待遇。公务员因公牺牲、因公死亡或者病故的，其亲属享受国家规定的抚恤和优待。
第七十八条 任何机关不得违反国家规定自行更改公务员工资、福利、保险政策，擅自提高或者降低公务员的工资、福利、保险待遇。任何机关不得扣减或者拖欠公务员的工资。
第七十九条 公务员工资、福利、保险、退休金以及录用、培训、奖励、辞退等所需经费，应当列入财政预算，予以保障。
第十三章 辞职辞退
第八十条 公务员辞去公职，应当向任免机关提出书面申请。任免机关应当自接到申请之日起三十日内予以审批，其中对领导成员辞去公职的申请，应当自接到申请之日起九十日内予以审批。
第八十一条 公务员有下列情形之一的，不得辞去公职：
（一）未满国家规定的最低服务年限的；
（二）在涉及国家秘密等特殊职位任职或者离开上述职位不满国家规定的脱密期限的；
（三）重要公务尚未处理完毕，且须由本人继续处理的；
（四）正在接受审计、纪律审查，或者涉嫌犯罪，司法程序尚未终结的；
（五）法律、行政法规规定的其他不得辞去公职的情形。
第八十二条 担任领导职务的公务员，因工作变动依照法律规定需要辞去现任职务的，应当履行辞职手续。
担任领导职务的公务员，因个人或者其他原因，可以自愿提出辞去领导职务。
领导成员因工作严重失误、失职造成重大损失或者恶劣社会影响的，或者对重大事故负有领导责任的，应当引咎辞去领导职务。
领导成员应当引咎辞职或者因其他原因不再适合担任现任领导职务，本人不提出辞职的，应当责令其辞去领导职务。
第八十三条 公务员有下列情形之一的，予以辞退：
（一）在年度考核中，连续两年被确定为不称职的；
（二）不胜任现职工作，又不接受其他安排的；
（三）因所在机关调整、撤销、合并或者缩减编制员额需要调整工作，本人拒绝合理安排的；
（四）不履行公务员义务，不遵守公务员纪律，经教育仍无转变，不适合继续在机关工作，又不宜给予开除处分的；
（五）旷工或者因公外出、请假期满无正当理由逾期不归连续超过十五天，或者一年内累计超过三十天的。
第八十四条 对有下列情形之一的公务员，不得辞退：
（一）因公致残，被确认丧失或者部分丧失工作能力的；
（二）患病或者负伤，在规定的医疗期内的；
（三）女性公务员在孕期、产假、哺乳期内的；
（四）法律、行政法规规定的其他不得辞退的情形。
第八十五条 辞退公务员，按照管理权限决定。辞退决定应当以书面形式通知被辞退的公务员。
被辞退的公务员，可以领取辞退费或者根据国家有关规定享受失业保险。
第八十六条 公务员辞职或者被辞退，离职前应当办理公务交接手续，必要时按照规定接受审计。
第十四章 退 休
第八十七条 公务员达到国家规定的退休年龄或者完全丧失工作能力的，应当退休。
第八十八条 公务员符合下列条件之一的，本人自愿提出申请，经任免机关批准，可以提前退休：
（一）工作年限满三十年的；
（二）距国家规定的退休年
龄不足五年，且工作年限满二十年的；
（三）符合国家规定的可以提前退休的其他情形的。
第八十九条 公务员退休后，享受国家规定的退休金和其他待遇，国家为其生活和健康提供必要的服务和帮助，鼓励发挥个人专长，参与社会发展。
China enacts first civil servant law
BEIJING, April 28 (UPI) ——
China’s national legislature has enacted the country’s first law defining the role and responsibilities of civil servants, state-run media reported Thursday.
The civil servant legislation covers issues such as duties, posts and ranks, recruitment, assessment, salaries, training and punishment. The law stipulates personnel be recruited through open and fair examinations.
Salaries will be in line with local economic conditions and pay raises pegged to economic growth.
Xinhua quoted Hou Jianliang from the Ministry of Personnel as saying the new law will help civil servants to have a clearer perception of their career responsibilities and performance standards.
Hou said there were about 6.37 million civil servants and more than 30 million personnel working in public-funded organizations across China at the end of 2003.
Chinese officials will have more rights as the new regulation gives precise procedures to appeal decisions while making them take more responsibility, quitting posts if mistakes or negligence causes major economic loss or results in social instability.
The law takes effect January 1, 2006.
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