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Expansion of Applicable Sphere: A way to Uniformity
——Compare and Contrast between UNIDROIT and UNCITRAL Conventions
By Dongsheng Lu, Chen Yan

I. Introduction

Financing is paramount for the promotion of commerce. It has been noted that “in developed countries the bulk of corporate wealth is locked up in receivables”. As the economy develops, this wealth increasing is “unlocked by transferring receivables across national borders”. With the prompt and great increases in international trade, receivables financing now plays a more and more important role. Yet under the law of many countries, certain forms of receivables financing are still not recognized. Even transactions are involved in countries where the form of receivables financing is permitted, determining which law governs will be difficult. The disparity among laws of different jurisdiction increases uncertainty in transactions, thus constitutes obstacles to the development of assignments of receivables. To remove such obstacles arising from the uncertainty existing in various legal systems and promote the development of receivables financing cross-boarder, a set of uniform rules in this field is required. The international community has made great efforts in adopting uniform laws. Among those efforts, the United Nations Commission on International Trade Law (UNCITRAL) drafted, on 12 December, 2001, “United Nations Convention on the Assignment of Receivables in International Trade” (hereinafter referred to as the “UNCITRAL Convention”), with its aim to “establish principles and to adopt rules relating to the assignment of receivables that would create certainty and transparency and promote the modernization of the law relating to assignments of receivables”. UNCITRAL is not the first international organization attempting to resolve the problems associated with receivables. As early as in May 1988, the International Institute for the Unification of Private Law (UNIDROIT) has already adopted a convention known as the “UNIDROIT Convention on International Factoring” (hereinafter referred to as the “UNIDROIT Convention”).

When compare and contrast between the UNIDROIT Convention and the UNCITRAL Convention, one might see a lot of inconsistency in detailed regulations, e.g. sphere of application, relations between parties, priorities, and choice of law, etc. Given the limited space available in this article, the author may only focus on the difference in “sphere of application” of these two conventions, as sphere of application is perhaps the most fundamental issue of a convention.

The purpose of an international convention is to create uniformity in its covered matter, thus the broader a convention’s sphere of application is, the higher could uniformity reach. This article will try to make compare and contrast the sphere of application between the UNIDROIT Convention and the UNCITRAL Convention, illustrate the differences exist between these two conventions, and demonstrate the expansion of sphere of application in the UNCITRAL Convention and its progress on the way to uniformity.

II. Sphere of Application: Subject Matter

As its title indicates, the subject matter of the UNIDROIT Convention is of course international factoring. Article 1(1) says, “this Convention governs factoring contracts and assignments of receivables as described in this Chapter.”

For “factoring contract”, the UNIDROIT Convention provides the following 4 characteristics:

(1) purpose of the contract is to assign receivables;

(2) receivables to be assigned arises from contracts of sale of goods made between the supplier and its customers (debtors), other than those of sale of goods bought primarily for personal, family or household use;

(3) the factor is to perform at least two of the four functions: (i) finance for the supplier; (ii) maintenance of accounts (ledgering) relating to the receivables; (iii) collection of receivables; and (iv) protection against default in payment by debtors;

(4) notice of the assignment of the receivables is to be given to debtors.

As about “assignments of receivables as described in this Chapter”, article 2 (1) describes assignments of receivables as assignment of receivables pursuant to a factoring contract.

Factoring is just a subset of the receivables financing, and perhaps the oldest and most basic one. Besides factoring, receivables financing still entail the following forms,

(1) Forfeiting, similar to factoring, involves the purchase or discounting of documentary receivables (promissory notes, for example) without recourse to the party from whom the receivables are purchased;

(2) Refinancing, also known as secondary financing, involves the subsequent assignment of receivables. In its basic form, one bank or financier will assign to another bank its interest, with the potential for further assignment;

(3) Securitization, in which both marketable (for example, trade receivables) and non-marketable (consumer credit card receivables) asset cash flows are repackaged by a lender and transferred to a lender-controlled company, which will issue securities, sell and then use the proceeds to purchase the receivables;

(4) Project Finance, in which repayment of loans made by banks or financiers to project contractors for the financing of projects are secured through the future revenues of the project.

The first draft of the UNCITRAL Convention has stated to cover factoring, forfeiting, refinancing, securitization and project finance. Somehow, the working group decides that rather than emphasize the form in which the receivables appear, it would instead concentrate on the way in which the receivables might be transferred (contractual or non-contractual) and the purpose of the transaction (for financing or non-financing purposes). It decides the contractual receivables and assignment made to secure financing and other related services would be covered. The non-contractual receivables such as insurance and tort receivables, deposit bank accounts, or claims arising by operation of law seems are not within the ambits of the UNCITRAL convention.

III. Sphere of Application: Special Requirements

Both of the conventions contain a series of requirements. Only when those requirements are satisfied, could the convention be applied. The higher and stricter the requirements are, the smaller the chance to apply the convention is.

a) Internationality requirement

Both the two conventions indicate their sphere of application is of internationality requirement, but the same word in these two conventions has different legal meaning. The internationality requirement of UNIDROIT Convention is exclusively based upon the parties to the underlying contract, i.e. the contract of sale of goods (the supplier and the debtor) having their place of business in different countries. In other words, where the receivables arise from a contract of sale of goods between a supplier and a debtor whose places of business are in the same State, the UNIDROIT Convention could not apply, no matter the following assignment of receivables is to assignee in the same or different State. Thus leaving the international assignment of domestic receivables untouched. The problem, at its simplest, is twofold: first, inconsistency. For instance, in the case where a bulk assignment is made and where part of the receivables are domestic (supplier and debtor are in the same State) and part are international (supplier and debtor are in different State), if the supplier assigns the receivables to a party which is located in another State, the bulk assignment between the same supplier and the same assignee will be governed by two sets of laws and regulations: the portion of international receivables may be governed by the UNIDROIT Convention while the domestic one will be left to the jurisdiction of certain domestic law.

Secondly, leaving the international assignment of domestic receivables to the jurisdiction of various law systems of different States can make “commercial practice uncertain, time-consuming and expensive”. The assignee of receivables from a foreign State may not know which State’s law governs the transaction, and, if the law of the assignor’s State applies, the assignee’s rights would be subject to the vagaries of that foreign law. This no doubt would greatly impede the development of such transaction.

国务院


国务院关于科技人员合理流动的若干规定

1983年7月13日，国务院

当前，我国科技队伍的分布和结构很不合理，一些部门和单位科技人员严重不足，而另一些部门和单位却存在科技人员积压或用非所学、用非所长的现象．为了确保国家重点建设项目和重大科技攻关任务的完成，振兴经济，实现四个现代化，必须对现有科技人员作适当调整，改善对科技人员的管理和使用．要有计划、有步骤地促进科技人员按照合理的方向流动，即从城市到农村；从大城市到中小城市；从内地到边远地区；从科技人员富余的部门和单位，到科技力量薄弱而又急需加强的部门和单位．要打破部门、地区界限，合理调配和使用全国科技力量，有计划地从一些重工业和国防工业部门中抽调一部分科技人员，加强能源、交通、轻工、农业等科技力量薄弱的部门；从高等院校和科研部门中抽调一部分富余的科技人员，充实中等教育和职业教育的师资，支援新建院校和生产建设单位．为此，特作如下规定：
（一）为了确保国家重点建设项目，国务院各主管部门和省、自治区、直辖市应统一筹划，精心选好各个重点项目的技术负责人（总工程师）．科技骨干班子的人选，可由技术负责人提名，经上级审查确定．所需要的科技人员，首先应从本部门、本系统中解决．某些科技骨干在本部门、本系统解决不了，需要跨部门、跨系统调配的，可报国务院科技领导小组统一协调安排．负责分配大学、中专毕业生的主管部门，应在计划安排上优先保证国家重点建设项目的需要．
有抽调科技人员任务的单位必须顾全大局，支持被抽调的科技人员按期到达工作岗位．各级组织要加强思想政治工作，教育科技人员服从组织调动，艰苦创业，为四化建设多作贡献．为了鼓励科技人员到艰苦地区积极承担国家重点建设任务，由劳动人事部会同有关部门根据实际情况制定具体办法．
（二）国务院各部门和省、自治区、直辖市，应根据国民经济建设和科学技术发展的需要，有计划地加强企业技术改造、科技攻关和充实薄弱环节的科技力量，制定本部门、本地区科技队伍的调整方案并组织实施．科技骨干过于集中的单位，可以有计划地调进一批大学、中专毕业后参加工作不久的科技人员，同时调出一部分科技骨干，逐步改善科技队伍的分布和结构不合理的状况．
国务院各部门在保证完成国家计划任务的前提下，应积极组织科技力量支援地方建设．各省、自治区、直辖市经与国务院有关部门协商，可以从国务院有关部门主管的企、事业单位中，抽调部分相对富余的科技人员参加地方建设，国务院有关部门应予支持．
（三）中小城市和科技力量薄弱的单位或地区补充科技人员，除由上级有关部门按计划调配外，还可以通过组织到大城市和科技人员相对富余的部门和地区招聘．应聘人员的待遇，属地方财政开支的部分，由省、自治区自行规定．
（四）从城市到农村、从内地到边远地区工作的科技人员，可保留本人及其家属原在城镇的户口．由国家统一分配到农村工作的大专毕业生，其本人户口可落在管理其工作单位户籍的城镇．对于在农村生产第一线（指县以下农村，不含县）工作的科技人员，应根据当地的具体情况，采取适当措施，逐步改善他们的福利待遇．为了鼓励科技人员长期坚持在农村生产第一线工作，可以按照工作年限，实行津贴或补助．
（五）国务院有关部门和省、自治区、直辖市对支援农村和边远地区的科技人员，可以定期轮换，编制可保留在原单位，其在农村和边远地区的工作期限、条作和待遇，由支援单位和受援单位共同商定．
（六）边远省、自治区对去那里工作的科技人员应规定适当的优惠待遇，鼓励他们长期留下为建设边疆多作贡献．对已经由内地去边远地区工作的科技人员，到一定年限或到一定年龄，可以调回内地工作或回内地落户．对今后从内地到边远地区工作的科技人员，家庭在内地分配到边远地区工作的大学、中专毕业生，可分别规定一定的工作年限，到期可以调回内地工作．
（七）集体所有制的单位从有关部门和地区招聘科技人员，必须经过有关部门和地区主管部门批准．经组织批准从全民所有制单位到集体所有制单位工作的科技人员，仍属国家工作人员，享受国家规定的有关待遇．
（八）对用非所学、用非所长或在本单位不能发挥作用的科技人员，应按照合理的流向，由所在单位或上级主管部门调整，允许本人按有关规定应聘，到可以发挥他们专长的单位去工作，所在单位应予支持．
（九）科研、设计单位和高等院校，应按照人员结构合理的原则，实行定编、定员，逐步确定各类人员限额和职称的比例．对超过限额和比例的，要根据工作需要和本人的专长向外输送，或组织他们从事其他工作．
（十）实行科技人员的退（离）休制度．科技人员退（离）休后，仍应注意发挥他们的专长；在工作需要和身体许可的条件下，可以应聘从事科研、教学、技术和咨询服务等工作；有影响的著名科学家和技术专家，经过一定机关的批准，可以担任名誉职务．
（十一）国务院各部门和省、自治区、直辖市所属的科研、设计单位和高等院校，经上级批准，对科技人员及其他职工可进行聘用制试点．试点单位按照合理流向有招聘和解聘的权力，科技人员及其他职工有应聘和辞职的权利．对于原先是国家工作人员被解聘而又一时没有工作的，要帮助他们调往其他单位工作，或组织他们从事各种服务工作和进修学习．对经过一定期限仍未被其他单位聘用，或本人不服从组织调配者，应按一定比例减发其工资，并加强教育．
（十二）对大学、中专毕业生原则上应首先分配到基层，充实生产、科研、教学第一线，并实行见习试用期制度．他们必须服从国家统一分配，除根据工作需要或用非所学应及时调整外，在国家分配的岗位试用合格后，工作满三年方可允许合理流动．
（十三）本规定在试行中应不断总结经验，逐步完善．各有关部门和省、自治区、直辖市应根据本规定制定具体实施办法．对在三线工作的科技人员的合理流动问题，另作规定．
（十四）本规定自发布之日起施行．