英美法系中对于违约金是有对应的概念的,我们常常称违约金为”liquidated damages”。于是很多中国客户在订立英美合同时,也习惯性地要求律师同样放入违约金条款,例如下方这个:
If any material breach occurs, Party A shall pay Party B, as liquidated damages, USD 1,000,000 (one million USD). The parties confirm that this sum represents a genuine pre-estimate of Party B’s damages suffered as a result of the material breach.
译文:如发生任何重大违约行为,甲方应向乙方支付违约金1,000,000美元(一百万美元)。双方确认,该金额是对乙方因重大违约行为所受损失的真实预估。
但是,值得注意的是,英美法系下的违约金条款,其实跟中国法下的违约金条款是有区别的。英美法系的liquidated damages 应当是合同主体对于合同一方违约时而给对方带来的损失事先预估的真实损失,是事先确定的或可确定的数额。Liquidated damages虽然不是必须跟实际损失一致,但是应当是合同各方的对可能损失的真实估计。因此,liquidated damages 不能具有惩罚性质,任何被认为是“penalty clauses”的违约金,在英国法下都是unenforceable (不可执行的),而英国法院是不会对于罚金条款做出任何调整的。如果我们要在英国法合同加入liquidated damages,一定要注意不要使这个条款具有罚金的性质。
那该如何起草英美法系下的违约金条款呢?
最重要的自然是,尽量避免使违约金条款具备罚金性质了。除了避免使约定的数额unconscionable or extravagant,在违约金条款中也可以写明为什么合同各方重视履约的责任,以及这样的违约金数字产生的原因,并且提到双方谈判并且通过某种计算方式对这样的数额达成一致。例如下面这样的写法:
Liquidated Damages. The Company and the Investor hereto acknowledge and agree that the sums payable under subsection 2(e) above shall constitute liquidated damages and not penalties and are in addition to all other rights of the Investor, including the right to call a default. The parties further acknowledge that (i) the amount of loss or damages likely to be incurred is incapable or is difficult to precisely estimate, (ii) the amounts specified in such subsections bear a reasonable relationship to, and are not plainly or grossly disproportionate to, the probable loss likely to be incurred in connection with any failure by the Company to obtain or maintain the effectiveness of a Registration Statement, (iii) one of the reasons for the Company and the Investor reaching an agreement as to such amounts was the uncertainty and cost of litigation regarding the question of actual damages, and (iv) the Company and the Investor are sophisticated business parties and have been represented by sophisticated and able legal counsel and negotiated this Agreement at arm’s length.[1]
译文:公司和投资者,特此认可并且同意,对于以上第2(e)条款中的应付数额应属于约定违约金,而不是罚金,是其他投资人权利(包括要求对方承担违约责任的权利)的补充。双方进一步确认: (1) 可能产生的损失或损害赔偿金额无法或难以精确估计,(ii) 该条款中明确的金额与公司未能取得或维持注册声明的有效性而可能产生的可能损失有合理关系,而非明确或者严重不相称;(iii) 公司和投资者就该等金额达成协议的原因之一是实际损害赔偿的不确定性以及诉讼成本;(iv) 公司和投资者都是有经验的商业实体,并且都有熟练的和有能力的法律顾问予以协助以及就本协议公平磋商及谈判。
从上文可以看出,英美法系合同中,对于违约金的条款是很谨慎的,往往会叙述背景,以说服法官,这个违约金是具备商业合理性、与可能产生的可能损失具有合理关系、并且经过了商业谈判和考量的。相比上上文第一个关于违约金的条款例句,这条会大大增加违约金条款的可执行性。