买卖合同Agreement for Purchase and Sales of Coal英汉翻译实践报告

买卖合同 Agreement for Purchase and Sales
英汉翻译实践报告

合同属于具有法律约束力的应用型文本,具有法律英语文本的特征。探究商 务合同的翻译方法,对提高商务合同的翻译质量有重要意义。本合同中含有大量 状语从句、名词性从句、以及由多个分句构成的复合句,句法结构复杂,直接翻 译成中文显得冗长,而且不符合中文的表达习惯,翻译时需要进行拆分重组,融 合句子成分,增译减译等,确保逻辑关系的合理性。本翻译实践报告是在对 Agreement for Purchase and Sales of Coal (煤炭买卖协议)进行英汉翻译实践的基 础上撰写的。案例分析部分,译者结合煤炭买卖协议中的具体例句分析如何处理 各种状语成分,提出具体解决方法,进而总结归纳合同翻译的原则,得到此次翻 译实践的经验及对今后的启示。

关键词:合同翻译;状语从句;翻译原则

Abstract

The contract is legally binding and has the characteristics of legal English text. It is of great significance for us to explore its translation method to improve the translation quality of contract. This contract contains a large number of adverbial clauses and noun clauses. The contract is composed of compound sentences made up of clauses, so it has a complex syntactic structure. If the contract is directly translated into Chinese, it will be lengthy and does not follow the Chinese expressions. So we need to split the organization, integrate sentences, use amplification and omission to ensure the rationality of the logical relationship. This translation practice report is made on the basis of translating English contract Agreement for Purchase and Sales of Coal, In the case study, combining the concrete examples of Agreement for Purchase and Sales of Coal, the translator analyses how to deal with adverbial elements and proposes specific suggestions to summarize the principles of contract translation, which may provides experiences for the future.

Key words: contract translation; adverbial clause; translation principle

中文摘要 I

Abstract II

第一章翻译任务描述 1

第一节原文介绍 1

第二节 文本性质 2

第二章过程描述 4

第一节译前准备 4

一、译员的确定 4

二、工具、参考文献的准备 4

三、平行文本的选择与分析 5

四、翻译策略的选择 6

第二节应急预案 6

第三章翻译过程 7

第一节 术语表制定 7

第二节 翻译的执行情况 7

第四章案例分析 8

第一节 合同中的短语式状语的翻译 8

一、介词短语前置 8

二、不定式短语拆译 11

三、分词短语增译 13

第二节 合同中的从句式状语的处理 14

一、顺序重置法 14

二、成分转换法 17

三、主从融合法 19

第三节 合同翻译原则 21

一、连贯性原则 21

二、规范性原则 23

第五章翻译实践总结 25

第一节 翻译经验总结 25

第二节 对今后的启示 25

参考文献 27

附录一原文本 29

附录二译文本 71

附录三术语表 94

致谢 95

 

第一章翻译任务描述

此次翻译任务是将一篇15,845字的英文煤炭买卖协议Purchase 即dSa/es勿”。。出翻译成中文,并对文中的状语成分进行分析,包括不同的状语句 式和不同连词连接的状语从句。接着,本文将分析在翻译时,为确保译文流畅, 且符合汉语的表达习惯,如何将状语部分进行转换,译为汉语的其他句子成分, 如:主语或定语。然后校对译文,参考平行文本,列出术语表。最后进行翻译实 践总结。

第一节原文介绍

本合同是佐治亚电力有限公司(买方)和水平自然资源有限公司(卖方)签 订的煤炭买卖协议,从2004年到2010年,双方每年至少应买卖一百万吨煤炭。 本篇煤炭买卖协议选自英文合同协议网站:http:www.onecle.com,其中的Business Contracts中Sales Contracts的一篇。该合同由三部分构成,分别为附件A、B、C 的基本规定,包括数量、期限、价格等规定,以及环境相关要求、交货、采样等 各项业务。

随着经济的发展,当今世界各国在政治、经济和文化领域的交流空前频繁, 同时,国际贸易异军突起,在商务中发挥着越来越重要的作用。合同是国际经济 活动中最常见的文件,在国际贸易进行过程中,商务合同翻译的准确性至关重要, 中国不少商务合同的翻译都存在问题,不规范的商务合同翻译翻译容易引起合同 各方的纠纷,严重时甚至造成经济损失,损害合同各方的利益,因此,合同的翻 译质量要求很高。字数为一万五千字。

第二节文本性质

合同属于具有法律约束力的应用型文本,具有法律英语文本的特征。因此, 合同文本在文体上属于“庄重文体”,具有准确规范、逻辑严谨、表达缜密、结 构复杂的特点。①合同文本多采用非常正式的书面词语,如法律语言、专业术语, 来显示合同的正式、规范、庄严、严谨和准确,避免因语义上的漏洞引起不必要 的纠纷和争端。合同类文本中含有多而复杂的专业术语,行文多用复合句、长而 复杂的难句,经常使用状语从句,从句中有包含多个分句,以及被动语态,很少 使用人称代词。②

煤炭买卖协议在表达上具有准确性,逻辑上具有严谨性,通常有多个条件限 定条款,多个限定成分修饰中心语,因此,合同文本中多句法结构复杂的句子。 虽然英文合同的句子很长,但是句子内部通常含有逻辑关系,如果掌握了句子之 间的逻辑结构,翻译英文合同将会容易很多。原文合同的一项条款只对合同一方 的某项权利或义务作出规定,主句就是一方要履行的权利或义务,从句是对权利 或义务起限制作用的条件,“条件”多以状语从句的形式出现,如本文中多由 provided that、with respect to和if引导,而且本文中状语从句的分布有一定的规律, provided that引导的表示必要的先决条件的状语从句一般位于句中,由“;”和前 面的句子隔开,引出对前面句子起限制作用的具体“条件”,If引导的表示假设的 条件状语从句一般位于句首。止匕外,状语从句多位于实意动词之前,助动词之后。 合同文本有时在主句中插入了很多修饰限定的成分,以确保对权利义务没有误解, 所以合同句子常常出现主谓分隔、直接宾语和间接宾语分隔。

煤炭买卖协议的句型比较单一,这种句型单一的特点源于合同内容的客观性 和真实性,这也要求译者在翻译时采用合适的翻译方法,选取客观性强的词语来 表达这种特点,不应使用任何带有感情色彩的词语来翻译原文带有客观性意义的 语句。合同文本一般只有陈述句和祈使句,句型属于正式文体。没有感叹句和疑

T卢敏.英语法律文本的语言特点与翻译[M].上海:上海交通大学出版社,2008: 31

®许国新.英文国际经济贸易合同中状语的语用分析与翻译技巧[J].江苏:扬州大学外国语学院,2002 (03): 61

问句。

煤炭买卖协议结构比较程式化,大量使用套句,中英文合同结构相似,一份 完整有效的合同主要包括标题、前言、正文条款和结尾。③原文的买卖合同属于国 际货物销售合同,通常包括标题、合同双方通讯地址、正文条款和附件A、B、C 构成,附件A规定了加权平均值的计算方法,附件B规定了环境相关要求,附件 C包括管理文件、违约、担保、检查、质量规范、运输、不可抗力以及赔偿等部分。

从本篇煤炭买卖协议的语篇特征上来看,其与其它英文合同有些不同之处, 原文极少使用拉丁词汇、古旧词汇和外来词汇。本合同经常重复使用某些短语和 句子,来转换主题,起到衔接或连贯的作用,构成语篇衔接的重要手段。

®岩崎一生.英文合同制作方法与原理[M].北京:外文出版社,2003: 75

一、-1■工口 4升、4t
弟一早过也描还

本章从译前准备、翻译计划和应急处理三方面对此次翻译任务的辅助工具、 议员确定、平行文本的选择与分析、翻译策略的选择、翻译计划的制定、应急预 案等方面进行详述。

第一节译前准备

翻译活动前期准备工作对于翻译活动的进行必不可少,也是理解阶段,即: 翻译的第一步。通读拿到的翻译材料,翻译的原文材料是煤炭买卖合同,属于典 型的商务文本和严谨的法律文本范畴,要求翻译的高度准确性和严谨性。熟悉原 文材料后,要大量搜集与原文相关的中英文合同材料、期刊、书籍和报纸,同时, 加强自身的专业水平,阅读并学习关于合同、法律、国际商务、国际贸易、翻译 策略、以及英语语法的相关知识。为了此次翻译活动的进行更加顺利,在导师和 同学的帮助下,译者在译前还做了如下准备:

一 ‘译员的确定

每位译员的自身素质和专业水平不同,翻译任务的下发会根据议员的具体情 况而定,以充分利用资源,达到最好的翻译效果。本次翻译任务的议员为笔者本 人,笔者确定自己的任务量为一份合同翻译,共计15,845个英文单词,译者将用 认真负责的态度,独立完成这份合同的英译汉工作,并尽量保证翻译的准确性和 严谨性,同时,争取提前完成翻译任务。

二’ 工具’ 参考文献的准备

仔细研读原文后,我发现货物买卖英文合同翻译的前期准备工作至关重要。 通过阅读与分析,最终选取了张法连教授主编的《法律英语词汇双解》查阅原文 与译文相对应的专业名词及术语。在翻译过程中,我使用过的辅助工具还有《元 照英美法词典》、《柯林斯法律词典》、《剑桥法律词典》、《布莱克法律词典》、 《英汉大词典》、《汉英大词典》、《牛津高阶英汉双解词典》、《科林斯英汉 双解词典》、《朗文双语词典》、《英汉搭配大词典》、《不列颠简明百科全书》、 中国知网检索、维基百科、Google、百度、有道词典等。

根据原文的文本性质,我在翻译过程中选择的参考文献集中在合同起草与翻 译、法律英语翻译技巧、以及笔译理论与技巧方面。学习合同相关知识来扩展充 实专业知识,学习笔译理论与技巧来指导翻译实践,以更好地进行原文的翻译。

三、 平行文本的选择与分析

平行文本有广义与狭义之分,狭义的平行文本指并列放在一起、可以逐句对 照翻译的原文及其译文。学习关于合同的平行文本,有助于更好地理解原文,在 翻译时,能够准确使用合同领域的专业术语和行话,使翻译显得地道,且符合目 的语的表达习惯。如果不仔细研究平行文本,译文表达容易显得生硬,让目的语 读者难以理解。因此,平行文本的选择与分析至关重要。

本次翻译实践选择的平行文本有书籍中的中文买卖合同示范案例,如:赵承 璧的《国际货物买卖合同》一书中的《中德货物销售示范合同》。李晓斌的《合 同法律政策解读与实用范本典型案例》一书中的汽车买卖合同、工业品买卖合同、 农副产品买卖合同。以及胡庚申,王春辉,申云桢的《国际商务合同起草与翻译》。 前两本书中的案例与本次翻译实践的原文材料有相似之处,通过仔细研读,可以 更好地知道本次翻译实践的进行。同时,合同是法律性文本,具有法律效力,它 的翻译要尽量避免错误,保证译文的准确性,在第三本书中能找到合同领域专业 术语的对照,快速地了解其转却解释与意义,从而正确地应用合同术语。

另外,本次翻译实践的笔者还在百度搜索了中英文对照版本的合同,作为平 行文本,如:中国一一印度尼西亚煤炭买卖合同、澳大利亚力拓公司铁矿石买卖 合同、水泥进出口合同。以发现英文合同汉译过程中应注意的问题,同时确定专 业术语的使用。

最后,译者在中国知网检索了合同实践报告的博硕论文,如:印度铁矿石购 销合同翻译报告。

四’ 翻译策略的选择

英语句子翻译主要有四种翻译策略:顺译、逆译、拆分、综合。原文的一些 简单句可以采用顺译法,不改变英语的语序,直接从主句开使翻译,直到译完整 个句子。但是,原文有很多长难句,通常一段只有一个句号,形成了一个句子, 遇到这种情况,如果采用从前往后的顺译法,容易使译文出现逻辑错误,不符合 目的语的表达习惯,这时,可采用拆分法,把一个英语句子,按照逻辑含义划分 成若干个汉语短句,也就是说,英文原文只有一个句号,但是汉语的译文可以出 现多个汉语句号。当英文原文有it做形式主语时,真正的主语通常在从句中,可 以使用逆译法,从后往前翻译,更符合汉语的表达习惯。综合则是将前三种翻译 策略一起用在某一段话的翻译中,使译文通顺流畅。

第二节应急预案

一些突发的意外事件不可避免,任何事情都会遇到,合同翻译工作也不例外。 因此,在合同翻译工作开始之前有必要制定一套行之有效的意外事件应急预案措 施,以备不时之需。译者制定应急预案措施为打出提前量,在每天翻译500个单 词的基础上,实际翻译时,笔者每天将多翻译出100-200个单词,这样就可以提前 完成翻译任务,让笔者有更多的时间进行修改译文,并通研读过平行文本对译文 进行自我校对。另一个方法就是在必要时求助同学或导师,以获得帮助。

第三章翻译过程

本章从术语表制定和翻译的执行情况两个方面详述翻译过程的进行,在正确 理解煤炭买卖协议的基础上,表达原文的意义,一边制定出本协议的术语,使译 者落笔有序,行文流畅。

第一节术语表制定

煤炭买卖协议术语包括一些国际贸易术语,日常单词用作合同术语往往含有 与本身不同含义的意义,很多损失都是由于译者或者外贸公司不重视术语的正确 含义而造成的,所谓“失之毫厘,差之千里”,一个单词,一个句子,都有可能 埋下争端的隐患,从而引起双方的分歧。因此,术语表的制定值得重视。译者在 制定术语表时,查阅了大量合同术语表作为参考,将原文出现的常用的和不常用 的术语都摘录出来,形成本次翻译实践的术语表,力求选择的术语专业性强、针 对性高,同时,充分理解合同中的术语,保证术语的翻译准确,避免引起不必要 的争端与误解。

第二节翻译的执行情况

在翻译本篇煤炭买卖协议时,译者首先了解熟悉文本的特征和结构,从宏观 上把握全文的整体篇章结构,也查阅了大量汉语的买卖合同文本,熟悉合同用语 和表达方式,作为一名翻译新手,研读大量的平行文本必不可少,这对日后的翻 译实践工作至关重要,合同术语法律文本,翻译时不必追求文学色彩。

在了解整体文本后,接下来就是仔细研读各个部分、每个条款,译者在进行 翻译时,按照从前往后的顺序进行翻译,没有采取从简到难或者从后往前的翻译 顺序,这样能更好地理解原文的信息,把握原文的内在逻辑结构。

第四章案例分析

煤炭买卖协议属于具有法律约束力的应用型文本,或信息型文本。煤炭买卖 合同的语言专业性强,要求表达准确,简洁明了,严谨缜密。译者在仔细研读原 文后发现本合同中状语从句较多,而且合同中状语从句的引导词与普通状语从句 的引导词不同,虽然有几个引导词相同,但是,在合同语言中有不同的含义,翻 译方法也不一样,如where一般引导地点状语从句翻译成“在哪、哪里”,但是, 在合同文本中引导状语从句翻译成“如果”。因此,译者选取了一些有代表性的 状语成分进行分析。

由于译者是首次翻译合同这类法律文本,翻译水平有限,在语言表达上可能 达不到要求的标准,专业技能和背景知识方面也存在欠缺,因此,在翻译过程中 难免出现错误。所以,译者将通过案例分析一些翻译中出现的问题,并作出归纳 总结。

第一节合同中的短语式状语的翻译

在英文煤炭买卖协议中,短语多以插入语的形式嵌入在句子中充当状语,并 用逗号与前后句子隔开,对句子的内容起修饰限定或补充说明的作用。但不作插 入语的短语和句子紧密结合,位置十分灵活,汉译时,要分析清楚短语充当什么 成分、修饰什么、在原句中的逻辑关系,才能确保译文符合合同行文严谨,逻辑 缜密的特点。

一、介词短语前置

为使表达严谨,逻辑紧密,本文用介词短语修饰限制时间、方式或数量。在 英文合同文本中,介词短语是名词词组后置修饰语中最常见的类型,由于介词短 语嵌入不同的位置,其具有的功能也不同。本文出现的介词短语,位置十分灵活, 位于句首、句中和句尾的情况都有,有时,也作为插入成分,用逗号与前后句子 隔开。因此,汉译时,译者要根据译入语的句法和语用功能调整英文中介词短语 的位置,使译文通顺流畅,符合汉语的表达习惯。将介词短语前置更适用于本合 同的翻译。

例 1: Except as otherwise provided in this letter agreement, Seller shall supply to Purchaser 1,000,000 tons of coal during each Contract Year, which shall be supplied at the rate of 500,000 tons during each Semiannual Period and in approximately equal monthly Shipments during each Semiannual Period.

译文:除非本书面协议另有规定,卖方应每年向买方提供一百万吨煤炭,每 半年提供五十万吨,且每半年的月载货量相同。

分析:英语句子里如有一系列介词短语作状语,译成汉语时,它们的顺序要 按照汉语的排列习惯加以变动。当英语中同时含有方式状语和时间状语时,方式 状语一般在时间状语之前。汉语与此相反,时间状语通常放在方式状语之前。因 此,本句的译文将 during each Semiannual Period 翻译在 at the rate of 500,000 tons 之前。同时将介词短语during each Contract Year前置到谓语动词supply之前。

修!] 2: Broker shall, in its agreement with Producer, bind Producer to all of the terms of the Purchase Order and to all of these Terms and Conditions and shall be responsible for compliance therewith by Producer; provided, however, that failure of Producer to comply therewith shall not relieve Broker from performance of all its obligations under the Agreement.

译文:与生产方达成协议的经纪人应约束生产方去履行采购订单条款和所有 条款,并服从生产方,但是,若经纪人未能服从生产方,其仍应该履行协议的义 务。

分析:此句的介词短语in its agreement with Producer作为插入语嵌入在主谓之 间,并用逗号与前后句子隔开,若按照英文原文顺序直译为“经纪人应在与生产 方达成的协议内去约束生产方……”,译文显得冗长,结构混乱,逻辑不清晰。

因此,汉译时,将介词短语前置到主语之前,并从状语转化为主语“Broker”的定 语,这样化繁为简,符合汉语重意合的表达方式。

例 3: With respect to Shipments during the first, second, third, and fourth Contract Years (2004 through 2007), Purchaser shall furnish to Seller, at the end of each Contract Year, a statement of the annual weighted average SO(2) content (stated in Ibs./MMBtu) of all Shipments under the New Agreement during such Contract Year.

译文:至于第一、第二、第三和第四合同年(2004到2007年)的运输,买方 应在合同年结束时向卖方提供本合同年期间在新协议下运输的年度加权平均值二 氧化硫含量(以磅/百万英热单位计)的声明。

分析:此句包含三个介词短语,第一个作为插入成分位于宾语和宾语补足语 之间,用逗号与前后句子隔开,后两个分别作方式状语和时间状语。汉译时,将 第一个介词短语at the end of each Contract Year前置到谓语动词之前,即位于汉语 的主谓之间,将第三个介词短语前置到第二个短语之前,同时,两个短语共同转 化为汉语译文中的定语,修饰限制“声明”,介词短语前置后,译文不仅更加地 道,而且表达更准确严谨,突出了合同文本用词缜密的特点。

例 4: A shipping notice(404 Bill of Lading) shall be electronically transmitted, and at Purchaser, s option, transmitted by telefax to the destination plant and other locations as outlined in the attached page entitled “Facsimile Numbers for Shipping Notices and As Loaded Coal Quality Analysis.”

译文:买方有权选择用传真将装船通知(404提货单)传送到目的地工厂,及 标题为“装船通知传真号码与煤炭质量分析”的附页上列出的其它地点。

分析:本句为一个被动句,主谓结构是”A shipping notice shall be transmitted v , 介词短语at Purchaser’s option作为插入成分嵌入句中,用逗号与前后句子隔开, 在原文作为方式状语。英文合同多用无灵名词作主语使表达更客观,这是英文书 面合同的典型句型,由于英语重物称,汉语重人称,习惯以人作主语,在翻译英 语无灵主句时,要透彻理解原文并结合汉语的句型特征,按照汉语的表达习惯, 用“人称”代替“物称”,把英语无灵句译成汉语有灵句,用原句表示生命概念 的相关人称代词或名词作汉语的主语,或者添加普遍性泛指概念的这类词作汉语 译文的主语,而将英语无灵主语作为汉语句子的其他成分,如:状语、谓语、宾 语等。④原句介词短语中的名词是表示生命概念的名词,因此,汉译时,将其前置, 同时转化为汉语的主语,原句也从被动句转译成汉语的主动句。

例 5: In the event that Purchaser detemiines, in its reasonable judgment, that Seller cannot achieve this result, then Purchaser may terminate the New Agreement by giving Seller written notice thereof, which shall specify the effective date of termination and shall be given at least ninety days prior to such date.

译文:若买方通过合理判断,认为卖方未能实现预期的结果,那么,买方可 向卖方发出书面通知终止新协议,通知应详细说明终止生效的日期,并至少在此 日期前九十天发出。

分析:本句的条件状语从句中包含介词短语in its reasonable judgment,短语位 于谓语动词和宾语之间,用逗号与前后句子隔开,形式上是一个插入成分。译者 初译时将原文翻译成“若买方认为卖方未能在其合理判断范围内实现预期结果”, 发现“其”指代不明,究竟是指“买方”还是“卖方”,译文显得语意模糊,容 易产生分歧。译者经过修改得到了现在的译文,把介词短语前置到谓语动词之前, 即位于主谓之间,使译文表达清晰严谨,更符合中文合同的行文要求。

二、不定式短语拆译

汉语是分析性为主的语言,分析性语言中词与词的关系不是通过词形变化而 是通过词序或虚词、助词等手段来表示。英语既是分析性又是综合性语言,综合 性语言中词与词的关系通过词本身的变化来表示。英语重形合,较多使用连接词, 汉语重意合,连接词使用少,多用短句。⑤因此在汉译时,将原文冗长的不定式短 语拆译成汉语的小句,能使译文更简洁,符合合同的语言特点。

®连淑能.英汉对比研究[M].北京:高等教育出版社,2010: 45

®韦忠生.从意合和形合论英译汉中的拆议[J].福建:福建师范大学福清分校学报,2003 (03) : 78

例 6 : Purchaser or its designated agent shall have the right at all reasonable times to enter upon the Coal Property and/or other appropriate location and to inspect and examine the method, equipment, and manner of mining, producing, storing, washing, blending, crushing, loading, unloading, transporting, sampling, analyzing, and other handling of coal to be sold and delivered under the Agreement, and to take samples of coal for Purchaser’s analyses.

译文:买方或其指定机构有权在合理时间进入煤矿和/或其它适当地点。检查 协议中出售和应交货的煤炭的开采、生产、储存、洗涤、混合、激发、装载、卸 载、运输、采样、分析和其它处理的方法、设备及方式。其也可采集煤炭样品进 行分析。

分析:原文含有三个不定式短语“to enter、and to inspect和and to take “, 即:have the right to do something后面跟了三个to的形式,这是英语重形合的体现, 较多使用连接词连接各个分句,但汉语正好相反,在汉译时,应注意两种语言的 特点,在后两个不定式短语处,进行拆分处理,以短语为基本的切分单位,拆成 两个单独的汉语小句,同时,在最后一个短语前加上人称代词“其”,这样译文 的层次更加清楚,逻辑更加清晰。

例 7: Before the first shipment is scheduled and prior to the beginning of each subsequent calendar month while the Purchase Order is in effect, Seller shall telephone Southern Company Services’ Production Support Analyst for shipping instructions.

译文:购货单生效期后,第一次规定的运输时间前,及之后的每个日历月开 始前,卖方致电南方公司服务生产支持处的分析师询问装运指示。

分析:本句的状语从句部分包含prior to the beginning of each subsequent calendar month这一不定式短语,同时,还包含while引导的时间状语,以及介词 before引导的状语,若直接翻译成汉语会重复出现两个“在……之前”,使译文显 得累赘,因此,译者在不定式短语处进行拆译处理,将不定式短语切分到主句中, 并转化为汉语的独立小句,位于主语和谓语动词之间,使表达符合译入语的语法 结构要求。

仞!J 8: Failure to obtain Purchaser’s written consent prior to assignment shall result in immediate cancellation of the Agreement.

译文:卖方如未能获得买方的书面同意,即转让本协议,本协议将被立即撤 销。

分析:英文原文为一个简单句,不定式短语作主语,译者起初相对应地把原 文直译成一个汉语的简单句“在分配前未能获得买方书面同意将导致协议立即取 消”,但校对过程中发现译文是明显的欧化式汉语,句子缺少主语,而且一些介 词的使用,如“在、将导致”,使译文显得冗长、累赘,因此,译者采用拆译法, 把不定式短语“prior to assignment”,单独切分出来,翻译成汉语的句子,并调整 语序使其位于句首,这样译文的层次清楚,主谓关系明确。

三、 分词短语增译

本篇煤炭买卖协议用现在分词短语作定语,在这种情况中,英文原文的状语 部分在翻译成汉语时,应根据上下文和逻辑关系适当地加入相应的词语,增译必 要的连词,使合同语言表意严谨、逻辑缜密。⑥

例 9: Using bias test procedures approved by Purchaser, Seller shall cause such sampling system to be tested periodically, at Seller’s expense, for bias against stopped-belt reference samples.

译文:使用买方批准的偏差检验程序之后,卖方可以定期检测采样系统,预 防停工区域参考样品的偏差,以上费用都由卖方承担。

分析:本句中现在分词短语 Using bias test procedures approved by Purchaser 作 伴随状语,由于英汉两种语言表达方式存在不同,如果机械地把现在分词短语逐 字硬译,译文将显得生硬晦涩。翻译时,译者起初考虑到让主语seller提前,希望 通过调整语序让译文通畅,但翻译后发现译文头重脚轻,断句不恰当,根本不符 合汉语的表达习惯,后来,译者经过思考,想到用增译的方法来处理现在分词短

®冯庆华.实用翻译教程(英汉互译)[M].上海:上海外语教育出版社,2010: 29 语,经过分析发现分词为一般时,将分词与主句的动词相比较,发现前者的动作 没有完成,后者的动作就不能进行,于是增译了表示时间先后顺序的连词“…… 之后”,使译文前后连贯、通顺易懂。

例 10: Using an enclosed riffle and following the procedures of ASTM D-2013 with respect to each shipment of coal under the Agreement, Seller shall divide the final sample of No. 4 sieve size into at least four laboratory sample splits, with each split weighing 4,000 grams.

译文:因为使用了封闭流速并遵守协议中煤炭运输的ASTM-2013程序,卖方 将4号过滤筛的最终样品至少分成四个实验室份额,每份重4,000克。

分析:本句中and连接的两个现在分词短语做状语,位于句首,译者仔细研 读原文后发现,现在分词的动作是谓语动词动作的原因,这点与例9不同,在例9 中,译者将现在分词引导的状语处理为时间状语,增译了表示时间先后顺序的连 词“……之后”,而本句应理解原因状语,于是译者增译了表示逻辑原因的“因 为” 一词,使译文前后连贯,语气通顺。

第二节合同中的从句式状语的处理

英文合同汉译的另一个难点是复合句的翻译,英文煤炭买卖协议的句法特征 受文本特征影响,条款的中心词往往有多个限定成分,合同文本为满足叙事具体、 说理严密、层次分明的要求,往往采用结构复杂的复合句,由于英汉两种语言的 差异及法系的不同,翻译英文合同时,应采用一些翻译策略来处理复合句。⑦译者 就翻译本文过程中遇到的状语从句为例,分析如何处理合同文本的难句。

一’顺序重置法

英文煤炭买卖协议中状语从句的位置十分灵活,可根据上下文的连贯性和行 文的需要位于句子的任何位置,而汉语的动词没有时态变化来表明合同各方的权

®赵其娟.英语状语的语篇功能[J].青海:青海民族大学学报,2012 (09) : 137 利和义务,所以汉语合同中的时间状语应尽量位于它所修饰的动词之前。另外, 汉语的句式以偏正结构为主,即复句的主句在后,从句在前,所以,在翻译合同 疑难复杂句时,可以考虑调整语序,重新放置顺序,使条款更加简洁流畅。

例 11 : Such adjustments in the price of coal shall be made if such shipments are accepted by Purchaser, provided, however, Purchaser shall be under no obligation to accept such shipments.

译文:若买方接受这批货物,则可进行煤炭价格的调整,但买方没有义务接 受这批货物。

分析:本句包含一个由if引导的表示建设条件的状语从句和一个由provided 引导的表示必要条件的状语从句,它们的语用功能完全不同,翻译成汉语时应该 分别处理。在翻译含有假设条件的状语时,应考虑将状语的位置移到句首,使句 子的核心部位突出,简化句子结构。从语用的角度看,后者表示的是必要的先决 条件,具有较重的语气,在深层结构上具有转折关系,由于汉语句子的后半部分 通常是复句的重心,偏正复句是汉语常用的行文方式,所以,翻译成中文时,可 将其译成并列句置于全句之后。

例 12: If, at any time during the term of the New Agreement and regardless of whether a change in Environmental-Related Requirements has occurred, Purchaser determines, in its reasonable judgment, that any operational or environmental compliance problem has resulted from the components or characteristics of Seller’s coal or the products of its combustion (including, without limitation, nitrogen oxide emissions, mercury emissions, chlorine emissions, particulate emissions, and carbon emissions) or any other constituent or property of the coal not otherwise specified herein, the Parties shall immediately enter into discussions in a good-faith effort to resolve the problem.

译文:在新协议期限内的任何时间,不管环境相关要求是否发生变化,若买 方通过合理判断,认为操作或环境合规性问题来自于卖方煤炭的成分或特性、或 来自于其燃烧产物(包括:氮氧化物排放量、汞排放量、氯排放量、颗粒物排放 量、以及碳排放量),又或者来自于此处未指定的煤炭其它组成或特性,双方应 立即进行诚信讨论,努力解决问题。

分析:本句含有if引导的状语从句,位于句首,规定了买方的权利。从句中 含有一个非常冗长繁琐的插入语 at any time during the term of the New Agreement and regardless of whether a change in Environmental-Related Requirements has occurred,界定了卖方承担义务的时间。从行文方式上看,状语从句位于句首似乎 符合汉语的行文方式。然而,从语用角度看,合同中许多表示时间的状语表示的 是某一方在一定时间内承担的义务和享有的权利,重点是时效性,因此整个句子 的重心不是句子的动作,而是发生动作的时间,在翻译成汉语时,宜将时间位于 句首,发生的动作位于其后,即把if引导的条件状语后置,时间状语前置,使译 文通顺达意。

例 13: Risk of loss shall pass from Seller to Purchaser when the rail carrier accepts consignment, and passage of title shall occur upon Purchaser’s acceptance at destination plant from the rail carrier except that Seller shall remain liable for coal bought on a delivered basis until it is accepted at destination for unloading.

译文:当铁路承运人接受货物时,损失风险从卖方转移到买方,除非卖方对 交货基地购买的煤炭仍承担责任,直到煤炭被目的地接受并卸载,否则买方在目 的地工厂接受货物将发生所有权转移。

分析:本句包含一个when引导的时间状语从句,一个until引导的时间状语 从句和一个except引导的条件状语从句。译成中文时,如果保持原文的顺序,就 会使译文显得拖泥带水,而且难以达意,经过分析,译者发现except引导的表示 例外情况的状语从句,从语用角度看,它表示合同一方在某种特殊情况下,可以 不受某一条款制约,它通常作为条款的补充说明,而汉语的复句以偏正结构为主, 句子的语义重心一般在后半部,所以译成中文时不宜按照原文的英文顺序,因此, 把when和except引导的从句都前置,主句译成并列句位于句末,使中文合同行 文规范。

二’ 成分转换法

在语法上,英语重形合,即英语常用各种连接词、分句或从句造句,注重句 子形式和结构完整。汉语重意合,即汉语句子少用甚至不用形式链接的手段,注 重逻辑事理顺序和意义连贯。⑥煤炭买卖合同中引导状语从句的连词有一词多义的 现象,因此,翻译状语从句时,译者需要体会句中隐含的深层逻辑关系,然后转 译成汉语其它的分句或复句。

  • .条件状语从句译成非条件性分句

煤炭买卖协议中的一些关联词只起表面的连接作用,意义并不明确,if有时引 导时间状语从句,但不宜生硬地翻译成“如果”或“若”,应根据原文的逻辑关 系相应地转译成汉语的分句。

例 14: If the New Agreement remains in effect on January 1, 2005, Purchaser shall determine annually thereafter a new Coal Price for the next Contract Year (“Next Year Price”) pursuant to a market price review conducted by Purchaser.

译文:虽然新协议在2005年1月份仍有效,但买方会一年一度地根据市场价 格回顾决定下一个合同年度(明年价格)的新煤炭价格。

分析:本句将if引导的条件状语从句转译成汉语表“转折”的分句。译者初 译时按照if的原意翻译成“如果”,但当翻译主句时,发现主从句的逻辑关系前 后矛盾,若把原文if引导的从句机械地翻译成汉语的条件状语从句,在行文上有 相当大的难度,因此,在译文中需要把英语的条件状语从句转换成汉语的分句来 处理,以便使译文逻辑准确且符合汉语的行文习惯,同时也能准确地表达原文的 意义。

例 15: If Purchaser elects to terminate the New Agreement pursuant to this paragraph 12(a), Purchaser shall give Seller written notice thereof, which shall specify the effective date of termination and shall be given at least thirty days prior to such date.

⑧韦忠生.从意合和形合论英译汉中的拆议[J].福建:福建师范大学福清分校学报,2003 (03) : 78

译文:既然买方根据本段中12 (a)条款的规定决定终止新协议,买方就应向 卖方发出书面通知详述终止生效日期,通知应至少在此日期前30日发出。

分析:本句将if引导的条件状语从句转译成汉语表“原因”的分句。译者尝 试把if翻译成“如果”或“虽然”,但都不符合原文深层的逻辑含义,不能准确 表达原文的逻辑关系,经过思考,译者发现英语的从句主语和主句主语一致,都 是purchaser,主从句在逻辑上不存在转折关系,从句描述的动作是主句行为发生 的原因,由此想到汉语表示原因的关联词是“既然”,因此,找到了 if的恰当翻 译,使译文通顺达意。

  • .时间状语从句译成非时间性分句

煤炭买卖合同时间状语的引导词很多,位置也十分灵活,如果按照引导词本 身的含义生搬硬到到汉语译文中,有时会使译文显得晦涩难懂,这时就要进行句 子成分的转换,避免译文结构含糊。

例 16: Seller shall bear all risk of loss and retain title to the coal to be delivered hereunder until the coal is unloaded and received by Purchaser at the destination specified in the Purchase Order.

译文:若买方在采购订单规定的目的地卸载并接受煤炭,那么卖方将不再承 担丢失风险,也不再保留煤炭的所有权。

分析:本句将until引导的时间状语从句转译成汉语表“假设”的分句。原文 包含一个冗长的时间状语从句,从句中还包含方式状语,如果按照until的原意翻 译成“直到……时候”,无论将until放在译文的什么位置,汉语译文表达都不简 洁地道,因此,为了在译文中准确地表达状语从句的语用功能,译者将时间状语 从句在译文中转译为表示假设的条件状语从句,这样更符合合同用语的简洁性和 严谨性。

例 17: Nothing contained in the New Agreement shall affect the Parties’ respective rights, duties, obligations, and interests under the Prior Agreements, all of which shall remain in effect, according to their respective terms, after this letter agreement is signed by the Parties.

译文:新协议中包含的任何条款都不影响之前协议中双方各自的权利,责任、 义务和利益,如果双方签订本书面协议,根据各自条款规定,以上全部协议仍然 生效。

分析:本句将after引导的时间状语从句转译成汉语表“假设”的分句。汉语 的行文方式通常采用偏正句式,即复句的中心通常位于句子的后半部分,所以宜 把after引导的时间状语从句调整到主句之前,使汉语句子的重心位于后半部,如 果把after翻译成“在……之后”,则不能表达出英文原文中假设的含义,让读者 误认为双方已经签订了书面协议,所以以上协议仍有效,但原合同要表达的深层 含义是如果签订协议,以上协议仍有效,因此把时间状语从句转译成分句更准确、 更贴切。

三’ 主从融合法

英文煤炭买卖协议中的状语从句类型很多,主句是与状语从句相对应的反馈。 汉语中与英语从句相对应的是偏正复句,它们在语用功能上和英语的状语分句相 同。⑨协议中有些含状语从句的复合句,在翻译成汉语时,可省去主句的主语或从 句的主语,将两个分句融合成一句,紧缩成一个单句。这样符合中文合同行文简 洁的要求。

例 18: Should Seller dispute the accuracy of Purchaser’s analysis of a given shipment, Seller shall notify Purchaser in writing within thirty (30) days following unloading of the shipment.

译文:卖方若怀疑买方对装运分析的准确性应在卸货后30日内以书面形式通 知买方。

分析:本句含有一个should引导的条件状语从句,should相当于if,从语用 角度看,此类状语表示在某一条件下,协议一方须承担的义务和责任,因此句子 的语义重心在主句部分,而且主句和从句的主语一致,都是“Seller”,如果直接

®田华.英汉法律文本状语比较以及对法律英语翻译教学的启示[J].上海:上海第二工业大学学报,2010,

(04) : 337 按照英文原文的顺序顺译成汉语,译文中会含有两个“卖方”,译文读起来繁琐 累赘,赘述了很多连接词,所以译者省略掉一个“卖方”,并把主句和从句融合 成一个汉语单句,同时加强了状语在译文中的语势,使整个条款更加简洁流畅。

例 19: Purchaser shall have the right to deduct or set-off against payments due Seller hereunder any sum of money due to Purchaser from Seller, whether or not such sums are related to the Agreement.

译文:买方有权扣除卖方欠买方的支付款,或用与本协议有关与否的任何费 用来抵消支付款。

分析:本句含有whether引导的条件状语从句,状语从句的主语such sums是 主句的宾语补足语,但是,从英文的行文来看,主从句中的such sum在深层逻辑 上有着紧密联系,从句是对主句的such sum的进一步解释说明,说明这笔费用是 否与本协议有关。译者初译时把主从句分开翻译,发现主语存在两个连续的动词, 而且需要用连词连接,而从句相对较短,译文显得头重脚轻,因此,译者采用融 合法,把从句中的主语融合到主句中,把whether or not和related to the Agreement 融合为such sum的定语来修饰它,使译文在逻辑表达上更清晰易懂。

例 20: In the event Seller does not deliver the amount of coal required under the Agreement, at Purchaser’s option, Seller shall be liable to Purchaser for the difference in Seller’s delivered cost and the delivered cost of replacement tons (including, without limitation, the cost of freight and sulfur emission allowances).

译文:卖方若未能向买方交出协议规定数量的煤炭将负责交货成本的差异和 代替吨数(包括运费成本和硫排放量)的交货成本。

分析:本句含有一个in the event引导的条件状语从句和一个插入语at Purchaser’s option,主句含有两个结构冗长的and连接的宾语补足语。如果按照英 文原文的顺序也可以翻译成汉语,但生硬的翻译过来,英文的许多连词如“for”, “and”需要重复翻译,就会使译文显得拖泥带水。因此,译者采用融合的翻译方 法,把主句和从句融合成汉语的一个复句,同时,把修饰煤炭的插入语at Purchaser’s option融合到译文的状语部分,省略两个seller中的一个,融合后的汉语译文,逻 辑更加缜密,表达更加清晰。

例 21: In the event that Seller’s sampling system ceases to operate properly, then Seller shall immediately notify Purchaser or its representative to determine the course of action to be taken concerning shipments of coal under the Agreement.

译文:卖方若发现其采样系统不能正常运转应立即通知买方或其代表,采取 措施处理协议运输的煤炭。

分析:本句含有in the event that引导的条件状语从句译者起初直接按照原文 顺序翻译,将主从句用逗号隔开,但是译文逻辑结构松散不紧密,所以译者采用 融合法,将英文主句的 Seller shall immediately notify Purchaser or its representative 部分和其从句融合成汉语的一个分句,然后把英文剩余部分翻译成汉语的另一个 分局,这样处理后,汉语译文的分句之间逻辑严谨,更符合中文合同的行文标准。

第三节合同翻译原则

通过此次翻译实践,译者发现煤炭买卖协议翻译最应采用“忠实、通顺”原 则。众所周知,煤炭买卖协议文本是描述性语言,没有情感表达,大多表明煤炭 质量、规格、体积和数量等。所以翻译时,应考虑翻译原则、英汉两种语言的差 异等。在严复提出的“信、达、雅”翻译原则的基础上,④煤炭买卖协议的翻译应 遵守连贯性原则和规范性原则。

一、连贯性原则

煤炭买卖协议是重要的国际商务文件,属于应用型文本。在长期实践过程中, 中文的翻译版本要保持语意连贯,以形成完整和规范的合同译本,因此在翻译过 程中,译者应特别注意连贯性原则。英语状语的语篇功能不是孤立存在的,而是

一◎严复.天演论[M].北京作科学出版社,1971: 56 并存在一个语境条件下,不同的语义也会在一个相同的语境条件下,起衔接或补 充说明作用,形成一个语义连贯的语篇。

例 22: Any special terms and conditions stated in the Purchase Order shall take precedence when in conflict with other provisions included herein.

译文:当与此处规定的其他条款发生冲突时,应优先考虑采购订单中规定的 特殊条款。

分析:英文原文为主谓结构,when引导的时间状语位于句末,符合英文的行 文方式,但在翻译成汉语时,由于汉语合同中的时间状语通常位于它所修饰的动 词之前,因此,在在翻译含有时间状语的合同条款时,应该首先考虑连贯性原则, 进行位置的调整,所以,译者遵循连贯性原则,同时采用逆译法,将英文句子从 后往前译,把when引导的时间状语提前,谓语动词紧跟其后,这样可以避免译文 显得结构松散,时间界定不明,以及可能产生的语义含混。

例 23 : In addition to other terms defined elsewhere in this letter agreement, the following terms shall have the following meanings whenever such terms are used in the New Agreement:

译文:除了书面协议中的其它条款外,每当以下条款被用于新协议中时应有 以下含义:

分析:原文的in this letter agreement是other terms的方式状语,起修饰限制作 用,从语用特征的角度看,它是规定性的,直译为“在这份书面协议中规定的其 他条款”,但由于汉语方式状语的位置相对固定,如果机械对等地翻译原文,就 会使译文显得臃肿累赘,且表意不清,因此,译者要考虑连贯性原则,把方式状 语转译为other terms的定语,使语言言简意赅,也简化了状语从句。

例 24: Listed in order of governance, the Purchase Order, these Terms and Conditions, and the executed Producer-Broker Statement (where applicable), shall constitute the entire Agreement (hereinafter the “Agreement”) between Purchaser and Seller as to coal produced and sold under the Purchase Order.

译文:治理规则规定的购采购订单、条款和执行的生产方一一经纪人声明(适 用的),将构成买卖双方对于采购订单中生产和销售的煤炭的完整协议(以下称 协议)。

分析:本句中的Listed in order of governance是过去分词作状语位于句首,修 饰 the Purchase Order, these Terms and Conditions, and the executed Producer-Broker Statement,翻译成汉语时,如果把它相对应地翻译成汉语的方式状语,在行文上 是相当困难的。因此,译者根据规范性原则,把它转译为后者的定语,用“的” 字连接,以保证译文读起来通顺连贯。

例 25: “Monthly Quantity” means the quantity of coal scheduled to be supplied by Seller to Purchaser under the New Agreement during a calendar month.

译文:“月供货量”指新协议下,卖方在一个月期间向买方提供煤炭的数量。

分析:英文原文为一个主谓结构的句子,包含三个状语成分,by Seller和under the New Agreement作方式状语,during a calendar month作时间状语,同时是由by 引出的被动语态,根据规范性原则,汉语煤炭买卖协议中的时间状语应尽可能地 靠近它所界定的动词,且位于动词之前,汉语以主动句为主,因此将英语状语转 译为汉语的主语,即:“卖方”,保证译文连贯。

二’ 规范性原则

在翻译英文煤炭买卖协议时应注意合同在格式和条款等方面的完整和规范。 英译汉时必须保证合同内容不被遗失和歪曲。合同翻译的规范性原则分为专业规 范性、语言规范性和风格规范性。

煤炭买卖协议的规范性还体现在术语方面,在翻译协议中的专业术语、专有 名词或短语时必须表达规范。翻译时不能随意更改、删减或增加原文的内容,不 完整规范的译文必然造成误解,使读者对译文的理解模糊不清,严重时会损害合 同各方的利益。

例 26: It is further agreed that Seller shall employ, direct, control, manage, supervise, discharge, and pay its own employees and that Purchaser shall have no control of or supervision over any such employees.

译文:双方一致同意,卖方应该雇佣、管理、控制、监督、免除和支付其雇 员,且买方无权控制或监督卖方的雇员。

分析:It is further agreed that直译为”进一步同意的是”,它虽然是这句话的 形式主语,但在进行买卖合同翻译时仍需要准确的翻译出来,增译汉语的主语。 合同翻译也好,其它类型的翻译也好,都要遵循符合目的语语言习惯这一翻译原 则。对于 Purchaser shall have no control of or supervision over 这句的翻译,不能过 分原文至上或太忠实原文,应根据规范性原则,在读懂原文真正含义的基础上, 翻译成规范的合同用语,将英语的名词短语译成汉语的动词短语,使译文更为地 道、合理、得体,更能被读者清晰地理解。

例 27: The Coal Price for each Contract Year shall be determined as provided in this paragraph 6 and paragraphs 7 and 8 of this letter agreement.

译文:卖方每年提供煤炭的价格应由本书面协议的第6、7、8段条款决定。

分析:本句如果按照英文字面意思直译为“每年的煤炭价格应由本书面协议 第6、7、8段决定,”则容易让读者产生误解,此处的“CoalPrice”指代不明, 由于汉语习惯用人作主语,为符合语言规范性原则,所以增译了 “卖方”。

“paragraph 6 and paragraphs 7 and 8”也不该只翻译出字面的意思,因为6、7、8 段有很多,故处于规范性的考虑应将其范围作出限定,即“本书面协议的第6、7、 8段条款”。

 

第五章翻译实践总结

通过本次翻译实践任务,译者对国际货物买卖合同的文本特征有了初步了解, 由于是初次接触这类法律文本的翻译实践,译者在专业知识和背景知识储备上还 存在很多缺陷,因此,在翻译过程中遇到许多问题,但是,经过老师和同学的帮 助,译者顺利解决了这些问题,从中得到很多收获,也有了自己的一些构想。

第一节翻译经验总结

煤炭买卖协议属于法律英语文体中的“庄重文体”,具有准确规范、表达严 谨等特点。本文出现了大量合同领域的专业术语,以及专业性很强的合同方面的 知识,由于译者对于这方面知识接触的较少,所以,在理解原文含义上有一定程 度的困难,为了准确理解原文,译者查阅了大量平行文本和这方面的书籍,确定 术语的准确含义,避免自己翻译时在基本的合同条款上出现错误。同时,原文大 量使用情态动词shall> may,句子多使用状语从句、宾语从句、名词性从句、被动 语态,以及状语从句的省略,还有where引导的条件状语从句,这是where的特殊 用法,在普通英文文本中,很少涉及这一用法,阅读原文时,要特别注意where 引导的是地点状语还是条件状语从句。有时一个句子就是一个段落,从句中有包 含多个分句,对译者在主谓结构的理解上带来一定困惑,为此译者研读了大量语 法书籍,也包括英文合同语法,采用成分转换法来解决这一难点,如:将条件状 语从句和时间状语从句转译成分句,确保译文的忠实和严谨。

第二节对今后的启示

通过本次合同文本材料的翻译,译者领会到翻译实践是融理论、技能、艺术 于一体的语言实践活动,通过查阅大量与合同相关的材料,译者掌握了一些合同 的基本知识,更加透彻的理解了一些翻译知识和技能。译者更清楚地认识到每一

种类型的文本都有其自身特点,翻译不是一成不变的,译者需要根据不同的特点 选择相应的翻译技巧和策略,在具体实践过程中还要考虑到外部的需要,如翻译 要达到的目的,译入语读者的接受能力等其它各种因素,综合考虑内外因才能构 成一篇高质量的翻译,使翻译的译文经得住反复推敲,避免漏洞百出,而这些都 需要译者的努力和用功,扩大自己的知识储备,不断与时俱进地更新自己的知识, 加深自己的翻译造诣。

在本买卖合同翻译的过程中,译者通过学习和研究使自己受益匪浅,同时, 也意识到自己知识和翻译技能上的不足,希望在今后的学习和生活中,不断增涨 和弥补自己的不足,从实践中收获经验和教训,在今后的翻译道路上收获更多。

 

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Agreement for Purchase and Sales of Coal – Horizontal Natural

Resources Sales Co. and Georgia Power Co. (Apr 10,2003)

Horizon Natural Resources Sales Company, a Kentucky corporation (“Seller”), and Georgia Power Company, a Georgia corporation (“Purchaser”), have entered into a new agreement for the purchase and sale of coal from 2004 through 2010 (“New Agreement”). (Seller and Purchaser are sometimes hereinafter referred to collectively as the “Parties” or separately as a “Party.”) The terms and conditions of the New Agreement are as follows:

  • . Definitions. In addition to other terms defined elsewhere in this letter agreement, the following terms shall have the following meanings whenever such terms are used in the New Agreement: (a) “Coal Price” means the price for coal supplied under the New Agreement, which shall be determined from time to time as provided in paragraphs 6, 7, and 8 of this letter agreement, (b) “Coal Property” means the real property, mineral interests, preparation facilities, loading facilities, and related improvements that are located in Knott, Perry, or Leslie Counties, Kentucky, and are owned or controlled by Seller or its affiliates, (c) “Contract Year” means each period of twelve calendar months beginning on January 1 and ending on December 31 during the term of the New Agreement. The first Contract Year shall begin on January 1, 2004, and end on December 31, 2004. (d) “Monthly Quantity” means the quantity of coal scheduled to be supplied by Seller to Purchaser under the New Agreement during a calendar month, (e) “Semiannual Period0means each period of six calendar months during a Contract Year. The first Semiannual Period of each Contract Year shall begin on January 1 and end on June 30, and the second Semiannual Period of each Contract Year shall begin on July 1 and end on December 31. (f) “Semiannual Quantity” means the quantity of coal scheduled to be supplied by Seller to Purchaser under the New Agreement during a Semiannual Period, (g) “Shipment” means one lot of coal, in sufficient quantities to fill a unit train, loaded into railcars for delivery to Purchaser, (h) “Ton” or “ton” means an avoirdupois weight of 2,000 pounds, (i) “Typo Facility” means Seller’s loading facility located near Hazard, Kentucky.
  • .Term. The New Agreement shall become effective as of April 1, 2003, and shall remain in effect through December 31, 2010, unless earlier terminated as hereinafter provided. Shipments under the New Agreement shall begin in January, 2004.
  • .General Provisions. During each Contract Year while the New Agreement remains in effect, Seller shall sell to Purchaser, and Purchaser shall purchase from Seller, at least 1,000,000 tons of coal produced from the Coal Property. Seller’s obligation to sell and Purchaser’s obligation to purchase such coal are subject to the termination provisions set forth in paragraphs 7(d) and 12 of this letter agreement. The New Agreement consists of the following documents: (i) this letter agreement; (ii) the document entitled “Computation of SO2 Allowance Transfers,” which is attached hereto as Exhibit A and made a part of the New Agreement; (iii) the document entitled “Changes in Environmental-Related Requirements,” which is attached hereto as Exhibit B and made a part of the New Agreement; and (iv) the document entitled “Terms and Conditions of Coal Purchase,” as revised February 7, 2003 (hereinafter referred to as “Additional Terms”), which is attached hereto as Exhibit C and made a part of the New Agreement. All references to “the Agreementnin the Additional Terms shall be deemed to refer to the New Agreement. In the event of any conflict between the terms of this letter agreement and the Additional Terms, the terms of this letter agreement shall control and take precedence over the Additional Terms.
  • .Quantity. Except as otherwise provided in this letter agreement, Seller shall supply to Purchaser 1,000,000 tons of coal during each Contract Year, which shall be supplied at the rate of 500,000 tons during each Semiannual Period and in approximately equal monthly Shipments during each Semiannual Period. Notwithstanding the foregoing provisions of this paragraph 4, Purchaser may elect, in its sole discretion, to adjust the quantity of coal to be supplied under the New Agreement by increasing the Semiannual Quantity as follows: (a) For each Semiannual Period of each Contract Year, Purchaser may increase the Semiannual Quantity to not more than 750,000 tons; provided, however, that the total quantity of coal supplied under the New Agreement during each Contract Year shall not be more than 1,500,000 tons. As a result, the Monthly Quantity for each calendar month during a Semiannual Period shall not be less than 83,333 tons and not more than 125,000 tons, (b) If Purchaser elects to increase the Semiannual Quantity for any Semiannual Period, Purchaser shall give Seller written notice thereof, which shall specify (i) the Semiannual Quantity for such Semiannual Period and (ii) the Monthly Quantity for each calendar month during such Semiannual period. Such notice shall be given at least sixty days prior to the beginning of the Semiannual Period to which such increase applies.
  • .Source of Coal. All coal supplied under the New Agreement shall be produced from the Coal Property and shall be shipped from the Typo Facility. In the event that Seller desires to supply coal under the New Agreement from a source other than the Coal Property, Seller shall first obtain Purchaser’s written consent, which shall not be unreasonably withheld, but in no event shall such consent be withheld if the following conditions are satisfied: (i) such source is owned or controlled by Seller or its affiliates; (ii) the quality of coal from such source shall comply with the specifications set forth in paragraph 10 of this letter agreement; (iii) the weighing and sampling systems associated with such source are acceptable to Purchaser; and (iv) the delivered cost (stated in cents/MMBtu) of coal from such source shall not exceed the then-current delivered cost (stated in cents/MMBtu) of Shipments from the Typo Facility.
  • .Coal Price. The Coal Price for each Contract Year shall be determined as provided in this paragraph 6 and paragraphs 7 and 8 of this letter agreement. The Coal Price for each Contract Year shall be stated in dollars per ton f.o.b. railcar at the Typo Facility and shall become effective as of January 1 of such Contract Year and remain fixed through December 31 of such Contract Year but shall be subject to adjustments for calorific value, excess moisture, excess ash, and ash fusion temperature as provided in Section 11 of the Additional Terms. All such adjustments shall be calculated to six decimal places and then rounded to four decimal places. The Coal Price for the first Contract Year shall be set forth in each purchase order issued by Purchaser with respect to the New Agreement; and from time to time thereafter, Purchaser shall issue change orders to such purchase order(s) to reflect the Coal Price for each subsequent Contract Year that occurs while the New Agreement remains in effect. Such purchase order(s) and change orders are for administrative purposes only and shall not constitute, nor be deemed to result in, any amendment, change, or modification of the terms and conditions of the New Agreement.
  • .Determination of Coal Price for 2004. At any time during the period between May 1, 2003, and December 1, 2003, but not more than once during such period, Purchaser shall determine the Coal Price for 2004 (“2004 Price”) pursuant to a market price review conducted by Purchaser. The following provisions shall apply to such review and to the determination of the 2004 Price: (a) Purchaser shall give Seller written notice that Purchaser intends to conduct a market price review and shall give such notice at least five days before soliciting bids from other suppliers, (b) In soliciting bids from other suppliers, Purchaser shall request offers to supply 500,000 tons of coal annually during the then-current remaining term of the New Agreement and under terms and conditions similar to the terms and conditions of the New Agreement (including, without limitation, provisions related to annual market price reviews); provided, however, that if Purchaser changes its strategy for compliance with environmental-related requirements after May 1, 2003, Purchaser may decide, in the exercise of its reasonable judgment, to use fuel with specifications different from the specifications set forth in paragraph 10 of this letter agreement and may consider fuel with such different specifications in conducting the market price review. Purchaser shall consider only bona fide offers received from viable suppliers (“Qualifying Offers,1) in evaluating bids with respect to the market price review, (c) Based on Qualifying Offers, Purchaser shall determine the lowest weighted average delivered cost of coal as of the date on which bids are due (“Lowest Delivered Cost”) 1,000,000 tons of coal that Purchaser could purchase from one or more suppliers who have submitted Qualifying Offers; and in making such determination, Purchaser shall take into account then-current costs for transportation, taxes, sulfur dioxide allowances, nitrogen oxide allowances, and other applicable emission allowances related to each Qualifying Offer. After Purchaser has determined the Lowest Delivered Cost, Purchaser shall next calculate an equivalent price f.o.b. railcar at the Typo Facility (“Typo Equivalent Price”) based on the Lowest Delivered Cost. (d) Purchaser shall promptly notify Seller, by fax transmission with written confirmation mailed immediately thereafter, of the Typo Equivalent Price. Within fifteen days after such notice has been transmitted to Seller by fax, Seller shall notify Purchaser, by fax transmission with written confirmation mailed immediately thereafter, either (i) that Seller has decided to accept the Typo Equivalent Price or (ii) that Seller has decided to terminate the New Agreement, (e) If Seller decides to accept the Typo Equivalent Price, it shall become the 2004 Price; and the New Agreement shall continue in effect. If Seller decides to terminate the New Agreement, the New Agreement shall terminate effective as of December 31 of the Contract Year in which the market price review is conducted and shall have no force and effect after such date.
  • .Determination of Coal Price for Subsequent Years. If the New Agreement remains in effect on January 1, 2005, Purchaser shall determine annually thereafter a new Coal Price for the next Contract Year (“Next Year Price”) pursuant to a market price review conducted by Purchaser. The following provisions shall apply to each such review and to the determination of each Next Year Price: (a) The Next Year Price shall be determined at any time during the period between January 1 and December 1 of the Contract Year immediately prior to the Contract Year for which the Next Year Price is determined, but not more than once during each such period. The Parties shall comply with the provisions set forth in paragraphs 7(a), 7(b), 7(c), and 7(d) of this letter agreement in determining the Typo Equivalent Price for the Contract Year involved and in giving notices with respect to such review.

(b) If Seller decides to accept the Typo Equivalent Price for the Contract Year involved, it shall become the Next Year Price; and the New Agreement shall continue in effect. If Seller decides to terminate the New Agreement, the New Agreement shall terminate effective as December 31 of the Contract Year in which the market price review is conducted and shall have no force and effect after such date.

9.Performance Incentive. During each calendar month of each Contract Year, Purchaser shall pay Seller [ ]% of the Coal Price for such Contract Year on all

Shipments under the New Agreement during such calendar month and shall withhold, as a performance incentive, [ ]% of such Coal Price (“Withheld Amount”) for such

Shipments. With respect to each calendar month in which Seller supplies at least the Monthly Quantity for such calendar month, Purchaser shall pay the Withheld Amount to Seller in a lump sum promptly after the end of such calendar month. Purchaser shall have no obligation to pay, and may retain permanently, the Withheld Amount related to Shipments during any calendar month in which Seller fails to supply at least the Monthly Quantity for such calendar month; provided, however, that if such failure results from an event of force majeure under Section 13 of the Additional Terms or from a cause or circumstance within Purchaser’s control, then Purchaser may not retain the Withheld Amount and shall pay the Withheld Amount to Seller promptly after the end of such calendar month.

10.Quality Requirements. Each Shipment under the New Agreement shall conform to the requirements set forth in Section 7-A of the Additional Terms. In addition, each Shipment shall conform to the following analysis on an “as received0 basis:

11.Sulfur Adjustments. Notwithstanding the provisions of Section ll.D of the Additional Terms, excess sulfur adjustments regarding Shipments under the New Agreement shall be determined as follows: (a) With respect to Shipments during the first, second, third, and fourth Contract Years (2004 through 2007), Purchaser shall furnish to Seller, at the end of each Contract Year, a statement of the annual weighted average SO(2) content (stated in Ibs./MMBtu) of all Shipments under the New Agreement during such Contract Year. If the annual weighted average SO(2) content of all Shipments during a Contract Year exceeds [ ] Ibs./MMBtu, then Seller shall

provide to Purchaser, within ten working days after Seller has received such statement, a completed EPA Allowance Transfer Form authorizing transfer of a sufficient number of SO(2) allowances, from Seller’s EPA account to an EPA account designated by Purchaser, to bring the actual annual weighted average SO(2) content of such Shipments into compliance with the limit of [ ] Ibs./MMBtu. No other remedy shall apply

with respect to the annual weighted average SO(2) content of such Shipments. The method for calculating the number of SO(2) allowance transfers pursuant to this paragraph 11(a) is illustrated in Exhibit A. (b) With respect to Shipments during the fifth, sixth, and seventh Contract Years (2008 through 2010), excess sulfur adjustments shall be determined pursuant to Section ll.D of the Additional Terms; provided, however, that the monetary rate used in calculating such adjustments shall be $[ ]

per [ ]% or portion thereof, rather than the monetary rate stated in Section ll.D.

12.Termination. In addition to Purchaser’s other rights and remedies under the New Agreement, Purchaser may cancel the remaining Shipments to be supplied under the New Agreement and may terminate the New Agreement under one or more the following conditions: (a) Purchaser may terminate the New Agreement in the event that (i) Seller fails to supply, during a calendar month, at least the Monthly Quantity for such calendar month and (ii) such failure does not result from an event of force majeure under Section 13 of the Additional Terms or from a cause or circumstance within Purchaser’s control. If Purchaser elects to terminate the New Agreement pursuant to this paragraph 12(a), Purchaser shall give Seller written notice thereof, which shall specify the effective date of termination and shall be given at least thirty days prior to such date, (b) Purchaser may terminate the New Agreement as provided in paragraphs (e) and (f) of Exhibit B. (c) Purchaser may terminate the New Agreement as provided in Section 12.C of the Additional Terms.

  • .Access to Seller’s Records. Seller shall maintain accurate records relating to Shipments under the New Agreement in accordance with generally accepted accounting principles and shall retain such records for at least three years after the New Agreement is terminated or expires. Seller shall make such records available to Purchaser, its accountants, auditors, or other authorized representatives, who shall be given access to and be permitted to examine such records at reasonable times. If an audit determines that any payments previously made under the New Agreement (“Previous Payments”) were not properly calculated, adjustments shall be promptly made in amounts to be paid in the future for Shipments under the New Agreement (“Future Payments”) to reflect the proper amounts of such adjustments; or if no Future Payments are then due, payments shall be promptly made to reflect the difference between the Previous Payments and the proper amounts determined by audit. The provisions of this paragraph 13 shall survive the termination or expiration of the New Agreement.
  • .Access to Coal Property. Purchaser or its representative, at any time during normal Coal Property operation, may enter upon the Coal Property, at Purchaser’s sole risk and expense, for any of the following purposes: (i) to inspect and examine the method and manner of, and equipment used in, mining, producing, washing, loading, unloading, transporting, sampling, weighing, analyzing, or handling of coal to be supplied under the New Agreement; (ii) to take samples of coal for Purchaser’s analyses; or (iii) in connection with any accounting, audit, or examination of Seller’s records. Prior to entering the Coal Property, Purchaser’s representative shall check in with appropriate personnel at the entrance to the Coal Property. No such inspection by Purchaser shall be deemed a waiver of any of Purchaser’s rights or relieve Seller of any obligations under the New Agreement.
  • .Confidentiality. The Parties shall treat the terms and conditions of the New Agreement and the Coal Prices determined pursuant to the New Agreementas confidential and proprietary information. Neither Party shall disclose any such information to any third party without the other Party’s prior written consent, which consent shall not be unreasonably withheld; provided, however, that no such consent shall be needed where such disclosure (i) is required by law, regulation, or regulatory agencies having jurisdiction over one of the Parties or (ii) is made in connection with a Party’s assertion of a claim or defense in a legal proceeding, and that in either of these events, the Party intending to make such disclosure shall advise the other Party in advance and cooperate to minimize the disclosure of any such information. Notwithstanding the foregoing provisions of this paragraph 15, either Party may disclose such information to a prospective purchaser of the stock or assets of that Party or to a lender in connection with a financing transaction; provided, however, that any such prospective purchaser or lender shall be bound by the provisions of this paragraph 15. For purposes of this paragraph 15, the term “third party” shall not include (i) a Party*s parent, subsidiary, or affiliate or (ii) the Parties* respective officers, directors, employees, legal advisers, accountants, or consultants.

16,Revision of Additional Terms. From time to time during the term of the New Agreement, Purchaser or its agent may revise the Additional Terms. With respect to each revision of the Additional Terms, Purchaser shall provide a copy of the Additional Terms, as revised, to Seller at least thirty days before they become applicable to the

New Agreement. The Additional Terms, as revised, shall be attached to this letter agreement as Exhibit C, shall replace the then-current version of the Additional Terms, and shall become a part of the New Agreement; provided, however, that if Seller objects to any provisions of the Additional Terms, as revised, Seller may terminate the New Agreement by giving Purchaser written notice thereof, which shall specify the effective date of termination and shall be given at least ninety days before such date.

  • .Notices. Except for shipping notices and “as loaded” coal quality analyses (to be provided as required by the Additional Terms) and except as otherwise provided in this letter agreement, any notice, request, consent, demand, report, or statement (collectively, “Notice”) given by one Party to the other Party shall be in writing and shall be sent by overnight courier (in which case the Notice shall be deemed to have been received on the next business day after it is sent) or by certified mail (in which case the Notice shall be deemed to have been received 72 hours after it is sent) to the appropriate addresses listed in this paragraph 17.
  • .Prior Agreements. The Parties have previously entered into the following contracts, which are currently in effect: (i) that certain Amended and Restated Agreement for the Sale and Purchase of Coal dated July 22, 1999 (“Marrowbone Agreement”); (ii) that certain Agreement for Purchase and Sale of Coal dated January 24, 2001 (“Pike County Agreement”);and (iii) that certain Amended and Re-stated Agreement for Sale and Purchase of Coal dated October 1, 2001 (“Typo Agreement0). (The Marrowbone Agreement, the Pike County Agreement, and the Typo Agreement are hereinafter referred to collectively as the “Prior Agreements.”) Nothing contained in the New Agreement shall affect the Parties* respective rights, duties, obligations, and interests under the Prior Agreements, all of which shall remain in effect, according to their respective terms, after this letter agreement is signed by the Parties.
  • .0ther Provisions. The headings to paragraphs of this letter agreement and to sections of the Additional Terms are for convenience only and shall not be considered in determining the intent of the Parties. Time is of the essence in the performance of the New Agreement. The New Agreement contains the entire agreement between the Parties with respect to the subject matter hereof; and all prior agreements, promises, representations, understandings, negotiations, and communications, whether oral or in writing, between the Parties with respect to the subject matter hereof (other than the Prior Agreements) are merged into and superseded by the New Agreement. If you concur with the provisions of this letter agreement as set forth above, lease have an authorized officer sign in the appropriate space provided on thenext page and return three counterpart originals of this letter agreement to me. pon execution of this letter agreement by the Parties, we will forward a fully xecuted counterpart original for your files.

EXHIBIT A

COMPUTATION OF SO(2) ALLOWANCE TRANSFERS

With respect to Shipments during the first, second, third, and fourth Contract Years (2004 through 2007), a transfer of SO(2) allowances is made for each Contract Year in which the annual weighted average SO(2) content (stated in Ibs./MMBtu) of all Shipments during such Contract Year exceeds [____] Ibs./MMBtu (nSO(2) Guarantee”). An example of the method of calculating the number of SO(2) allowances to be transferred is as follows: (a) Assume that the following Shipments are received during a Contract Year: Total quantity of coal in all Shipments received = [ ] tons Weighted average calorific value of all Shipments received

= [ ] Btu/lb. Weighted average sulfur content of all Shipments received

= [ ]% (b) Based on the foregoing, the following calculations would be

made:

EXHIBIT B

CHANGES IN ENVIRONMENTAL-RELATED REQUIREMENTS

  • The term “Environmental-Related Requirement,” whether in the singular or the plural, means the following: (l)any environmentally related prohibition, restriction, or limitation regarding the burning of coal at one or more of the electric-generating plants designated by Purchaser as a destination for Shipments under the New Agreement (“Designated Plants”); (2)any prohibition, restriction, or limitation regarding (i) the quality of coal that may be burned (including, without limitation, any constituent specification) at one or more of the Designated Plants or (ii) the type or amount of emissions from such plant(s); (3)any rule or requirement affecting the permissible means for complying with any such prohibition, restriction, or limitation; or (4) any imposition of a cost, fee, tax, or other economic burden on Purchaser related to (i) the production of electricity (either generally or by means of coal-fired electric generation), (ii) the quantity of coal purchased or burned by Purchaser at one or more of the Designated Plants, (iii) any constituent specification of coal purchased or burned by Purchaser at such plant(s), (iv) the type or amount of emissions from such plant(s), or (v) the installation of any type of environmental-related equipment required by any regulatory authority to which Purchaser is subject. In addition, the term shall be deemed to include Purchaser’s strategy, as determined by Purchaser in its reasonable judgment, for compliance with Environmental-Related Requirements.
  • A change in Environmental-Related Requirements shall be deemed to have occurred in any one or more of the following circumstances: (i) there is any increase or decrease in existing Environmental-Related Requirements; (ii) Purchaser decides, in its reasonable judgment, to change its strategy for compliance with any existing Environmental-Related Requirements; or (iii) a new Environmental-Related Requirement is imposed on Purchaser as a result of any federal or state law, administrative regulation or ruling, local ordinance, court order or decision, or any revision in the interpretation or implementation of such law, regulation, ruling, ordinance, order, or decision. The Parties acknowledge and agree that a change in

Environmental-Related Requirements may occur even though (i) such requirement is stated as a restriction, limitation, or obligation imposed on Purchaser and its affiliates or some other group of utilities or (ii) such requirement affects Purchaser in a general way and is not directed at specific plants, fuels, fuel supplies, or other operating conditions, (c) The Parties acknowledge and agree that the provisions of this Exhibit B are intended to provide rights in addition to the rights provided in the Additional Terms and that the price, specifications, quantity, and destination(s) of coal to be supplied under the New Agreement are predicated on Environmental-Related Requirements that are known and in effect as of April 1, 2003. For purposes of this paragraph (c), an Environmental-Related Requirement shall not be deemed to be “known” if it relates to any federal or state law, administrative regulation or ruling, local ordinance, or court order or decision or interpretation of such law, regulation, ruling, ordinance, order, or decision (collectively, “Legal Requirements”) that is being challenged in any administrative or judicial proceeding (“Legal Proceeding”) as of April 1, 2003. Upon the final resolution of the Legal Proceeding (including any appeals related to the Legal Proceeding), Purchaser shall determine, in its reasonable judgment, if the Legal Requirements (whether changed or unchanged as a result of the Legal Proceeding) constitute a change in Environmental-Related Requirements.

  • In the event that a change in Environmental-Related Requirements occurs after April 1, 2003, then Purchaser shall determine, in its reasonable judgment, (i) how to comply with such change and (ii) whether such change has had or may have an adverse impact on Purchaser’s use of coal to be supplied under the New Agreement at one or more of the Designated Plants. Any change in Environmental-Related Requirements that has one or more of the following effects shall be deemed to have an adverse impact on Purchaser’s use of coal to be supplied under the New Agreement at such plant(s), even though such requirements may allow Purchaser a choice of options for complying with such requirement (which choice may include, for example, the payment of a fee or tax in lieu of the installation of equipment, the use of coal of different constituent specifications, or the reduction in the overall use of coal at such plant(s)): (l)the change imposes a cost, fee, tax, or other economic burden on Purchaser concerning (i) the constituent specifications of coal purchased for or burned at such plant(s) or (ii) the type or amount of emissions from such plant(s); (2)the change directly prevents or restricts Purchaser from using coal to be supplied under the New Agreement at such plant(s); (3)the change requires Purchaser to install equipment (including, without limitation, flue gas desulfurization equipment, selective catalytic reduction equipment, selective non-catalytic reduction equipment, equipment for co-firing with natural gas, or particulate removal equipment) at such plant(s) in order to comply with such change; or (4)the change requires or permits Purchaser to use coal of a quality (including, without limitation, sulfur) different from the specifications set forth in paragraph 10 of the letter agreement.
  • If Purchaser determines that a change in Environmental-Related Requirements has had or may have, at a future date, an adverse impact on the use of coal to be supplied under the New Agreement, Purchaser shall so notify Seller in writing. Upon receipt of such notice, Seller shall have the option to propose, within thirty days after receipt of such notice, any steps available to Seller in its mining and processing of the coal, in the supply of substitute coal, or other measure that would result in as low a delivered cost of fuel at the Designated Plants as Purchaser could obtain by purchasing reasonably available substitute fuel, taking into consideration any fees, taxes, costs, or other economic burdens imposed on the use of coal at the Designated Plants. In the event that Purchaser determines, in its reasonable judgment, that Seller cannot achieve this result, then Purchaser may terminate the New Agreement by giving Seller written notice thereof, which shall specify the effective date of termination and shall be given at least ninety days prior to such date. Purchaser may give such notice either before or after a change in Environmental-Related Requirements becomes effective.
  • If, at any time during the term of the New Agreement and regardless of whether a change in Environmental-Related Requirements has occurred, Purchaser determines, in its reasonable judgment, that any operational or environmental compliance problem has resulted from the components or characteristics of Seller’s coal or the products of its combustion (including, without limitation, nitrogen oxide emissions, mercury emissions, chlorine emissions, particulate emissions, and carbon emissions) or any other constituent or property of the coal not otherwise specified herein, the Parties shall immediately enter into discussions in a good-faith effort to resolve the problem. If such discussions fail to resolve such problem in a manner that, in Purchaser’s judgment, is reasonable and would not impose an unreasonable additional expense on Purchaser, then Purchaser may terminate the New Agreement by giving Seller written notice thereof, which shall specify the effective date of termination and shall be given at least ninety days prior to such date. No expense contemplated by this paragraph (f) or any other provision of this Exhibit B shall be deemed reasonable if it would result in a delivered cost of coal under the New Agreement that exceeds the delivered cost of competitive fuels or sources then available to Purchaser.

EXHIBIT C

TERMS AND CONDITIONS OF COAL PURCHASE

1.GOVERNING DOCUMENTS Listed in order of governance, the Purchase Order, these Terms and Conditions, and the executed Producer-Broker Statement (where applicable), shall constitute the entire Agreement (hereinafter the nAgreement”) between Purchaser and Seller as to coal produced and sold under the Purchase Order. No additional or different terms stated by Seller in an acceptance or written confirmation of the Agreement shall be effective unless such terms shall be specifically accepted in writing by Purchaser. No modification of the Agreement shall be effective unless the same shall be reduced to writing and signed by the duly authorized agents of the parties. There are no representations, understandings, or agreements, either oral or written, which are not included as part of the Agreement.

2.SELLERS ACCEPTANCE Acknowledgment of the Purchase Order or shipment of coal under the Agreement shall constitute Seller’s acknowledgment and acceptance of all provisions herein and all provisions of the Purchase Order.

3.BROKERS Any Seller who does not mine or produce the coal to be delivered under the Agreement shall be deemed a Broker. Broker shall be responsible for providing a copy of these Terms and Conditions and the Purchase Order (with optional deletion of price) to the Producer designated in the Producer-Broker Statement from whom Broker purchases or acquires coal to be delivered hereunder. Broker shall, in its agreement with Producer, bind Producer to all of the terms of the Purchase Order and to all of these Terms and Conditions and shall be responsible for compliance therewith by Producer; provided, however, that failure of Producer to comply therewith shall not relieve Broker from performance of all its obligations under the Agreement. The liability of Producer and Broker shall be joint and several. Any reference herein to “Seller” shall be deemed to refer to Producer and Broker.

4.WARRANTY Seller represents and warrants that it, or the Producer identified in the Producer-Broker Statement, owns or controls the Coal Property described in the Purchase Order; that all coal shipped pursuant to the Agreement is shipped free and clear of all liens, encumbrances, and claims of all third parties; that the Coal Property contains commercially recoverable coal of a quality and in quantities sufficient to satisfy the requirements of the Agreement; that coal will not be used or sold from the Coal Property so as to result in an inability of Seller to deliver to Purchaser the coal in the quantities and quality and at the times provided in the Agreement; and that the coal shipped under the Agreement will be mined and produced from the Coal Property; and that no substitute coal shall be shipped by Seller to Purchaser under the Agreement without prior written approval of Purchaser.

  • NSPECTION Purchaser or its designated agent shall have the right at all reasonable times to enter upon the Coal Property and/or other appropriate location and to inspect and examine the method, equipment, and manner of mining, producing, storing, washing, blending, crushing, loading, unloading, transporting, sampling, analyzing, and other handling of coal to be sold and delivered under the Agreement, and to take samples of coal for Purchaser’s analyses. No inspection by Purchaser shall be deemed a waiver of any of Purchaser’s rights or relieve Seller of any obligation or duty imposed by the Agreement.
  1. QUANTITY

Seller shall sell and deliver to Purchaser, and Purchaser shall purchase and receive, the quantity of coal within the period of time specified in the Purchase Order. All coal sold under the Agreement shall be delivered in reasonably equal shipments and at regular intervals over the term of the Purchase Order or in such other manner as may be specifically stated in the Purchase Order. Unless Seller is excused from delivery by force majeure (as hereinafter defined) and in addition to any other remedies at law or equity, Purchaser shall have the right immediately to terminate the Agreement should Seller at any time (a) fail to ship the quantity of coal agreed to be shipped in any monthly period or (b) deliver more than the monthly quantity of coal stated in the Purchase Order without prior approval of Purchaser.

7-A. COAL SIZE AND EXTRANEOUS MATERIAL

Unless otherwise specified in the Purchase Order, all coal shipped pursuant to the Agreement shall not exceed a maximum lump size of [ ] in any dimension, shall

contain no more than [ ] percent ([ ]%) of particles less than [ ] in

size, and shall be the whole mine product (or whole washed product) with no intermediate size fractions added or removed. All shipments shall be free from excess quantities of moisture, bone, fireclay, rock, loose clay, and shale and shall not contain pond fines, washer refuse, roots, wood, debris, iron, plastic, rubber, or other extraneous material. Purchaser may reject any shipment which, in Purchaser’s reasonable judgment, does not comply with the aforesaid requirements, which judgment may be based upon visual inspection.

7-B.COAL QUALITY SPECIFICATIONS

The coal specifications pertaining to the coal to be delivered shall be stated in the Purchase Order.

7-C.SYNTHETIC FUEL

No coal shipped pursuant to the Agreement shall be treated with chemicals, heat, binders, petroleum products or other substances, whether or not treated with the intent to qualify the coal under the Internal Revenue Code Section 29 (Credit for producing fuel from a non-conventional source). Purchaser may reject any shipment that does not comply with the aforesaid requirements and Purchaser may terminate the Agreement immediately with no liability to Seller. Seller shall be liable for all costs incurred as a result of shipping coal that does not comply with the aforesaid requirements.

8.TRANSPORTATION

Purchaser at its sole discretion may direct that coal purchased under the Agreement be delivered by the carrier to the plant or location specified in the Purchase Order or to any other location specified by Purchaser; provided, however, that Purchaser shall remain liable for payment of the purchase price of the coal directed to such other location.

  1. Scheduling of Shipments Before the first shipment is scheduled and prior to the beginning of each subsequent calendar month while the Purchase Order is in effect, Seller shall telephone Southern Company Services* Production Support Analyst for shipping instructions. Seller’s failure to comply with the shipping instructions may result in rejection of shipments or other sanctions. Seller shall be responsible for all monetary charges this rejection or other action may cause, be it carrier imposed or otherwise.
  2. Delivery by Rail

All shipments of coal under the Agreement shall be f.o.b. railcar at the loading point specified in the Purchase Order and the loading facility shall be available to load shipments on a 24 hour/day basis, seven (7) days per week. Seller agrees not to permit coal to be loaded in railcars that contain foreign material. Seller shall bear all expenses and costs associated with delivery of the coal f.o.b. railcar and shall fully defend and indemnify Purchaser against any claim made against Purchaser for any cost, expenses or damage (either liquidated or unliquidated) which may be asserted against Purchaser arising out of or resulting from the delivery by Seller to Purchaser of any coal under this Agreement. In the event Seller should fail to deliver coal in the quantity or at the rate as provided in the Agreement, or in the event Purchaser cancels the Agreement or suspends further shipments pursuant to the Agreement, Seller shall pay Purchaser any freight charges (including without limitation, demurrage, car lease costs, storage fees, etc.) incurred by Purchaser. All coal shipped to Plants Bowen, Daniel, Miller, Scherer, and Wansley must be loaded into electro-pneumatic Rapid Discharge hopper cars.

1.Shipping Notice and “As Loaded” Coal Quality Analysis

A shipping notice (404 Bill of Lading) shall be electronically transmitted, and at Purchaser’s option, transmitted by telefax to the destination plant and other locations as outlined in the attached page entitled “Facsimile Numbers for Shipping Notices and As Loaded Coal Quality Analysis.” Seller shall utilize Automatic Equipment Identification (AEI) to correctly identify and list all cars in a computer system during the loading process. The weight for each car or total train weight shall be automatically entered into the computer system if mine govern weights apply. Upon completion of loading and prior to the train leaving, a 404 Bill of Lading must be transmitted to the railroad via computer generating Electronic Data Interchange (EDI). The 404 Bill of Lading must provide the Carrier Name, Coal Supplier, Loadout Name, Fuel P.O. Number, Destination, Tons Shipped (if applicable), Number of Cars with quantity of Steel and Aluminum, Transportation Contract, SES Train Number, Loadout FSAC Number, Train Arrival Date/Time, Load Start Date/Time, Load Finish Date/Time, Total Loading Time, Bill-of-Lading (BOL) Release to Railroad Date/Time and Total Train Consist including reporting marks and car numbers. nAs loaded” coal quality analysis of each train and such other pertinent information about the shipment must be telefaxed or telephoned to Purchaser within twenty-four (24) hours following the loading of each train. Purchaser shall not be obligated to unload any train unless the shipping notice and “as loaded” coal quality analysis have been received. Seller shall reimburse Purchaser for any demurrage or expenses incurred as a result of failure to provide a shipping notice and “as loaded” coal quality analysis to Purchaser as provided herein. Shipping notices and “as loaded” coal quality analysis shall be directed to the destination plant and other locations as outlined in the attached page entitled nFacsimile Numbers for Shipping Notices and As Loaded Coal Quality Analysis.”

  • .Passage of Title; Risk of Loss

Risk of loss shall pass from Seller to Purchaser when the rail carrier accepts consignment, and passage of title shall occur upon Purchaser’s acceptance at destination plant from the rail carrier except that Seller shall remain liable for coal bought on a delivered basis until it is accepted at destination for unloading.

  • .Demurrage Liability and Other Costs

Seller shall be liable for and shall defend, indemnify, and hold harmless Purchaser from any demurrage charges, excess freight charges, deficiency freight charges, or other transportation costs incurred by Purchaser as a result of Seller’s failure to satisfy loading and/or shipping requirements.

4,Overloaded Railcars

It is the sole obligation and responsibility of Seller to be aware of and conform to all rail carrier restrictions relating to maximum allowable gross railcar weights. If cars are found to be overloaded, Seller shall be responsible for any associated costs for reducing the weight of cars to comply with the applicable rail carrier’s restrictions and shall be obligated to provide Purchaser with corrected governing weight documentation. Seller shall be responsible for any damage resulting from overloaded cars. Maximum weight restrictions by carrier are provided in the attached page entitled “Railcar Weight Matrix/1

  • .Underloaded Railcars

It is the sole obligation and responsibility of Seller to load trains to the minimum train weight as directed by and in compliance with the applicable transportation contract. It shall be Seller’s responsibility to verify minimum weight from Purchaser’s transportation coordinator before loading train. Railcars that are loaded for movement on Norfolk Southern Railway under the Agreement shall be loaded to not less than 94% of UMLER capacity from non-batch-weigh Origins and 97% of UMLER capacity from batch-weigh flood-load Origins.

  1. Delivery by Barge

For coal purchased f.o.b. shipping point, Seller shall provide or designate loading points which have adequate and accessible mooring and barge loading facilities sufficient to load the coal properly and within the appropriate loading time. Seller shall pay all costs of transportation of coal from the mine to the barge loading facility, including barge-loading charges. Purchaser shall pay cost of barge freight from the loading point to the unloading point. Purchaser shall arrange for the necessary barges and have such barges available at the loading point so as to permit loading by Seller in an orderly manner. Purchaser shall coordinate the arrival of barge at the loading point with Seller. Purchaser shall arrange for the barge operator to give Seller reasonable notice, either orally or in writing, of the expected arrival date of empty barges at the loading point. Seller shall be liable for and shall pay Purchaser for any transportation costs or demurrage charges incurred by Purchaser which may be occasioned by the breakdown or failure of the barge loading facilities or by the failure of Seller to furnish and load coal at the loading point at the proper times and in the proper quantities. Purchaser shall designate the carrier to tow the barge to the designated delivery point. For coal purchased f.o.b. shipping point, Seller shall bear all risk of loss until the carrier’s barges have left the loading point and entered interstate commerce. Passage of title shall occur upon Purchaser’s acceptance at destination plant from the barge carrier. Claims for coal lost en route shall be filed by Purchaser for the carrier’s account. For coal purchased f.o.b. destination, Seller shall bear all risk of loss and retain title to the coal until the coal has been received at the delivery point specified in the purchase order.

1.Shipping Notice and “As Loaded” Coal Quality Analysis

Seller shall utilize Automatic Equipment Identification (AEI) to correctly identify each barge in a computer system during the loading process. The total net weight for each barge shall be automatically entered into the computer system from mine govern scales or an estimated weight if enroute or destination weights apply. Data for each barge loaded shall be retained in the computer system and upon completion of loading, a computer generated shipping notice (approved by Purchaser) shall be immediately transmitted by modem to Purchaser. The shipping notice must provide Shipment Number, P. O. Number, Vendor, Dock, Carrier name, Carrier Contract Number, Operating Company, Destination, Load to Maximum Draft, Barge Number, Estimated or Actual Tons, Arrival Date, Arrival Time, Load Start Date, Load Start Time, Load Finish Date, Load Finish Time and Condition of Barge Prior to Loading. A copy of the shipping notice shall also be telefaxed to the destination plant and other locations as outlined in the attached page entitled nFacsimile Numbers for Shipping Notices and As Loaded Coal Quality Analysis.n

2.Demurrage Liability

Seller shall be liable for and shall defend, indemnify, and hold harmless Purchaser from any demurrage charges, excess freight charges, deficiency freight charges, or other similar transportation charges incurred by Purchaser under any applicable transportation agreement as a result of Seller’s failure to satisfy loading and/or shipping and/or tonnage requirements stated in the Purchaser Order. Seller shall load barges in accord with any special loading provisions stated in the Purchase Order and shall pay or reimburse Purchaser for any charges incurred by Purchaser as a result of Seller’s failure to abide by such special loading provisions.

  1. Delivery by Ocean Vessel

Where delivery of coal is by ocean vessel, Purchaser may elect to deliver the coal loaded into an acceptable type vessel at a loading port of safe berth or may elect to have coal delivered to a discharge port to be designated by Purchaser. Payments for coal delivered shall be made on the “as received*1 calorific value expressed in Btu/lb less deduction made for quality adjustments if applicable. Purchaser will pay 90% to Seller’s account within 15 days of unloading cargo at port of discharge. Purchaser shall pay the balance of ten percent (10%) within 30 days, less any cost incurred by Purchaser, i.e. demurrage liability or other determined costs identified.

  • . For coal purchased at origin

Seller shall arrange for representative samples of the coal delivered to be taken by an independent laboratory approved by Purchaser and analyzed in accordance with applicable procedures or equivalent of the American Society for Testing and Materials (“ASTM”). Such analysis shall govern for calorific price adjustments, ash adjustments, sulfur adjustments, and for compliance with other specifications for coal quality set forth in the Purchase Order. Each sample shall be divided into three parts and put into airtight containers, properly labeled, and sealed to protect against any change in coal characteristics. Part #1 shall be Seller’s sample for purposes of analysis. Part #2 shall be sent to Purchaser’s designated laboratory in accordance with Purchaser’s instructions. Part #3 shall be retained for ninety (90) days as a referee sample. Notification of the results of Seller’s analysis shall be provided to Purchaser as soon as practical by facsimile or other rapid communication within three (3) days after completion of loading. Written verification of these results shall follow as soon as possible. Purchaser may have an authorized representative present at the taking of any samples. Purchaser reserves the right to question the accuracy of Seller’s analysis within thirty (30) days of receipt of written analysis report. If such accuracy is questioned, Purchaser shall have the right to have the Part #3 sample (referee sample) analyzed by a mutually acceptable commercial testing laboratory in accordance with ASTM or equivalent procedures; and the results of such commercial laboratory’s analysis shall be accepted as determinative of the coal quality and characteristics of such coal. The cost of this referee analysis shall be shared equally by the Seller and Purchaser. The results of Seller’s analysis shall prevail if the referee analysis differs by less than ASTM tolerances for reproducibility Seller shall arrange for weights of the coal delivered to be determined by an independent certified marine surveyor acceptable to Purchaser. Notification of the results of such determination of weights shall be communicated to Purchaser by facsimile or other rapid communication within one (1) day of completion of loading. The weights thus determined shall be accepted as the quantity of coal for which payments are made. Purchaser reserves the right to draft any vessel using a certified marine surveyor at the discharge port. Should any discrepancy between the loading point and the discharge port of greater than 2.5% occur, then the average of the two draft weights shall be used for payment. Purchaser shall have the right to have an authorized representative present at any and all times that measurements and calculations are made in the drafting of a vessel.

  • .For coal purchased at destination

Representative samples of coal will be taken by Purchaser from each vessel upon delivery at the destination or other delivery point. Such samples will be analyzed by Purchaser or its designated lab in accordance with current ASTM procedures. Purchaser’s analyses of the samples taken at the generating plant or other delivery point shall govern for price adjustments for coal quality and for compliance with specifications for coal quality. Should Purchaser not obtain a sample for analysis of any vessel shipment, then for the purposes of this Agreement the analysis of such shipment shall be deemed to be the average of the analysis of all other shipments received under the Agreement from Seller during the preceding thirty day period. Splits of each composite sample shall be retained for a period of thirty (30) days for use in the event of a dispute regarding the results of analyses. In the event Seller disputes the accuracy of an analysis by giving written notice to Purchaser within thirty (30) days from the date of delivery of the coal being analyzed, that portion of the sample of such coal retained for settlement of disputes shall be sent to a qualified independent laboratory (selected jointly by Purchaser and Seller) which shall conduct an analysis in accordance with ASTM standards. The determination of such independent laboratory shall be binding on both parties. The cost for the analysis by such independent laboratory shall be shared equally by the parties. The results of Purchaser’s analysis shall prevail if the referee analysis differs by less than ASTM tolerances for reproducibility. Weights of coal delivered hereunder shall be determined, for all purposes, by the methods and devices employed at the destination plant or other delivery point to which such coal is delivered. Should Purchaser be prevented from obtaining the unloaded weight of any vessel of coal under the Agreement, then the weights for such vessel shall be the “as loaded*1 weight.

  1. Delivery by Truck
  • .Where delivery of coal is by truck, dump trucks and dump trailers shall be used to transport the coal to the destination specified in the Purchase Order. Such dump trucks and dump trailers shall not have cross beams installed in the cargo area that could damage the sampling auger. All trucks and trailers operated on Purchaser’s properties shall comply with all applicable federal and state safety standards. If required by Purchaser, each vehicle shall be furnished an identification number, which must be affixed to the vehicle, to gain admittance to the designated destination. Seller shall employ or utilize only competent commercially licensed truck drivers and shall be responsible for compliance by such drivers with Purchaser’s rules and requirements, including speed limits and weight limits on roads within Purchaser’s properties. Such drivers shall comply with the requirements for loading, transporting, weighing, sampling, and unloading of coal delivered hereunder, in the manner and at locations on Purchaser’s properties as given by the manager of the designated destination or his representative, and such drivers will cooperate with Purchaser’s coal-receiving employees and other suppliers in a manner so as not to interfere with any of Purchaser’s operations. Coal may be delivered to the designated destination according to the then-current operating schedule for coal receipts in effect at the destination. It shall be Seller’s responsibility to determine the schedule in effect and comply therewith in all respects.
  • .The operation of vehicles that are excessively heavy in weight has an adverse effect on roads within Purchaser’s properties. Coal shall be delivered on Purchaser’s properties (state of Alabama only) in dump trucks or dump trailers having gross vehicle weights including cargo not exceeding 44,000 pounds for two axles; 66,000 pounds for three axles; 82,500 pounds for four axles; 88,000 pounds for five axles; and 92,400 pounds for six axles. Purchaser may reject any truck shipment exceeding the applicable gross vehicle weight.
  • .Seller shall bear all risk of loss and retain title to the coal to be delivered hereunder until the coal is unloaded and received by Purchaser at the destination specified in the Purchase Order. Purchaser may direct delivery of coal to a destination other than that specified therein; provided, however, that any additional cost incurred by Seller as a result of such direction shall be paid by Purchaser.
  • .Seller shall provide properly completed shipping notices with each truck delivery on forms furnished by Purchaser. Purchaser shall return a copy of the shipping notice and issue a weight ticket to the driver of the truck.

9.WEIGHING, SAMPLING AND ANALYSIS

Purchaser or its designated representative may observe any loading where the governing weighing, sampling, or sample preparation is performed by Seller. Purchaser’s representative shall have the right to delay or stop coal loading in the event that Seller’s weighing or sampling system malfunctions. Seller shall pay all costs or expenses incurred by Purchaser as a result of any weighing or sampling system malfunction. Loading will be resumed when weighing or sampling system repairs are completed or when mutually agreed by Purchaser and Seller. Purchaser agrees to work in a reasonable and expeditious manner to facilitate resumption of loading.

9-A.WEIGHING

Unless otherwise specified in the Purchase Order, weights of coal purchased and delivered hereunder shall be determined by a certified scale system located at the delivery point specified in the Purchase Order or other destination to which such coal is delivered and shall be final and not subject to dispute. In the event Purchaser’s weighing system is unavailable, the net weight for any shipment of coal shall be determined by certified scales located at the point of origin, by certified scales located en route, or by other methods mutually agreed to by all parties.

Any scale designated for payment purposes shall be maintained and operated in accordance with procedures acceptable to Purchaser. Seller shall bear the expense of weighing and all associated costs of testing and certification for systems located at the point of origin. Purchaser shall have the right to inspect and verify the weighing systems, procedures and testing of any weighing system not owned or maintained by Purchaser. In the event the weight of any shipment is unavailable from the designated weighing system, the weight of such shipment shall be determined by mutual agreement. No subsequent shipments shall be made, without Purchaser’s consent, when the designated weighing system is unavailable.

9-B.SAMPLING AND SAMPLE PREPARATION

  1. Unless Purchaser and Seller otherwise agree, each shipment of coal supplied under the Agreement shall be sampled by Seller and analyzed by Purchaser’s designated laboratory. Seller shall bear all costs related to obtaining acceptable samples of shipments at each loading facility applicable to the Agreement. Purchaser shall have the option, at any time during the term of the Agreement, to elect to sample, for governing purposes, at the destination plant or other points specified by Purchaser.
  2. At each loading facility applicable to the Agreement, Seller shall provide a mechanical sampling system which shall be used to collect a representative sample of each shipment of coal under the Agreement at such loading facility. The following provisions shall apply to such sampling system:

l.The design and operation of such sampling system and the procedures used for sample preparation shall, at a minimum, meet the requirements of ASTM D-2234 “Standard Practice for Collection of a Gross Sample of Coal” and ASTM D-2013 “Standard Method of Preparing Coal Samples for Analysis.n Such sampling system shall be enclosed to minimize moisture loss and shall be designed for one stage of sample crushing to the No. 4 sieve size (as determined by Purchaser based on ASTM D-4749 “Standard Test Method for Performing the Sieve Analysis of Coal and Designating Coal Size”). The sample flow rates through such sampling system shall be sufficient to minimize moisture loss. Purchaser and Seller shall use their best efforts to agree on modification of procedures and equipment to meet future revisions of ASTM D-2234 and ASTM D-2013.

  • .A11 sample increments collected at all stages of sampling in such sampling system shall cut the full stream of coal presented. The values of current measurements of sampling system cutter openings, cutter velocities, and sample flow rates shall be made available to Purchaser upon request and shall be acceptable to Purchaser.
  • .Seller shall monitor the sampling ratio of such sampling system in a manner that is acceptable to Purchaser and shall make sampling ratio data available to Purchaser upon request.
  • .Using bias test procedures approved by Purchaser, Seller shall cause such sampling system to be tested periodically, at Seller’s expense, for bias against stopped-belt reference samples. Such testing shall be scheduled such that when each shipment of coal is sampled, the most recent bias test results are dated by no more than two previous years. Seller shall give Purchaser written notice of each bias test; and Purchaser or its representative shall have the right to be present during such test and to observe and inspect sample collection, sample preparation, and laboratory analysis of bias test samples. If a bias is detected by such test, Seller shall immediately take all reasonable measures to remove the source of such bias; and Purchaser shall have the right to suspend shipments of coal under the Agreement until the source of such bias is removed and such sampling system is re-tested for bias.
  • .Prior to the installation of any new sampling system or a modification of an existing sampling system, Seller shall submit design drawings, specifications, and sample extraction parameters for the new or modified sampling system to Purchaser for its approval, which shall not be unreasonably withheld.
  1. Using an enclosed riffle and following the procedures of ASTM D-2013 with respect to each shipment of coal under the Agreement, Seller shall divide the final sample of No. 4 sieve size into at least four laboratory sample splits, with each split weighing 4,000 grams. Seller shall within 24 hours send one laboratory sample to Purchaser’s designated laboratory and shall promptly analyze one laboratory sample to provide the “as loaded11coal quality analysis as required by the Agreement. Seller shall

retain the remaining two laboratory samples for thirty days from the date of the shipment as reserve samples.

  1. Purchaser or its representative may observe any sampling or sample preparation performed by Seller, and Seller or its representative may observe any sampling or sample preparation performed by Purchaser’s designated laboratory. In the event that Seller’s sampling system ceases to operate properly, then Seller shall immediately notify Purchaser or its representative to determine the course of action to be taken concerning shipments of coal under the Agreement. If such sampling system malfunctions during the loading of any shipment of coal under the Agreement, Purchaser may, at its option, use a weighted average analysis of the last two shipments loaded prior to such malfunction to determine the analysis of the shipment being loaded at the time of such malfunction. Purchaser’s representative shall have the right to direct Seller to delay or stop the loading of any one or more shipments of coal under the Agreement if such sampling system ceases to operate in accordance with the requirements of the Agreement. After any such direction is given, the following provisions shall apply:
    • eller shall immediately delay or stop, as the case may be, the loading of such shipment(s); and Seller shall pay all resulting costs or expenses charged to or incurred by Purchaser as a result of such delay or stoppage in the loading of such shipment(s).
    • eller shall repair such sampling system as soon as practical and shipments of coal under the Agreement shall not resume until such repair is completed.

9-C.ANALYSIS

  1. Purchaser shall analyze the laboratory samples sent to Purchaser’s designated laboratory in accordance with current ASTM standards, and the results of such analyses shall be used for the governing purposes of the Agreement. If Purchaser elects to employ an independent coal-testing laboratory, Seller shall not be liable for any costs incurred by Purchaser except as otherwise provided in the Agreement.
  2. Should Seller dispute the accuracy of Purchaser’s analysis of a given shipment, Seller shall notify Purchaser in writing within thirty (30) days following unloading of the shipment.
  3. If a dispute arises between Purchaser and Seller over the results of such analyses, one of the reserve samples shall be sent to a qualified independent laboratory (selected jointly by Purchaser and Seller) which shall conduct a referee analysis of such reserve sample in accordance with current ASTM standards. The cost of any such analysis shall be borne equally by Purchaser and Seller. With respect to a dispute pertaining to a calorific value analysis, Purchaser’s analysis shall be deemed to have been confirmed, and no further adjustment in billing calculations shall be made, if the dry basis calorific value analysis by such independent laboratory differs from Purchaser’s analysis by 100 Btu/lb. With respect to disputes involving other items of analysis, Purchaser’s analysis shall be deemed to have been confirmed if the analysis by such independent laboratory differs from Purchaser’s analysis by no more than the applicable tolerances as follows:
  • .PRICE, BILLING AND PAYMENT

The price per ton stated in the Purchase Order is fixed and is not subject to adjustment except as provided herein or except as otherwise provided in the Purchase Order. The price per ton paid by Purchaser for coal delivered under the Agreement includes all sums to be borne by Seller for all federal, state, and local taxes of every nature (but not including sales and use taxes to be paid by Purchaser) which are assessed or may be assessed as a result of the production, shipment, or sale of coal pursuant to the Agreement. Seller’s acceptance of the amounts paid by Purchaser for coal delivered under the Agreement shall constitute full and final settlement of any and all claims by Seller for costs or expenses (including, without limitation, taxes, fees, governmental impositions, assessments, premiums, and penalties) incurred or paid by Seller, either while the Agreement is in effect or at any time in the future, with respect to the production, shipment, or sale of coal pursuant to the Agreement. Seller agrees to

defend, indemnify, and hold Purchaser harmless from and against any claim or liability for any such taxes, fees, governmental impositions, assessments, premiums, or penalties. Seller shall report to Purchaser all shipments of coal at the delivery point specified in the Purchase Order. Initially, Purchaser shall pay, normally within thirty days after shipment, at least [ ] of the price per ton stated in the Purchase Order if Purchaser

has received the coal, the required shipping documentation, and the samples, if required, of coal collected by Seller. Seller shall not submit invoices for payment. Purchaser shall pay any balance due, based upon the determination of quality adjustments, as soon as practical after such determinations are made for coal shipped during each month. In the event the total amount payable resulting from these determinations is less than the amount previously paid by Purchaser, the overpayment shall be deducted from subsequent payments to Seller; or if no subsequent payments become due, Seller shall reimburse Purchaser promptly upon receipt of such overpayment. Purchaser shall have the right to deduct or set-off against payments due Seller hereunder any sum of money due to Purchaser from Seller, whether or not such sums are related to the Agreement.

  • .PRICE ADJUSTMENTS FOR QUALITY
  1. Calorific Value Adjustment

Bituminous Coal

The Calorific Value Adjusted Price for coal received from Seller and accepted by Purchaser for each shipment shall be calculated as follows: The [ ] shall be

divided by the [ ] specified in the Purchase Order. If the resulting quotient is

equal to or greater than [ ], the quotient shall be multiplied by the [ ] per ton

stated in the Purchase Order. If the resulting quotient is less than [ ], the quotient

shall be multiplied by the total of the [ ] and transportation charge paid by

Purchaser. The resulting product, less the price per ton stated in the Purchase Order, shall constitute the Calorific Value Adjustment (“CVA”).

  1. Excess Moisture Adjustment

The price per ton paid by Purchaser for coal delivered under the Agreement shall be adjusted downward in proportion to the moisture content in excess of the moisture specification stated in the Purchase Order. This adjustment shall be subtracted from the payment for coal delivered and unloaded and shall be based upon the “as received” moisture content for each shipment or portion thereof. The amount per ton for this Excess Moisture Adjustment shall be calculated as follows:

Bituminous Coal

The adjustment shall be [ ] per ton for each [ ] or portion thereof, by

which the “as received” moisture content for each coal delivery, which exceeds the moisture specification, stated in the Purchase Order. No credits shall be given if the “as received0 moisture content is less than the moisture specification stated in the Purchase Order.

  1. Excess Ash Adjustment

The price per ton paid by Purchaser for coal delivered under the Agreement shall be adjusted downward in proportion to the ash content in excess of the ash specification stated in the Purchase Order. This adjustment shall be subtracted from the payment for coal delivered and unloaded and shall be based upon the “as received” ash content for each shipment or portion thereof delivered and unloaded. The amount of this adjustment shall be calculated as follows: The adjustment shall be [ ] per percent or portion

thereof per ton over the ash specification in the Purchase Order. No credits shall be given if the “as received” ash content is less than the ash specification stated in the Purchase Order.

  1. Excess Sulfur Adjustment

The Purchase Order shall specify a maximum sulfur content for each shipment. In the event that the monthly average sulfur content for all shipments in any calendar month exceeds the specified maximum sulfur content, a downward price adjustment of $[ ] per [ ]% or portion thereof, above such specification shall apply.

Plants Daniel, Miller and Scherer are New Source Performance Standards plants that mandate a maximum sulfur content of [ ] pounds sulfur per million Btu’s.

Purchaser shall reject any shipment to these plants, which exceeds [ ] pounds

sulfur/million Btu’s. Seller shall be liable for all costs incurred as a result of exceeding the [ ] pounds sulfur per million Btu’s maximum.

For shipments intended for Plants Daniel, Miller and Scherer, Purchaser may deduct [ ]% from the f.o.b. mine price in liquidation of administration costs for

shipments exceed in [ ] pounds of sulfur per million Btu; provided, however,

Seller shall remain responsible for incidental damages arising out of Purchaser’s acceptance of shipments exceeding [ ] pounds of sulfur per million Btu. Such

amount is a reasonable pre-loss estimate of Purchaser’s damages, which are difficult to measure; and this provision is not intended as a penalty. Such adjustments in the price of coal shall be made if such shipments are accepted by Purchaser, provided, however, Purchaser shall be under no obligation to accept such shipments.

In addition, some plants in the system, including but not limited to, Plants Arkwright and Mitchell, shall require a minimum sulfur specification, which shall be stated in the Purchase Order. Analysis performed on any size sample lot which indicates an “as received” sulfur content less than the minimum sulfur specification stated in the Purchase Order shall result in a downward price adjustment of $[ ] per [ ]%

sulfur, or portion thereof, below such specification.

  1. Ash Fusion Temperature Adjustment

Bituminous Coal

Analysis performed on any size sample which indicates an ash fusion temperature (H=W) within [ ] degrees of the ash fusion specification stated in the Purchase

Order shall not result in any price adjustment for ash fusion temperature. Analysis of any shipment or portion of a shipment which falls more than [ ] degrees below the

ash fusion temperature specification stated in the Purchase Order shall result in a

downward price adjustment based on a ratio of [ ] per degree below such

specification.

  1. Adjustments in General

The adjustments provided in this Section 11 are in addition to Purchaser’s other rights and remedies provided in Section 12, by other provisions of the Agreement, or by law or equity. Any adjustment pursuant to this Section 11 with respect to any shipme of coal under the Agreement shall not waive such other rights and remedies with respect to that shipment or any future shipment of coal under the Agreement.

  • .REJECTION, SUSPENSION, CANCELLATION
  1. Rejection

Purchaser shall have the right to refuse and reject: (1) any shipment that contains excessive amounts of extraneous material; (2) any shipment containing coal that was mined or produced from a seam or source other than the Coal Property without securing Purchaser’s prior written approval; (3) any shipment that does not conform to the size specifications stated herein; (4) any shipment that is delivered in equipment other than as specified herein; (5) any shipment that does not conform to any of the specifications for coal quality stated in the Purchase Order; or (6) any shipment or portion thereof that is treated with chemicals, heat, binders, petroleum products or other substances, whether or not treated with the intent to qualify the coal under the Internal Revenue Code Section 29 (credit for producing fuel from a non-conventional source). If a shipment or portion of a shipment is rejected, Purchaser shall receive a credit from Seller for freight costs and any other costs borne by Purchaser for such rejected shipment. If, however, for any reason Purchaser unloads any such coal shipment, Seller shall pay for all extra costs for the unloading and handling.

  1. Suspension

In addition to the rejection rights set forth above, Purchaser shall have the right to suspend coal shipments immediately by giving verbal or written notice to Seller in the event that: (1) any shipment contains excessive amounts of extraneous material; (2) any shipment contains coal that was mined or produced from a seam or source other than the Coal Property without securing Purchaser’s prior written approval; (3) any shipment does not conform to the size specifications stated herein; (4) any shipment or portion thereof fails to conform to any of the specifications for coal quality stated in the Purchase Order; or (5) any shipment or portion thereof is treated with chemicals, heat, binders, petroleum products or other substances, whether or not treated with the intent to qualify the coal under the Internal Revenue Code Section 29 (credit for producing fuel from a non-conventional source). After receipt of such notice, Seller shall immediately take action to correct the deficiencies stated. After Seller has determined that coal is in compliance with the Agreement, Seller shall so notify Purchaser; and an inspection and/or a test shipment of coal may be scheduled or other determination of compliance provided, at Purchaser’s option. If compliance is not demonstrated, Purchaser shall have the option to allow further determination of compliance or to cancel the Agreement and seek remedies as provided herein.

  1. Cancellation

In addition to the rejection and suspension rights set forth above, Purchaser shall have the right to cancel remaining coal to be delivered under the Agreement by giving written notice to Seller in the event that: (1) any shipment contains excessive amounts of extraneous material; (2) any shipment contains coal that was mined or produced from a seam or source other than the Coal Property without securing Purchaser’s prior written approval; (3) any shipment does not conform to the specifications for coal quality stated in the Purchase Order; (4) any coal shipment does not conform to the size specifications stated herein; (5) Seller engages in any fraudulent or illegal conduct in connection with its performance under the Agreement; or (6) any shipment or portion thereof is treated with chemicals, heat, binders, petroleum products or other substances, whether or not treated with the intent to qualify the coal under the Internal Revenue Code Section 29 (credit for producing fuel from a non-conventional source). In the event Purchaser cancels the Agreement or suspends deliveries, Seller shall pay Purchaser any excess freight charges thereby caused under the applicable tariff or transportation contract as a result of reduced shipments by Seller to Purchaser during the then current term of the applicable tariff or transportation contract. Any such payment shall be made without prejudice to such other rights as may be provided to either party in other portions of the Agreement and by law or equity.

In addition to the other provisions of the Agreement, if Purchaser experiences operational difficulties in the unloading, storage, or burning of Seller’s coal which, in Purchaser’s sole judgment, impedes the efficient utilization of Purchaser’s facilities, then Purchaser shall have the right to cancel remaining coal to be delivered under the Agreement by giving written notice to Seller. If cancellation of the Agreement occurs as a result of operational problems, then Seller will not be held liable for excess freight charges as referenced above.

  • .FORCE MAJEURE

Force majeure as used herein shall mean a cause reasonably beyond the control of Seller or Purchaser, as the case may be, which wholly or in substantial part prevents the mining, loading, or delivery of coal at or from the Coal Property or the transportation to or the unloading, storing, or burning of coal by Purchaser at the destination plant or other delivery point. Examples (without limitation) of force majeure, but only if reasonably beyond the control of Seller or Purchaser, as the case may be, are the following: acts of God, acts of the public enemy, insurrections, riots, strikes, labor disputes, work stoppages, fires, explosions, floods, electric power failures, interruptions to or contingencies of transportation, coal frozen to railcar, embargoes, and orders or acts of any government (including, without limitation, a city or county ordinance, an administrative regulation or ruling, an act of a state legislature, an act of the United States Congress, and a final judicial decision, order, or decree based upon orders or acts of governmental authorities) or military; provided, however, that force majeure, for the purposes of the Agreement, shall not include the development or existence of economic conditions which may adversely affect the anticipated profitability of the mining activities of Seller hereunder, acts of omissions of Seller constituting negligence or mismanagement on the part of Seller, geologic conditions affecting mining, or reduced productivity of labor.

If because of force majeure either Purchaser or Seller is unable to carry out its obligations under the Agreement, and if such party promptly gives the other party written notice of the conditions giving rise to such force majeure, the obligations and liabilities of the party giving such notice and the corresponding obligations of the other party shall be suspended to the extent made necessary by and during the continuance of such force majeure; provided, however, that the party suffering the disabling effects of such force majeure shall make reasonable efforts to eliminate, as soon as and to the extent possible, the events giving rise to such force majeure, except that either party may settle any of its own labor disputes or strikes or terminate any of its own lockouts in its sole discretion. Purchaser, in its sole discretion, shall determine whether shipments not made because of force majeure or suspended because of force majeure shall be canceled without liability to either party or shall be made up; but the Agreement shall otherwise remain in full force and effect; provided, however, that if a condition of force majeure occurs which causes a suspension of obligations under the Agreement for a continuous period equal to 30% or more of the term of the Agreement, Purchaser may terminate the Agreement by giving written notice of termination to Seller.

  • NDEPENDENT CONTRACTOR

It is understood and agreed that Seller is an independent contractor and not an agent or employee of Purchaser. It is further agreed that Seller shall employ, direct, control, manage, supervise, discharge, and pay its own employees and that Purchaser shall have no control of or supervision over any such employees.

15.INDEMNIFICATI0N

Seller agrees to defend, indemnify, and hold harmless Purchaser, The Southern Company, any subsidiary of The Southern Company, and any of their agents, employees and representatives from and against any and all liability or alleged liability to which any of them may be subject due to the destruction or damage to any property or due to the injury to or death of any person, which destruction, damage, injury, or death arises out of or is related to the performance of the Agreement by Seller, Producer, any subcontractor of Seller or Producer, or any of their agents, employees, or representatives.

  • PPLICABLE LAW, CHOICE OF FORUM, AND WAIVER

All questions relating to the execution, construction, performance, non-performance, or breach of the Agreement shall be resolved under the substantive laws of the State in which the destination power plant is located. Any action, suit, or legal proceeding of any nature by one party hereto against the other party shall be brought in the state or federal courts located in such State; and the parties hereto shall submit to, and accept the exclusive jurisdiction of, such courts for the purpose of any such action, suit, or legal proceeding. The remedies provided under the Agreement shall be cumulative and in addition to other remedies provided by law or equity. Failure of Purchaser or Seller to insist upon strict performance of any provision of the Agreement, or to take advantage of any right under the Agreement, shall not be construed as a waiver of such provision or right.

  • REACH BY SELLER

At the time of Purchaser’s final payment under the Agreement or in the event of breach by Seller of any of the terms and conditions of the Agreement, Purchaser, in addition to any other remedies provided by law or equity, has the right immediately to cancel the Agreement, to suspend Purchaser’s performance, and to offset any and all sums owed by Seller to Purchaser or any liquidated or unliquidated damages occasioned by the breach and cancellation against any sums owed to Seller by Purchaser.

In the event Seller does not deliver the amount of coal required under the Agreement, at Purchaser’s option, Seller shall be liable to Purchaser for the difference in Seller’s delivered cost and the delivered cost of replacement tons (including, without limitation, the cost of freight and sulfur emission allowances). Purchaser, in its sole judgment, shall determine the delivered replacement cost and apply this cost differential to the number of tons Seller fails to deliver under the Agreement. Purchaser shall have the right to offset any and all sums owed to Purchaser as a result of tonnage shortfall against any sums owed to Seller by Purchaser. Unless Purchaser gives prior approval by a written Change Order, shipments from an origin point other than that specified in the Purchase Order shall constitute a breach of the Agreement, for which Purchaser may deduct from the f.o.b. mine price for each ton of coal in such shipments the following:

  1. Any excess freight charges over those that Purchaser would have paid if Seller had shipped from the origin point specified in the Purchase Order; and
  2. Any excess freight and handling charges over those that Purchaser would have paid if Seller had shipped to designated plant(s) stated in the Purchase Order; and

c.[_ _ _ _] percent [_ _ _ _]% of the f.o.b. mine price in liquidation of administration and other incidental damages due to such shipments.

If Seller makes shipments that are materially in excess of the tonnage stated in the Purchase Order without Purchaser’s prior approval, Purchaser may deduct from the f.o.b. mine price, for each ton of coal in excess of the tonnage stated in the Purchase Order, [_ ] percent [ ]% of the f.o.b. mine price in liquidation of administration and other incidental damages due to such shipments. The amounts to be paid by Seller or to be deducted from payments are reasonable pre-loss estimates of Purchaser’s damages, which are difficult to measure; and these provisions are not intended as penalties.

18.SPECIAL TERMS AND CONDITIONS

Any special terms and conditions stated in the Purchase Order shall take precedence when in conflict with other provisions included herein.

19.C0MPLIANCE WITH LAWS

  1. Purchaser is a government contractor under an Area-Wide Utilities Service Contract with the General Services Administration of the United States Government. Seller agrees that each of the clauses contained in the Federal Acquisition Regulation referred to below shall, as if set forth herein in full text, be incorporated into and form a part of this Contract and Seller shall comply therewith, if the amount of the Contract and the circumstances surrounding its performance require Purchaser to include such clause in contracts between Purchaser and others: (1) 52.203-6 Restrictions on Subcontractor Sales to the Government; (2) 52.203-7 Anti-Kickback Procedures; (3) 52.219-8 Utilization of Small, Small Disadvantaged and Women-Owned Small Business Concerns; (4) 52.219-9 Small, Small Disadvantaged and Women-Owned Small Business Subcontracting; (5) 52.222-26 Equal Opportunity; (6) 52.223-2 Clean Air and Water; and (7) 52-223-14 Toxic Chemical Release Reporting. Upon request, Purchaser will provide the full text of any of the above clauses incorporated herein by reference.
  2. Seller hereby warrants that Seller is not debarred, suspended or proposed for debarment as a contractor or subcontractor to any department, agency or other division of the U. S. Government.

20.ASSIGNMENT

The obligations to be performed by Seller under the Agreement may not be assigned without prior written consent of Purchaser, which consent shall not be unreasonably withheld. Failure to obtain Purchaser’s written consent prior to assignment shall result in immediate cancellation of the Agreement. Assignment of payments only are permitted; provided, however, that Seller shall give Purchaser written notice of such assignment and provided further that an additional 45-day delay in payment, from the next normally scheduled payment date, shall be required for verification and subsequent processing.

  1. AGENCY

Purchaser hereby designates Southern Company Services, Inc. as Purchaser’s agent for receiving copies of notices required or permitted by the Agreement and for administration of the Agreement.

RAILCAR WEIGHT MATRIX

Weight limitations on railcars must meet two criteria; design limitations and track standards. Railcars should be loaded to full visible capacity, if possible, but must not exceed the lesser of the two criteria below:

  1. All private aluminum railcars are designed to withstand a maximum of 286,000 pounds gross weight on rail (GWR). – All private steel railcars are designed to withstand a maximum of 272,000 pounds GWR. – Railroad owned railcars must be loaded in accordance with stenciled weights on railcars unless otherwise specified by Rail Carrier.
  2. In addition to the general constraints of Item 1, all railcars shall be loaded to full visible capacity but within each rail carrier’s load limits for maximum GWR. The maximum GWR for the originating rail carrier for each of the generating plants in the Southern electric system is specified below.

 

附录二译文本

煤炭买卖协议一一水平自然资源销售有限公司与佐治亚电力有限公司

卖方肯塔基水平自然资源有限公司,与买方佐治亚电力有限公司签订煤炭购 销协议,本协议自2004年生效,2010年终止。(买卖双方以下合称为“双方”, 或单独称为“一方”。)新协议条款如下:

  • .定义。除本书面协议定义的其它条款外,新协议中的以下条款有如下

含义:

  • “煤炭价格”,指新协议下提供的煤炭价格,由本书面协议6, 7, 8段内 容决定。
  • “煤矿财产”,指不动产、矿产利益、准备设施、装货设施及位于诺特、 佩里或莱斯利郡且由卖方或其附属机构拥有或控制的相关改进设施。

(O “合同年度”,指新协议中从1月1日到12月31日的12个月期间。 第一个合同年开始于2004年1月1日,结束于2004年12月31日。

  • “月度数量”,指新协议下,卖方每月向买方提供的煤炭数量。
  • “半年期限”,指一个合同年内的每六个月期限,每个合同年的第一个 半年期限开始于1月1日,结束于6月30日,第二个半年期限开始于7月1日, 结束于12月31日。
  • “半年度数量”,指新协议下,卖方每半年期间向买方提供的煤炭数量。
  • “载货量”,指卖方发给买方铁路车上的一批煤炭,要足够数量,并装 满单元列车。
  • “吨”,指2, 000磅重量。

(I)“泰博设施”,指卖方位于肯塔基哈泽德的装货设施。

  • .条款。新协议于2003年4月1日生效,直到2010年12月31日都有效, 如发生以下情况,将提前终止。新协议下的载货于2004年1月1日开始。
  • .总则。新协议有效的每个合同年内,买卖双方应至少交易1, 000, 000吨煤 质财产处生产的煤。本书面协议第7段(d)和12段条款,规定了买卖双方的义 务。新协议由以下文件组成:(i)本书面协议;(ii)本协议的一部分,附件A “二氧化硫津贴转移估算”文件;(iii)附件B “环境相关需求变更”文件;(iv) 附件C2003年2月7日修正的“煤炭购买条款”文件(以下指附加条款)。附加 条款应参照新协议。如果本书面协议与附加条款有歧义,应优先考虑本书面协议。
  • .数量。除非书面协议另有规定,每个合同年,卖方应向买方提供1,000, 000 吨煤炭,每半年提供500, 000吨,每月载货量基本相同。尽管本段有以上规定, 但卖方可通过增加半年度数量,自行调整新协议下煤炭的供货量:

(a)每个合同年半年期限内,买方可增加半年度数量,但不得超过750, 000 吨。然而,在上述条件下,新协议规定,每个合同年不得提供多于1,500, 000吨 煤炭。因此,半年期间月度数量不应少于83, 333吨,不应多于125,000吨。

(b)如果买方增加半年度数量,应向卖方发出书面通知,仔细说明(i)半 年期间的半年度数量(ii)半年期间的月度数量。书面通知应在半年期间开始前 60天发出,以说明此增加行为。

  • .煤炭来源。新协议下提供的煤炭,应产自煤质,由泰博设施运输。如果卖 方打算从其它产地提供煤炭,应先获得买方的同意,不得无理隐瞒,但是,如果满 足以下条件,买方应该同意:(i)煤炭来源由卖方或其分支机构拥有或控制;(ii) 煤炭质量与本书面协议10段的规定相一致;(iii)称重、抽样系统可让买方接 受;(iv)煤炭的交货成本,不应超过来自泰博设施的的交货成本。
  • .煤炭价格。每个合同年的煤炭价格由书面协议6、7、8段决定。每年的煤 炭价格应用美元表示在位于泰博设施的离岸铁路车上,自1月1日生效,至12月 31日,但是应服从附加条款第H条规定的热值、多余水分、多余灰尘及灰熔融温 度的调整。所有调整计算到小数点后六位,然后到后四位。买方根据新协议规定 第一年煤炭价格,并发出采购订单,之后,在新协议生效期间,每个后续合同年 内,买方应发出更改订单,以反映煤炭价格。采购订单和更该订单只出于管理目 的,不构成新协议的一部分,也不能视为新协议条款的更改。
  • . 2004年煤炭定价。2003年5月1日到12月1日,买方根据市场价格回顾, 决定煤炭价格。以下条款适用于回顾,及2004年定价:

(a)在招标其它供应商前5天,买方应书面通知卖方,其将进行市场价格回

顾。

(b)在招标其它供应商时,买方应要求在新协议下,每年提供500, 000吨煤 炭,(包括市场价格回顾的相关条款);然而,如果2003年5月1日以后,买方 不遵守环境相关要求,可自行使用不同于本协议10段规定的燃料,进行市场价格 回顾。在评价市场价格回顾时,买方应只考虑可信任的供应商。

(O买方应根据合格报价,确定最低的加权平均煤炭运送成本,同时确定从 其它提供报价的供应商处购买1, 000, 000吨煤炭的日期。买方作此决定时,应考 虑运输成本、出租车成本、二氧化硫津贴、氮氧化物津贴,以及与合格报价相关 的其它排放的津贴。买方确定最低运送成本后,应在此基础上,计算出在泰博离 岸铁路车的等效价格。

(d)买方应立即用传真发出书面确认,通知卖方泰博的等效价格。通知发出 15日内,卖方应立即用传真向买方发出书面确认,(i)卖方决定接受泰博等效价 格,或者(ii)卖方决定终止合同。

(e)如果卖方决定接受泰博等效价格,这一价格将成为2004年的价格,新 协议继续生效。如果卖方终止新协议,截至合同年的12月31日,实施市场价格 回顾后,新协议将无效。

  • .后续年份煤炭定价。2005年1月1日,如果新协议仍有效,买方应根据市 场价格回顾,确定下一年的煤炭价格(明年的价格)。以下条款适用于回顾及明 年的价格:

(a)明年的价格应在合同年1月1日到12月1日之间确定,每一时期的定 价不能超过一次。在确定泰博等效价格,及回顾时,双方应遵守本协议7 (a)、7 (b)、7 (c)及 7 (d)的条款。

(b)如果卖方接受合同年的泰博等效价格,其将成为明年的价格;新协议仍 有效。如果卖方终止新协议,截至合同年的12月31日,实施市场价格回顾后, 新协议将无效。

  • .绩效奖励。合同年内每月期间,买方应付卖方合同中煤炭价格的(—)%, 并且作为绩效奖励,扣留煤炭价格的(—)% (税款)。考虑到卖方每月至少提 供月度数量,买方应在月末一次性付给卖方税款。如卖方未能提供月度数量,买 方无义务支付税款,并可永远保留款项。然而,如果附加条款中13条不可抗力事 件造成供货过失,或来自买方掌控范围的原因,买方不应保留税款,应在月末前 付给卖方。
  • .质量要求。新协议下每次载货量应符合附加条款的77。另外,每次载货 量应符合以下分析基础:

n.硫的调整。尽管附加条款n条有规定,但是,新协议下多余硫的调整如 下:

(a)从2004年到2007年,即合同年的第一、第二、第三和第四年,每年年 末,买方应向卖方提供新协议下货物的平均二氧化硫含量,并向卖方发出声明。 如果年度二氧化硫平均含量超过(—)磅/百万英热单位,卖方应在收到声明的 十个工作日内,向买方提供环保署津贴转让形式,授权从其环保署账户向买方账 户转让足够的二氧化硫津贴,使货物实际S0 (2)含量符合(―)磅/百万英热单 位。其它救济方式不适用。二氧化硫津贴转让计算方式由附件A中H (a)规定。

(b)从2008年到2010年,即合同年的第五、第六和第七年,多余硫的调整 由附加条款中HD确定;计算调整时使用的货币汇率应为$ (一)每(—)吨货 部分,而不是HD中规定的货币汇率。

  • .终止。除新协议下买方的其它权利和救济方式外,买方可以取消剩余载货 量,在以下情况中,可以终止合同:

(a)以下情况,买方可终止合同(i)卖方未能在一个月内提供月度数量(ii) 过失不是由附加条款中13条不可抗力造成,或不是买方控制内的原因。如果买方 根据12 (a)终止合同,应提前30天向卖方发出书面通知,仔细说明终止日期。

(b)如证据B中(e)和(f)规定,买方可终止合同。

(O如附加条款C12条规定,买方可终止合同。

  • .访问卖方记录。卖方应按照公认会计原则,准确记录新协议下的载货量, 在合同终止或到期后,至少将记录保留三年。卖方应向买方提供上述记录,买方 的会计师、审计师或其它授权代表,可在合理时间检查这些记录。如果审计师认 为,协议中以前的支付计算不准确,应立即调整,计算载货量的支付总额(未来 的付款),反应正确总额;如果未来的支付不适当,应立即算出款项,以反映以 前支付和审计总额的差异。本段条款将终止新协议。
  • .获得煤炭产权。正常运行期间,买方承担风险和费用,买方或其代表,出 于以下原因,可随时进入煤炭产地:(i)检查新协议下开采、生产、清洗、装载、 卸载、运输、取样、称重、分析或处理煤炭的方法及设备;(ii)采样以供买方 分析煤样;(iii)审计或检查卖方的记录。进入煤炭产地之前,买方代表应在入 口与适当人员登记。根据新协议,买方没有进行此检查应视为弃权,或减轻卖方 义务。
  • .保密。双方当事人应视新协议中条款及煤炭价格为保密专有信息。未经 另一

方事先书面同意,任何一方不得披露此信息给第三方,该同意不得被无理拒 绝。然而,如有以下披露,将不需要同意(i)法律、法规或管辖一方当事人的监 管机构需要该披露(ii)披露与一方当事人的声称或法律程序辩护有关,或以下 事件之一,企图披露的一方应提前通知另一方,最小化此信息的披露。尽管本段 有上述条款,任何一方可向其股票或资产的潜在买家披露此信息,或融资交易的 贷款人;然而,任何潜在买家或贷款人应受本段条款约束。出于本条款的目的, “第三方”不应包括(i) 一方的母公司、子公司或附属机构(ii)双方代表、董 事、员工、法律顾问会计师或顾问。

  • .修订附加条款。新协议履行期间,买方或其代理可修订附加条款。对于每 次附加条款的修订,买方应至少提前30天向卖方提供修订的影印本,修订的附加 条款应附于本书面协议作为附件C,并代替现在的附加条款,成为新协议的一部分。 但是如果卖方反对修订后附加条款中任何条款,可终止合同,并提前90天向买方 发出书面通知,说明终止日期。
  • .注意事项。除了装运通知和煤炭质量分析,及本协议另有的规定外,一方 向另一方发出的通知、要求、同意需求、报告或陈述(统称“通知”),应是书 面形式,或由隔夜快递送来(在这种情况下,通知应被视为在下一个营业日前已 收到),或由挂号邮件送到本段规定的正确地址(在这种情况下,该通知应被视 为在其发出72小时后收到)。

(a)发给买方的每个通知应送到:伯明翰,阿拉巴马州,南方服务公司,燃 料服务14N-8160的副总裁。电话35291 -8160。一份送到:亚特兰大,乔治亚州东 北麦吉尔大道241号,南方服务公司,燃料服务经理。电话30308-3373。或者送 到其它买方指定的地址。

(b)发给卖方的每个通知应送到:阿什兰,肯塔基水平自然资源销售有限公 司合同管理副总裁。电话4no-7058。一份送到列克星敦,肯塔基166繁荣地带, 套房200,深红色煤炭公司。电话40509。或者送到其它卖方指定的地址。

  • .先前协议。双方此前达成如下合同,现在仍有效:(i) 1999年7月22日 煤炭购销修正及重申协议(“核心协议”);(ii) 2001年1月24日煤炭购销协 议(“派克县协议”);及(iii) 2001年10余1日煤炭购销修正及重申协议(“泰 博协议”)。(核心协议、派克县协议和泰博协议统称“先前协议”)。新协议 任何内容都不能影响,双方各自权利、义务和先前协议下的利益。双方签订合同 书后,根据条款,以上权利仍然有效。
  • .其他规定。书面协议标题和附加条款仅为方便而设,不决定双方意图。履 行新协议,最重要是时间。新协议包括双方整个协议及投保标的物;双方之前所 有关于标的物协议、承诺、表示、谈判、沟通,无论口头或书面的,都合并成新 协议,并由其取代。

如果你同意本书面协议以上规定,请在下一页适当空白处签字,并将本协议 书的三份副本原件返还给我。当双方执行本协议书时,我们将给你发送一份充分 执行的副本原件。

附件A

二氧化硫津贴转让计算

至于第一、二、三、四合同年期间的运输(从2004年到2007年),二氧化 硫津贴转让适用于每个合同年,运输中年平均二氧化硫含量(按磅/百万英热单位 记)超过(—)磅/百万英热单位(“二氧化硫保证”)。以如下方法为例,计 算将要转让的二氧化硫津贴数量:

(a)假设一个合同年期间受到如下运输量:

运输的煤炭总量=(—)吨

运输总量的加权平均热值=(―)磅

运输总量的加权平均硫含量=(—)%

(b)基于上述,进行下面的计算:

因为(—)吨二氧化硫等于(—)二氧化硫津贴,卖方将从EPA账户支付

(—)二氧化硫津贴给买方。

附件B

环境相关要求的变化

(a) “环境相关要求”这一条款,无论以单数或复数形式出现,有以下含义:

(1)包括任何与煤炭燃烧环境相关的禁止或限制,买方指定的一个或多个发 电厂应视为新协议下的运输目的地。

(2)包括与煤炭质量相关的任何禁止或限制,且煤炭在指定的一个或多个工 厂燃烧,或这些工厂的释放物;

(3)包括任何规则或要求,其影响禁止或限制的合理方式;或者

(4)征收成本、费用、税费,或与以下几点相关的买方其它经济负担:(1) 电力的生产(或者是大众生产的或者是通过燃烧煤炭的电力生产机构生产的,(2) 买方在一个或多个指定工厂购买或燃烧的煤的数量,(3)买方在这个货这些工厂 购买或燃烧的煤炭构成明细单,(4)这个货这些工厂的排放物类型或总量,(5) 任何类型环境相关设施的安装要符合买方支配的监管部门的要求。

另外,本术语应视为包括买方策略,正如买方在其合理评论中做出的决定一 样,以符合环境相关要求。

(b)在以下一种或多种情况下,环境相关要求应视为发生:(1)现存环境 相关要求中有任何增加或减少;(2)买方在其合理评论范围内,决定改变策略以 符合显存环境相关要求;(3)由于任何联邦或州的法律、管理规则或制度、当地 法令、法庭只是或决定,或其翻译、实施进行了任何修改,买方将推行新的环境 相关要求。双方一致同意环境相关要求的改变将发生,即使(1)这一要求被陈述 为强制施加给买方及其附属成员或其它公共组织的制约、限制或义务(2)这一要 求以普通方式影响买方,不受任何工厂、燃料、燃料供应商或其它操作条件监控。

(O双方一致同意附件B的条款是为了提供附加条以外的权利,新协议下提 供的煤炭价格、规格、数量及目的地已预先卸载环境相关要求中,其已被双方了 解并自2003年4月1日起生效。(c)段的目的如下,环境相关要求(不应被视 为已知)如果和任何联邦或州的法律、管理规则或制度、当地法令、或法庭只是 决定或以上各项的翻译有关系(整体上称为“法律要求”),而且此翻译自2003 年4月1日起在任何行政或司法程序中受到质疑,那么,这一要求不应被视为已 知。法律程序最终决议时(包括任何与法律程序相关的上诉),买方将在其合理 评价范围内,决定法律要求(由于法律程序改变或为改变)是否构成环境相关要 求的改变。

(d)若在2003年4月1日以后环境相关要求发生变化,那么,买方将在其 合理评价范围内决定,(1)如何遵守这一变化(2)这一变化是否已经或可能对 买方使用新协议下一个或多个制定工厂提供的煤炭有不利影响。环境相关要求中 有以下作用的变化应视为对买方使用新协议下工厂提供的煤炭由不利影响,即使 这些要求可能允许买方选择是否与单一要求一致、(选择包括,支付费用或税收 而不是安装设备,使用不同构成明细单的煤炭或减少使用这些工厂的煤炭:

(1)这种变化对买方强制征收成本、费用、税收或其它经济负担,且羽翼下 两点有关(i)为这些工厂购买这些工厂购买或负担的煤炭构成明细单。(ii)这 些工厂排放物的类型或总量。

(2)这种变化直接阻止或限制买方使用新协议下工厂提供的煤炭。

(3)这种变化要求买方在这些工厂安装设备以符合变化(包括,无限制,烟 道气体除硫设备、选择性催化式降低设备、选择性非催化式降低设备、天然气共 同燃烧设备,或者指定移动设备)。

(4)这种变化要求或者允许买方使用与书面协议第10段规定的质量不同的 煤炭(包括硫)。

(e)如果买方决定环境相关要求的变化已经或将来可能对新协议下提供的煤 炭产生不利影响,应以书面形式通知买方。卖方有权在接到通知后的30天内,在 煤炭开采和加工过程中、代替品煤炭提供过程中提供可实行的步骤,或提供其他 设施使制定工厂的燃料运载费和买方购买合理的燃料代替品一样低,同时考虑到 指定工厂使用煤炭的费用、税收、成本或其它经济负担。如果买方在其合理评价 范围内,决定卖方未能达到之一效果,那么,买方可以向卖方发出书面通知终止 新协议,但必须详细说明终止日期,并至少在其日期前90日内发出。买方可在环 境相关要求变化之前或之后发出通知。

(f)在新协议履行期间,无论环境相关要求变化是否发生,如果买方在其合 理评价范围内认为任何操作或环境问题来自卖方的煤炭,或燃烧产品(包括,无 限制的氧化氮排放物、汞排放物、氯气排放物以及碳排放物),或此处无规定的 煤炭其它构成,双方应立即进行诚信讨论并致力于解决问题。如果讨论未能以买 方认为合理,且不向其征收不合理额外费用的方式解决问题,那么,买方可向卖 方发出书面通知终止新协议,通知应仔细说明终止日期,并至少在此日期前90日 内发出。(f)段道德费用或附件B的任何条款经市委不合理如果其导致新协议下 煤炭运载成本超过买方可承担的燃料或资源于在成本。

附件C

煤炭购买条款

  • .管理文件

管理条款规定的购订单、条款以及执行的生产方一一经纪人生命(适用于此) 一起构成买卖双方关于购买订单和销售煤炭的全部协议(以下称为协议)。卖方 在协议中以书面形式声称的额外或不同条款将视为无效,如果买方不易书面形式 明确地接受这些条款。协议的修改将视为无效,除非修改被概括成书面形式并由 双方签署认可。没有口或书面的描述、非正式协议或认可不包括在协议中。

  • .卖方的认可

购买订单承认或协议中煤炭的运输将构成卖方对购买订单条款以及所有条款 的承认和接受。

  • .经纪人

任何不开采或不生产协议中运载煤炭的卖方都是为经纪人。经纪人有责任向 生产方与一一经纪人声明中指定的生产方提供条款和购买订单的副本,经纪人可 从生产方购买或获得运载的煤炭。经纪人应根据与生产方的协议约束生产方去履 行购买订单的条款,并履行所有条款,同时有责任遵从生产方,但是,生产方未 能遵从,经纪人仍要履行协议中的所有义务。生产方和经纪人的义务即是共同的 也是分别的。卖方的参考应视为指生产方的经纪人。

  • .保证

卖方或生产方与经纪人声明中确认的生产方保证以下几点:拥有或控制购买 订单中描述的煤炭资产;根据协议运输的煤炭免收运费并清楚的扣押权、障碍物 以及第三方声明;煤炭资产包括可开采的优质商业煤,在数量上满足协议要求; 煤炭资产将不会使用或出售煤炭确保卖方能按时向买方提供运载协议中规定的煤 炭,且保质保量;协议中运载的煤炭将由煤炭资产处开采并生产;没有买方的书 面同意,卖方不得向买方运载代替品煤炭。

  • .检查

买方或其指定机构有权在合理时间进入煤炭资产处或其它合适地点,对协议 中出售和运载的没眼的开采、生产、储存、洗涤、混合、挤压、装在、卸载、运 输、采样、分析以及其它处理方法、设备和方式进行视察和检验,也有权采集煤 炭样品供买方分析。买方的视察行为不应视为放弃买方权利或解除协议中规定的 卖方则热或义务。

  • .数量

在购买订单规定的时间内,卖方应向买方出售并那个一定数量的煤炭,同时, 买方应购买并接受这些煤炭。协议中出售的所有煤炭应根据购买订单条款以合理 等份方式在规则时间运输,或以购买订单条款中特殊说明的其它方式运输。如果 卖方不是由于不可抗力(如以下规定的)或法律、衡平法规定的其它救济二未能 运载,买方有权立即终止协议,如果卖方在任何时间(a)未能在月供货期件运输 规定量的煤炭或者(b)未经买方批准,运载多余购买订单规定的月供货量的煤炭。

7-A煤炭规模及无关材料

除非购买订单中另有说明,根据协议运输的所有煤炭在规模上不应超过(—) 最大尺寸,应包含不超过(—)%的颗粒,尺寸上小于(—)%,同时应是没有 添加或移除中间成分的完整开采产品(或完整洗涤产品)。所有运运输货没有过 量的水分、骨头、黏土、演示、松散黏土和页岩,也不应柏涵池塘小颗粒、涂料 废弃物、植物的根、木头、岁哦片、铁、塑料、香蕉或其它无关材料。买方可在 其合理评价范围内拒绝不符合要求和运输,评价可根据视觉检查。

7-B煤炭质量规格

购买订单应说明运载煤炭的煤质规格。

7-C合成燃料

根据协议运输的煤炭不应用化学品、热量、粘合剂、汽油产品或其它物质处 理,无论处理的目的是否是让煤炭符合国内收入法规29条的规定(对非传统资源 生产燃烧的信贷)。买方可拒绝任何不符合要求的运输,并立即终止协议而不向 卖负责。运输不符合要求的煤炭产生的成本由卖方负责。

8.运输

买方可自行决定协议中购买的煤炭由运输工具运载到工厂或购买订单中规定 的地点,但是,买方仍有责任支付运到其它地点的煤炭的价格。

A.运输时间表

在第一次运输前以及每个连续日历月开始前,此时购买订单仍然生效,卖方 应致电南方公司服务产品支持分析处,以获得运输指示。卖方未能遵从运输指示 将导致退回运输或其它处罚。卖方应对所有退回费用负责。

B.铁路交货

协议中煤炭的运输应使用购买订单中规定的铁路车,装载设备应全天候为装 载运输服务。卖方不同意用含杂质的铁路车运载煤炭。卖方承担运载煤炭铁路车 的所有成本和费用,协议中卖方发送给买方的煤炭引起了任何成本、费用或损坏 (已偿还或未偿还的),并且由买方发出声明,卖方应全面补偿买方费用。如果 卖方未能发送协议中规定数量的煤炭,或未能按进度执行,又或者卖方取消协议 或按协议规定暂停进一步运输,那么,卖方应支付买方的任何费用(包括无限的、 租车成本费、储存费用等)。所有运送到伯文、丹尼尔、米勒、斯克瑞和万斯雷 工厂的煤炭必须由电器急速控制漏斗车装载。

  • .运输通知及“运载的”煤炭质量分析

运输通知(404运输单)应根据买方的选择,由传真传递到标题为“运输通知 和运载煤炭质量分析传真本”的附加页中规定的目的工厂和其它地址。

卖方应利用自动鉴定设备在装运过程中用电脑系统正确鉴定并列出所有车 辆。如果应用矿井控制重量,每辆车的重量或总火车重量应自动进入电脑系统。 在装载完成前或火车离开前,404运输单必须通过电脑产生的电子数据传送到铁 路。

404运输单必须提供运输公司名称、煤炭供应方、卸载名称、燃料邮政号、目 的地、运输吨数(如果有可能)、装载钢和铝的车的数量、运输合同、SES火车编 号、卸载FSAC号码、火车到达日期/时间、装载开始日期/时间、装载完成日期/ 时间、总装载时间、运输单发到铁路铁路的日期/时间,以及报告标记和车辆数量 的列车总数。每辆货车“运载的”煤炭质量分析和其它与运输相关的信息必须紧 随没量装载火车,在24小时之内由传真或电话传给买方。买方如果收到运输通知 和“运载的”煤炭质量分析,则有义务卸货。卖方应为拒绝买方或未能按规定向 买方提供运输通知和“运载的”煤炭分析二引起的费用进行补偿。运输通知和“运 载的”煤炭质量分析应寄至标题为“运输通知和运载煤炭质量分析传真本”附加 页中规定的工厂和其它地点。

  • .所有权装让;丢失风险

当铁路运输公司接受运送物时,丢失风险由卖方转移到买方。当买方在目的 地工厂接受货物时,则发生所有权装让,一下情况除外:卖方仍对运载的煤炭负 责直到其被目的地接受并进行卸载。

  • .拒绝责任和其它成本

由于卖方未能满足装载和/或运输要求,其有责任保护、补偿对使买方免除拒 绝费用、额外运费、不足运费或买方引起的其它运输成本。

  • .超载铁路车

卖方有义务遵守运输公司对铁路车的最大限制。如果车辆超载,卖方有责任 承担降低车重的成本,使其与现行陨石公司限制一致,也有义务为买方提供正确 的重量管理文件。卖方对超重车辆引起的损害负责。“铁路重量”的附加页将提 供最大限重。

  • .轻载铁路车

卖方有义务使火车符合运输合同规定的最小车重。在装载火车前,卖方有责 任从买方运输协调人处核对最小重量。铁路车将在协议中的南方铁路行驶,其容 量不应小于94%o

C.驳船交货

对于运输地点购买的煤炭,买方应提供有足够停泊处和驳船装载设施的运载 地点,在制定时间内正确装载煤炭。卖方支付从矿井到比穿装载设施的煤炭运输 成本,包括驳船装载费用。买方支付从装载地点到卸载地点的驳船运送费用。买 方安排装载地点使用的必要驳船,允许卖方用有序方式进行装载。买方安排驳船 操作者用口头或书面形式通知空驳船预计到达装载地的日期。卖方有责任向买方 支付运输成本或拒绝费用,费用可能由驳船装在设施的故障导致,或者由于卖方 未能在指定时间提供指定数量的煤炭。买方应指定运输公司将驳船拖到指定运载 地点。

对于运输地点购买的煤炭,卖方应承担所有丢失风险,直到运输公司的驳船 离开装载地点,进入洲际贸易。当买方在目的地工厂接受货物时,将发生所有权 转让。买方应为运输公司账户发出煤炭丢失的声明。对于在目的地购买的煤炭, 卖方应承担所有丢失风险,保持煤炭所有权,直到被购买订单中指定的卸货地点 接受。

  • .运输通知和“装载的”煤炭质量分析

卖方应在装在过程中利用自动鉴定设备在电脑系统中正确鉴定没量驳船。每 艘驳船的总净重应自动从矿井管理天平进入电脑系统。电脑系统应保留每艘驳船 的数据,装载完成后,应立即用调制解调器将电脑制成的运输通知传给买方。运 输通知必须提供运输数量、邮政号、卖主、码头、运输公司名称、运营公司、目 的地、最大计划装载量、数目、估计或实际吨数、到达日期、到达时间、装载开 始日期、装载开始时间、装载完成日期、装载完成时间,及装载前驳船情况。

运输通知单的副本也应传真到规定的目的工厂和其它地点。

  • .滞期费责任

卖方未能满足购买订单规定的装载、运输和吨位要求,其有责任保护、补偿 买方,免除买方的拒绝费用、额外运送费、不足运送费。卖方使用与特殊条款相 一致的驳船,如果卖方未能遵守特殊条款,则应支付或补偿买方的费用。

D.远洋轮船交货

若用远洋轮船交货,买方可选择将煤炭交到位于安全泊位装货港的轮船,或 运到买方指定的免费港口。若可实行,煤炭支付应适用于质量调整。买方应在15 日内,为卖方在免费港口未装载的货物账单支付90虬买方应在30日内支付10% 的平衡费,如果买方造成成本,如:滞期费责任或其它成本。

  • .在原产地购买的煤炭

卖方应提供交货中的样品,使其被买方指定的独立实验室接受,并符合美国 社会检查(“ASTM”)。分析是由于热量价格调整、灰尘调整、硫调整,并符合 采购订单规定的煤炭质量。

每个样品分成三部分,放进密封容器中,贴上正确标签,密封以保护煤炭性 质不变。

第一部分是用于卖方分析的样品。第二部分送到买方指定的实验室,与买方 说明一致。第三部分作为样品保留90天。

装货3日后,一有传真本或其它快速沟通方式,就应将卖方的分析结果提供 给买方。书面核实紧随其后。采集样品时,买方可派授权代表出席。

买方收到卖方书面报告30日内,可保留质疑权利。如果有疑问,买方有权让 符合ASTM程序且被双方接受的商务检测实验室分析第三部分样品;分析结果将视 为煤炭质量的决定性因素。双方共同承担分析成本费。如果分析的不同度少于ASTM 对再生产的限度,将接受卖方的分析结果。

卖方应安排由买方独立海洋鉴定人决定的煤炭重量。装货1天后,结果应用 传真或其它快速方式通知买方。决定的重量应被接受作为煤炭数量。买方可使用 海洋鉴定人,保留抽调轮船的权利。如果装货点和卸货港的不符率超过2. 5%,应 用两个重量的平均值支付。买方有权派代表出席抽调轮船的测量和计算。

  • .在目的地购买的煤炭

买方可在目的地或交货点采集煤炭样品。买方或符合ASTM的实验室将分析样 品。买方对工厂货交货点煤炭的分析,将控制煤炭价格调整,以符合煤炭质量要 求。如果买方没有获得煤炭进行分析,这次分析将视为30天前卖方载货量的平均 分析。没分样品的分歧保留30天。如果卖方在煤炭到达30日内向买方发出书面 通知,否定分析,应将保留的煤炭样品送到实验室(双方共同选定),进行分析。 实验室的决定对双方都有约束力。双方共同承担分析费用o如果分析结果低于ASTM 再生产限度,买方的分析结果将被接受。

煤炭重量由目的地工厂或交货点决定。

若买方未能获得协议中轮船的卸载重量,这一重量即“装载重量”。

E.卡车交货

  • .如果用卡车交货,应用自动倾卸卡车和翻斗挂车将煤炭运到采购订单指定 的目的地。这些车辆的货区不应安装横梁,其可能损坏取样钻。买方操作的车辆 应符合州和国家安全标准。若买方有要求,每辆车必须贴上一个识别号,以进入 指定目的地。卖方只能雇佣合格的商用卡车司机,并负责让司机遵守买方的规则 和要求,包括买方道路的限速和限重。司机应遵守煤炭的装载、运输、采样和卸 载要求,在方式和地点上,遵守目的地经理或代表的指示。司机将以不干涉买方 业务的方式,与买方的煤炭接收员工及其他供应商合作。根据目的地煤炭收益的 运行计划,经煤炭交到指定目的地。卖方有责任确定计划表并全面遵守。
  • .超重车辆的行驶对买方道路造成不利影响。应用自动倾卸卡车和翻斗挂车 经煤炭送到买方区域(阿拉巴马州),包括货物的车辆总重量,双轴不超过44, 000 磅;三轴不超过66, 000磅;四轴不超过82, 500磅;五轴不超过88, 000磅;六轴 不超过92, 400磅。买方可拒绝车辆总重量的卡车载货量。
  • .卖方承担丢失风险,保留没他不所有权,直到买方在目的地卸载接收后。 如果由于卖方的指示,使买方支付了额外成本费,买方可将煤炭送到指定外的目 的地。
  • .卖方应按买方的交付形式,提供每辆卡车完整的装船通知。买方应返回一 份通知的影印本,给卡车司机一张重量票。
  • .称重,抽样及分析

买方或其代表可观察卖方装货,以及之历程中、抽样和样品准备。若卖方称 重或抽样系统失灵,买方代表有权延迟或停止装煤。卖方应为称重或抽样系统失 灵支付买方费用。

当称重或抽样系统修好后,或双方同意可重新开始装货。

买方同意迅速并有效地继续进行装货。

9-A

除非采购订单另有规定,否则购买和交货的煤炭重量应由采购订单或交货目 的地规定的认证系统决定。若卖方称重系统不可用,煤炭净重将由原产地认证规 模决定,或由双方一致同意的其它方式决定。出于支付目的的规模赢保留,并以 符合买方程序的方式运行。卖方承担称重费及原产地系统的检测和认证费。买方 有权检查核实称重系统,程序及不归其所有的称重系统的检测。若载货量的重量 不适用于制定称重系统,将由相互协议决定其重量。当制定称重系统不可用时, 未经买方同意,不得进行后续发货。

9-B

a.除非买卖双方同意,协议中的煤炭应由卖方抽样,由买方指定实验室分析。 在协议规定的交货地得到的样品,应由卖方承担成本。在协议履行期间,出于管 理目的,买方有权在目的地工厂或其它地点选择样品。

b.在协议中每个交货地点,卖方应提供机械抽样系统,用于收集交货煤炭的 代表样品。以下条款适用于抽样系统:

  • .抽样系统的设计与运营,以及样品准备程序至少应符合ASTM-2234要求,煤 炭样品收集标准”和ASTM-2013 “煤炭样品分析的标准方式”。抽样系统应封闭, 以减少水分流失,并设计4号滤器下样品粉碎的第一阶段(由买方根据ASTM-4749 “煤炭分析实施与煤炭规模制定的标准方式)。本系统的样品流动率应充分以减 少水分流失。双方应尽力同意程序和设备的修改,以符合ASTMD-2234和ASTMD-2013 的修订本。
  • .抽样系统收集的样品增量将分割煤炭。当买方需要时,可获得抽样系统切 割工具的电流测量值、切割速度和样品流动率。
  • .卖方应以买方接受的方式监测抽样比率,当需要时,向买方提供比率数据。
  • .卖方应使用买方批准的偏差检验程序,出资定期检测抽样系统。当采样煤 炭后,应按计划进行检测,最近的偏差检验结果不超过前两年。卖方向买方发出 偏差检测的书面通知,买方或其代表有权出席检测,并观察检验样品收集、样品 准备及偏差样品的实验室分析。如果检测出一个偏差,卖方应立即采取合理措施 去除偏差来源,买方有权中止运输煤炭,直到移除偏差,抽样系统被重新检测。
  • .安装新抽样系统或改进现存抽样系统前,卖方应向买方提交设计图、说明 书、样品提取参数,以获得其批准,买方不可无理拒绝。

c.卖方应将4号滤器的最终样品分成四份实验室份额,每份重4, 000克。卖 方应于24小时内将一份实验室样品送到买方指定实验室,并立即进行分析以提供 协议要求的煤炭质量分析。卖方应保留两份实验室样品30天。

d.买方或其代表可观察卖方操作的抽样或样品准备,同样,卖方或其代表也 可观察买方指定实验室的以上行为。若卖方抽样系统停止正常运转,应立即通知 买方或其代表以决定运输煤炭的措施。若装货期间,抽样系统失灵,买方可用上 两次装货的分析来决定本次失灵的分析结果。若抽样系统不符合协议要求,买方 代表有权让卖方推迟或停止装货。发出以上指示后,以下条款将适用:

  • .卖方应立即推迟或停止装货;并应支付由此带来或产生的一切费用。

 

  • .卖方应尽快修理抽样系统,直到修理完成后,才能继续运输煤炭。

9-C分析

a.买方应分析送到其指定实验室的样品,是否符合ASTM标准,分析结果将 用来管理协议。若买方雇佣独立煤炭检测实验室,产生的费用不应由卖方负责。

b.若卖方质疑买方分析的准确性,应在卸货后30日内以书面形式通知买方。

c.若双方就分析结果发生纠纷,应将一份储备样品送到独立实验室(双方共 同选择),其将根据ASTM标准分析样品。双方共同承担分析费用。关于热值分析 的纠纷,若独立实验室的分析与买方分析差别达到WOBtu/lb,应认同买方的分 析,不应进行进一步调整。至于其它分析产生的纠纷,若独立实验室的分析与买 方分析差别小于公差,应批准买方的分析:

  • .价格、账单和支付

采购订到的每吨价格是固定的,除非另有规定,否则不得调整。买方为每吨 煤炭支付的费用包括卖方为州、国家和当地税收(不包括销售及买方支付的税收) 承担的总额,税收可来源于煤炭生产、运输或销售。卖方接受买方交货费用,这 将构成卖方成本的声明(包括税收、费用、政府征收费、评估费、保险费和罚金), 或者在协议生效期间或将来任何时间,关于煤炭的生产、运输或规模。卖方同意 保护买方,使其免除税收、费用、政府征收费、评估费、保险费和罚金责任。卖 方应报告给买方采购订单规定的煤炭运输情况。期初,若买方收到煤炭、运输文 件和样品,应在运输30日内支付采购订单规定的每吨价格的(—)。卖方不得 提交发票。根据质量调整规定,买方应在决定应用于煤炭后尽快支付余额。若决 定导致支付总额少于买方之前支付的总额,多付款额应从卖方后续支付中扣除; 若没有后续支付,卖方印在收到多付款额后立即补偿买方。

买方有权扣除来自卖方的一笔钱,无论这笔钱是否与协议有关。

  • .质量的价格调整

A.热值调整

买方接受来自卖方的煤炭热值调整价格计算方法如下:采购订单规定的(―) 除以(—)o若商大于等于(—),商应乘以采购订单规定的(—)每吨。若 商小于(—),商应乘以(—)的总数,买方支付运费。低于采购订单规定价 格的结果,将构成热值调整。

B.水分调节

水分含量超过采购订单规定,则买方的煤炭支付费用应下降。调整应从煤炭 支付款中扣除,并以每次运输的水分含量为基础。水分调节计算方法如下:

生煤

调整应为每(—)或每份(—)每吨,交货煤炭的水分含量超过采购订单 规定。

若水分含量少于采购订单规定,不应给予信用卡。

C.多余灰调整

灰尘含量超过采购订单规定,则买方的煤炭支付费用应下降。调整应从煤炭 支付款中扣除,并以每次运输的灰尘含量为基础。调整总额计算方法如下:调整 应为超过采购订单的(—)%或每份。若灰尘含量少于采购订单规定,不应给予 信用卡。

D.多余硫调整

采购订单应详述每次运输的最大硫含量。若每月运输的平均硫含量超过规定 的最大含量,应下调价格每(—)$ ( 一 ) O

丹尼尔、米勒和谢勒工厂是执行新标准的工厂,它们授权最大硫含量(―) 磅。这些工厂运输超过(—)磅的硫,买方应拒绝。卖方有责任承担超过(—) 磅硫的费用。

对于计划到丹尼尔、米勒和谢勒工厂的运输,买方针对超过(—)磅硫的运 输,可从离岸价中扣除(—)%,但是,由买方接受超过(—)硫运输引起的损 坏,将由卖方负责。买方损坏难以估计,这一总额是对其的合理估计。若买方接 受运输,讲进行煤炭价格调整,但是,买方没有义务接受运输。

止匕外,系统中的工厂,包括但不局限于阿科莱特和米切尔工厂,应要求最小 硫含量说明,由采购订单中说明。样品分析显示硫含量低于采购订单规定的最小 硫含量,应下调价格。

E.灰熔融温度调节

含沥青的煤

样品分析显示灰熔融温度在购买订单规定的(—)度以内,不进行价格调整。 运输的分析低于规定的灰熔融温度(—)度,将根据比率下调价格。

  1. 一般调整

n条的调整不包括12条中的买方其它权利和救济。n条关于运输的调整不 放弃协议中煤炭运输的权利和救济。

  • .拒绝、中止、取消

买方有权拒绝:(1)含过量杂质的运输;(2)未经买方书面批准,含来自 其它矿层煤炭的运输;(3)不符合规格的运输;(4)规定以外设备的运输;(5) 不符合采购订单质量规定的运输;(6)用化学品、热量、结合剂汽油或其它物质 处理的运输,无论其目的是否是另煤炭符合法规要求。若运输被拒绝,买方将从 卖方获得运输费的信用卡。若买方处于任何原因卸载煤炭,卖方应支付其余费用。

B.中止

除以上规定的拒绝权外,在下列情况下,买方有权口头或书面通知卖方立即 有权中止运输:(1)含过量杂质的运输;(2)未经买方书面批准,含来自其它 矿层煤炭的运输;(3)不符合规格的运输;(4)不符合采购订单质量规定的运 输;(5)用化学品、热量、结合剂汽油或其它物质处理的运输,无论其目的是否 是另煤炭符合法规要求。卖方接到通知后,应立即改正缺点。买方认为煤炭符合 协议要求后,应通知买方,买方有权检查煤炭。若证明不符合要求,买方有权允 许进一步决定,或奇效协议,寻求救济。

C.取消

除以上规定的拒绝和中止权,买方有权口头或书面通知卖方立即有权中止运 输:(1)含过量杂质的运输;(2)未经买方书面批准,含来自其它矿层煤炭的 运输;(3)不符合采购订单质量规定的运输;(4)不符合尺寸规定的运输;(5) 卖方涉嫌从事欺诈或非法活动;(6)用化学品、热量、结合剂汽油或其它物质处 理的运输,无论其目的是否是另煤炭符合法规要求。若买方取消协议或中止运输, 卖方应支付,买方关税或运输合同引起的运费。支付不应损害一方的其它权利。

除协议其它条款外,若买方在卸货、储存或燃烧卖方煤炭方面有困难,影响 有效利用,那么,买方有权书面通知卖方取消煤炭交货。若由于操作问题导致协 议取消,卖方无需承担以上提到的运费。

  • .不可抗力

这里的不可抗力指超过双方控制范围的合理原因,事件可能阻止开矿、装货 或交货或买方在目的地工厂卸货、储存、燃烧煤炭。超过双方合理控制范围的不 可抗力事件如下:上帝行为、公共敌人行为、起义、暴乱、罢工、工人纠纷、停 工、火灾、爆炸、洪水、电力过失、交通意外、禁运、政府法令(包括城市或乡 镇法令、行政管理或法规、立法机关法案、美国国会法案、司法裁决、政府当局 法令)或军事,但是,处于协议目的,不可抗力不包括对卖方开矿收益有不利影 响的经济情况,卖方疏忽构成失误、影响开矿的地质情况,或工人生产率降低。

若由于不可抗力,买方或卖方未能履行协议义务,而且这一方及时给另一方 不可抗力情况的书面通知,那么在不可抗力持续期间,发通知方的义务和另一方 的相应义务应该中止,但是,遇到不可抗力情况的一方应尽快消除引发这一情况 的事件,除非一方能自行解决罢工问题。由于不可抗力或中止运输未能到达,买 方可自行决定取消或继续这一运输,但是,若不可抗力情况导致协议义务中止达 到协议期限的30%,向卖方发出书面通知终止协议。

  • .独立承包人

双方一致同意卖方是独立承包人,而不是买方的机构或雇员。卖方可雇佣、 知道、控制、管理、支付其雇员,买方无权控制或管理这些雇员。

  • .赔偿

卖方同意保护、赔偿买方,使其免受南方公司、其子公司及其雇员和代表的 责任。公司要承担以下责任:财产损害、人员受伤或死亡、卖方履行协议引起或 与其有关的破坏、受伤或死亡、

  • .适用法律、论坛选择与弃权

与协议的执行、履行或违约有关的问题应由目的地工厂所在州的法律解决。

一方反对另一方的诉讼、起诉应被带到这一国的州或联邦法庭。双方应接受诉讼 法庭的专有审判。除法律或横衡平法提供的救济外,协议中的救济应累计。双方 未能严格履行协议,或利用权力,不应视为对条款或权力的弃权。

  • .卖方违约

卖方最终支付时,或卖方违约时,除法律或衡平法提供的救济外,买方有权 立即取消协议、中止买方义务、并弥补卖方欠买方的总额、

若买方未能交出协议要求的煤炭总量,其讲承担交货成本费用(包括运费和 硫释放津贴)。买方可自行决定交货成本,并将其应用到卖方未能交货的吨数上。 买方有权弥补吨数差额引起的总额。

若买方没有提前发出书面更改订单,来自原产地而非采购订单规定地点的运 输将构成违约,买方可从离岸价中扣除费用:

a.若卖方从采购订单制定工厂发货,买方将支付费用;

b.若卖方向采购订单制定工厂发货,买方将支付费用;

c.偿还中(—)% (一)的离岸价

若没有买方批准,卖方运输量超过采购订单规定数量,

卖方支付总额或从支付中扣除的总额,是对卖方损害的提前估计,这些条款 将不会作为罚金。

  • .特殊条款

当与此处其它条款冲突时,应优先考虑采购订单中的特殊条款。

  • .服从法律

A.买方是与美国政府管理有关的服务合同下的承包人。卖方同意联邦收购条 款指以下几点,包含或构成本合同的一部分。卖方应遵守本合同,若合同及其履 行环境要求买方以下几点:(1) 52.203-6政府分包销售限制;(2) 52.203-7返 回扣程序;(3) 52. 291-8妇女拥有小企业分包商;(4) 52. 219-9小企业分包商; (5) 52. 222-26 等同机会;(6) 52. 223-2 清洁空气和谁;(7) 52. 223-14 有毒 化学物释放报告。当需要时,买方应提供以上条款的全部文本作为参考。

B.卖方保证不阻止暂停买方,作为合同方或分包商,对任何部门、机构或美 国政府的其它部门。

  • .任务

没有买方书面通知,不能不知协议中卖方的义务,同意不应被物理拒绝。分 配义务之前,未能获得买方书面同意将导致协议的立即取消。

允许支付任务,若卖方向买方发出书面通知,并提供45天的拖延,从下一个 支付日开始,应进行核实和继续。

  • .机构

买方指定南方服务公司作为其机构,接受协议或允许通知,并管理协议。

铁路车限重须符合两个标准;设计限制和铁路标准。若可以,铁路车赢装在 到视觉容量装满为止,但不应超过以下两个标准:

  • .所有设计的铝铁车应在铁路上承担最大净重为286, 000磅的重量。

所有涉及的私有钢铁路车应在铁路上承担最大净重为272, 000磅的重量.

除非铁路公司另有规定,铁路拥有的铁路车必须装载到与模板重量相一致的 重量。

  • .除第一条的一般约束,所有铁路车应装载到视觉容量装满为止,但要在每 辆车的最大装载限度之内。以下规定了南方电力系统生产铁路公司的最大装载限 度。

附录三术语表

1assignment委派
2bill of lading提货单
3bituminous coal生煤
4delivery交货
5default未履约
6demurrage滞期费
7dump truck自动倾卸卡车
8dump trailer翻斗挂车
9equivalent price等效价格
10f. o. b装运港船上交货价即离岸价
11force majeure不可抗力
12facility设施
13general provisions总则
14GWR铁路承担的总重量
15letter agreement书面协议
16loading装货
17monthly quantity月度数量
18marrow核心
19offer报价
20original正本
21purchase order购货单
22purchaser’s properties买方区域(阿拉巴马州)
23railcar铁路车
24rail carrier铁路承运人
25subject matter标的物
26sampling抽样
27suspension中止
28shipment载货量
29shipping notice装船通知
30terminate终止
31unloaded卸载
32unit train火车皮

 

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