2012-CISG Convention

单击此处编辑母版标题样式,单击此处编辑母版文本样式,第二级,第三级,第四级,第五级,2011-3-9,#,Chapter One Contracts for International Sales of Goods,CISG as the Legal Basis,Contents,I.,Application of CISG,II. Major Obligations of Seller,and Buyer,III. Breach of Contract and Legal Remedies,IV. Passing of risks,V. Exemptions,2,1. General Rule of Application of CISG,2. Application of CISG In ChinaLaw & Practices,3. Some considerations to the application of CISG,3,I. Application of CISG,Article 1 (1) : This Convention applies to contracts of sale of goods between parties whose places of business are in different States:,(a) when the States are Contracting States; or,(b) when the rules of private international law to the application of the law of a Contracting States.,根据各国法院的判例，营业地为事实上从事营业活动的地方；营业地指“当事人真正做生意的地方，这要求有一段持续期间，一定的稳定性以及一定程度的自主性。,联络处不能被视为是公约意义上的营业地。,4,1. General Rule of Application-a,美国捷超公司与江苏省五金矿产公司购销合同纠纷案中，一审法院认为，“捷超公司系在美国注册的企业，五矿公司与捷超公司在销售热搪钉的业务中,双方之间系国际货物买卖合同关系。本案的处理应适用中国法律。根据中国法律，应确认该国际货物买卖合同关系合法有效，当事人均应遵照履行。”,江苏省高级人民法院二审判决：“本院认为，捷超公司与五矿公司,应认定双方之间已成立国际货物买卖合同。双方在本案审理过程中，对适用中国法律均未提出异议，因此本案应依据中国法律进行判决。”,-,江苏省高级人民法院民事判决书,(2000),苏经终字第,380,号,Required: Did the courts correctly apply the law?,5,1. General Rule of ApplicationCase 1,一家中国内地外贸公司与一家依据香港法在香港注册的公司（投资者是美国公司）签订一份金属硅买卖合同，中国公司是卖方，香港公司是买方。,合同的首要条款载明该香港公司的营业地址位于美国（即在美国投资者的住所地）；全部洽谈合同的过程和合同的履行均发生在美国；因履行合同发生纠纷，双方所进行的交涉发生在中国和美国之间；买卖合同未约定法律适用条款；发生纠纷后亦未就法律适用问题达成协议。,问题：应适用什么法律解决本案的纠纷？,6,1. General Rule of ApplicationCase 2,1. General Rule of ApplicationCase 3,江苏省高级人民法院判决：,（一）因本案卖方是卢森堡的公司，故本案属于涉外民事纠纷。由于双方在合同中没有约定选择处理合同争议所适用的法律，根据,中华人民共和国民法通则,第一百四十五条第二款之规定，本案应适用与合同有最密切联系的国家的法律。,本案所涉合同的买方是中国法人，合同亦是在路达公司与阿贝德公司驻中国代表处之间签订的，合同签订地在中国。路达公司的进口代理人海企公司开出信用证的行为构成履约行为，而该行为也发生在中国。因此，与合同有最密切联系的国家的法律应是中国法律。,在本案一审过程中，原告路达公司以中国法律为依据提起诉讼，被告阿贝德公司亦引用中国法律进行抗辩。在一审法院依据,中华人民共和国合同法,作出判决后，阿贝德公司和路达公司在二审过程中也未对适用中国法律提出任何异议，应视为双方对此已经共同接受。因此，本案应当适用中国法律。,江苏省高级人民法院（,2001,）苏民二终字第,237,号,7,8,美国恒达食品有限公司与日照市水产集团总公司购销合同纠纷,中华人民共和国山东省日照市中级人民法院 民事 判决书,本院认为，原告与被告签订的成交确认书和与被告对成交确认书内容的部分变更均合法有效。该批冻虾经,FDA,检验后被拒绝入关，原告有权依约定退回冻虾并索要货款及相关费用，原告并有权要求被告赔偿包括可得利润和利息在内的损失。冻虾被退回青岛港后，两被告有义务接收，虽然被告要求原告提供检验、退关文件正本理由正当，但被告以对文件持疑为由而不赎单提货，又未采取其它积极措施避免冻虾价值灭失，应对此负一定的责任。原告虽依,联合国国际货物销售合同公约,的规定有权保有货物，但同时也负有保全货物的义务。,被告未及时采取合理措施，放任损失的扩大，对此负主要责任。原告关于被告偿付货款等款项及赔偿损失的诉讼主张合法，应予支持。被告关于原告应对冻虾退回后价值灭失承担责任的答辩理由成立，应予采纳。依照,中华人民共和国涉外经济合同法,第,18,条、第,19,条、第,22,条、第,23,条，最高人民法院,关于适用,涉外经济合同法,若干问题的解答,第,6,条第,1,款、,联合国国际货物销售合同公约,第,86,条第,1,款、第,88,条的规定，判决如下,：略,（,1997,）日经初字第,29,号,1. General Rule of ApplicationCase 4,仲裁庭意见,（一）关于本案法律适用问题,本案申请人的营业地为美利坚合众国，第一被申请人和第二被申请人的营业地均为中华人民共和国。美国和中国均于,1986,年,12,月,11,日参加了,1980,年,联合国国际货物销售合同公约,（以下简称,销售合同公约,），该公约于,1988,年,1,月,1,日起对美国和中国生效。根据,销售合同公约,第一条第一款（,a,）之规定，该公约适用于营业地位于不同缔约国当事人之间所订立的销售合同。,本案当事人所签订的订单合同的交易标的为螺纹道钉，系一种货物，故合同性质属于国际货物销售合同；本案当事人所签订的合同既未约定解决争议应适用的法律，亦未约定排除适用,销售合同公约,。因此，根据上述,销售合同公约,第一条第一款（,a,）项之规定，仲裁庭认定应适用该公约之规定解决本案所涉及的系争合同项下的争议。,9,Clout Case number: 152France: Court of Appeal of Grenoble (Commercial Division) , 26 April 1995,SellerFrench CoCISG Signatory,BuyerPortugal CoNon-signatory,Sales Contract without applicable law agreed,The French court held:,T,he CISG should be applied because since 1 January 1988, the French domestic law applicable to international sales was the Vienna Convention of 11 April 1980.,10,1. General Rule of Application-b,11,1. General Rule of Application-c,French Law,Sales Contract,Portugal,Company,French,Company,CISG,CISG does not apply to various contracts as stipulated in Article 2 of CISG.,CISG cannot be applied to resolve the disputes relating to the validity of contracts; the effect on the property in goods; the liability of the seller for death or personal injury caused by the goods to any person.,In ratifying the CISG, any State may declare the reservation to Paragraph 1 (b) of Article 1 of CISG Convention, so as to avoid the application of CISG to the contract of a nonsignatory of CISG.,The parties may exclude the application of CISG or, subject to Article 12, derogate from or vary the effect of any of its provisions. This means that the application of CISG is not mandatory.,12,1. General Rule of Application-d,The first issue to be decided before examining the Conventions substantive, international and territorial sphere of application is that of its relationship to the private international law rules of the forum. This is necessary, as both the Convention and the private international law rules deal with international contracts. According to case law, before resorting to the private international law rules of the forum, courts of Contracting States have to look into whether the Convention applies; in other words, recourse to the Convention prevails over recourse to the forums private international law; since as a substantive law convention the CISGs rules are more specific and lead directly to a substantive solution whereas the private international law approach requires a two-step approach (identification of the applicable law and application thereof).,13,UNCITRAL Digest on the CISG,United Nations A/CN.9/SER.C/DIGEST/CISG/1,本公约优先于对国际私法的援用,：,在分析本公约实质性、国际和地域适用范围之前，需要确定的第一个问题是本公约和法院地国际私法规则两者之间的关系。鉴于本公约和国际私法规则都规范国际合同，明确两者之间的关系很有必要。根据判例法，缔约国法院在诉诸法院地的国际私法规则之前，必须先审查本公约是否适用；换言之，即对本公约的适用优先于对法院地的国际私法规则的适用。因为作为一部实体法公约，公约的规则更加具体，并能直接带来实质性解决办法，而国际私法规则要求采取两步走的方法。,14,UNCITRAL Digest on the CISG,United Nations A/CN.9/SER.C/DIGEST/CISG/1,1987,年,12,月,10,日，中国最高人民法院在,转发对外经济贸易合作部,关于执行联合国国际货物贸易销售合同公约应注意的几个问题,的通知,中指出：,“,我国政府既已加入了公约，也就承担了执行公约的义务。因此，根据公约第,1,条（,1,）款的规定，自,1988,年,1,月,1,日起，我各公司与上述国家（匈牙利除外）的公司达成的货物买卖合同如不另作法律选择，则合同规定事项将自动适用公约的有关规定，发生纠纷或诉讼亦得依据公约处理。故各公司对一般的货物买卖合同应考虑适用公约，但公司亦可依据交易的性质、产品的特性以及国别等具体因素，与外商达成与公约条文不一致的合同条款，或在合同中明确排除适用公约，转而选择某一国的国内法为合同适用法律。,”,民法通则,第,142,条第,2,、,3,款：“,中华人民共和国缔结或者参加的国际条约同中华人民共和国的民事法律规定有不同规定的,，适用国际条约的规定，但中华人民共和国声明保留的条款除外。中华人民共和国法律和中华人民共和国缔结或者参加的国际条约没有规定的，可以适用国际惯例。”,15,2. Application of CISG in China-a,CISG,第,14,条：向一个或一个以上特定的人提出的订立合同的建议，如果十分确定并且表明发价人在得到接受时承受约束的意旨，即构成发价。,Contract Law,第,14,条：要约是希望和他人订立合同的意思表示，该意思表示应当符合下列规定：,(1),内容具体明确；,(2),表明经受要约人承诺，要约人即受该意思表示约束。,16,Comparison on CISG & Contract Law-a,CISG,第,16,条（,1,）：在未订立合同之前，要约得予撤销，如果撤销通知于受要约人发出承诺通知之前送到受要约人。（,2,）但在下列情况下，要约不得撤销：,(a),要约写明接受要约的期限或以其他方式表明要约是不可撤销的；,(b),受要约人有理由信赖该要约是不可撤销的，而且受要约人已本着对该项要约的信赖行事。,Contract Law,第,18,条：要约可以撤销，撤销要约的通知应当在受要约人发出承诺通知之前到达受要约人。,第,19,条：有下列情形之一的，要约不得撤销：,（一）要约人确定了承诺期限或者以其他形式明示要约不得撤销；,（二）受要约人有理由认为要约是不可撤销的，并已经为履行合同作了准备工作。,17,Comparison on CISG & Contract Law-b,CISG,第,74,条：一方当事人违反合同应负的损害赔偿额，应与另一方当事人因他违反合同而遭受的包括利润在内的损失额相等。这种损害赔偿额不得超过违反合同一方在订立合同时，依照他当时知道或理应知道的事实和情况，对违反合同预料到或理应预料到的可能损失。,Contract Law,第,113,条：当事人一方不履行合同义务或者履行合同义务不符合约定，给对方造成损失的，损失赔偿额应当相当于因违约所造成的损失，包括合同履行后可以获得的利益，但不得超过违反合同一方订立合同时预见到或者应当预见到的因违反合同可能造成的损失。,18,Comparison on CISG & Contract Law-c,CISG,Article 66-70: passing of risks,Article 73: installment,Article 77: obligation to mitigate the loss,Contract Law,第,142-146,条,:,风险转移,第,166,条：分批交付标的物,第,119,条：防止损失扩大的义务,19,Comparison on CISG & Contract Law-d,China has declared the reservation toward Article 1 (1) (b) of the CISG in accordance with Article 95 of CISG.,The application of CISG as a whole constitutes the legal obligation under an international treaty. Does Article 142 of Civil Law of China lay down the legal basis for the application of CISG?,Considering the adoption of the Contract Law, China should withdraw the reservation with respect to the application of CISG by rules of private international law.,20,3. Some considerations to the application of CISG-a,What is the legal effect of the declaration by a Contracting State in acceding to a treaty?,Is the CISG a kind of law that may be chosen by the parties to a contract for international sales of goods?,The places of the both parties to a contract are Non-signatory of the CISG but they mutually agreed upon the CISG to be the applicable law. Should the Chinese court apply CISG to resolve the dispute?,Can an international treaty in a commercial character be chosen by the parties as applicable law?,21,3. Some considerations to the application of CISG-b,22,II.,Major Obligations of Seller and Buyer,1,Major Obligations of Seller,2,Major Obligations of Buyer,Art. 30 of CISG,Delivery of the goods,Hand over documents relating to the goods,Transfer the property in the goods,Article 31-42 of CISG,Details of the obligations,23,1. Major obligations of seller,Conformity of goods (besides the delivery of goods at the time and place as agreed),The goods shall conform with the contract;,The goods shall be fit for the purpose of ordinary use;,The goods shall be fit for particular purpose of use,Comparison with common law system: merchantable & merchantable for particular purpose,warranty to property in the goods,warranty to industrial property,24,Major obligations of seller,delivery of goods,Buyers right to exam goods Art. 38-39,Sellers obligation to deliver the goods and Buyers right to exam the goods,Criteria of examination, institute of examination, method of examination, time of examination and place of examination,Buyers obligation to give notice with respect to the non-conformity of the goods and the rules of prescription,passing of risks vs. sellers obligation to hand over the goods in conformity with the contract,25,Major obligations of seller,delivery of goods,Differences between L/C based transactions and other forms of trade payment in handling over documents,Obligation in handing over documents under sales contract and obligation in handing over the documents under L/C,26,Major obligations of seller,Hand over documents,Sellers obligation to transfer the property in the goods and its relation to Article 4 of CISG (,CISG is not concerned to the effect which the contract may have on the property in the goods sold,),Sellers obligation to deliver goods which are free from any right or claim of a third party based on industrial property or other intellectual property,27,Major obligations of seller,Transfer the property in the goods,Art. 53 of CISG,Paying the price for the goods,Taking over the goods,Article 54-65 of CISG,Details of the obligations,28,2. Major obligations of buyer,Taking steps to enable payment to be made and pay the price and the importance of this obligation,Please give your comments on the following statement:,(,买方的付款义务包括付款准备和实际付款两方面,),这些准备步骤包括申请信用证或者银行的付款保证，在实行外汇管制的国家，获得必要的外汇及将货款汇出的政府许可等。应该指出的是，公约只规定买方应依合同或有关规定的要求采取这些步骤，并没有要求买方保证其努力的结果，例如保证一定获得政府的批准。因此，买方的此项义务不是绝对的，只要买方已采取了一切合理的步骤，但是由于其不能控制的障碍仍不能获得所需的批准时，依公约第,79,条的规定，买方可以免除其责任。,国家司法考试辅导用书,2003-2004,年,29,Major obligations of buyer,Paying the price for the goods,taking over delivery and the right of buyer in examining the goods at the destination-Art. 38 of CISG,time limit for claim against the seller vs. the rules of prescription,taking over the goods vs. accept the goods by buyerdifferent legal nature,30,Major obligations of buyer,Taking over the goods,31,III.,Breach of Contract and Legal,Remedies,1,Fundamental,breach and avoidance of contract,2,Sellers breach and buyers legal remedies,3,Obligation,to mitigate the loss,4,Anticipatory breach of contract,5,Installment,contract,Fundamental Breach,Art. 25 of CISG,A breach of contract committed by one of the parties is fundamental if it results in such Detriment to the other party as substantially to deprive him of what he is entitled to expect under the contract, unless the party in breach did not foresee and a reasonable person of the same kind in the same circumstances would not have foreseen such a result.,Detriment covers the damage to the goods and the loss of commercial interests which are resulted from the breach of contract.,32,1. Fundamental breach and avoidance of contract,Legal consequence of the fundamental breach of contractthe declaration of the avoidance of contract,Restrictions on the party to declare the avoidance of contractno other legal remedies in contradiction to the avoidance may be taken simultaneously,Legal requirement for declaring the avoidancegiving notice to the other party,33,1. Fundamental breach and avoidance of contract,Sellers breach of contractnon-delivery of goods, non-conformity of goods, defects in documents, defects in the property of the goods, etc.,The various tests adopted by foreign courts in determining the nature of breach of contract by Sellerfundamental breach or non-fundamental breach:,Merchantable of the goods with defects,Reparable of the goods with defects,An offer to cure by the seller,34,2. Sellers breach and buyers legal remedies,Article 77 of CISGA party who relies on a breach of contract must take such measures as are reasonable in the circumstances to mitigate the loss, including loss of profit, resulting from the breach. If he fails to take such measures, the party in breach may claim a reduction in damages in the amount by which the loss should have been mitigated.,35,3. Obligation to mitigate the loss,Anticipatory breach of contract under CISG and the demur right of advance performance under Art. 68 of Contract Law of China,Pre-condition to claim anticipatory breach,circumstances to be met as set forth under Art. 71,suspension the performance by the party to claim anticipatory breach,giving notice as a legal requirement before his suspension of performance,continuing performance if a secure being provided,36,4. Anticipatory breach of contract,Delivery of goods by installments,To declare the contract avoided to a specific installment if the other partys breach constitutes a fundamental breach,To declare the contract avoided to future installments if the party has good grounds to conclude that a fundamental breach will occur with respect to the future installments,To declare the contract avoided the whole contract, the deliveries already made or the future deliveries, if goods being interdependent,37,5. Installment contract,Delivery of goods by installments,To declare the contract avoided to a specific installment if the other partys breach constitutes a fundamental breach,To declare the contract avoided to future installments if the party has good grounds to conclude that a fundamental breach will occur with respect to the future installments,To declare the contract avoided the whole contract, the deliveries already made or the future deliveries, if goods being interdependent,38,5. Installment contract,A Chinese seller, based on the sales contract, delivered 6 shipments of garments to an Italian buyer during the period from May to June 1998. Upon arrival, the goods were found to be below the quality requirements of the sales contract. After a serious discussion, the two parties reached an agreement to the effect that each piece of garment of the first 6 shipments would reduce USD 1.00/piece as a settlement.,In July 1998, the Chinese seller was prepared for the delivery of the 7,th,shipment and sent some samples of the goods to CCIB (China Import & Export Commodities Inspection Beaux) for export inspection. As seller was shortage of export quota and was seeking them in the market and the Italian buyer had not yet issued the L/C, the seller did not pay the inspection fee. Therefore, the samples were kept in CCIB office, without inspection.,39,Installment contract-1,On July 20, 1998 the Italian buyer declared the avoidance of the sales contract on the grounds that its customer (the end userItalian Oil Company) refused to accept the goods because of the defects found in the first six shipments.,On August 10, 1998, the Italian buyer obtained a copy of the certificate of inspection from CCIB, showing that the goods of the 7,th,shipment contained serious quality defects.,In November, the Italian buyer filed an arbitration request against the Chinese seller, based on the arbitration clause in the contract, and claimed for damages for USD1,000,000.,The claims in the arbitration application did not specify the nature of the damages.,40,Installment contract-2,Upon receipt the notice of arbitration, the Chinese seller brought a counter-claim for RMB 2 million yuan against the Italian buyer, on the grounds that the buyer refused to open L/C for the 7,th,to 10,th,shipments and avoided the contract without due reasons.,Question: What is your conclusion with respect to this dispute under the CISG?,41,Installment contract-3,42,IV. Passing of risks-1,Risk means casualty ( natural disaster or accident not attributable to the parties) to the goods may occur in various settingswhile the seller holds before delivering them to a carrier or buyer, while the goods are in transit, while the buyer is examining the goods, while the buyer holds the goods after rejecting them.,Passing of risks is to resolve the legal issues as to the allocation of the risks of loss.,Passing of risks is not only a set of rules under the contract law, but also a rule in international trade practices.,Art. 9 of CISGThe parties are bound by any usage to which they have agreed and by any practices which they established between themselves.,43,IV.,Passing of risks-2,Passing of risks does not affect sellers obligation to hand over the goods in conformity with the contract. (Art. 36),Loss or damage to the goods after the risk has passed to the buyer does not discharge him from his obligation to pay the price. (Art. 66),44,IV. Passing of risks-3,Time of passing of risk,Risk passes to buyer when the goods are handed over to the first carrier if involving transportation,Risk passes to buyer when the goods are handed over to the carrier at the particular place as set forth in the contract,Risk passes to buyer at the time of the conclusion of contract with respect to the goods sold in transit,45,V.,Exemption,Impediment beyond control vs. force majeure,Failure to perform by the third person,Procedural requirements for a party to declare exemption,46,1.,Impediment Beyond Control,Impediment beyond contract refers to the various circumstances under which a person could not reasonably be expected to have taken into account at the time of the conclusion of the contract or to have avoided or overcome them or their consequences.,47,中国买方,新加坡卖方,甲醇生产商,天然气供应商,甲醇,不可抗力,天然气污染导致甲醇生产商的设备故障,卖方能否免责？,48,2.,Failure to perform by the third person,The third person is exempted under circumstances as provided under Paragraph 1, Art. 79 of CISG,The third person has engaged to perform the whole or a part of the contract.,Paragraph 2, Art. 79 of CISG does not apply when the seller acquired the goods from a “Supplier”.,Comparison with Art. 121 of the Contract Law,49,3.,Procedural requirements for a party to,declare exemption,The party who fails to perform must give notice to the other party of the Impediment and its effect on his ability to Perform.,Force majeure does not certainly result in the discharge of partys obligations to perform.,Failure to doing so will give rise to the liability by the party concerned.,