国际商法CHAPTER 10.ppt

10 1 CHAPTER10 SALES 10 2 CHAPTER10SALES Topicsforthischapter UNConventiononContractsfortheInternationalSaleofGoods CISG TransactionsCoveredinCISGContractualIssuesExcludedfromCoverageofCISGInterpretingCISGInterpretingSalesContractsFormationoftheContractGeneralStandardsforPerformanceSeller sObligationsThePassingofRiskRemediesExcusesforNonperformance 10 3 UNConventiononContractsfortheInternationalSaleofGoods TheCISG adoptedin1980 incorporatesrulesfromallthemajorlegalsystems Itprovidesacceptedsubstantiverulesonwhichcontractingparties courts andarbitratorsmayrely Ithasbeenratifiedby72countries buthasnotbeenratifiedbyBrazil Japan India andtheUK Japanisexpectedtoratifyitin2008 10 4 TransactionsCoveredinCISG CISGappliestocontractsforinternationalsaleofgoods Thebuyerandsellermusthavetheirplaceofbusinessindifferentstates Either Bothofthestatesmustbecontractingpartiestotheconvention orTherulesofprivateinternationallawmustleadtotheapplicationofthelawofacontractingstate AratifyingstatemaydeclarethatitwillapplyCISGonlywhenthebuyerandsellerarebothfromcontractingstates 10 5 OptingInandOut PartiestoacontractmayexcludeormodifyCISG sapplicationbyachoice of lawclause Achoice of lawclauseisacontractualprovisionthatidentifiesthelawtobeappliedintheeventofadisputeoverthetermsortheperformanceofthecontract 10 6 Case10 1 AsanteTechnologies Inc v PMC Sierra Inc Issue DoestheU S federalcourthavejurisdictionanddoesCISGapplytothiscontract ThecourtdeterminedthepartieswerefromdifferentstatesandCISGappliestocontractsbetweensuchparties ThepartiesdidnotoptoutoftheCISGanditwasthecontrollinglaw 10 7 SalesDefined Asaleistheexchangeofgoodsforanamountofmoneyoritsequivalent TheCISGdoesnotdefinesales butvarioussectionspresentthesamedefinitionasmanydomesticlaws suchastheU S UCC whichdefinesasaleasthe passingoftitlefromthesellertothebuyerforaprice ThegoodsprocessedthroughthePortofVancouver B C arelikelybeingshippedundercontractscontrolledbytheCISG Photo Publicdomainhttp commons wikimedia org wiki Image PortOVan jpg 10 8 GoodsDefined Agoodisamoveable tangibleobject ForthepurposesoftheCISG goodsdonotincludethingsboughtforpersonaluseoratanauctionorforeclosuresale normaytheybeocean goingvesselsoraircrafts ThesecandlesmayormaynotbeagoodunderCISGdependinguponwhethertheyaresoldtoindividualconsumersorsoldinbulktoaretailerforresale Photo Usedwithpermissionoftheauthorfrompersonalarchive 10 9 MixedSales Sellerofgoodsoftenfurnishesserviceswhendeliveringaproduct CISGlooksuponmixedsalesandservicecontractsassalesofgoods unlessthepreponderantpartoftheobligation oftheseller consistsinthesupplyoflabororotherservices 10 10 ContractualIssuesExcludedFromtheCoverageofCISG CISGonlydealswith Theformationofthecontract andTheremediesavailabletothebuyerandseller CISGexcludesquestionsabout thelegalityofthecontract thecompetencyoftheparties therightsofthirdparties andliabilityfordeathorpersonalinjury 10 11 Preemption IfCISGappliestoaparticularcontractualissue domesticlawispreempted RemediesprovidedinCISGaretheonlyremediesavailable Preemptionhelpstofulfillthegoaloftheconventiontoestablishuniformrulesforinternationalsalescontracts TheonlypermissibleremedyforadefectivesawistheoneprovidedbyCISGwhenthereisaninternationalsale Photo publicdomainSource http www osha gov SLTC etools woodworking radial html 10 12 InterpretingCISG TointerpretCISG acourtistoconsider theinternationalcharacteroftheconvention theneedtopromoteuniformityintheconvention sapplication andtheobservanceofgoodfaith TheCISGimpliesthatacourtmayonlyusetheplainmeaningofthelanguageoftheconvention Courtsmayalsolookthetravauxpreparatoriesorlegislativehistorytodetermineintent 10 13 InterpretingCISG GeneralPrinciples CISGcallsforcourtstolooktothegeneralprinciplesonwhichtheconventionisbasedwheninterpretingitsprovisions Twoofthesuggestedprinciplesare Apartytoacontracthasthedutytocommunicateinformationneededbytheotherparty andPartieshavetheobligationtomitigatedamagesresultingfromabreach 10 14 InterpretingSalesContracts Acontractissaidtobeformedonlywhenthepartieshaveameetingoftheminds Thissubjectiveintentapproachsaysthatcontractsshouldbeinterpretedaccordingtotheactualintentandunderstandingofthepartiesatthetimetheymadetheiragreement CISGsayscourtsaretousesubjectiveintentonlyiftheotherpartykneworcouldnothavebeenunawareofthespeaker sintent Ifintentisunclear courtsuseobjectiveintent 10 15 Negotiations Whenacourtistodetermineintent CISGdirectsthatdueconsiderationbegiventoallrelevantcircumstances including thenegotiationsleadinguptothecontract thepracticesthatthepartieshaveestablishedbetweenthemselves andtheparties conductaftertheyagreetothecontract CISGdoesnotapplythetechnicalrulesthatdomesticcourtsusetointerpretcontracts suchastheparoleevidencerule 10 16 PracticesandUsages Partiesareboundbyanypracticeswhichtheyhaveestablishedbetweenthemselves Acourtisallowedtoconsideranyusagesthatthepartiesagreedto Ausageisthecustomarymethodofperformingoractingthatisfollowedbyaparticulargroupofpeople suchaspeoplewithinaparticulartrade CISGletsacourtconsider ausageofwhichthepartieskneworoughttohaveknownwhichininternationaltradeiswidelyknownto andregularlyobservedbypartiestocontractsofthetypeinvolvedintheparticulartradeconcerned 10 17 Case10 2 TreibacherIndustrie A G v AlleghenyTechnologies Inc DefendantTDYenteredintoconsignmentcontractswithTreibacher thenrefusedshipmentwhenitfoundacheapersupplier Courthadtointerpret undertheCISG thewordconsignment Issueturnedonwhetherthatwordshouldbeinterpretedaccordingtoitsmeaningbasedonthe courseofdealings or customaryusageintrade Courtappliedcourseofdealingsandawarded 5 327 042 10 18 Form TheCISGstatesthatacontractforsaleneednotbeconcludedinorevidencedbywritingandisnotsubjecttoanyotherrequirementsastoform Itmaybeprovedbyanymeans includingwitnesses However CISGauthorizesacontractingstatewhoselegislationrequirescontractsofsaletobeconcludedinorevidencedbywritingtomakeadeclarationatthetimeofratificationtheCISGprovisiondoesnotapplywhereanypartyhashisorherplaceofbusinessinthatstate 10 19 FormationoftheContract TheOffer Acontractisformedwhenanoffertobuyorsellagoodisaccepted Anofferisaproposalbyonepersontoanotherindicatinganintentiontoenterintoacontractunderspecificterms Tobeavalidoffer theofferormustcommunicateanintentiontobebound Aproposalissufficientlydefiniteifitindicatesthegoodsandexpresslyorimplicitlyfixesormakesprovisionfordeterminingthequantityandprice 10 20 EffectivenessofanOffer Anofferbecomeseffectiveonlyafteritreachestheofferee aspecificpersonaddressedintheoffer Offerscanbewithdrawnbeforetheyreachtheofferee Offerscanberevokedanytimebeforetheoffereedispatchesanacceptance Afirmofferisanofferthattheofferorpromisestokeepopenforafixedperiodoftime 10 21 Acceptance Acontractcomesintoexistenceatthetimetheofferisaccepted Anacceptanceisastatementofconductbytheoffereeindicatingassentthatiscommunicatedtotheofferor Silencedoesnotconstituteacceptance Acceptancemustbereceivedwithinthetimeperiodspecifiedintheoffer Ifnotimeperiodisgiven acceptancemustbereceivedwithinareasonabletime Acceptanceiseffectivewhenreceivedbyofferor 10 22 Case10 3 UnitedTechnologiesInternational Inc v MagyarLegiKozlekedesiVallalat Plaintiffofferedtosellaircraftenginestodefendantatspecifiedpricesinaquantitytobeselectedbythedefendantdependinguponhowmanyplanestheypurchased Defendantssentacceptance Termrequiringgovernmentapprovalwasnotaconditionprecedent Anenforceablecontractwasformed 10 23 AssentbyPerformanceofanAct Withdrawal andRejection Iftheofferorasksforperformanceofanactratherthantheindicationofacceptance theacceptanceiseffectivewhentheactisperformed Anoffereemaywithdrawhis heracceptanceanytimebeforeorsimultaneouswithitsreceipt Arejectionbecomeseffectivewhenitreachestheofferor Iftheoffereesendsbothanacceptanceandarejection theonethatreachedtheofferorfirstwouldbegiveneffect 10 24 AcceptanceWithModifications Iftheacceptancemodifiessomeofthetermsoftheoffer thereisacounterofferinsteadofanacceptanceiftheseinconsistenciesare material UndertheCISG additionaltermsordifferenttermsrelating amongotherthings totheprice payment qualityofthegoods place andtimeofdelivery extentofoneparty sliabilitytotheother orthesettlementofdisputesareconsideredtoalterthetermsoftheoffermaterially 10 25 Case10 4 Filanto SPAv ChilewichInternationalCorp ChilewichwassupplyingbootstoaRussiancompanythatwerebeingmadebyFilanto ChilewichmadereferencetoanarbitrationclauseintheRussianContractwithChilewich FilantofailedtoobjecttotheincorporationbyreferenceoftheRussianContractinatimelyfashion Thearbitrationclausebecomepartofthecontract requiringarbitrationinMoscow 10 26 FundamentalBreach InvoiceusedinTaiwanPhoto CC BYhttp commons wikimedia org wiki Image Invoice TW front JPG 10 27 RequestsforSpecificPerformance Aninjuredpartymaybeabletorequestspecificperformanceiftheotherpartyisinbreach Specificperformanceisacourtorderdirectingapartytocarryouttheobligationsheorshehadcontractuallypromisedtodo Insomecivillawcountries apartyisentitledtorequireperformance IntheUS specificperformanceisgrantedifthegoodsareuniqueandcannotbeobtainedelsewhere 10 28 Seller sObligations Asellerisrequiredto deliverthegoods handoveranydocumentsrelatingtothem ensurethatthegoodsconformtothecontract Theplacefordeliveryistheplaceagreedtointhecontract Otherwise itis thefirstcarrier splaceofbusiness ortheplacewherethepartiesknewthegoodswerelocatedorweretobemanufactured 10 29 TimeforDeliveryandTurningOverDocuments Selleristodelivergoodsonthedatefixedinthecontract Ifnofixeddate withinareasonabletimeaftertheconclusionofthecontract Attimeandplaceofdelivery sellermustturnoveranydocumentsrelatingtothegoodsthatthecontractrequires Ifdocumentsaredeliveredearly sellerhastherighttocureanydefectinthedocuments 10 30 ConformityofGoods Sellermustdelivergoodswhichareofthequantity quality anddescriptionrequiredbythecontractandarepackagedinthemannerrequired Goodsdonotconformunlessthey arefitforthepurposeofwhichgoodsofthesamedescriptionwouldordinarilybeused arefitforanyparticularpurposeexpresslyorimpliedlymadeknowntotheseller possessthequalitiesofgoodswhichthesellerhasheldoutforthebuyerasasample arepackagedinthesamemannerusualforsuchgoods 10 31 Third PartyClaims Waiver TimeforExaminingGoods andCuringDefects Goodsarenonconformingiftheyaresubjecttothird partyclaimssuchasownershipandrightsinintellectualproperty Thepartiesmaywaivetheconformityrequirement Buyhasanobligationtoexaminethegoodsfordefectswithinasshortaperiodasispracticableafterdelivery Buyerisobligatedtoinformthesellerofanydiscovereddefectwithinareasonabletime Ifasellerdeliversearly heorshemaycureanydefectuptotheagreedupondatefordelivery 10 32 Buyer sObligations Abuyerisrequiredto 1 paythepriceand 2 takedeliveryofthegoods Unlessadifferenttimeisspecified thebuyermustpaywhenthegoodsorthedocumentscontrollingtheirdispositionaredelivered Ifplaceofdeliveryisspecified paymentisalsomadethere Ifnoplaceofdeliveryisspecified thenbuyermustpayattheseller splaceofbusiness 9 33 Case10 5TheNaturalGasCase Theplaintiff aGermanycompany negotiatedtobuynaturalgasfromanAustrianpartnership ThedefendantwastoshipthepropanefromtheUStotheplaintiffinBelgium Theplaintiffwastoobtainaletterofcreditoncethedefendanttolditwherethepropanewastobeloaded Issue Hadthedefendantbreachedthecontractbyfailingtodeliverthepropaneorwasitsdutytoperformexcusedbytheplaintiffnotobtainingaletterofcredit 10 34 Case10 5TheNaturalGasCase Held Thebuyerwasexcusedfromopeningaletterofcreditbecausethedefendantneverprovidedthenecessaryinformationfortheletter Thebreachwasduetotheseller sfailuretomakeproperarrangementstoshipthegas 10 35 PassageofRisk Thelegalconceptofpassageorriskisthepointintimewhenthebuyerbecomesresponsibleforlossestothegoods Oncetheriskpasses thebuyermustpayforthegoods Eveniftheyaredamagedordestroyed CISGallowsthepartiestoallocateriskandspecifywhenriskwillpass Thepartiesusuallyshowpassageofriskthroughtheusageoftradeterms suchasFreeonBoard FOB orCost Insurance andFreight CIF SinkingshipintheStraitofGibraltar PhotoLic CC BYhttp commons wikimedia org wiki Image MV New Flame salvage jpg 10 36 MeansofDelivery Goodsmaybedeliveredbyacarrierorbytheseller Inshipment transshipment in transit anddestinationcontracts theriskoflosswillnotpassuntilthegoodsareclearlyidentifiedtothecontractbymarkingsonthegoods shippingdocuments ornoticegiventothebuyer Inashipmentcontractwheretheselleristodeliverthegoodstoacarrieranddoesnotrequirethatthesellerdelivertoaparticularplace theriskpasseswhenthegoodsarehandedovertothefirstcarrier 10 37 MeansofDelivery Ifthegoodsaretobedelivered FreeAlongsideShip FAS BigOcean NewYorkCity NY thesellerbearstheriskuntilthegoodsaredeliveredtoNYalongsidetheBigOcean Whenacontractrequiresthesellertoarrangetransportationtoaspecificdestination theriskoflossdoesnotpasstothebuyeruntilthegoodsarehandedoverorplacedathis herdisposalatthatplace WhenasellerinChinaagreestoacontractcontaininga DeliveredDutyPaid DDP LosAngeles California thesellerbearstheriskoftransportingthegoodstoLA 10 38 Buyer sRemedies Thebuyer sremediesarecumulative meaningtheyareabletobejoinedortakentogether Theremediesuniquetothebuyerare tocompelspecificperformance toavoidthecontract toreducetheprice torefuseearlydelivery andtorefuseexcessquantities 10 39 Buyer sRemedies ThebuyermayavoidacontractifeitherThesellercommitsafundamentalbreachorThebuyergivestheselleraNachfristnoticeandthesellerrejectsitordoesnotperformwithintheperioditspecifies Abuyer sNachfristnoticeisthefixingofanadditionalperiodoftimeofreasonablelengthforperformancebythesellerofhisorherobligations DuringtheNachfristperiod thesellerisentitledtocorrectorcurethenonconformityathisorherownexpense 10 40 Case10 6TheShoeSeller sCase Plaintiff anItalianbusiness contractedtosellshoestothedefendant aGermanbusinesswoman Theshoesweredeliveredlateandthedefendantcontendedtheywerenonconforming DefendantdidnotgiveaNachfristnoticeorattempttouseotherremediessuchaspricereduction Courtfoundnofundamentalbreachbytheplaintiff 10 41 ReductioninPrice Ifabuyerisnotentitledtodamageswhenasellerdeliversnonconforminggoods thebuyerwillbeentitledtoareductioninprice Thebuyermayreducethepriceinthesameproportionasthevaluethatthegoodsactuallydeliveredhadatthetimeofdeliverybearstothevaluethatconforminggoodswouldhavehadatthattime Theformulais 10 42 Seller sRemedies Theseller sremediesmirrorthoseofthebuyer Theseller sremediesarebothcumulativeandi