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 PublicdomainImage 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 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 Whenonepartybreaches theotherpartymayavoidthecontractormakeademandforspecificperformance Abreachofcontractcommittedbyoneofthepartiesisfundamentalifitresultsinsuchdetrimenttotheotherpartyassubstantiallytodeprivehimorherofwhatheorsheisentitledtoexpectunderthecontract Theinjuredpartymayusetheremedyofavoidancebynotifyingtheotherpartyandreturninganygoodsalreadyreceived InvoiceusedinTaiwanPhoto CC BY 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 BY 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 sremediesarebothcumulativeandimmediate Theremed