论CISG在一些国际商事案件中的应用(英文)

本文系作者根据其办理国际商事案的笔记整理撰写,主要涉及《销售公约》的适用、公约与内国法的互动、国际法优先、原《涉外经济合同法》第6条规定的缺陷及其对中国仲裁员的但他们却往往没有意识到的负面影响;作者还希图让同行注意澳大利亚学者Marcus S Jacobs在其专门为中国同行撰写的文章中对《销售公约》适用的见解。     

Contract Negotiations and the Common Law: A Move to Good Faith in Commercial Contracting?

Classically a duty to negotiate commercial contracts in good faith has been seen as part of the civil, not the common, law world. Common law commercial lawyers have long resisted the lure of “good faith” as a contractual concept, despite engagement with civil law principles in harmonisation projects, by virtue of membership of the European Union and their use in international conventions such as the United Nations Convention on Contracts for the International Sale of Goods (CISG). This paper will examine whether this situation is changing, focusing on two common law jurisdictions—England and Wales and Canada. In England and Wales and the common law of Canada, case-law in the last 10 years has indicated a movement towards acceptance of express and implied duties of good faith in relation to contractual performance, see e.g. Yam Seng Pte Limited v International Trade Corporation Limited [2013] EWHC 111 (QB) and, most recently, Essex CC v UBB Waste (Essex) Ltd (No. 2) [2020] EWHC 1581 (TCC) in England and Wales; Bhasin v Hrynew 2014 SCC 71 and Callow v Zollinger 2020 SCC 45 in Canada. This paper will examine the extent to which these cases may open the way more generally for a duty to negotiate commercial contracts in good faith. It will examine the reception of these cases and whether they indicate (i) greater acceptance of “good faith” as part of contract law thinking and (ii) a possible extension of good faith into the pre-contractual period.

     

出卖人违反权利瑕疵担保义务问题研究——以国际货物买卖合同的法律效力为中心

《联合国国际货物销售合同公约》对合同效力问题采取了"知难而退"的回避态度,因此当出卖人违反瑕疵担保义务之际如何判定合同的效力便成为一个重大而棘手的问题。分析表明,如果在确定所有权归属时侧重于保护善意买受人,而在合同法中却认定善意买受人所订立的买卖合同无效或效力待定,这势必使法律的保护重心动不定,由此导致法律适用的困难。鉴于世界各国对保护善意第三人的立场基本一致,建议公约明确规定在出卖人违反权利瑕疵担保义务而买受人为善意时,买卖合同为有效合同。     

CISG减损规则及其在中国的适用

减损规则普遍见于国际法律文件和各国国内法，它符合效率、诚信、公平原则，也符合商务实践的通常做法。减损本质上是受损害方的单方行为，受损害方应在现实可行的范围内尽可能地减少损失，合理是双方权利义务平衡的关键。在违约方不交货或不付款的情况下，替代交易是通常的合理措施，但也不绝对。在迟延交货、交货不符等情形下，补货或修复是相对比较常见的减损措施。实践中，合理性的判断需要结合个案的具体情况来考量。中国法院和仲裁庭在CISG案件中较好地适用了CISG减损规则，但也存在问题，而中国《合同法》的减损规则也宜通过司法解释加以补充完善。     

合同法上难以承受之混乱:围绕检验期间

在德国法、美国法和CISG上,物的检验期间和不适约的通知期间是明确区分的,检验的时间要求是不迟延或者有合理机会;通知的时间要求是不迟延或者合理期间内。CISG上合同保证期间的功能是代替两年的期间,发挥最长通知时间范围的作用。而我国法上,检验期间一方面吸收了通知期间,另一方面又发挥着最长时间范围的作用,在效果上十分严苛;我国的质量保证期干预而非等于最长时间范围,其与检验期间存在"时间范围双重干涉"的问题。对于《合同法》第158条第一款的检验期间和157条的检验期间,应通过目的论限缩加以区分;对质量保证期与检验期间的时间范围"双重干涉"问题,应按照合同解释方法排除一个干涉。《买卖合同法解释》的贡献是赋予了法院干预约定检验期间的裁量权,但在提供的解决思路上仍存在重要的不足。     

《联合国国际货物销售合同公约》的适用探析

《联合国国际货物销售合同公约》是目前调整国际货物买卖的最重要的国际统一实体法。本文从公约适用的主体、公约不适用的销售合同及货物销售、公约不涉及的法律问题、公约适用的任意性及公约与国内法的关系等五个方面就公约适用问题进行了归纳和总结,并对某些模糊问题作了澄清和探讨。     

When Federal Law Goes Unnoticed: Assessing the CISG's Applicability Across U.S. Courts Based on an Empirical Research of Decisions from 1988 to 2020

The United Nations Convention on Contracts for the International Sale of Goods (CISG) has reached the level of acceptance that it can be recognized as the face of international sales law. Over a century ago, the late Roscoe Pound drew attention to the dichotomy between the law as written and the law as experienced in practice. The law of the CISG “on the books” is the law of the United States. With the growth of international trade, one might expect its importance to grow in the realm of law “in action.” This article explores the CISG in action in U.S. courts during its almost four decades of being the law on the books in the United States. To this end, the authors built an original dataset based on their Westlaw search of all decisions mentioning the CISG across all U.S. federal and state courts from 1988 (when the CISG entered into force) through 2019. The dataset provides unprecedented insights into: (1) how parties raise the issue of the applicability of the CISG, (2) how courts have ruled on the Convention's applicability, and (3) the provisions of the Convention that appear most frequently in these disputes. This article empirically assesses, through logistic regressions, which factors are statistically significant for predicting if a court will apply (or decline to apply) the Convention to a disputed transaction. Finally, the article highlights many ways in which the law in action may not be as robust or comprehensive as it appears on the books.     

国际法律文本中违约损害赔偿制度及其借鉴

CISG、UPICC和PECL是国际贸易统一实体法的重要成果,对国际贸易产生了重大影响。在违约损害赔偿制度方面,三者作出详尽的规定,统一化程度较高,尽管在某种程度上还存在一些差异。我国《合同法》对违约损害赔偿制度作出了具体规定,这些规定在实务中发挥了重要作用,但是这些具体规定在某种程度上还存在缺陷,需要进一步完善。CISG、UPICC和PECL中有关违约损害赔偿制度的合理规定,对完善我国《合同法》中违约损害赔偿制度具有一定的借鉴意义。     

谈善意取得与物权行为无因性原则的功能互补

在研究物权行为的理论中,无论是赞成抑或反对物权行为理论,善意取得和物权行为无因性原则的关系都是相当重要的工具。如何看待关于二者的功能,相互之间的关系,存有大量的争议。善意取得制度与物权行为无因性原则功能互补能更好地维护交易安全,提高交易效率。我国物权法对物权行为理论采取回避态度只会引起理论和审判实践中的思路不清,对维护稳定的经济交易制度并无益处。承认物权行为,承认物权变动的独立性,才能适应将来经济社会的发展的复杂性和多样性。     

Reconstructing Insurance Law: The Law Commissions' Consultation Paper

In July 2007 the English and Scottish Law Commissions published the consultation paper Insurance Law – Non-disclosure and Breach of Warranty (hereafter LCCP) which sets out in detail the Commissions' provisional proposals for the reform of insurance contract law with particular reference to the key areas of utmost good faith, warranties and agency. This article analyses, from a critical standpoint, the LCCP's principal conclusions and recommendations. It begins by noting, as a means of demonstrating that the current reform process should be informed by modern industry practices, that the ways in which modern insurance contracts are concluded differ significantly from those when insurance law was last reviewed by the Law Commission in 1980. The article then discusses the dichotomy between consumer and business insurance given that this distinction underpins the LCCP and its approach towards reforming the pre-contractual duty of good faith. By way of backdrop to the analysis, we consider the approach taken towards reforming the law governing intermediaries acting for prospective assureds during the disclosure process. Finally, the proposed rules for warranties and similar terms are examined. It is argued that the proposal to retain continuing warranties in business insurance contracts will, if implemented, represent a missed opportunity to rid insurance contracts of terms long criticised as draconian and disproportionate in their effect.     

国际合同法上的实际履行制度研究

实际履行是合同法中一项重要的违约救济制度。考察实际履行的性质以及在两大法系国家合同法中的地位,实际履行在1980年《国际货物买卖合同公约》中的具体体现和特点,研究该制度在公约之后的发展趋势,有助于进一步完善中国的实际履行制度。     

从排队秩序到宪法秩序——麦考密克的制度法律理论核心命题

使得规范成为规范的并不是规范本身,而是在规范之外的共同信念。这种信念是包括宪法秩序在内的所有秩序得以成立的基础。这就是英国学者麦考密克在他的《法律的制度》一书中阐释的内容,他用排队这个通俗易懂、每个人都有的实际经验阐明了不依赖于明确表述的规范的社会实践和社会秩序的存在,并分离出了不同于规范的事务,即实践者之间相互的行为期待。而正是这种信念才是秩序的最终来源,而正式规则和权威等概念同样建立在这种秩序之上。     

论董事问责的诚信路径

The mode of deferential review on directors’ management decisions coincides with the requirements of adaptive efficiency, being conducive to encouraging directors’ tentative experiments. However, under the rule of business judgment, directors’ accountability requires for onerous burden of proof on the plaintiff, and the formal review of directors’ decisions and the uncertainty of the standard of care have rendered the duty of care almost an empty shell, and consequently the unfaithful conducts of directors between gross negligence and malice are always at large. The good faith path is not only a mechanism to fill the gap of accountability but an important mechanism to overcome the information asymmetry between shareholders and directors. The judicial practice of directors’ accountability in the 1990s produced a good faith path, and the good faith concept has been rejuvenated with creative changes, the standards of conducts become clear with the increasing operability of judicial reviews. In China, the standards on fiduciary conducts can be defined by the judicial interpretation of the Company Law, so as to incorporate such misconducts as intentionally causing the violation of law by company, failure to disclose candidly, abuse of power and gross disregard of responsibilities, hence inducing the good faith path to accountability. Zhu Yikun got his Ph.D in economics at Management School of Jinan University (1999) and LL.M at Southwest University of Politics and Law (1991). He is the executive dean and doctoral tutor of the Law School of Jinan University, and a legislative counselor of the standing committee of Guangdong Provincial People’s Congress, and a monitor of Guangdong Provincial Procuratorate. His research focuses on company law and corporate governance. He has twelve monographs published, including five law books in English language, esp. the book “China’s Business Contracts: Forms and Precedents” was published by Butterworth in 1997. Moreover, he has released over 100 papers in academic journals including China Legal Science and Chinese Industrial Economy. At present, he is leading a national bilingual course program on American and British commercial law (2008).     

Attempts

Conclusion Whatever the outcome of any effort to codify the law of attempts, the overriding need is to recognize that this is a complex and unsettled area of doctrine. The drafters of proposed legislation should provide as much assistance as they can so as to ensure that whatever new law is finally enacted, it is clear and unambiguous and not conducive of multiple interpretations, which would only lead us back to our present state of confusion.This is a revised version of a paper presented at a seminar of the Society for the Reform of Criminal Law, Review of Commonwealth Criminal Law, Brisbane, Australia, April 2–5, 1991. The views expressed in this article are not necessarily the views of the Office of the Commonwealth Director of Public Prosecutions.LL.B., University of Sydney 1975; LL.M., University of Adelaide 1989; D.P.L., University of Adelaide 1991.     

Investment Treaty Arbitration as a Species of Global Administrative Law

The article outlines a simple thesis: that international investmentarbitration – pursuant to regional and bilateral investmenttreaties – offers the clearest example of global administrativelaw, strictly construed, yet to have emerged. We present thisthesis by explicating four key features of investment treaties:they permit investor claims against the state without exhaustinglocal remedies; they allow claims for damages; they allow investorsto directly seek enforcement of awards before domestic courts;and they facilitate forum-shopping. Our argument is that, owingto this unique conjunction of features, the regulatory conductof states is, to an unusual extent, subject to control throughcompulsory international adjudication. Having highlighted thesefeatures, we then claim that investment arbitration is bestanalogized to domestic administrative law rather than to internationalcommercial arbitration, especially since investment arbitrationengages disputes arising from the exercise of public authorityby the state as opposed to private acts of the state. Further,we claim that the linkages between investment arbitration anddomestic legal systems are more direct and more closely integratedthan other forms of international adjudication in the publicsphere. For these reasons, we argue that the emerging regimeof investment arbitration is to be understood as constitutingan important and powerful manifestation of global administrativelaw.     

论善意取得制度中善意要件的证明

《物权法》第106条确立的善意要件的证明责任规则,只能解释为主张善意取得的第三人负担证明责任。尽管善意要件的证明有一定难度,但通过间接证据的运用、经验则的援引以及对方当事人事实主张责任的加重,证明该要件是完全可能的。立法论上关于这一问题的讨论,需要结合诸如进攻者角色、盖然性衡量、证明接近之类的实质性因素,以及公示方式与交易习惯、诉讼程序的实际运作、法律政治考量之类的外部因素进行。     

商标使用界定标准的重构

商标法上商标使用所具有的功能和作用,表明了商标使用的界定标准历来都是商标法不可回避的问题.随着商标使用的多元化发展,现行商标法对商标使用的界定标准呈现出使用范围界定过窄、商业使用标准选择不恰当、显性使用标准不合理、注册地法域标准无法适用于网络空间等缺陷,造成法律适用的混乱.依据商标基本属性和诚实信用原则的要求,借鉴相关国际公约的规定,总结司法实践的经验,商标使用的界定标准应当重新构建为:识别来源功能标准、使用范围区分标准、产生商业影响标准和商业影响所在地标准.我国《商标法》第三次修改应当依照这些标准对商标使用作出规定.     

占有改定与善意取得 兼论民法规范漏洞的填补

占有改定和善意取得的关系,考验着法律人的抽象思维能力和具体情形中符合事理的判断力,需要运用成文法解释模式进行法律论证。在物权法的意义脉络中,立法文本所表述的交付概念从未涵括占有改定。作为法律拟制产物的占有改定,其物权变动效果不等同于现实交付,与善意取得之间具有不相容性。占有改定的物权合意只能在传来取得的情形中产生效力,在善意取得的情形中则不生效力。为填补规范漏洞,物权法第106条所言交付应作目的论限缩解释,以免法律激励出坏的交易风险,有悖于此条款追求交易安全的价值取向。     

From Responsible Disclosure Policy (RDP) towards State Regulated Responsible Vulnerability Disclosure Procedure (hereinafter – RVDP): The Latvian approach

Cybersecurity is an integral part of security. It plays a tremendous role in modern society. It encompasses technical, organizational and legislative measures created for the purpose of protecting and minimizing impacts from cyber incidents. Any software may contain bugs or security holes. Hackers frequently discover such flaws and, without vendor's consent, disclose step-by-step instructions about vulnerability to the public, disregarding the possible IT security risk. Many vendors already have introduced responsible disclosure policies or “bug bounty” programs. In 2013 the Netherlands launched the first state responsible disclosure Guidelines. Guidelines contain principles, definitions and organizational measures, necessary for responsible disclosure policy as a state policy.Latvia decided to draft Regulation on responsible disclosure procedure. In March 2016, the Ministry of Defence created a working group. The goal of the drafters was: 1) to prepare amendment to Law on the Security of Information Systems to create legislative framework for responsible vulnerability disclosure process; 2) to draft an amendment to Section 241 (3) of Criminal Law to create a guaranty against prosecution (waiver) for persons who act in accordance with responsible disclosure process. The paper provides an insight into this process, difficulties faced by drafters and presents provisional results of the legislative draft and lessons to be learnt.     

诚实信用原则的立法演进与司法实践

通过考察诚实信用原则的立法演进与司法实践,认为现代大陆法系国家普遍确立的这一原则应当从司法能动与善意两个角度加以理解。学者的注意力不要过分纠缠于对诚信的定义,应当集中精力归纳司法判例,在实体上使诚实信用类型化;同时研究如何在程序上衡平司法能动与自由裁量的界限。