第一篇货物买卖法lec-10-(履约原则).ppt

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,*,*,2-6,国际货物买卖,合同的实务条款,2/15/2026,1,本周讲课内容,2-6.6 海上货物运输保险条款&国际贸易保险法,2-6.7 支付条款&国际贸易支付方式,2-6.8 商检条款&进出口商品检验检疫管理制度,2-6.9 不可抗力条款,2-6.10 仲裁条款&国际商事仲裁协议,2-7 国际销售示范合同,2-8 国际货物买卖的其他方式和比较,2/15/2026,2,2-6.8 商检条款&进出口商品检验检疫管理制度,The typical clauses for inspection clause,Example 1,“It is mutually agreed that the Certificate of Quality and Weight(quantity)issued by XX at the port of shipment shall be part of shipments to be presented for negotiation under the relevant L/C.,2/15/2026,3,The Buyer shall have the,right to re-inspect,the quality and weight(quantity)of the cargo at the destination.The re-inspection fee shall be borne by the buyer.,Should the quality and weight(quantity)be found,not in conformity with the contract,the Buyer is entitled,to lodge with the Seller a claim,which，however，should be supported by,survey report,issued by a authentic surveyor recognized by the both parties.,The claim,if any,shall be lodged within XX days after arrival of the goods at the port of destination.,”,2/15/2026,4,Comment on this clause,This clause covers the necessary elements for inspection:,-Well balanced allocation of rights and duties,As the seller has the right to present the certificate for negotiation while the buyer has the right to re-inspect,-The re-inspection result is subject to survey report issued by a recognized surveyor approved by the seller;,-it includes who,when and where to inspect;,and the inspect fees;,2/15/2026,5,However,it still leaves some other issues in controversy,-the standard of inspection？;,-The method of inspection？;,-The resolution to the discrepancy of quality and quantity between the shipping documents issued by the seller and surveyor report?;,-the resolution to the situation if both parties can not consensus on the surveyor?.,2/15/2026,6,Legal concern over the clause,What is the relationship between time limit say,30 days at,Discrepancy and claim clause,and two years in civil procedure law?,2/15/2026,9,2-6.9 不可抗力条款FORCE MAJEURE,Typical wording of this clause:,“,If the shipment of contracted goods is prevented or delayed in whole or part by reasons of war,earthquake,flood,fire,storm,heavy snow or other causes of force majeure,the seller shall not be liable for non shipment of late shipment of the goods of this contract.,2/15/2026,10,However,the seller shall notify the buyer by tele-transmission and furnish the latter within XX days by registered airmail with a certificate issued by XX(China Council for the Promotion of International Trade or China Chamber of International Commerce)attesting such event.”,Legal concern over the clause,What is the relationship between the event in force majeure clause and frustration events(合同落空)?,2/15/2026,11,2-6.10 仲裁条款&国际商事仲裁协议,Typical clause of arbitration,“All disputes arising out of performance of,or relating to this contract shall be settled amicably through friendly negotiation.In case no settlement can be reached the case shall be submitted to China International Economic and Trade Arbitration Commission)for arbitration with XX rules in effect at the time of applying.The arbitral award is final and binding upon both parties.”,2/15/2026,12,The legal elements should be involved in arbitration,matters can be arbitrated(arbitratability),-,All disputes arising out of performance of,or relating to this contract,Labor dispute?Marriage matters?,-jurisdiction of arbitral tribunal,-the venue where the arbitration proceeds,2/15/2026,13,procedural rules of arbitration,governing law or proper law(substantive law?),validity of arbitral award,enforceability of arbitral award,reconciliation involved before and within arbitration process,2/15/2026,14,国际货物买卖合同条款及其法律要点归纳,1.Whereas term：,-part of contract?,2.Quality term：,-sample&description,-customary standard of quality(FAQ),-marketable quality,3.Quantity term：,-determinable quantity,-customary standard(UCP 600),4.Price term：,trade terms catering to modes of containerized,and non containerized transportation,2/15/2026,15,5.Packing term：,-shipping mark&identification,6.Transportation term：,-legal nature of B/L(three functions),7.Insurance term：,-forms of insurance contract(insurance policy&,-parties to the contract,-contract making procedure,-insurable interest,-good faith&utmost good faith),8.Payment term：,-relationship among the banks in collection,-D/P T/R,-fraud in L/C,2/15/2026,16,9.Inspection term：,-which party and by what the quality,quantity,and weight of cargo is finally decided,-inspection standard,-time limit of claim&time bar,-the conflict between certificate and survey,report,10.Force majeure：,-various legal result of force majeure events,-the procedure requirements to prove the event,-force majeure&frustration,11.Arbitration term：,-basic reqirements for its validity,2/15/2026,17,2-7 国际商会的国际销售示范合同,From our points of view to Unidroits perspectives in terms of clauses and legal issues,It provides,16,typical standard term for international sales contract of goods,A-1 the goods to be sold；,A-2 the price(currency and amount)；,A-3 the condition of delivery；,A-4 the time of delivery；,A-5 inspection of goods(the pre-shipment)；,A-6 the reservation of title of goods；,2/15/2026,18,A-7 the condition of payment;,A-8 documents;,A-9 the time of cancellation；,A-10 the responsibility of delayed shipment；,A-11 the liability limit for non-conforming goods with the contract；,A-12 the liability limit for the seller when the buyer detains the non-conforming goods；,A-13 the time bar of litigation；,A-14 governing law；,A-15 dispute settlement；,A-16 other matters.,2/15/2026,19,From our view points of to Unidroit：,contract of international sales of goods,&,principles of international commercial contracts,合同的成立（要约承诺及其条件）,合同的生效（要约承诺的生效、合同的成立,订约意图、达成合意、合同目的）,合同形式（各类合同的形式和合同格式战）,国际统一私法协会国际商事合同通则2004年修订版 provides for the following a contract systems with,206 articles,2/15/2026,20,Chapter 1 general provisions,Chapter 2 formation and authority of agents,Chapter 3 validity,Chapter 4 interpretation,Chapter 5 content and third party rights,Chapter 6 performance,Chapter 7 non performance,Chapter 8 set off,Chapter 9 assignment of right,transfer of,obligations,assignment of contract,Chapter10 limitation period,2/15/2026,21,2-8 国际货物买卖的其他方式和比较,2-8.1 国际货物贸易的概念和解析,概念：,是以seller,转移货物所有权,给buyer，和buyer,支付价款,给seller的贸易。,概念解析：,2/15/2026,22,国际货物贸易的概念解析,主体,seller,buyer,客体,货物,法律,目的,转移货物所有权，获得货款,支付货款，获得货物所有权,商业,目的,赚取价差,获得货物,交易,行为,时间：依约定,地点：依约定,方式：各种方式,交易风险,运输、价差、汇率等,2/15/2026,23,2-8.2 国际货物贸易的概念解析考察如下贸易方式的法律性质（p93）,-代销,-寄售,-包销或独家经销,-补偿贸易,-边境贸易,-加工贸易,2/15/2026,24,从国际货物贸易概念看有关相似概念的法律性质,主体,seller,buyer,客体,货物,法律目的,转移货物所有权，获得货款,支付货款，获得货物所有权,商业目的,赚取价差,获得货物,交易行为：,1）时间：依约定,2）地点：依约定 如,边境贸易,3）,方式：,-一次性交易的通常方式,-事先约定交易总额，以后分别交货的,经销或,独家经销,方式,-以产品冲抵货款的,补偿贸易,方式,-交易主体不直接接触,代销或寄售,方式,交易风险,运输、价差、汇率等,2/15/2026,25,代销和寄售贸易方式法律性质分析,代销和寄售的概念 p93-94,法律性质分析：,-代销下的交易主体之间不是变相的买卖关系，而是代理关系，与销售无关，受代理法规制；,-独家代销是代理商享有独家代理权（独占的或非独占的）,-寄售下的交易主体之间也不是变相的买卖关系，仍然是代理关系，与销售无关，受代理法规制,2/15/2026,26,2-8.4 对 加工贸易de比较分析,加工贸易,的概念 p94,法律性质分析,-加工贸易不具有买卖的法律目的，不存在货物所有权的转移问题，商业目的也仅仅是赚取加工服务费，不是货物价差；,-当然也不具有代理的性质，不是代理；,-是一种独立的服务贸易方式。,2/15/2026,27,-END OF LEC 8-,2/15/2026,28,第三阶段合同的履行阶段,国际货物买卖合同条款与法律对履约的规制,2/15/2026,29,对前阶段主要内容的回顾,2/15/2026,30,第一阶段：,交易前的准备阶段交易对手商业文化法律背景以及交易法律环境的认识,1-1.国际商业文化差异、冲突与弥合,1-2.对交易对象的资历和诚信度的调查和把握,1-3.交易对象法律资格的认定民事法律行为能力,1-4.交易对象法律地位的认定商业组织形式和商事组织法,1-5.交易对象法律身份的认定国际商事代理与代理法,1-6.国际贸易交易法律环境,2/15/2026,31,第二阶段：,交易磋商和合同的订立的阶段国际货物买卖法在合同中的体现,2-1.国际货物买卖合同的概念和特征,2-2.CISG,2-3.国际货物买卖合同的成立,-比较法视角下的要约和承诺规则,2-4.国际货物买卖合同的效力,-legal intention&consent&legality 的区别,2-5.国际货物买卖实物磋商的一般程序,-询盘、发盘、还盘和接受的表达,2-6.国际货物买卖实物磋商的内容和合同条款,-合同各个条款：品质、数量、运输、保险等,2-7.国际销售示范合同,2-8.国际货物买卖的其他法律问题,2/15/2026,32,第三阶段：,合同履行阶段合同条款和法律对合同履行的规制,3-1.国际货物买卖合同的履行原则,3-2.备货&买卖方相应的法定义务（国际货物贸易法）,3-3.落实 L/C&国际贸易支付工具的法律（票据法）,3-4.安排装运&国际货物运输法（海商法）,3-5.安排装运&国际货物运输保险合同（保险法）,3-6.安排装运&海关管理与管制(海关法),3-7.若干合同履行中业务环节相互关联问题,3-8.制单结汇,3-9 出口结汇核销、出口退税&进出口商品的外汇管制制度（外汇管制法）,3-10.合同在履行的修改（合同法）,2/15/2026,33,3-1 国际货物买卖合同的履行原则,3-1-0 履约原则的法律意义和必要性,Why are the rules of contract performance necessary?,Is it possible that the parties to the contract exert their best efforts to have made a extremely perfect sales contract without any misunderstanding to the terms of the contract and to have provided for all the resolutions to any potential disputes to any unexpected occurrence in the future performance?,2/15/2026,34,合同履行原则的必要性,Question 1:,Is it possible to ensure the perfect performance of contract by perfectly written sales contract and without the need of contractual rules of performance?,Question 2:,If yes.how could you ensure that the force majeure event will not happen in the future performance?,Question 3:,How could you practically guarantee that the other party will sincerely perform the contract strictly and honestly?,2/15/2026,35,合同履行原则的现实意义,-如果美国买方发现中方所交付的百件服装中有一件破损，买方有权要求卖方换货吗？为什么？,-合同一方可否以赔偿来代替履约，如卖方以赔偿来替代交货？,如果合同对履约内容没有约定或约定不明确，如何处理？,合同应该终止或中止履行或继续履行？由此扩大的损失应如何承担？,2/15/2026,36,-在一方违约的情况下，守约方是否必须仍然要继续履行自己的合同义务？,-如果合同是君子协定，如何确定君子协定下的价款或报酬？,-在现货买卖合同下应该是卖方先交货还是买方先付款？,-如果一方恶意违约，善意一方还有必要继续履约吗？,-合同虽然规定了交货时间，可是卖方还是提前交货，怎么办？,rules for performance are necessarily needed!,2/15/2026,37,principles of contract performance under Chinese contract law,1/5 The Principle Of Complete and Adequate Performance,（全面履行原则或实际履行原则）,2/5 The Principle of Proper Performance,（适当履行原则）,3/5 the principle of good faith performance,(诚信履行原则)4/5 principle of cooperative performance,(协作履行原则),5/5 principle of economic reasonableness (经济合理原则),2/15/2026,38,3-1.1 The Principle of,Complete and Adequate Performance 1/5,1/5,-1,This principle requires the parties to the contract to perform what they have promised or agreed in the contract,to the extent that all legal duties are completely fulfilled and all legal rights are satisfied，,That is to say,全面履行原则是指合同生效后，合同当事人在,履行主体、履行方式、履行标的物、履行数量标的物质量、履行期限等各个方面都应按照合同的约定来全面履行其合同义务。,2/15/2026,39,1/5-2（this principle&freedom of contractthis principle,does not limit,application of freedom of contract since parties are free to modify,terminate,transfer the contract at any time and in any form if they all agree.,1/5-3（this principle&force majeure event）,this principle does,not apply absolutely,to the situation where the performance of contract is not fundamentally possible,e.g.in the event of force majeure（不可抗力事件）,2/15/2026,40,3-1.2 The Principle of Proper Performance 2/5（,适当履行原则）,The Principle of Proper Performance may be included into the category of Principle of Complete and Adequate Performance,however there exist some difference between the two：,2/15/2026,41,proper performance&complete performance,全面实际履行,适当履行,the performance,is,actually completely executed according to the contract,the performance is,properly executed,in terms of,-subject matter，time of performance，venue of performance，pattern of performance.,全面实际履行未必是适当履行，如发生了不可抗力事件；适当履行则可能是在合同没有规定的情形下完成的。,2/15/2026,42,Suppose,a Buyer needs 200 tons of grain urgently,so he makes a purchasing contract with Seller A.At the time of delivery，seller A happened to be out of stock,however，another seller B voluntarily and directly provided 200 tons of grain to the Buyer instead of the seller A,the Buyer accepted the goods.,As the result，it seems that all parties involved,are happy：,The Buyer is happy with the grain；,Seller A is happy with non performance；,Seller B is happy with the money。,But,is law happy with the performance?,2/15/2026,43,According to,the principle of adequate and complete performance,the seller Bs performance may be regarded as being adequate and completed,but according to,the principle of proper performance,it is not a proper performance,because seller B is not the party to the contract,the contract is not properly performed.,2/15/2026,44,proper performance&substantial performance,the doctrine of substantial performance is a common law doctrine,by which substantial performance is deemed as completion of contract,but it is,not admitted,by the principle of proper performance in Chinese contract law.,2/15/2026,45,3-1.3 the principle of good faith performance 3/5.,(诚信履行原则),3/5-1,concept,it means to perform the contract according to the nature,purpose of contract,transactional usage based on moral values and standards。,具体内容包括：,第一，在合同条款明确的情况下，双方当事人应当相互维护对方利益。,第二，在合同条款不明确的情况下，当事人应依据合同的性质、目的和交易习惯，诚实信用地行事，以实现缔约目的；,第三，当事人除应履行合同明示的义务外，还应履行合同的各种随附义务，如及时通知、保密和协作履约。,2/15/2026,46,3/5-2 the basic understanding of good faith,Lord Danning(丹宁勋爵)s,remark about good faith:,“suppose I employ a man to drive me to the station.I know there is sufficient time,so that I do not tell him to hurry.He drives me at a slower speed than he needs,with the deliberate object of making me miss the train,and I do miss it.,He may say that he has performed the contract to the letter of the contract because he has driven me to the station;but he has willfully made me miss the train,and that is the breach of contract beyond all the doubts because his act is in violation of the principle of good faith.”,2/15/2026,47,3/5-3,the condition to apply the principle,of good faith,it is always used as,secondary and supplementary principle rather than the first choice in application,in helping determine the completion and adequacy of contractual performance in case the parties agreement is incomplete in the provisions of performance.,2/15/2026,48,Question,国际货物买卖合同的履行行为是 纯粹单方行为还是 需要对方配合的行为？,business tasks,Needs help of the other side?,备货,落实 L/C,合作履约原则,安排装运,制单结汇,出口结汇核销和出口退税,2/15/2026,49,3-1.4 principle of cooperative performance 4/5,.,(协作履行原则),4/5-1 concept,it requires that one party should cooperatively help the other party in fulfilling his duty to perform the contract,since one party often needs the other partys cooperation when performing his duty.,2/15/2026,50,4/5-2,this principle accrues(产生)from the,attached duty,(附随义务)，which means that cooperating party has the attached duty,subordinating（附属于）to the,main duty,of the other party.,E.g.the cooperating buyer has the attached duty of receiving goods,which is subordinate to the main duty of delivering goods of the seller.,2/15/2026,51,4/5-3,The underlying theory,of this principle is that parties should cooperate each other in such a way,that may not be explicitly provided for,(明文规定)in the contract but would,be required under the principle of good faith.,So,this principle is primarily based on the principle of good faith.,2/15/2026,52,4/5-4,the specific duties under this principle,according to Art.60 of Chinese contract law,the attached duties include the following:,1 to,give necessary notice,(必要通知)in order to facilitate the other party to fulfill his duty;e.g.seller gives the buyer the notice of shipment for buyer to effect insurance in fob transaction;,2 to,keep confidentiality,保密)obtained during the process of contract making as well as performance;,2/15/2026,53,4/5-5,3.assistance to the other party,a.prepared to receive the performance of the other party;,b.ready to negotiate with the other party facing difficult performance for the resulutions;,c.take necessary measure