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国际货物买卖合同法律适用公约
CONVENTION ON THE LAW APPLICABLE TO CONTRACTS
FOR THE INTERNATIONAL SALE OF GOODS, THE HAGUE 1986
背景资料:
《国际货物买卖合同法律适用公约》(Convention on the Law App1icable to Contracts for the International Sale of Goods),是一项解决各国货物买卖法律冲突的统一冲突法公约。1986年12月22日在海牙国际私法会议正式通过。
该公约共4章31条。主要包括:第1章,公约的适用范围(第1--6条);第2章,适用的法律(第7--13条);第3章,一般规定(第14- -24条);第4章,最后条款(第25--31条)。该公约在起草过程中,充分考虑了它与1980年《联合国国际货物买卖合同公约》配套和相互连接的关系,因而所使用的国际货物买卖合同以当事人的营业地的国家为条件,其调整的买卖种类也基本上与之一致。
该公约规定,适用法律的确定有以下几项规则:
1、依双方当事人的选择的法律;2、依合同订立时卖方设有营业所的国家的法律;3、依买方在合同订立时设有营业所的国家的法律;4、最密切联系原则;5、拍卖依拍卖举行地国家的法律;6、商品交易所或其他交易所的货物买卖依交易所所在地国的法律。该公约的主要内容有:关于准据法的适用范围,公约规定为合同的解释;当事人的权利义务及合同履行;买方承担货物风险的时间;不履行合同的后果;诉讼时效;债的消灭方面;无效合同的后果;双方当事人之间保留货物所有权条款的合法性和效力等。除了以上主要内容,公约还规定不适用反致,公共秩序保留原则适用公约的法律适用原则指定的法律。
本公约各缔约国,铭记1980年4月11日订于维也纳的《联合国国际货物销售合同公约》,为统一国际货物买卖合同法律选择规则,特订立以下条款:
The States Parties to the Present Conventions Desiring to unify the choice of law rules relating to contracts for the international sale of goods, Bearing in mind the United Nations Convention on contracts for the international sale of goods, concluded at Vienna on 11 April 1980,
Have agreed upon the following provisions:
第一章公约的适用范围CHAPTER 1 - SCOPE OF THE CONVENTION
第一条 本公约确定适用于下列情况的国际货物买卖合同:
ARTICLE 1 This Convention determines the law applicable to contracts of sale of goods:
(一) 分别在不同国家设有其营业所的当事人之间;
between parties having their places of business in different States;
(二) 在其他所有情况下,涉及在不同国家法律之间进行选择。
in all other cases involving a choice between the laws of different States, unless such a choice arises solely from a stipulation by the parties as to the applicable law, even if accompanied by a choice of court or arbitration.
第二条本公约不适用于:ARTICLE 2 The Convention does not apply to:
(一) 经上法院强制执行或根据法律规定的买卖;
sales by way of execution or otherwise by authority of law;
(二) 公债、股票、投资证券、流通票据或货币的买卖;本公约却适用于根据单据进行的买卖;
sales of stocks, shares, investment securities, negotiable instruments or money; it does, however, apply to the sale of goods based on documents;
(三) 购供个人、家人或家庭使用的货物买卖;但若卖方在订立合同时不知道也不应当知道货物是为任何这种用途而购置的不在此列。
sales of goods bought for personal, family or household use; it does, however, apply if the seller at the time of the conclusion of the contract neither knew nor ought to have known that the goods were bought for any such use.
第三条就本公约而言,货物包括:
ARTICLE 3 For the purposes of the Convention, "goods" includes:
(一) 各种船舶、气垫船和航空器;ships, vessels, boats, hovercraft and aircraft;
(二) 电力。electricity.
第四条ARTICLE 4
一、供应尚待制造或生产的货物的合同应视为买卖合同,除非订购货物的当事人承担提供制造或生产所需的大部分重要材料。
Contracts for the supply of goods to be manufactured or produced are to be considered contracts of sale unless the party who orders the goods undertakes to supply a substantial part of the materials necessary for such manufacture or production.
二、供应货物一方的绝大部分义务系提供劳务或其他服务的合同不应视为买卖合同。
Contracts in which the preponderant part of the obligations of the party who furnishes goods consists of the supply of labour or other services are not to be considered contracts for sale.
第五条ARTICLE 5
本公约不确定下列问题的法律适用:The Convention does not determine the law applicable to:
(一) 当事人行为能力或因当事人之无能力二引起合同无效的后果;
the capacity of the parties or the consequences of nullity or invalidity of the contract resulting from the incapacity of a party;
(二) 代理人是否能约束本人或某一机构是否能约束某一公司或法人团体或非法人团体;
the question whether an agent is able to bind a principal, or an organ to bind a company or body corporate or unincorporate;
(三) 所有权的转移,但第十二条特别提及的问题受本公约适用于合同的法律的支配;
the transfer of ownership; nevertheless, the issues specifically mentioned in Article 12 are governed by the law applicable to the contract under the Convention;
(四) 买卖对当事人以外的任何人所发生的效力;
the effect of the sale in respect of any person other than the parties;
(五) 仲裁协议后法院选择协议,即使这种协议规定在买卖合同中。
agreements on arbitration or on choice of court, even if such an agreement is embodied in the contract of sale.
第六条ARTICLE 6
根据本公约所确定的法律不管起是否为缔约国的法律,均应予适用。
The law determined under the Convention applies whether or not it is the law of a Contracting State.
第二章 适用的法律CHAPTER 2 - APPLICABLE LAW
第一节 适用法律的确定Section 1 - Determination of the applicable law
第七条ARTICLE 7
一、货物买卖合同依双方当事人所选择的法律。当事人选择法律协议必须是明示的,或为合同条款具体案情总的情况所显示。此项选择可限于适用合同的某一部分。
A contract of sale is governed by the law chosen by the parties. The parties' agreement on this choice must be express or be clearly demonstrated by the terms of the contract and the conduct of the parties, viewed in their entirety. Such a choice may be limited to a part of the contract.
二、当事人可在任何时候将合同的全部或一部分从属于原先所支配的法律以外的法律,而不管这样做是否是早先选择的结果。当事人在合同缔结后对适用法律的任何变更并不影响合同的形式有效及第三者的权利。
The parties may at any time agree to subject the contract in whole or in part to a law other than that which previously governed it, whether or not the law previously governing the contract was chosen by the parties. Any change by the parties of the applicable law made after the conclusion of the contract does not prejudice its formal validity or the rights of third parties.
第八条ARTICLE 8
一、在未根据第七条规定对适用于货物买卖合同的法律作出选择的范围内,合同依合同缔结时卖方设有其营业所的国家的法律
To the extent that the law applicable to a contract of sale has not been chosen by the parties in accordance with Article 7, the contract is governed by the law of the State where the seller has his place of business at the time of conclusion of the contract.
二、但是,货物买卖合同应依合同缔结时买方设有其营业所的国家的法律,如果:
However, the contract is governed by the law of the State where the buyer has his place of business at the time of conclusion of the contract, if:
(一) 双方当事人进行谈判和签订合同是在买方国家;或者
negotiations were conducted, and the contract concluded by and in the presence of the parties, in that State; or
(二) 合同明确规定卖方必须在卖方国家履行其交货义务;或者
the contract provides expressly that the seller must perform his obligation to deliver the goods in that State; or
(三) 合同根据主要由买方确定的条款和买方向被邀请进行投标的人所发出的邀请书而订立。
the contract was concluded on terms determined mainly by the buyer and in response to an invitation directed by the buyer to persons invited to bid (a call for tenders).
三、从总的情况看,如在双方当事人的商业关系中,合同如果明显地与根据本条第一款或第二款规定将会适用于合同的法律以外的法律有着更加密切的联系,则该合同依该另一国的法律。
By way of exception, where, in the light of the circumstances as a whole, for instance any business relations between the parties, the contract is manifestly more closely connected with a law which is not the law which would otherwise be applicable to the contract under paragraphs 1 or 2 of this Article, the contract is governed by that other law.
四、 如果在订立合同时,卖方和买方的营业地位于根据第二十一条第一款第二项作出保留的国家,则本条第3款不适用。
Paragraph 3 does not apply if, at the time of the conclusion of the contract, the seller and the buyer have their places of business in States having made the reservation under Article 21 paragraph 1 sub-paragraph b.
五、 如果在订立合同时,卖方和买方的营业地位于《维也纳公约》两个不同的缔约国,则本条第3款不适用于《联合国国际货物买卖合同公约》(1980年4月11日订于维也纳)调整问题。
Paragraph 3 does not apply in respect of issues regulated in the United Nations Convention on contracts for the international sale of goods (Vienna, 11 April 1980) where, at the time of the conclusion of the contract, the seller and the buyer have their places of business in different States both of which are Parties to that Convention.
第九条ARTICLE 9
拍卖和在商品交易所或其他交易所上进行的买卖,依双方当事人根据第七条选择的法律,只要拍卖举行地或交易所所在地国家的法律不禁止这种选择;如果当事人没有选择法律或这种选择被禁止时,则依拍卖举行地或交易所所在地国家的法律。
A sale by auction or on a commodity or other exchange is governed by the law chosen by the parties in accordance with Article 7 to the extent to which the law of the State where the auction takes place or the exchange is located does not prohibit such choice. Failing a choice by the parties, or to the extent that such choice is prohibited, the law
第十条ARTICLE 10
一、在选择符合第七条要求的情况下,有关对适用法律的选择是否成立及其实质有效性问题,依该被选择的法律。如果根据该法,选择为无效,则根据第八条确定支配合同的法律。
Issues concerning the existence and material validity of the consent of the parties as to the choice of the applicable law are determined, where the choice satisfies the requirements of Article 7, by the law chosen. If under that law the choice is invalid, the law governing the contract is determined under Article 8.
二、买卖合同或其中任何条款的成立及实质有效性,决定于根据本公约确定的将会支配合同或条款的法律,如果该法律是有效的话。
The existence and material validity of a contract of sale, or of any term thereof, are determined by the law which, under the Convention would govern the contract or term if it were valid.
三、当事人为了主张其并未表示同意,仍可援用其营业所所在地国家的法律,如果根据情况依前两款规定的法律决定该问题是不尽合理的。
Nevertheless, to establish that he did not consent to the choice of law, to the contract itself, or to any term thereof, a party may rely on the law of the State where he has his place of business, if in the circumstances it is not reasonable to determine that issue under the law specified in the preceding paragraphs.
第十一条ARTICLE 11
一、在同一国家内的当事人之间订立的合同,如果符合根据本公约支配合同的法律或合同订立地国家的法律规定的要求,则在形式上有效。
A contract of sale concluded between persons who are in the same State is formally valid if it satisfies the requirements either of the law which governs it under the Convention or of the law of the State where it is concluded.
二、在不同国家的当事人之间订立的合同,如果符合根据本公约支配合同的法律或其中一国家的法律,则在形式上有效。
A contract of sale concluded between persons who are in different States is formally valid if it satisfies the requirements either of the law which governs it under the Convention or of the law of one of those states.
三、如果买卖合同由代理人订立,则代理人的行为地国为前两款意义中的有关国家。
Where the contract is concluded by an agent, the State in which the agent acts is the relevant State for the purposes of the preceding paragraphs.
四、旨在对已经成立或拟订中的合同产生效力的行为,如果满足根据本公约支配或将会支配合同的法律或者行为地国家的法律,则在形式上有效。
An act intended to have legal effect relating to an existing or contemplated contract of sale is formally valid if it satisfies the requirements either of the law which under the Convention governs or would govern the contract, or of the law of the State where the act was done.
五、上述各款规定不予适用,如果买卖合同当事人一方在订立合同时,在根据本公约第二十一条第一款第(三)项作出过保留的国家内设有其营业所的话。
The Convention does not apply to the formal validity of a contract of sale where one of the parties to the contract has, at the time of its conclusion, his place of business in a State which has made the reservation provided for in Article 21 paragraph 1 sub-paragraph c.
第二节 适用法律的范围Section 2 - Scope of the applicable law
第十二条ARTICLE 12
根据第七、八、九条而适用于合同的法律主要应支配:
The law applicable to a contract of sale by virtue of Articles 7, 8 or 9 governs in particular:
(一) 合同的解释;interpretation of the contract;
(二) 当事人的权利、义务以及合同的履行;
the rights and obligations of the parties and performance of the contract;
(三) 买方获得得对产品、收获物以及来源于货物的收入的所有权的时间;
the time at which the buyer becomes entitled to the products, fruits and income deriving from the goods;
(四) 买方开始对货物承担风险的时间;
the time from which the buyer bears the risk with respect to the goods;
(五) 当事人之间有关保留货物所有权的条款的有效性及效力;
the validity and effect as between the parties of clauses reserving title to the goods;
(六) 包括可以获得赔偿的损失的种类在内的不履行合同所产生的后果,但是,法院没有义务在有关问题是其程序法的一部分时适用支配合同的法律以对损害赔偿金进行估价;
the consequences of non-performance of the contract, including the categories of loss for which compensation may be recovered, but without prejudice to the procedural law of the forum;
(七) 债的消灭的各种方法,以及诉讼时效;
the various ways of extinguishing obligations, as well as prescription and limitation of actions;
(八) 合同无效的后果。the consequences of nullity or invalidity of the contract.
第十三条ARTICLE 13
对于商品检验的形式和程序,如果没有相反的明示条款,应依检验进行地国家的法律。
In the absence of an express clause to the contrary, the law of the State where inspection of the goods take place applies to the modalities and procedural requirements for such inspection.
第三章 一般规定CHAPTER 3 - GENERAL PROVISIONS
第十四条ARTICLE 14
一、如果当事人设有一个以上的营业所,那未,在考虑了当事人双方在合同成立前或合同缔结时所了解或预期知道的情况之后,有关营业所应为与合同及其履行有最密切联系的营业所。
If a party has more than one place of business, the relevant place of business is that which has the closest relationship to the contract and its performance, having regard to the circumstances known to or contemplated by the parties at any time before or at the conclusion of the contract.
二、如果当事人没有营业所,则以其惯常居所为准。
If a party does not have a place of business, reference is to be made to his habitual residence.
第十五条ARTICLE 15
在本公约中,“法律”一词系指在一国现行有效的法律,不包括其国际私法规则。
In the Convention "law" means the law in force in a State other than its choice of law rules.
第十六条ARTICLE 16
在解释和适用本公约时,必须考虑其国际性及统一适用的需要。
In the interpretation of the Convention, regard is to be had to its international character and to the need to promote uniformity in its application.
第十七条ARTICLE 17
无论法院地法是否支配买卖合同,本公约均不妨碍其必须适用的条款的适用。
The Convention does not prevent the application of those provisions of the law of the forum that must be applied irrespective of the law that otherwise governs the contract.
第十八条ARTICLE 18
根据本公约指引的法律,只有在其适用会与公共政策明显抵触时,才可拒绝适用。
The application of a law determined by the Convention may be refused only where such application would be manifestly incompatible with public policy (ordre public).
第十九条ARTICLE 19
为确认根据本公约应予适用的法律,如果一国由几个领土单位组成,而各个领土单位又各有其自己的法律制度或有关货物买卖合同的法律,则所指该国法律应解释为在有关领土单位内有效的法律。
For the purpose of identifying the law applicable under the Convention, where a State comprises several territorial units each of which has its own system of law or its own rules of law in respect of contracts for the sale of goods, anyreference to the law of that State is to be construed as referring to the law in force in the territorial unit in question.
第二十条ARTICLE 20
如果一国由几个领土单位组成,而各个领土单位又各有其自己的法律制度或有关货物买卖合同的法律,则该国无义务将本公约适用于这些领土单位的现行有效的法律之间的冲突。
A State within which different territorial units have their own systems of law or their own rules of law in respect of contracts of sale is not bound to apply the Convention to conflicts between the laws in force in such units.
第二十一条ARTICLE 21
一、任何国家可以在签署、批准、通过或加入时作出下列任何保留:
Any State may, at the time of signature, ratification, acceptance, approval or accession make any of the following reservations:
(一) 它在第一条第(二)项规定的情况下将不适用本公约;
that it will not apply the Convention in the cases covered by sub-paragraph b of Article 1;
(二) 它将不适用第八条第三款,但如合同任何一方当事人营业地所在国家都没有对本项规定作出保留,则例外;
that it will not apply paragraph 3 of Article 8, except where neither party to the contract has his place of business in a State which has made a reservation provided for under this sub-paragraph;
(三) 在其本国立法要求货物买卖合同以书面作成或以书面证明时,如果任何一方当事人在订立会议时在该国设有营业所,则对于合同的形式有效性问题,它将不适用公约。
that, for cases where its legislation requires contracts of sale to be concluded in or evidenced by writing, it will not apply the Convention to the formal validity of the contract, where any party has his place of business in its territory at the time of conclusion of the contract
(四) 如果涉及诉讼时效,它将不适用第十二条第(七)项的规定。
that it will not apply sub-paragraph g of Article 12 in so far as that subparagraph relates to prescription and limitation of actions.
二、其它保留均不允许。No other reservation shall be permitted.
三、任何缔约国可于任何时候撤销其已作出的保留;保留应于通知撤销后第三个月的第一天起终止效力。
Any Contracting State may at any time withdraw a reservation which it has made; the reservation shall cease to have effect on the first day of the month following the expiration of three months after notification of the withdrawal.
第二十二条ARTICLE 22
一、本公约不优先于已经生效或可能要生效的载有确定适用于货物买卖合同的法律的任何公约或其他国际协定,如果这类协定只有在卖方和买方的营业所均设在该协定缔约国内时才适用的话。
This Convention does not prevail over any convention or other international agreement which has been or may be entered into and which contains provisions determining the law applicable to contracts of sale, provided that such instrument applies only if the seller and buyer have their places of business in States Parties to that instrument.
二、本公约不优先适用于任何本公约缔约国已是或将成为其成员国的、规定有关在本公约范围内任何特定类型的货物买卖合同的法律选择的国际公约。
This Convention does not prevail over any international convention to which a Contracting State is, or becomes, a Party, regulating the choice of law in regard to any particular category of contracts of sale within the scope of this Convention.
第二十三条ARTICLE 23
本公约不影响以下公约的适用:This Convention does not prejudice the application:
(一)联合国国际货物销售合同公约(维也纳,1980年4月11日);
of the United Nations Conventions on contracts for the international sale of goods (Vienna, 11 April 1980);
(二)国际货物买卖时效期限公约(纽约,1974年6月14日);或修正该公约的1980年4月11日附加议定书。
of the Convention on the limitation period in the international sale of goods (New York, 14 June 1974), or the Protocol amending that Convention (Vienna, 11 April 1980).
第二十四条 ARTICLE 24
本公约在缔约国境内适用于本公约在该国生效后订立的货物买卖合同。
The Convention applies in a Contracting State to contracts of sale concluded after its entry into force for that State.
第四章 最后条款CHAPTER 4 - FINAL CLAUSES
第二十五条ARTICLE 25
一、本公约向所有国家开放签字。The Convention is open for signature by all States.
二、本公约须经签字国批准、接受或核准。
The Convention is subject to ratification, acceptance or approval by the signatory States.
三、本公约对所有在开放签字时的非签字国开放,以供加入。
The Convention is open for accession by all States which are not signatory States as from the date it is open for signature.
四、批准书、接受书、核准书或加入书应交存荷兰王国外交部。
Instruments of ratification, acceptance, approval and accession shall be deposited with the Ministry of Foreign Affairs of the Kingdom of the Netherlands, depositary of the Convention.
第二十六条ARTICLE 26
一、如果缔约国有一个或一个以上的领土单位,而这些单位内就本公约规定的事项适用不同的法律制度,则该国可以在签署、批准、接受、核准或加入时,声明本公约应扩及适用于该国全部或其中的一个或数个领土单位,并且可以随时提出另一声明来修正这一声明。
If a State has two or more territorial units in which different systems of law are applicable in relation to matters dealt with in this Convention, it may at the time of signature, ratification, acceptance, approval or accession declare that this Convention shall extend to all its territorial units or only to one or more of them and may modify this declaration by submitting another declaration at any time.
二、任何此种声明应通知荷兰王国外交部,并明确指定适用本公约的领土单位。
Any such declaration shall be notified to the depositary and shall state expressly the territorial units to which the Convention applies.
三、如果缔约国未按本条作出声明,则本公约应扩及适用于该国所有的领土单位。
If a State makes no declaration under this Article, the Convention is to extend to all territorial units of that State.
第二十七条ARTICLE 27
一、本公约应于第二十五条规定的第五份批准书、接受书、核准书或加入书交存之日后第三个月的第一天起生效。
The Convention shall enter into force on the first day of the month following the expiration of three months after the deposit of the fifth instrument of ratification, acceptance, approval or accession referred to in Article 25.
二、此后,本公约:Thereafter the Convention shall enter into force:
(一) 对嗣后批准、接受、核准或加入本公约的各国,应于其批准书、接受书、核准书或加入书交存之日后第三个月的第一天起生效。
for each State ratifying, accepting, approving or acceding to it subsequently, on the first day of the month following the expiration of three months after the deposit of its instrument of ratification, acceptance, approval or accession;
(二) 对本公约根据第二十六条而扩及适用的领土单位,应于该条规定的通知书交存之日后第三个月的第一天起生效。
for a territorial unit to which the Convention has been extended in conformity with Article 26 on the first day of the month following the expiration of three months after the notification referred to in that Article.
第二十八条ARTICLE 28
对同意受本公约约束和本公约对之有效的1955年6月15日国际有体动产买卖法律适用的海牙公约成员国,本公约取代了该公约。
For each State Party to the Convention on the Law Applicable to International Sales of Goods, done at The Hague on 15 June 1955, which has consented to be bound by this Convention and for which this Convention is in force, this Convention shall replace the said Convention of 1955.
第二十九条ARTICLE 29
任何缔约国在修订本公约的文件生效以后,即被视为修改后的本公约的缔约国。
Any State which becomes a Party to this Convention after the entry into force of an instrument revising it shall be considered to be a Party to the Convention as revised.
第三十条ARTICLE 30
一、缔约国可通过一份送交荷兰外交部公约保存处的书面通知废止本公约。
A State Party to this Convention may denounce it by a notification in writing addressed to the depositary.
二、此项废止于保存处收到通知三个月期满后的第一个月的第一天生效。如果通知中规定废止须经更长的期间始生效力,则此项废止得于保存处收到通知后这一更长期限届满后发生效力。
The denunciation takes effect on the first day of the month following the expiration of three months after the notification is received by the depositary. Where a longer period for the denunciation to take effect is specified in the notification, the denunciation takes effect upon the
expiration of such longer period after the notification is received by the depositary.
第三十一条ARTICLE 31
荷兰王国外交部应通知海牙国际私法会议成员国以及根据第二十五条签署、批准、接受、认可或加入的国家下列事项:
The depositary shall notify the States Members of the Hague Conference on Private International Law and the States which have signed, ratified, accepted, approved or acceded in accordance with Article 25, of the following:
(一) 第二十五条述及的签字、批准、接受、认可或加入;
the signatures and ratifications, acceptances, approvals and accessions referred to in Article 25;
(二) 根据第二十七条本公约的生效日期;
the date on which the Convention enters into force in accordance with Article 27;
(三) 第二十六条述及的声明;the declarations referred to in Article 26;
(四) 第二十一条述及的保留和保留的撤消;
the reservations and the withdrawals of reservations referred to in Article 21; e the denunciations referred to in Article 30.
(五) 第三十条述及的废止。
下列签字人经正式授权签署本公约,以资证明。
IN WITNESS WHEREOF the undersigned, being duly authorised thereto, have signed this Convention.
1986年12月22日订于海牙,公约用英文、法文写成,两种文本均有同等效力,正本一份存荷兰王国政府档案库,经核证无误的副本应通过外交途径于1985年10月特别会议日送达海牙国际私法会议成员国及参加该会议的各国。
DONE at The Hague, on the twenty-second day of December 1986, in the English and French languages, both texts being equally authentic, in a single copy which shall be deposited in the archives of the Government of the Kingdom of the Netherlands, and of which a certified copy shall be sent, through diplomatic channels, to each of the States Members of the Hague Conference on Private International Law as of the date of its Extraordinary Session of October 1985, and to each State which participated in that Session.
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