《联合国国际货物销售合同公约》解释问题研究

【作者】 刘瑛；

【导师】 陈治东；

【作者基本信息】 复旦大学 ， 国际法学， 2007， 博士

【摘要】 本文探讨《联合国国际货物销售合同公约》(以下简称《公约》)的解释问题。作为民商事国际条约，《公约》的解释当然要遵循条约解释的普遍规则。同时《公约》第七条规定了自己的特别解释规则，因此对《公约》的私法性规则，更多地是按照第七条中规定的解释要素来进行解释。本文共分六章：第一章是对第七条的概论，对第七条所包含的解释要素的相互关系和《公约》解释中的基本问题作了阐释；第二章是对第七条第一款，即《公约》解释的一般规则作了剖析；第三章则是对第七条第二款，即《公约》补缺解释规则的分析探讨；在完成对《公约》解释条款的解读之后，本文第四、第五章分别针对目前《公约》解释中有争议的两个问题，即《国际商事合同通则》(以下简称《通则》)和外国案例法在《公约》解释中的作用问题，并结合既有的《公约》案例开展了专门研究；第六章将视野收回到中国，针对实践中所反映出来的中国在《公约》适用和解释上的问题，运用本文前面的解释方法进行分析。本文认为，第七条第一款所规定的“国际性质”、“促进统一适用”、“遵守国际贸易上的诚信”三个要素昭示了《公约》的解释背景、目的和价值取向，不仅指导《公约》的条款解释，也是进行《公约》第七条第二款规定的补缺时必须遵循的。第一款揭示的解释三要素要求《公约》的自治解释，摈弃国内法成见在国际法律基础上解释《公约》，同时发挥诚信的价值解释功能，通过解释达到促进国际贸易中的诚信的目标。第七条第二款规范对属于《公约》调整范围但《公约》没有明确解决的事项的补缺。本文认为应该尽量扩大《公约》法定外缺漏的范围，运用类推、一般原则方法在《公约》框架内实现补缺解释的目标，同时应力求避免使用国际私法规则指引的国内法。《通则》与《公约》具有普遍联系和理念上的一致性，在《公约》条款解释和补缺一般原则具体化的过程中都可以发挥辅助作用。在不存在规则冲突的情况下，《通则》的规定可以被用来解释《公约》条款。而《通则》的个别条款要作为《公约》补缺依据，必须首先证明这些条款是对《公约》所依据的一般原则的表述。目前，裁判机构在《公约》解释实践中已经开始运用《通则》辅助《公约》的补缺和解释。从结果导向来看，参考外国案例法是实现《公约》统一适用和解释的有效方法和最后一步。实践中，裁判庭通常将外国案例法中的法律推理作为分析对象来帮助得出解释结论。经过多次的选择积淀，国际案例法中符合《公约》国际特征的解释可能留存下来并得到普遍依循，形成具有现实约束力的《公约》解释。既有《公约》案例反映出，中国裁判机构对《公约》的解释重视不够。在《公约》适用上，也存在对《公约》和国内民商法相互关系认识上的分歧。其实，《公约》第一条第一款a项已经明确规定了《公约》直接适用的条件，按照这些条件直接适用《公约》是中国作为缔约国的国际义务，同时也符合中国国内法规定的精神。中国法院应当以更积极的姿态正视《公约》的直接适用问题。更多还原

【Abstract】 The dissertation makes research on interpretation issues on United Nations Convention on Contracts for the International Sale of Goods(hereinafter CISG). As a convention dealing with civil legal affairs, the interpretation of CISG surely should follow common rules on interpretation of treaties. Meanwhile, as for those private rules, CISG sets out special interpretation rules of its own in article 7, so we may mainly interpret those rules in conformity with factors stipulated in article 7.The dissertation is of six chapters: Chapter one make a concise analysis on article 7, and explains the relationship among interpretation factors contained in article 7 and some of basic issues in interpretation of CISG; Chapter two makes research on general interpretation rules of CISG which embody in section 1 of article 7; Chapter three analyzes the gap-filling interpretation rules in section 2 of article 7; Following the analysis of interpretation rules of CISG, chapter four and five respectively deal with two controversial issues in interpretation of CISG——the roles of Principles of International Commercial Contracts(hereinafter UNIDROIT Principles) and foreign case law in the interpretation of CISG, and make special research on these two issues; Chapter six looks back on the situation of China, and makes special analysis on problems in China’s application and interpretation practice of CISG with the means of interpretation contained in former chapters.The dissertation points out that the three factors stipulated in Section 1-"international character", "need to promote uniformity in its application" and "the observation of good faith in international trade" respectively declare interpretation background, purpose and value of CISG. The three factors require us to interpret CISG autonomously and on basis of international legal infrastructure, abandon all preconceived ideas from domestic law, meanwhile develop value interpretation function of good faith to achieve the purpose of promoting good faith in international trade. Section 2 refers to gap-filling on questions concerning matters governed by CISG which are not expressly settled in it. We should extends the scope of gaps praeter legem, apply analogy, general principles to fill the gaps and make every effort to avoid using the means of private international law which is inferior to general principle methods.UNIDROIT Principles and CISG are of same notion and have common relationship, thus it may make assistance in provision and gap-filling interpretation of CISG. Where there is not any rule contradiction, stipulation of UNIDOIT Principles can be used to interpret CISG.. And provisions of UNIDOIT Principles can also be used in gap-filling of CISG while these provisions are expression of general principles on which CISG is based. Nowadays, tribunals have begun to apply UNIDOIT Principles to assist the interpretation and gap-filling of CISG in practice.In outcome-oriented angle, making reference to foreign case law is an effective method to realize the uniform application of CISG and is also the last step. In practice, tribunals usually analyze legal reasoning of foreign case law to help them arrive at conclusion. After times of choice and accumulation, those interpretations in international case law which conform to international character can deposit and be commonly followed and thus constitute interpretation of real binding force.Looking though decided cases of China, we find out that tribunals in China don’t attach enough importance to interpretation of CISG. As for the application of CISG, there is divergence on relations between CISG and domestic civil law. In fact, article 1(1)(a) of CISG has expressly stipulated conditions for the direct application of CISG. To apply CISG according to article 1(1)(a) is our international obligation, and the application is in conformity with the notion of domestic law as well. Courts of China should deal with the direct application of CISG in more positive attitude.更多还原