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1、国际货物买卖合同中买卖双方权利义务 Still waters run deep.流静水深流静水深,人静心深人静心深 Where there is life,there is hope。有生命必有希望。有生命必有希望义务渊源l联合国国际货物销售合同公约lIncoterms2000l合同法总则及分则第九章l当事人约定11/4/20222ruchly公约规定的义务l共同义务l保全货物l通知l卖方的四大义务l买方的两大义务11/4/20223ruchly卖方的义务l交付合同规定的货物l交付单据（转移所有权）l货物相符l权利保证11/4/20224ruchlyArticle 30 lThe seller
2、 must deliver the goods,hand over any documents relating to them and transfer the property in the goods,as required by the contract and this Convention.lSection I.Delivery of the goods and handing over of documents 11/4/20225ruchly1交货：deliverthegoodsl何为交付：自愿转移占有形式？l地点l特定地点l涉及运输，交给第一承运人l不涉及运输，特定货物或未特
3、定化货物，知悉的特定地点l其他情况，卖方订立合同时的营业地l时间l具体日期一段时期合同订立后合理时间11/4/20226ruchly31（b）l31.If the seller is not bound to deliver the goods at any other particular place,his obligation to deliver consists:l(b)if,in cases not within the preceding subparagraph,the contract relates to specific goods,or unidentified goo
4、ds to be drawn from a specific stock or to be manufactured or produced,and at the time of the conclusion of the contract the parties knew knew that the goods were at,or were to be manufactured or produced at,a particular placea particular place-in placing the goods at the buyers disposal at that pla
5、ce;11/4/20227ruchly交货方式（运输）l交给承运人l加注货物标记注明货物，否则发货通知l如果安排运输，必要运输合同l如果无义务保险，提供保险帮助11/4/20228ruchly32(2)l 32(2)If the seller is bound to arrange for carriage of the goods,he must make such contracts as are necessary for carriage to the place fixed by means of transportation appropriate in the circumsta
6、nces and according to the usual terms for such transportation.11/4/20229ruchly2交单l交付单据(转移所有权)l与国内贸易的最大不同l交货之外的独立义务l按合同规定的时间、地点、形式11/4/202210ruchlyArticle 34 lIf the seller is bound to hand over documents If the seller is bound to hand over documents relating to the goods,he must hand them over relat
7、ing to the goods,he must hand them over at at the time and place and in the formthe time and place and in the form required by the required by the contractcontract.If the seller has handed over documents.If the seller has handed over documents before that time,he may,up to that time,cure any before
8、that time,he may,up to that time,cure any lack of conformity in the documents,if the exercise lack of conformity in the documents,if the exercise of this right does not cause the buyer unreasonable of this right does not cause the buyer unreasonable inconvenience or unreasonable expense.However,inco
9、nvenience or unreasonable expense.However,the buyer retains any right to claim damages as the buyer retains any right to claim damages as provided for in this Convention.provided for in this Convention.11/4/202211ruchly3货物相符l四方面l数量（溢短装）l质量l规格l包装l如何确定相符l约定标准（相互间的关系）l规格（买方或卖方的规定确定A65）l说明l样品l公约最低标准11/4
10、/202212ruchly3货物相符（公约标准）l四标准：买方订约时已知例外（卖方免买方订约时已知例外（卖方免责）责）l通常使用目的l特定目的l样品l通常方式包装11/4/202213ruchly货物检查l标准机构时间地点l卖方检验，结算依据l买方检验，最终依据l双方约定11/4/202214ruchly买方通知不符时间l及时检验l及时通知不符l过期丧失主张不符权l卖方已知或不可能不知而未告知的，例外11/4/202215ruchly货物不符与风险转移l货物不符与途中灭损风险承担是两个不同问题l卖方负责期限CISG36l卖方应按照合同和本公约的规定，对风险转移到买方时所存在的任何不符合同情形，
11、负有责任，即使这种不符合同情形在该时间后方始明显。l卖方对上一款所述时间后发生的任何不符情形，也应负有责任，如果这种不符合同情形是由于卖方违反他的某项义务所致，包括违反关于在一段时间内货物将继续适用于其通常适用的目的或某种特定目的，或将保持某种特定质量或性质的任何保证。l风险转移时l风险转移后违约延长期限11/4/202216ruchly卖方对货物不符的责任l买方订约时知道不符否？l不知，卖方有责l已知，卖方免责l（卖方已知？）l买方收货后合理通知？l有，则卖方有责l无，则买方失权l卖方已知而没告知，不能主张买方失权（保护买方）11/4/202217ruchlyArticle 35 一般要求l
12、35(1)The seller must deliver goods which are of the quantity,quality and description required by the contract and which are contained or packaged in the manner required by the contract.11/4/202218ruchly四标准l35(2)Exceptwherethepartieshaveagreedotherwise,thegoodsdonotconformwiththecontractunlessthey:l(
13、a)arefitforthepurposesforwhichgoodsofthesamedescriptionwouldordinarilybeused;(b)arefitforanyparticularpurposeexpressly or impliedly made known to the seller at the time of the conclusion of the contract,exceptwherethecircumstancesshowthatthebuyerdidnotrely,orthatitwasunreasonableforhimtorely,onthese
14、llersskillandjudgment;(c)possessthequalitiesofgoodswhichthesellerhasheldouttothebuyerasasampleormodel;(d)arecontainedorpackagedinthemannerusualforsuchgoodsor,wherethereisnosuchmanner,inamanneradequatetopreserveandprotectthegoods.11/4/202219ruchly卖方负责的期限l36(1)Thesellerisliableinaccordancewiththecontr
15、actandthisConventionforanylackofconformitywhichexistsatthetimewhentheriskpassestothebuyer,eventhoughthelackofconformitybecomesapparentonlyafterthattime.l(2)Thesellerisalsoliableforanylackofconformitywhichoccursafterthetimeindicatedintheprecedingparagraphandwhichisduetoabreachofanyofhisobligations,in
16、cludingabreachofanyguaranteethatforaperiodoftimethegoodswillremainfitfortheirordinarypurposeorforsomeparticularpurposeorwillretainspecifiedqualitiesorcharacteristics.11/4/202220ruchly35（3）卖方因买方已知而免责l35(3)The seller is not liable under subparagraphs(a)to(d)of the preceding paragraph for any lack of c
17、onformity of the goods if at the time of the conclusion of the contract the buyer knew or could not have been unaware of such lack of conformity.11/4/202221ruchly38买方检查时间、地点l(1)Thebuyermustexaminethegoods,orcausethemtobeexamined,withinasshortaperiodasispracticableinthecircumstances.l(2)Ifthecontract
18、involvescarriageofthegoods,examinationmaybedeferreduntilafterthegoodshavearrivedattheirdestination.l(3)Ifthegoodsareredirectedintransitorredispatchedbythebuyerwithoutareasonableopportunityforexaminationbyhimandatthetimeoftheconclusionofthecontractthesellerkneworoughttohaveknownofthepossibilityofsuch
19、redirectionorredispatch,examinationmaybedeferreduntilafterthegoodshavearrivedatthenewdestination.11/4/202222ruchly39不符通知l(1)Thebuyerlosestherighttorelyonalackofconformityofthegoodsifhedoesnotgivenoticetothesellerspecifyingthenatureofthelackofconformitywithinareasonabletimeafterhehasdiscovereditoroug
20、httohavediscoveredit.l(2)Inanyevent,thebuyerlosestherighttorelyonalackofconformityofthegoodsifhedoesnotgivethesellernoticethereofatthelatestwithinaperiodoftwoyearsfromthedateonwhichthegoodswereactuallyhandedovertothebuyer,unlessthistime-limitisinconsistentwithacontractualperiodofguarantee.11/4/20222
21、3ruchly40卖方已知缺陷，保护买方lThe seller is not entitled to rely on the provisions of articles 38 and 39 if the lack of conformity relates to facts of which he knew or could not have been unaware and which he did not disclose to the buyer.11/4/202224ruchly4卖方权利担保义务与责任l何种权利l何时权利l何地权利l对谁l严格11/4/202225ruchly4物权
22、担保l交付的货物，第三方不能提出任何权利或要求l买方同意例外（卖方免责）l买方及时通知与失权l卖方知或应知权利要求，不能主张买方失权（保护买方）11/4/202226ruchly知识产权权利担保l第三方不得提出知识产权权利或要求l预期转售地使用地l买方所在地l订约时卖方已知或不可能不知l买方已知或提供图样例外l买方及时通知与失权l卖方已知或应知，不能主张买方失权11/4/202227ruchly案例讨论l许可方欧洲公司l被许可方中国公司l多条生产线l合法l自己组装l出口美国被指控侵权l其他国家？l怎办11/4/202228ruchlyArticle 41 物权性质的要求lThesellermu
23、stdelivergoodswhicharefreefromanyrightorclaimofathirdparty,unlessthebuyeragreedtotakethegoodssubjecttothatrightorclaim.However,ifsuchrightorclaimisbasedonindustrialpropertyorotherintellectualproperty,thesellersobligationisgovernedbyarticle42.11/4/202229ruchlyArticle 42 卖方对缔约时已知IP承责l(1)The seller mus
24、t deliver goods which are free from any right or claim of a third party based on industrial property or other intellectual property,of which at the time of the conclusion of the contract the seller knew or could not have been unaware,provided that the right or claim is based on industrial property o
25、r other intellectual property:l(a)under the law of the State where the goods will be resold or otherwise used,if it was contemplated by the parties at the time of the conclusion of the contract that the goods would be resold or otherwise used in that State;or(b)in any other case,under the law of the
26、 State where the buyer has his place of business.11/4/202230ruchlyArticle 42 买方已知使卖方免责l(2)The obligation of the seller under the preceding paragraph does not extend tonot extend to cases where:l(a)at the time of the conclusion of the contract the buyer knew or could not have been unaware of the righ
27、t or claim;or(b)the right or claim results from the sellers compliance with technical drawings,designs,formulae or other such specifications furnished by the buyer.11/4/202231ruchly43买方通知义务与卖方已知l43(1)The buyer loses the right to rely on the provisions of article 41 or article 42 if he does not give
28、notice to the seller specifying the nature of the right or claim of the third party within a reasonable time after he has become aware or ought to have become aware of the right or claim.l(2)The seller is not entitled to rely on the provisions of the preceding paragraph if he knew of the right or cl
29、aim of the third party and the nature of it.l44 Notwithstanding the provisions of paragraph(1)of article 39 and paragraph(1)of article 43,the buyer may reduce the price in accordance with article 50 or claim damages,except for loss of profit,if he has a reasonable excuse for his failure to give the
30、required notice.11/4/202232ruchly买方义务l支付价款l支付准备和实际支付l?卖方未交付货物,应否付款l接收货物l接收准备和实际接收l不是接受11/4/202233ruchlyArticle53l53 The buyer must pay the price for the goods and take delivery of them as required by the contract and this Convention.11/4/202234ruchly54付款准备l54.The buyers obligation to pay the price i
31、ncludes taking such steps and complying with such formalities as may be required under the contract or any laws and regulations to enable payment to be made.11/4/202235ruchly付款地点l特定地点l卖方营业地l交货交单地11/4/202236ruchly57付款地点l57(1)If the buyer is not bound to pay the price at any other particular place,he
32、must pay it to the seller:l(a)at the sellers place of business;or(b)if the payment is to be made against the handing over of the goods or of documents,at the place where the handing over takes place.l(2)The seller must bear any increase in the expenses incidental to payment which is caused by a chan
33、ge in his place of business subsequent to the conclusion of the contract.11/4/202237ruchly付款时间l特定时间l货物或单据交买方控制时l支付可为交付条件l付款可为发运货物条件l验货机会前可不支付l与交货或支付程序抵触除外l到期付款，无需催办11/4/202238ruchly58付款时间l(1)If the buyer is not bound to pay the price at any other specific time,he must pay it when the seller places e
34、ither the goods or documents controlling their disposition at the buyers disposal in accordance with the contract and this Convention.The seller may make such payment a condition for handing over the goods or documents.l(2)If the contract involves carriage of the goods,the seller may dispatch the go
35、ods on terms whereby the goods,or documents controlling their disposition,will not be handed over to the buyer except against payment of the price.l(3)The buyer is not bound to pay the price until he has had an opportunity to examine the goods,unless the procedures for delivery or payment agreed upo
36、n by the parties are inconsistent with his having such an opportunity.11/4/202239ruchly55价格的确定l55.Where a contract has been validly concluded but does not expressly or implicitly fix or make provision for determining the price,the parties are considered,in the absence of any indication to the contra
37、ry,to have impliedly made reference to the price generally charged at the time of the conclusion of the contract for such goods sold under comparable circumstances in the trade concerned.l56.If the price is fixed according to the weight of the goods,in case of doubt it is to be determined by the net
38、 weight.11/4/202240ruchly收取货物l采取一切行动，便利卖方交货lFOB下的租船l接收货物lFOB下的派船11/4/202241ruchly收货义务l66.The buyers obligation to take delivery consists:l(a)in doing all the acts which could reasonably be expected of him in order to enable the seller to make delivery;and(b)in taking over the goods.11/4/202242ruchly
39、共同义务1保全货物l保全情形l买方推迟收货，或货款同时清结时不付款，卖方控制货物l买方收到货物，但打算退货l买方退货，代收货物l保全措施种类l寄放l出售（条件）l合理性费用及补偿11/4/202243ruchly共同义务2通知l行权通知l宣告合同无效的通知（26条）l通知未能及时到达，不影响通知人的权利（27条）l另外要求的通知（设定义务的通知）l到达生效，如履约宽限期的规定11/4/202244ruchly违约类型l根本违约与非根本违约l效果l预期违约与实际违约l时间l根本违约V.预期违约l交叉11/4/202245ruchly根本违约的界定及结果l违约后果剥夺受害人预期利益（主观）l违约方
40、没有预知（主观）l第三人无理由预知（客观）l受害方可宣告合同无效11/4/202246ruchly分批交货与根本违约l批次货物与合同的关系l批次货物l前后批次货物l合同货物l宣告合同无效11/4/202247ruchly25根本违约l25A breach of contract committed by one of the parties is fundamental fundamental lif it results in such detriment to the other party as substantially to deprive him of what he is ent
41、itled to expect under the contract,unless the party in breach did not foresee and a reasonable person of the same kind in the same circumstances would not have foreseen such a result.11/4/202248ruchly预期违约l时间l表现l措施l中止l宣告合同无效l保证11/4/202249ruchly71预期违约anticipatorybreachl71.(1)A party may suspend the pe
42、rformance of his obligations if,after the conclusion of the contract,it becomes apparent that the other party will not perform a substantial part of his obligations as a result of:l(a)a serious deficiency in his ability of perform or in his creditworthiness;or(b)his conduct in preparing to perform o
43、r in performing the contract.11/4/202250ruchly71预期违约（续）l(2)If the seller has already dispatched the goods before the grounds described in the preceding paragraph become evident,he may prevent the handing over of the goods to the buyer even though the buyer holds a document which entitles him to obta
44、in them.The present paragraph relates only to the rights in the goods as between the buyer and the seller.l(3)A party suspending performance,whether before or after dispatch of the goods,must immediately give notice of the suspension to the other party and must continue with performance if the other
45、 party provides adequate assurance of his performance.11/4/202251ruchly违约责任l责任类型与救济措施l合同责任与侵权责任l合同前/中/后责任l赔偿责任l其他责任（救济）11/4/202252ruchly赔偿的原则l普遍适用l非他所能控制的障碍时的免除l高低要求11/4/202253ruchly赔偿原则l一方当事人违反合同应负的损害赔偿额，应与另一方当事人因他违反合同遭受的包括利润在内的损失额相等。（实际）lsubjecttol这种损害赔偿不得超过违反合同一方在订立合同时依照他当时已知或理应知道的事实和情况，对违反合同预料到或
46、理应预料到的可能损失。（预期）11/4/202254ruchly存在替代交易时的赔偿l如果合同被宣告无效，宣告无效后的合理时间内，买方以合理方式购买替代物，或卖方以合理方式转售，则要求赔偿的一方可以获得l合同价格与替代交易价格之间的差额l以及据上述赔偿的一般原则可以取得的其他损害赔偿11/4/202255ruchly没有替代交易时的赔偿l如果合同被宣告无效，当事人没有转售或购买货物，而货物在交付地点又有时价，则要求损害赔偿的一方，可以取得合同价与宣告合同无效时的时价之间的差额及据一般赔偿原则可取得的其他赔偿。l如果买方接收货物后又宣告合同无效，则适用接收货物时、交付货物地的时价，即合同价与接收
47、货物时的时价之间的差额。11/4/202256ruchly有关损害赔偿的一些原则l实际与合理预期74l45.2/61.2 not deprived of any right he may have to claim damages by exercising his right to other remedies.l79.5Nothing in this article prevents either party from exercising any right other than to claim damages under this Convention.11/4/202257ruch
48、ly74损害赔偿的一般原则：实损l74.Damages for breach of contract by one party consist of a sum equal to the loss,including loss of profitincluding loss of profit,suffered by the other party as a consequence of the breach.Such damages may not exceed the loss which the party in breach foresaw or ought to have fores
49、een at the time of the conclusion of the contract,in the light of the facts and matters of which he then knew or ought to have known,as a possible consequence of the breach of contract.11/4/202258ruchly75解除合同时的损害赔偿：差价l75.If the contract is avoided and if,in a reasonable manner and within a reasonabl
50、e time after avoidance,the buyer has bought goods in replacement or the seller has resold the goods,the party claiming damages may recover the difference between the contract price and the price in the substitute transaction as well as any further damages recoverable under article 74.11/4/202259ruch