《联合国国际货物销售合同公约》解释问题研究

发布时间：2018-02-03 11:53

本文关键词： 《联合国国际货物销售合同公约》解释外国判例法《联合国国际货物销售合同公约》第七条《国际商事合同通则》　出处：《复旦大学》2007年博士论文　论文类型：学位论文

【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。
[Abstract]:This paper discusses the "United Nations Convention on Contracts for the international sale of goods" (hereinafter referred to as the "Convention"). As the interpretation of civil and commercial treaties, conventions < > interpretation of course should follow the general rules of treaty interpretation. At the same time < convention > seventh stipulates the special interpretation rules of its own, so the "Private Law Convention" the rules are more in accordance with the provisions of article seventh in the interpretation of factors to explain.
This paper is divided into six chapters: the first chapter is the introduction of article seventh, the basic problems of relationship and interpretation of the seventh convention > > contains elements of the interpretation is explained; the second chapter is the first paragraph of article seventh, the general rules for the interpretation of "Convention" analysis; the third chapter is on the second paragraph of article seventh, the Convention on the interpretation rules of < > by analysis; after the explanation of the terms to complete the interpretation of the fourth convention > >, the fifth chapter respectively aiming at two problems in dispute in the interpretation of the "Convention", namely "principles of international commercial contracts (hereinafter referred to as the" general > >) and foreign case law in "Convention" in the interpretation of the existing problems, and combining with the case to carry out special research on the "Convention"; the sixth chapter will view back to the China, according to reflected in practice in the application and interpretation of < > China convention problem, using the solution The method of release was analyzed.
This paper argues that section seventh of the provisions of the first paragraph of "international character", "unification of application", "abide by international trade on the integrity of three elements that" Convention "interpretation of the background, purpose and value orientation, not only to guide the interpretation in terms of the Convention > < <, also must follow the public about > seventh the provisions of the second paragraph of the first paragraph. By revealing explanation three factors require autonomous interpretation of < Convention", abandon the domestic law based on international law interpretation bias < Convention ", at the same time to play the value of honesty by explaining the interpretation function, to promote the good faith in international trade. The goal of the second paragraph of article seventh of < > the adjustment range but belongs to the Convention" Convention "matters not clearly resolved by. We should try to expand the" Convention "outside the scope of the legal gaps, by analogy, general principle and method of realization of compensation solution in" Convention "within the framework of The aim of the release should be to avoid domestic law guided by the rules of private international law.
< < > > and the general convention is consistent with the concept and common relationship, in the process of "Convention" in terms of the interpretation and general principles embodied in compensation can play a supporting role. There are no rules in case of conflict, the provisions of the general principles of < > > > can be used to interpret the Convention and individual terms. "General terms > to < > by convention as basis, must first prove that these terms are generally based on the principle of" description of the Convention ". At present, the referee organization explained in the < Convention" has begun to practice the use of general > < < > by auxiliary Convention and interpretation.
From the results oriented point of view, reference to foreign case law is an effective method to achieve a unified application and interpretation of "Convention" and the last step. In practice, the tribunal will usually foreign legal reasoning in the case method as the analysis object to help interpretation conclusions. After times of choice and accumulation, in accordance with international convention > < international case law the explanation may survive and be commonly followed and form < Convention "has realistic binding interpretation.
Both cases reflect the Convention < >, < > to China judge explanation seriously enough. The Convention in the application of the "Convention", but also the existence of "Convention" and domestic civil law relationship between different opinions. In fact, "the Convention" 1 A has clearly defined the "Convention" directly in accordance with the applicable conditions, these conditions directly applicable to < > is China Convention as a state party to the international obligations, in accordance with the provisions of the domestic law Chinese spirit. China court shall directly apply to a more positive attitude to face the "Convention".

【学位授予单位】：复旦大学
【学位级别】：博士
【学位授予年份】：2007
【分类号】：D997.1

【引证文献】