Lesson 10　Law of International Sales of Goods
第十课　国际货物买卖法

Ⅰ. Text & Its Translation

1. General Introduction

Since World War II international sales of goods has grown extensively, seeing the increasing importance of laws and customs⁽¹⁾ related to international sales of goods. The laws and customs to sales of goods play a vital role in world economy development, particularly in the integration of world markets.

The key feature of international sales of goods is the fact that it is a sales transaction that crosses national borders. An exporter may sell goods directly to an importer abroad or he may set up a marketing organization abroad and transact business through distributors, agents, branch offices⁽²⁾ or subsidiary⁽³⁾ companies. Given the international nature of trading transactions, the parties to these international contracts have to deal with other legal concerns in addition to the basic legal issues addressed in domestic sales transactions.

As a basic principal, international law comes into effect only when states consent to accept it.The particular consent of a state to be bound by an international law can be found in the declarations of its government, in its domestic legislation, in its court decision, and in the treaties(both bilateral and multilateral) to which it is a party. As to sales of goods, the most important and effective international law is The United Nations Convention on Contracts for the International Sale of Goods(CISG).

Some rules have simply been around for such a long time or are so generally accepted that they are described as customary laws. In the field of international sales of goods, the widely used customary law is the International Rules for the Interpretation of Trade Terms（INCOTERMS）which is a codification⁽⁴⁾ of international rules for the uniform interpretation of common contract clauses in sales of goods.

2. CISG

The United Nations Convention on Contracts for the International Sale of Goods is a treaty offering a uniform international sales law that, as of August 2010, has been ratified⁽⁵⁾ by 76 countries that account for a significant proportion of world trade, making it one of the most successful international uniform laws.

The CISG has been described as a great legislative achievement and the most successful international document so far in international sales law, in part due to its flexibility in allowing Contracting States the option of taking exception to some specified articles. Although a number of countries that have signed the CISG have made declarations and reservations, the vast majority—55 out of the current 76 Contracting States—has chosen to accede to⁽⁶⁾ the Convention without any reservations.

Language is one of the most complex and important tools of international sales. As in any sophisticated business activities, small changes in wording can have a major impact on all aspects of an international treaty. The CISG is written using plain language. Further, it facilitated the translation into six languages so all texts are equally authentic.

Greater acceptance of the CISG will come from three directions. Firstly, it is likely that within the global legal profession, the number of new lawyers educated in the CISG is increasing, and the existing Contracting States will embrace the CISG more, appropriately interpret the articles and demonstrate a greater willingness to accept precedents from other Contracting States. Secondly, business people will increasingly pressure both lawyers and governments to make sales of goods disputes less expensive and reduce the risk of being forced to use a legal system that may be completely alien to their own. Both of these objectives can be achieved through use of the CISG. Finally, UNCITRAL⁽⁷⁾ will need to develop a mechanism to further develop the Convention and to resolve conflicting interpretation issues. This will make it more attractive to both business people and potential Contracting States.

3. INCOTERMS

Parties to international sales of goods have developed certain special trade terms used commonly to allocate rights and duties between themselves. These trade terms have been expressed through various standard abbreviations and each type of term carries with its specific legal consequences. The most common trade terms are CIF and FOB. However, uncertainties may still exist because the interpretation of these terms can vary depending on the law governing the contract. For example, the definitions of these trade terms under the US Uniform Commercial Code⁽⁸⁾ are different from their definitions in English common law, so to avoid controversy, the parties should specify which set of definitions are to apply. Parties to international sales of goods can choose to adopt the definitions set out in INCOTERMS: International Rules for the Interpretation of Trade Terms. INCOTERMS are a series of international sales with terms, published by International Chamber of Commerce(ICC)⁽⁹⁾ and widely used in international commercial transactions. These are accepted by governments, legal authorities and practitioners worldwide for the interpretation of most commonly used terms in international trade. This reduces or removes altogether uncertainties arising from different interpretation of such terms in different countries.

Article 9 of the CISG provides that parties are also bound by practices established between themselves or those widely used in international trade, which they knew or ought to have known. Parties who wish to use INCOTERMS may specify that the provisions of INCOTERMS govern the contract. Hence a sales transaction governed by CISG can incorporate⁽¹⁰⁾ INCOTERMS as well.

INCOTERMS were created primarily for people inside the world of global trade. Outsiders frequently find them difficult to understand. Seemingly common words such as “responsibility” and “delivery” have different meanings in global trade than they do in other situations. In global trade, “delivery” refers to the seller fulfilling the obligation of sale or to completing a contractual obligation. “Delivery” can occur while the merchandise is on a vessel on the high seas⁽¹¹⁾ and the parties involved are thousands of miles from the goods.

INCOTERMS are relating to rights and obligations of the parties to the contract of sale with respect to the delivery of goods sold. They are used to divide transaction costs and responsibilities between buyer and seller and reflect transportation practices. They closely correspond to the UN Convention on Contracts for the International Sale of Goods. The first version was introduced in 1936 and the present dates from 2010. As of January 1,2011, INCOTERMS 2010(the 8^th edition) has effect. The changes therein affect all of the five terms previously listed in section D.

Ⅰ．课文及译文

1．概述

自第二次世界大战以来，国际货物买卖迅速增长，与国际货物买卖有关的法律和习惯的重要性也与日俱增。国际货物买卖法律和习惯对世界经济的发展，特别是对世界市场的整合，发挥着重要作用。

国际货物买卖的关键特色就在于，它是跨越国境的买卖交易。出口商可以直接向国外的进口商销售货物，或者，他也可以在国外建立销售组织，以及通过分销商、代理人、办事处或者子公司来开展业务。由于商贸交易的国际性，除了需要处理国内买卖交易中需要关注的法律问题之外，国际合同的当事方还需要处理其他的法律关注点。

只有国际法得到有关国家的同意和接受，它才具有效力，这是一项基本原则。国家同意受某一国际法约束的特别同意，可体现在政府宣言、国内立法、法院裁决及其作为一方的双边和多边条约之中。对于货物买卖，最为重要和最有影响力的国际法就是《联合国国际货物买卖合同公约》（CISG）。

有些规则因为存在了很长一段时间，或是因为被广泛接受，所以被称为“习惯法”。在国际货物买卖领域，最广泛使用的习惯法是《国际贸易术语解释通则》，这一法律编纂的内容是货物买卖通用合同条款的国际统一解释规则。

2．《联合国国际货物买卖合同公约》

《联合国国际货物买卖合同公约》是一个规定了统一国际销售法律的条约。截至2010年8月，占世界贸易极大份额的76个国家批准了该条约，这使得该公约成为最成功的国际统一法律。

CISG被视为迄今最为伟大的立法成就，以及国际销售法律领域的最成功的国际文件，这是因为，CISG灵活地允许缔约国不接受其中的某些特定条款。尽管一部分国家在签署CISG时做了申明和保留，但是，绝大多数国家（76个缔约国中的56个）选择不做任何保留地加入公约。

语言是国际买卖中最为复杂、重要的工具之一。就像在任何复杂的商业活动中一样，语言的些许改变可能给国际条约的各个方面带来重大影响。CISG使用通俗易通的语言进行起草。此外，公约还被翻译为6种语言，每种文本都有相同的效力。

CISG将被更多的国家所接受，原因有如下三个方面：第一，在全球法律界，接受CISG知识的新律师的数量很可能在不断增加，并且，已有的缔约国将更加信奉公约，合理地解释其条文，并在接受其他缔约国先例上表现出更大的意愿。第二，商人迫切地要求律师都能够让他们在货物买卖争端解决上支出变少，政府能够让他们降低被迫使用完全不同于自己国家法律的外国法的风险。上述两个目标都可以通过CISG的使用来实现。第三，联合国国际贸易法委员会需要形成一种机制来推进公约的发展，以解决公约解释中的冲突。这将使公约对商人及潜在的缔约国更有吸引力。

3．国际贸易术语解释通则

国际货物买卖的当事方已经形成了一些特定的贸易术语，并且共同使用这些术语去分配他们之间的权利和义务。这些贸易术语通过多种标准的缩写形式表达出来，并且每一类的贸易术语都会产生特定的法律后果。最常使用的贸易术语就是CIF和FOB。然而，不确定性依然存在：合同的准据法不同，它们对上述贸易术语的解释也会有所不同。例如，美国《统一商法典》对上述贸易术语的定义就有别于英国普通法对它们的定义。因此，为了避免冲突，当事方需要规定使用何种定义。国际货物买卖的当事方可选择采用INCOTERMS（《贸易术语解释的国际规则》）中规定的定义。INCOTERMS是国际商会出版的一系列国际销售术语，被国际商事交易广泛使用。它们被世界范围内的政府、法律组织和法律实践者所接受，以解释国际贸易中最常用的术语。这就减少或者消除了因不同国家对贸易术语的不同解释所产生的不确定性。

CISG第9条规定，当事方受其确立的习惯的约束，或者受其知悉的或应当知悉的广泛用于国际贸易中的习惯的约束。希望使用INCOTERMS的当事方可具体说明INCOTERMS的规定对他们的合同具有约束力。因此，一个受CISG规范的买卖交易也可使用INCOTERMS。

INCOTERMS主要是为国际贸易领域内的人们所创设的。国际贸易领域外的人很难理解这些术语。在国际贸易中，诸如“责任”和“交付”之类的看起来平常的单词，具有不同于在其他领域中使用时的含义。在国际贸易中，“交付”是指卖方完成了销售的义务，或者是指完成了合同项下的义务。当货物在公海中的船上，并且有关当事人拒货物千里之外时，“交付”就可以进行。

INCOTERMS对买卖合同的当事人关于已出售货物交付的权利和义务进行了规定。它们被用来划分买卖双方的交易费用和责任，并反映了运输实践做法。它们与《联合国国际货物买卖合同公约》保持了高度一致。第一版于1936年问世，目前的版本于2010年出版。自2011年1月1日，《2010国际贸易术语解释通则》生效。该版对原先D组的全部5个术语作了修正。

Ⅱ. GLOSSARY
Ⅱ．词汇表

custom 习惯，惯例

bilateral treaty 双边条约

multilateral treaty 多边条约

customary law 习惯法

international customary law 国际习惯法

law merchant(lex mercatoria) 商人法，商法

international commercial law 国际商事法

codification 法典，法典化，法典编纂

ratify 批准

legislative 立法的

reservation （条约的）保留

International Rules for the Interpretation of Trade Terms（INCOTERMS）《贸易术语解释的国际规则》或译为《国际贸易术语解释通则》

lingua franca 〈拉丁语〉通用语

accede 加入

contracting state 缔约国

delivery 交付

high seas 公海

Ⅲ. SUPPLEMENTARY TEXT
Ⅲ．补充资料

The eighth published set of predefined terms, Incoterms 2010 defines 11 rules, reducing the 13 used in Incoterms 2000 by introducing two new rules(“Delivered at Terminal”, DAT; “Delivered at Place”, DAP) that replace four rules of the prior version(“Delivered at Frontier”, DAF; “Delivered Ex Ship”, DES; “Delivered Ex Quay”, DEQ; “Delivered Duty Unpaid”, DDU). In the prior version, the rules were divided into four categories, but the 11 pre-defined terms of Incoterms 2010 are subdivided into two categories based only on method of delivery.

General Modes of Transportation⁽¹²⁾

The seven rules defined by Incoterms 2010 for general modes of transportation are:

EXW⁽¹³⁾—Ex Works(named place)

The seller makes the goods available at his premises. The buyer is responsible for all charges. This trade term places the greatest responsibility on the buyer and minimum obligations on the seller. The Ex Works term is often used when making an initial quotation for the sale of goods without any costs included. EXW means that a seller has the goods ready for collection at his premises(Works, factory, warehouse, plant) on the date agreed upon.

FCA⁽¹⁴⁾ —Free Carrier(named places)

The seller hands over the goods, cleared for export, into the custody of the first carrier(named by the buyer) at the named place. This term is suitable for all modes of transport, including carriage by air, rail, road, and containerized/multimodal sea transport. This is the correct “freight collect” term to use for sea shipments in containers.

CPT⁽¹⁵⁾—Carriage Paid To(named place of destination)

The seller pays for carriage to the named point of destination, but risk passes when the goods are handed over to the first carrier.

CIP⁽¹⁶⁾ —Carriage and Insurance Paid To(named place of destination)

Seller pays for carriage and insurance to the named destination point, but risk passes when the goods are handed over to the first carrier.

DAT⁽¹⁷⁾ —Delivered at Terminal

Seller pays for carriage to the terminal, except for costs related to import clearance, and assumes all risks up to the point that the goods are unloaded at the terminal.

DAP⁽¹⁸⁾ —Delivered at Place(named place of destination)

Seller pays for carriage to the named place, except for costs related to import clearance, and assumes all risks prior to the point that the goods are ready for unloading by the buyer.

DDP⁽¹⁹⁾ —Delivered Duty Paid(destination place).

Water Transportation(solely)⁽²⁰⁾

The four rules defined by Incoterms 2010 for sales where transportation is entirely conducted by water are:

FAS⁽²¹⁾—Free Alongside Ship(named loading port)

The seller must place the goods alongside the ship at the named port. The seller must clear the goods for export. This term is typically used for heavylift or bulk cargo.

FOB⁽²²⁾ —Free on board(named loading port)

The seller must load the goods on board the ship nominated by the buyer, cost and risk being divided at ship's rail. The seller must clear the goods for export. The buyer must instruct the seller the details of the vessel and port where the goods are to be loaded, and there is no reference to, or provision for, the use of a carrier or forwarder. It does not include air transport.

CFR⁽²³⁾ —Cost and Freight(named destination port)

Seller must pay the costs and freight to bring the goods to the port of destination. However, risk is transferred to the buyer once the goods are loaded on the ship. Maritime transport only and Insurance for the goods is NOT included. Insurance is at the Cost of the Buyer.

CIF⁽²⁴⁾ —Cost, Insurance and Freight(named destination port)

Exactly the same as CFR except that the seller must in addition procure and pay for insurance for the buyer.

Ⅳ. EXERCISES
Ⅳ．练习

1. Answer the following questions.

（1）How can an international law come into effect?

（2）What is the custom in international sales of goods? Please give examples.

（3）What is the comment to CISG in this text?

（4）Please list the reasons for INCOTERMS being widely accepted all over the world.

2. Translate the following terms into English.

（1）《联合国国际货物买卖合同公约》

（2）《国际贸易术语解释通则》

（3）联合国国际贸易法委员会

（4）国际商会

（5）（条约的）保留

（6）缔约国

3. Translate the following terms into Chinese.

（1）bilateral treaty

（2）customary law

（3）law merchant

（4）lingua franca

（5）high seas

（6）international commercial law

4. Match the given terms with the proper explanation.

1. Lex mercatoria

2. ratification

3. high seas

4. customary law

（1）It is the approval process to a nationally binding agreement such a bilateral or multilateral treaty.

（2）It may be the traditional common rule or practice that has become an intrinsic part of the accepted and expected conduct in a community, and maybe become the kind of “law”.

（3）They are the oceans, seas, and waters outside of national jurisdiction.

（4）It is a body of trading principles used by merchants throughout Europe in the medieval period. The system of laws which is adopted by all commercial nations constitutes a part of the law of the land.

5. Choose the suitable words from the box and fill in the blanks.

INCOTERMS are most frequently listed by category. Terms (1) F refer to shipments where the primary cost of shipping is not paid for by the seller. Terms beginning with C (2) shipments where the seller pays for shipping. Eterms occur when a seller's responsibilities are (3) when goods are ready to depart from their facilities. D terms cover shipments where the shipper/seller's (4) ends when the goods arrive at some specific point. Because shipments are moving into a country, D terms usually involve the services of a (5) broker and a freight forwarder. In addition, D terms also deal with the pier or docking charges found at virtually all ports and determining who is (6) for each charge.

6. Translate the following sentences into Chinese.

（1）The definitions of the trade terms under the US Uniform Commercial Code⁽²⁵⁾ are different from their definitions in English common law, so to avoid controversy, the parties should specify which set of definitions are to apply.

（2）Article 9 of the CISG provides that parties are also bound by practices established between themselves or those widely used in international trade, which they knew or ought to have known.

（3）It has been discussed for a long time, whether the provisions of the CISG exclude the application of parallel national tort law regimes in the case of consequential harm caused by a defect.

（4）It should be established beyond doubt, that an exporter of goods whose principal place of business is in country A does not run different liability risks depending on whether it delivers goods in member state B or member state C.

（5）Given the international nature of trading transactions, the parties to these international contracts have to deal with other legal concerns in addition to the basic legal issues addressed in domestic sales transactions.

————————————————————

(1) custom：习惯，惯例；习惯法。指经过长期实践和使用所形成的为历代民众所肯定认可的惯常做法，它在人们的日常生活中一直保持效力，并以不成文的形式对人们产生拘束力。英国的普通法正是建立在习惯基础上形成的法律体系。

(2) branch office：办事处，分支机构。An office of a firm which is located somewhere other than the firm's main office location.

(3) subsidiary：子公司。A subsidiary, in business matters, is an entity that is controlled by a separate higher entity. The controlled entity is called a company, corporation, or limited liability company.

(4) codification：法典，法典编纂，法典化。The collection and systematic arrangement, usually by subject, of the laws of a state or country, or the statutory provisions, rules, and regulations.

(5) ratify：批准。国际法上所指的批准，指缔约方同意受条约的约束而对条约或协定的确认。其名词形式为ratification。The approval process to a nationally binding agreement such a bilateral or multilateral treaty.

(6) accede：参加，加入（条约等）。

(7) UNCITRAL：其全称为United Nations Commission on International Trade Law，联合国国际贸易法委员会。于1966年由联合国大会设立（1966年12月17日 第2205（ⅩⅪ）号决议），中国是其成员国之一。大会在设立贸易法委员会时承认，各国的国际贸易法律存在差异，给贸易流通造成了障碍，因此，大会把贸易法委员会视作联合国可藉此对减少或消除这些障碍发挥更积极作用的工具。该委员会有助于协调及统一国际贸易法，集中处理四个主要的国际贸易范畴：货品销售、付款、商业仲裁及有关货运的法例。

(8) Uniform Commercial Code：《统一商法典》。需要说明的是，尽管其名为“法典”，但其不是议会通过“法律”，而只是一部由统一州法全国委员会和美国法学会的共同制定的“示范法”（model law）。该法典没有“法律”效力，供各州立法机关参考采用。同时需要说明的，该“示范法”的影响巨大，除路易斯安那州之外的49个州、哥伦比亚特区和维尔京岛的立法机构都采纳了这部法典。该“示范法”并为各类商事交易活动提供了优良的模式，被美国国内乃至国际商事社会广泛采用和吸收，实现了商法的国际性。它分为11章（Article），以总则（General Provisions）和各分则的形式，对现实中的商事规则和商事惯例进行了归纳和制度层面的架构。它基本消除了各州商法对州际交易因规定不同而造成的障碍，实现了美国商法在州际交易范围内，关于销售、票据、担保、信贷各领域规定的统一。

(9) International Chamber of Commerce：国际商会。国际商会是为世界商业服务的非政府间组织，是联合国等政府间组织的咨询机构，国际商会于1919年在美国发起，1920年正式成立，其总部设在法国巴黎。

(10) incorporate：并入。To unite(one thing) with something else already in existence.

(11) high seas：公海。Oceans, seas, and waters outside of national jurisdiction are also referred to as the high seas or, in Latin, mare liberum(meaning free seas).

(12) 适用于任何运输方式的术语。

(13) EXW：工厂交货。

(14) FCA：货交承运人。

(15) CPT：运费付至目的地。

(16) CIP：运费/保险费付至目的地。

(17) DAT：目的地或目的港的集散站交货。

(18) DAP：目的地交货。

(19) DDP：完税后交货。

(20) 仅适用于水上运输的术语。

(21) FAS：装运港船边交货。

(22) FOB：装运港船上交货。

(23) CFR：成本加运费。

(24) CIF：成本、保险费加运费。

(25) Uniform Commercial Code：《统一商法典》。需要说明的是，尽管其名为“法典”，但其不是议会通过“法律”，而只是一部由统一州法全国委员会和美国法学会的共同制定的“示范法”（model law）。该法典没有“法律”效力，供各州立法机关参考采用。同时需要说明的，该“示范法”的影响巨大，除路易斯安那州之外的49个州、哥伦比亚特区和维尔京岛的立法机构都采纳了这部法典。该“示范法”并为各类商事交易活动提供了优良的模式，被美国国内乃至国际商事社会广泛采用和吸收，实现了商法的国际性。它分为11章（Article），以总则（General Provisions）和各分则的形式，对现实中的商事规则和商事惯例进行了归纳和制度层面的架构。它基本消除了各州商法对州际交易因规定不同而造成的障碍，实现了美国商法在州际交易范围内，关于销售、票据、担保、信贷各领域规定的统一。