欧洲合同法原则(英文版)

PAGEPAGE1THEPRINCIPLESOFEUROPEANCONTRACTLAW PreparedbytheCommisiononEuropeanContractLaw1999textinEnglishIntroductiontothePrinciplesofEuropeanContractLawPreparedbyTheCommissiononEuropeanContractLaw AbusinessmanisnegotiatingacontractwithacompanyinanotherStateoftheEuropeanUnion,butneitherpartywishestoapplythelawoftheothercountry.AlawyerisadvisingpartiestoacontractinvolvingpartiesindifferentStates.Anarbitratorhastodecideadisputeunderacontract"tobegovernedbyinternationallyacceptedprinciplesoflaw".AprofessoroflawwantshisstudentstogainanunderstandingofthewayinwhichcontractsaretreatedbythelawsofthedifferentStatesoftheEuropeanUnion,andtolearnthecommonprinciples.Alegislatorisdraftingacodeorastatuteonthelawofcontracts.AnEuropeanUnionofficialisdraftinganewDirectiveaffectingcontracts.AlltheseneedtoknowtheprinciplesofcontractlawsharedbythelegalsystemsoftheMemberStatesandtohaveaconcise,comprehensiveandworkablestatementofthem.ThePrinciplesofEuropeanContractLawPartsIandIIHYPERLINK"http://frontpage.cbs.dk/law/commission_on_european_contract_law/survey_pecl.htm"\l"note1#note1"(1),andpartIIIHYPERLINK"http://frontpage.cbs.dk/law/commission_on_european_contract_law/survey_pecl.htm"\l"note2#note2"(2)willprovidethis.TheBooksareavailablewithHYPERLINK"http://www.kluwerlaw.com"KluwerLawInternationalseeHYPERLINK"mailto:sales@kluwerlaw.com"sales@kluwerlaw.comYouwillfindthetextofthearticlesofPartsI-IIIinthethirdsectionbelow.ThePrincipleshavebeendrawnupbyanindependentbodyofexpertsfromeachMemberStateoftheEuropeanUnionunderaprojectsupportedbytheEuropeanCommissionandmanyotherorganisations.Theprinciplesarestatedintheformofarticleswithadetailedcommentaryexplainingthepurposeandoperationofeacharticle.Inthecommentsthereareillustrations,ultrashortcaseswhichshowhowtherulesaretooperateinpractice.Eacharticlealsohascomparativenotessurveyingthenationallawsandotherinternationalprovisionsonthetopic.ThePrinciplesofEuropeanContractLawPartsIandII(hereinafterreferredtoasPECLIandII.)coverthecorerulesofcontract,formation,authorityofagents,validity,interpretation,,contents,performance,non-performance(breach)andremedies.ThePrinciplespreviouslypublishedinPartI(1995)areincludedinarevisedandre-orderedform.PartIIIcoverspluralityofparties,assignmentofclaims,substitutionofnewdebt,transferofcontract,set-off,prescription,illegality,conditionsandcapitalisationofinterest.ThroughoutEuropethereisgreatinterestindevelopingacommonEuropeancivilandcommerciallaw.TheEuropeanParliamenthastwicecalledforthecreationofaEuropeanCivilCode.ThePrinciplesofEuropeanContractLawareessentialstepsintheseprojects. TheBackgroundofthePrinciplesTheEuropeanUnionhavepromotedaEuropeanrégimeofacademiclawyerswhoseplatformisEuropeandwhosewritingsanddebatesareconcernedwiththefutureEuropeanlaw.ThisnewEuropeanrégimeresemblesthatoftheAmerican.IntheUnitedStatesthewritingsoncontractlaw-asonothersubjects-dealwiththeproblemsandissuescommontothecommonlawstates.Thereareconsiderabledifferencesbetweenthecontractlawsoftheseveralstates.Thesedifferences,however,donotpreventadebatewhichcanbebasedoncommonconceptsandacommonlegalmethod.SuchacommonlanguageandacommonlegalmethodisalsoslowlyemerginginEurope.TheAmericanandthenewEuropeanrégimesareinspiringeachother.Togetherwithlawyersfromothercountriestheyareintheprocessofbecomingaworldcommunityofacademiclawyers.Today,however,thedomesticlawisthemainsubjectoftheEuropeanlawschools.AndEuropehasasmanylegalsciencesastherearelegalsystems.This,infact,isagreatwasteofeffortsandtalent.ItwillbeanenormousimprovementofresourcesandideasandenrichthelegalscienceconsiderablywheninthethirdmillenniumthetalentswillunitetoestablishandlatermaintainaEuropean-oraworld-privatelaw.HYPERLINK"http://frontpage.cbs.dk/law/commission_on_european_contract_law/survey_pecl.htm"\l"note3#note3"(3)Andtheeffortsandmoneywhichitwillcosttounifytheprivatelawwillbeamplyrepaidwhenitisthere.Muchoftheworktocultivatethemanydomesticlawswillthenbesaved. TheCommissiononEuropeanContractLawTheseconsiderationshaveguidedtheCommissiononEuropeanContractLaw.Sincel982ithasbeenworkingtoestablishPrinciplesofEuropeanContractLaw(hereinaftercalledPECL).Part1ofthePrinciplesdealingwithperformance,non-performanceandremedieswaspublishedin1995.HYPERLINK"http://frontpage.cbs.dk/law/commission_on_european_contract_law/survey_pecl.htm"\l"note4#note4"(4)PECLPartsIandIIwaspublishedin1999andPartIIIin2003. WithafewexceptionsthemembersoftheCommissionofEuropeanContractLawhavebeenacademics,butmanyoftheacademicsarealsopractisinglawyers.TheMembershavenotbeenrepresentativesofspecificpoliticalorgovernmentalinterests,andtheyhaveallpursuedthesameobjective,todraftthemostappropriatecontractrulesforEurope.InsomerespectsthePrinciplesmaybecomparedwiththeAmericanRestatementoftheLawofContract,whichwaspublishedinitssecondeditionin1981.LiketheRestatementsthearticlesdraftedaresuppliedwithcommentsandnotes.TheRestatementsconsistofnon-bindingrules,"softlaw".TheypurporttorestatetheCommonLawoftheUnitedStates.ThePrinciplesarealso"softlaw",buttheirmainpurposeistoserveasafirstdraftofapartofaEuropeanCivilCode.FurthermoreacommonlawdoesnottoexistintheEuropeanUnion.ThePrincipleshasthereforebeenestablishedbyamoreradicalprocess.Nosinglelegalsystemhasbeentheirbasis.TheCommissionhaspaidattentiontoallthesystemsoftheMemberStates,butnoteveryofthemhashadinfluenceoneveryissuedealtwith.TherulesofthelegalsystemsoutsideoftheCommunitieshavealsobeenconsidered.SohavetheAmericanRestatementontheLawofContractsandtheexistingconventions,suchasTheUnitedNationsConventiononContractsfortheInternationalSalesofGoods(CISG).SomeofthePrinciplesreflectideaswhichhavenotyetmaterialisedinthelawofanystate.Inshort,theCommissionhastriedtoestablishthoseprincipleswhichitbelievedtobebestundertheexistingeconomicandsocialconditionsinEurope.AnattempthasbeenmadetodraftshortruleswhichareeasilyunderstoodbytheprospectiveusersofthePrinciplessuchaspractisinglawyersandbusinesspeople.TheCommissionhasmadeananalysisoftheextenttowhichPart1ofthePrinciplesareapplicabletothemoreimportantcommercialcontractsfortheprovisionofgoodsandservicesofvariouskindsandthetransferofrights(licenceagreements,etc.).AlthoughthePrinciplescannotprovidetheappropriatesolutiontoalltheissueswhicheveryofthesespecificcontractsraisesthecommissionhasfoundthemapplicabletothegreatmajorityoftheseissues.TheCommissionhasmadeanefforttodealwiththoseissuesincontractwhichfacebusinesslifeoftodayandwhichmayadvancethetrade,especiallytheinternationaltrade.However,thePrinciplesdonotintendtoapplyexclusivelytointernationaltransactions. WhichFurtherPartsoftheLawarePlannedtobeUnified?TheStudyGroupofaEuropeanCivilCodeOntheEuropeanContinentthereisatraditionalconceptofwhatisprivatelaw.Itcoversfamilylaw,lawofinheritance,lawofpropertyandthelawofobligationswithitsthreemainbranches,thelawofcontract,thelawofrestitutionandthelawoftorts.Thelawofcontractisprobablythefieldofthelawwhichmosturgentlyneedsunification.ItisalsoherethatwefindafragmentaryEuropeanlegislationenactedasdirectives.IthasbeendoubtedwhethertheAmsterdamTreatyempowerstheinstitutionsoftheEUtoprepareaCivilCodefortheUnion.HYPERLINK"http://frontpage.cbs.dk/law/commission_on_european_contract_law/survey_pecl.htm"\l"note5#note5"(5)  ForalongtimetheCouncilofMInistersandtheEuropeanCommission showednointentionofengaginguponamajorefforttoharmonizethegeneralprinciplesofcontractlaw,althoughtheEuropeanParliamenttwicerequested themtoprepareaEuropeanCivilCode.However,inOctober1999theEuropeanCouncildecidedthattheCommissionandtheCouncilofMinistersshouldprepareanoverallstudyontheneedtoapproximatetheMemberStates'legislationincivillawmatters.OnJuly112001theCommissionpublishedaCommunicationtotheCouncilandParliament(COM(2001)398final)askingthem-andotherstakeholders-whetherakindofRestatement,i.e.softlawrulesoncotractswhicharenotbindingonthecourts,andonlyworkbytheirforceofpersuasionshouldbemade,orwhetheracomprehensiveandbindingUnionlegislationonthelawofcontractshouldbeprepared.TheCommissionalsoaskedwhethertheexistingCommunitycontractlaw(Acquiscommunautaire),mostofwhichconsistofdirectivesonconsumerprotection,shouldbeimprovedandco-ordinated. TheCommissionreceivedresponsestotheCommunicationduring2001and2002.TheCouncilofMinistersdidnotobjecttoaharmonisationofcontractlawifaneedforitwasrevealed.TheEuropeanParliamentproposedtheenactmentofabindingEuropeanContractLawin2010astheultimategoalaftercarefulstudiesandpreparations.SodidtheCommissiononEuropeanContractLawandtheStudyGroupofaEuropeanCivilCode.Theotherso-calledstakeholders,i.e.governments,courts,lawyerandbusinessorganisations,lawfacultiesandindividualscholarsweredividedintheirviews.Manyofthemfavouredthedraftingofnon-bindingprinciplestobeadoptedbypartiesandbyarbitratorsdecidinginternationaldisputes.Thatwouldnotpreventnationallegislatorsfromadoptingtheseruleswhenrevisingtheirnationalcontractlaws.MostofthestakeholdersalsofavouredareviewoftheexistingEClaw(theAcquiscommunitaire)incombinationwiththedraftingofnon-bindingprinciples. OnFebruary122003theCommissionpublishedanActionPlanasasecondstepintheongoingdiscussionaboutthefutureEuropeanContractLaw.ItsuggestedasafirstmeasuretheimprovementoftheexistingandfutureAcguisCommunautaireinthefieldofcontractlaw.ThiscouldbeachievedbymeansofasocalledFrameofReference,whichcontainrulesontheconclusion,validityandinterpretationofcontractaswellasperformance,nonperformanceandremedies,rulesoncreditsecuritiesandmovablegoodsandonthelawofunjustenrichment.ThiswouldfillinthemanylacunaewhichtheAcquisleavesopen.ThePlanalsoenvisagesthedevelopmentofGeneralConditionsofBusinessContractsvalidthroughoutEurope.TheCommissionofferstohelptheenterprisesandtheirorganisationstoexchangeinformationwithviewtodraftingsuchconditions.Finally,thePlandiscussesthepossibilityofhavinganOptionalInstrumentofEuropeanContractLaw.However,theaimisnottoimposethisInstrumentonthecontractingparties,buttomakeitpossibleforthemtochooseittoreplacetheirnationallaws.   TheCommissionhasaskedtheviewsonthisActionPlanofthesameinstitutionsandstakeholderswhichrespondedtothe2001Communication,andisworkinguptheresponsesbeforeittakesitsnextstepintheongoingdeliberations.ItseemsasifthedoubtsastowhethertheAmsterdamTreatyallowstheEUtoprepareaCivilCodecouldbeovercome.SomeoftheGovernmentshavegiventheideaofacodificationmorethanamoralsupport.InFebruary1997theDutchGovernmentorganisedasymposiumonafutureEuropeanCivilCodeintheHague,andsincethenaStudyGroupofaEuropeanCivilCodehasbeenestablishedundertheleadershipofProfessorChristianvonBar,UniversityofOsnabrückGermanyandcomparativestudiesandensuingdraftsofacodearenowcarriedoutincentres.AcentreinHamburginGermanyisTheMaxPlanckInstitutfürausländischesundinternationalesPrivatrect.Itisdealingprimarilywithpersonalsecurityandwithsecuredtransactionsrelatingtomoveableproperty(mortgageinmoveables,retentionoftitle,etc).TheHamburgcentreandtheZentrumfüreuropäischesRechtattheUniversityofInnsbruckinAustriaisdealingwithinsurancecontracts.AcentreinOsnabrückinGermanyistreatingrulesontorts,unjustenrichmentandnegotiorumgestio.CentresinAmsterdam,UtrechtandTilburgintheNetherlandsareworkingonsales,longtermcontractsandcontractsfortherenditionsofservices,suchasconstructioncontractsandservicesrenderedbyprofessionals(lawyers,doctors,accountants).AcentreinSalzburgAustriaistreatingtransferofpropertyinmoveablegoods. TheGermantheDutchandtheFlemishResearchCouncilsandaGreekfoundationhavegrantedfundsfortheseenterprises,ContributionshavealsobeenreceivedfromtheAustrianMinistryofEducationandScienceandtheItalianCouncilofLawyers.TheworkstartedinJuly1999.ItisenvisagedthatthegeneralprinciplesofthelawofcontractsprovidedinthePECLwillbeintegratedinwhatmayeventuallybecomeaEuropeanCivilCode. NotesHYPERLINK"http://frontpage.cbs.dk/law/commission_on_european_contract_law/survey_pecl.htm"\l"back1#back1"1.HardboundISBN90-411-1305-3publishedinNovember1999byKluwerLawInternationalP.OBox85889,2508CNHague,TheNetherlandsHYPERLINK"http://frontpage.cbs.dk/law/commission_on_european_contract_law/survey_pecl.htm"\l"back2#back2"2.HardboundISBN90-411-1961-2publishedin2003byKluwerLawInternational,P.O.Box85889,2508CNHague,TheNetherlands.HYPERLINK"http://frontpage.cbs.dk/law/commission_on_european_contract_law/survey_pecl.htm"\l"back3#back3"3.In1838ThibautmadethisobservationregardingGermanywhichwasthendividedinagreatnumberoflegalsystems,seeÜberdiesogennantehistorischeundnicht-historische-Rechts-schule,ArchivfürdiezivilistischePraxis(1838)39l-4l9,reprintedinHattenhauer,ThibautundSavigny,IhreprogrammatischenSchriften,München1973p275,279f.HYPERLINK"http://frontpage.cbs.dk/law/commission_on_european_contract_law/survey_pecl.htm"\l"back4#back4"4.Lando&Beale(eds)PrinciplesofEuropeanContractLaw,Part1.Performance,Non-performanceandRemedies,Dordrecht1995.HYPERLINK"http://frontpage.cbs.dk/law/commission_on_european_contract_law/survey_pecl.htm"\l"back5#back5"5.SeeWinfriedTilmann&WaltervanGerven,DieKompetenzendetEUzurSchaffungeineseinheitlichenEuropäischenSchuld-undSachenrechtsunddiemöglichenRechtsgrundlageninVergleichendeUntersuchungderPrivatrechtsordnungenderMigliedstaatenderEUimHinblickaufDiskriminerungenausGründenderStatsangehörigkeitsowiezurMöglichkeitundNotwendigkeitderSchaffungeineseuropäischenZivilgesetzbuches,EuropäishesParlament,GeneraldirektionWissenschaft,ProjektNrIV/98/44,1999.THEPRINCIPLESOFEUROPEANCONTRACTLAW PreparedbytheCommisiononEuropeanContractLaw1999textinEnglishCHAPTER1:GENERALPROVISIONSSection1:ScopeofthePrinciplesArticle1:101:ApplicationofthePrinciples(1)ThesePrinciplesareintendedtobeappliedasgeneralrulesofcontractlawintheEuropeanUnion.(2)ThesePrincipleswillapplywhenthepartieshaveagreedtoincorporatethemintotheircontractorthattheircontractistobegovernedbythem.(3)ThesePrinciplesmaybeappliedwhentheparties:(a)haveagreedthattheircontractistobegovernedby"generalprinciplesoflaw",the"lexmercatoria"orthelike;or(b)havenotchosenanysystemorrulesoflawtogoverntheircontract.(4)ThesePrinciplesmayprovideasolutiontotheissueraisedwherethesystemorrulesoflawapplicabledonotdoso.Article1:102:FreedomofContract(1)Partiesarefreetoenterintoacontractandtodetermineitscontents,subjecttotherequirementsofgoodfaithandfairdealing,andthemandatoryrulesestablishedbythesePrinciples.(2)ThepartiesmayexcludetheapplicationofanyofthePrinciplesorderogatefromorvarytheireffects,exceptasotherwiseprovidedbythesePrinciples.Article1:103:MandatoryLaw(1)Wherethelawotherwiseapplicablesoallows,thepartiesmaychoosetohavetheircontractgovernedbythePrinciples,withtheeffectthatnationalmandatoryrulesarenotapplicable.(2)Effectshouldneverthelessbegiventothosemandatoryrulesofnational,supranationalandinternationallawwhich,accordingtotherelevantrulesofprivateinternationallaw,areapplicableirrespectiveofthelawgoverningthecontract.Article1:104:ApplicationtoQuestionsofConsent(1)TheexistenceandvalidityoftheagreementofthepartiestoadoptorincorporatethesePrinciplesshallbedeterminedbythesePrinciples.(2)Nevertheless,apartymayrelyuponthelawofthecountryinwhichithasitshabitualresidencetoestablishthatitdidnotconsentifitappearsfromthecircumstancesthatitwouldnotbereasonabletodeterminetheeffectoftheparty’sconductinaccordancewiththesePrinciples.Article1:105:UsagesandPractices(1)Thepartiesareboundbyanyusagetowhichtheyhaveagreedandbyanypracticetheyhaveestablishedbetweenthemselves.(2)Thepartiesareboundbyausagewhichwouldbeconsideredgenerallyapplicablebypersonsinthesamesituationastheparties,exceptwheretheapplicationofsuchusagewouldbeunreasonable.Article1:106:InterpretationandSupplementation(1)ThesePrinciplesshouldbeinterpretedanddevelopedinaccordancewiththeirpurposes.Inparticular,regardshouldbehadtotheneedtopromotegoodfaithandfairdealing,certaintyincontractualrelationshipsanduniformityofapplication.(2)IssueswithinthescopeofthesePrinciplesbutnotexpresslysettledbythemaresofaraspossibletobesettledinaccordancewiththeideasunderlyingthePrinciples.Failingthis,thelegalsystemapplicablebyvirtueoftherulesofprivateinternationallawistobeapplied.Article1:107:ApplicationofthePrinciplesbyWayofAnalogyThesePrinciplesapplywithappropriatemodificationstoagreementstomodifyorendacontract,tounilateralpromisesandotherstatementsandconductindicatingintention.Section2:GeneralDutiesArticle1:201:GoodFaithandFairDealing(1)Eachpartymustactinaccordancewithgoodfaithandfairdealing.(2)Thepartiesmaynotexcludeorlimitthisduty.Article1:202:DutytoCo-operateEachpartyowestotheotheradutytoco-operateinordertogivefulleffecttothecontract.Section3:TerminologyandOtherProvisionsArticle1:301:MeaningofTermsInthesePrinciples,exceptwherethecontextotherwiserequires:(1)‘act’includesomission;(2)‘court’includesarbitraltribunal;(3)an‘intentional’actincludesanactdonerecklessly;(4)‘non-performance’denotesanyfailuretoperformanobligationunderthecontract,whetherornotexcused,andincludesdelayedperformance,defectiveperformanceandfailuretoco-operateinordertogivefulleffecttothecontract.(5)amatteris‘material’ifitisonewhichareasonablepersoninthesamesituationasonepartyoughttohaveknownwouldinfluencetheotherpartyinitsdecisionwhethertocontractontheproposedtermsortocontractatall;(6)‘written’statementsincludecommunicationsmadebytelegram,telex,telefaxandelectronicmailandothermeansofcommunicationcapableofprovidingareadablerecordofthestatementonbothsidesArticle1:302:ReasonablenessUnderthesePrinciplesreasonablenessistobejudgedbywhatpersonsactingingoodfaithandinthesamesituationasthepartieswouldconsidertobereasonable.Inparticular,inassessingwhatisreasonablethenatureandpurposeofthecontract,thecircumstancesofthecase,andtheusagesandpracticesofthetradesorprofessionsinvolvedshouldbetakenintoaccount.Article1:303:Notice(1)Anynoticemaybegivenbyanymeans,whetherinwritingorotherwise,appropriatetothecircumstances.(2)Subjecttoparagraphs(4)and(5),anynoticebecomeseffectivewhenitreachestheaddressee.(3)Anoticereachestheaddresseewhenitisdeliveredtoitortoitsplaceofbusinessormailingaddress,or,ifitdoesnothaveaplaceofbusinessormailingaddress,toitshabitualresidence(4)Ifonepartygivesnoticetotheotherbecauseoftheother'snon-performanceorbecausesuchnon-performanceisreasonablyanticipatedbythefirstparty,andthenoticeisproperlydispatchedorgiven,adelayorinaccuracyinthetransmissionofthenoticeoritsfailuretoarrivedoesnotpreventitfromhavingeffect.Thenoticeshallhaveeffectfromthetimeatwhichitwouldhavearrivedinnormalcircumstances.(5)Anoticehasnoeffectifawithdrawalofitreachestheaddresseebeforeoratthesametimeasthenotice.(6)InthisArticle,'notice'includesthecommunicationofapromise,statement,offer,acceptance,demand,requestorotherdeclaration.Article1:304:ComputationofTime(1)Aperiodoftimesetbyapartyinawrittendocumentfortheaddresseetoreplyortakeotheractionbeginstorunfromthedatestatedasthedateofthedocument.Ifnodateisshown,theperiodbeginstorunfromthemomentthedocumentreachestheaddressee.(2)Officialholidaysandofficialnon-workingdaysoccurringduringtheperiodareincludedincalculatingtheperiod.However,ifthelastdayoftheperiodisanofficialholidayorofficialnon-workingdayattheaddressoftheaddressee,orattheplacewhereaprescribedactistobeperformed,theperiodisextendeduntilthefirstfollowingworkingdayinthatplace.(3)Periodsoftimeexpressedindays,weeks,monthsoryearsshallbeginat00.00onthenextdayandshallendat24.00onthelastdayoftheperiod;butanyreplythathastoreachthepartywhosettheperiodmustarrive,orotheractwhichistobedonemustbecompleted,bythenormalcloseofbusinessintherelevantplaceonthelastdayoftheperiod.Article1:305:ImputedKnowledgeandIntentionIfanypersonwhowithaparty'sassentwasinvolvedinmakingacontract,orwhowasentrustedwithperformancebyapartyorperformedwithitsassent:(a)kneworforesawafact,oroughttohaveknownorforeseenit;or(b)actedintentionallyorwithgrossnegligence,ornotinaccordancewithgoodfaithandfairdealing,thisknowledge,foresightorbehaviourisimputedtothepartyitself.CHAPTER2:FORMATIONSection1:GeneralProvisionsArticle2:101:ConditionsfortheConclusionofaContract(1)Acontractisconcludedif:(a)thepartiesintendtobelegallybound,and(b)theyreachasufficientagreementwithoutanyfurtherrequirement.(2)Acontractneednotbeconcludedorevidencedinwritingnorisitsubjecttoanyotherrequirementastoform.Thecontractmaybeprovedbyanymeans,includingwitnesses.Article2:102:IntentionTheintentionofapa