【作者】 于晓娜；

【导师】 许庆坤；

【作者基本信息】 山东大学 ， 国际法学， 2011， 硕士

【摘要】 尽管《联合国国际货物销售合同公约》第78条只包含一款,然而在整个公约中它却是最有争议的条款之一。公约第78条仅仅规定了债权人收取利息的一般权利,立法背景资料表明该条是折中和妥协的产物,如何确定利率便成为了公约最大的缺漏之一。司法实践中的首要争议是利率是否属于公约的调整范围,即利率是属于公约的法定缺漏还是法定外缺漏。这是众多学者在研究公约空缺问题时首先要阐明的问题。笔者赞同法定外缺漏的观点,即认为利率属于公约的调整范围,在诚信原则、意思自治原则的指导下,可以适用充分赔偿原则对其进行补充。尽管从有利于公约统一适用的角度,可以依据充分赔偿原则来确定利率。然而依据该基本原则并不能具体地确定适用哪一个国家的何种利率。司法实践中,在处理利率问题时,通常有如下方法：依据国际私法规则指引的准据法确定利率、适用债权人所在国利率、适用债务人所在国利率、适用支付地之利率、适用法院地利率、适用支付货币所属国之利率、依据一般原则或国际贸易惯例确定利率等等。各国法院及仲裁庭对公约第78条的不同理解累积了丰富的相关资料。通过对各国裁判实践的具体分析,可以看出实践中并没有统一的做法。公约第6条赋予了当事人充分的意思自治。因此,当事人完全可以在合同中约定具体的条款来表明适用何种具体利率或是协商确定利率的方法。这也是目前避免不确定性的最好方法。毫无疑问,公约尚存在很多问题,需要结合学术研究成果和司法实践经验予以完善。笔者对公约文本第78条的修订,提出以下建议：利率首先应由当事人根据意思自治原则协商确定。如果不能达成此类协议,则应根据具体案情充分赔偿债权人的利息损失,通常适用债权人营业地商业贷款利率或者参照支付货币国之利率。鉴于目前对公约大幅度修订的可能性不大,各国法院及仲裁机构应该本着促进公约统一适用的态度,致力于在本国内部形成较为统一的做法。我国作为公约最早的缔约国之一,应当在这一过程中发挥应有的作用。更多还原

【Abstract】 Although Article 78 of the U.N. Convention on Contracts for the International Sale of Goods ("CISG") only consists of one simple sentence, it is one of the most disputed provisions among all Convention articles. Art.78 only provides that if a party fails to pay the price or any other sum that is in arrears, the other party is entitled to interest on it. Its legislative background shows that the article is the product of compromise and it does not come as a surprise that interest rates are one of the most litigated and discussed topics of the Convention. In the judicial practice, the primary dispute is whether the interest rate can be adjusted by CISG. That is, the question has been raised, whether the drafters’omission of a specific interest rate in the CISG has to be dealt with as a "lacuna intra legem"" or as a "lacuna praeter legem". This is the primary issue that many scholars have to clarify when study the gap issue of the Convention. The author agrees with the view of "lacuna praeter legem" that is the interest rate can be adjusted by CISG. Under the guidance of the principle of good faith and autonomy, the principle of full compensation can be applied to supplement it.Although from the perspective of the uniform application of the Convention, the principle of full compensation can be used to determine the interest rate. However, it does not specifically identify that what kind of rate of which country should be adopted. In the judicial practice, the following methods are usually used in dealing with the issue of interest rates. Recourse to the law otherwise applicable by virtue of private international law; determined by municipal law of the creditor’s state; determined by municipal law of the interest-debtor; determined by municipal law of place of payment; determined by lex fori; determined by law of payment currency; recourse to UNIDROIT principles or PECL; recourse to international usages etc. The different understanding of Article 78 by different courts and arbitral tribunals has accumulated abundant related materials. Through detailed analysis of judicial cases, we can see that there is no uniform approach to calculate the interest rate. Article 6 of the Convention gives the parties full autonomy. Therefore, the parties can agree in contract to indicate what specific interest rate or method to calculate the rate. This is also the best way to avoid uncertainty.It is no doubt that there are still many problems with CISG. So it is necessary to improve it by combining academic research and judicial experiences. Regarding to the amendment of the Article 78, the author suggests the approaches as below. First, the interest rate is determined by the parties according to the principle of Parties’Autonomy. If there is no such an agreement, the principle of full compensation should be used to compensate the interest loss of the creditor. Usually the bank lending rate of interest-creditor is applied or the law of the currency is referred in which payment of the purchase price has to be made. Since for the moment it is unlikely to revise the Conversation drastically, the courts and arbitral tribunals under the same country should adopt a uniform approach to promote the uniform application of the Convention. As one of the earliest contracting parties, China should play its role in this process.更多还原