homeward trend and lex forism despite uniform sales law

7/23/2019 Homeward Trend and Lex Forism Despite Uniform Sales Law

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Reproduced with permission of 13 Vindobona Journal of International Commercial Law &Arbitration (1/2009) 15-42

Homeward Trend and Lex Forism Despite Uniform Sales Law

Franco Ferrari[*]

1 !utonomous "nterpret#tion $ %omew#rd &rend'2 efinin %omew#rd &rend

3 %omew#rd &rend in "+, #se #w. ! irst #mpe

4 %omew#rd &rend in "+, #se #w. ! +econd #mpe

5 &he %omew#rd &rend $ercome

oncusion

1. AUTONOMOUS INTE!ETATION ". HOME#AD TEND$

"t is common nowede6 #nd h#s 7een for some time6[1]th#t 8dr#ftin uniform words is onethin ensurin their uniformit: is #nother86[2]since 8e$en when outw#rd uniformit: is #chie$ed[]6 uniform #ppic#tion of the #reed rues is 7: no me#ns u#r#nteed6 #s in pr#ctice differentcountries #most ine$it#7: come to put different interpret#tions upon the s#me en#cted words8[3]&herefore6 in order to reduce the ris of di$erin %pa&e 1'(interpret#tions of the s#me tet6[4]th#t tet must 7e interpreted in # uniform m#nner &his is necess#r: since6 #s st#ted 7:;iscount +imonds on 7eh#f of the %ouse of ords in Scruttons Ltd. v. Midland Silicones Ltd.6[5]8it woud 7e depor#7e if the n#tions shoud6 #fter protr#cted neoti#tions6 re#ch #reement []#nd th#t their se$er# courts shoud then dis#ree #s to the me#nin of wh#t the: #ppe#red to#ree upon8[]

&he dr#fters of the 19! "nited #ations Convention on Contracts for t$e International Sale of%oods[uent:6 one shoud not h#$e %pa&e 1*(recourse to #n:domestic concept in order to so$e interpreti$e pro7ems #risin under the "+,[1


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?#n: comment#tors h#$e #rued th#t the #7o$e proposition #ppies e$en where the epressionsempo:ed 7: the "+, (or 7: other uniform #w con$entions for th#t m#tter)[22]#re tetu#:the s#me #s epressions th#t h#$e # specific me#nin within # p#rticu#r domestic e# s:stem --such #s 8#$oid#nce86 8re#son#7e86 or 8ood f#ith8[23]%pa&e 1+(

"n effect6 the "+, refers to concepts th#t #re necess#ri: independent [24]#nd different [25]from n#tion# concepts6[2]since the epressions empo:ed in uniform #w con$entions such #sthe "+, #re intended to 7e neutr#[2uire theopposin p#rties to #ree with the former p#rties8 choice of forum6 which the: m#: 7e unwiinto do "nste#d6 the: m#: w#nt their own courts8 domestic interpret#tion of the "+,6 where oneeists6 to #pp: (thus e#din to # 7#tte of homew#rd trends)6 or simp: 7e reuct#nt to i$e the
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opposin p#rties the competiti$e #d$#nt#e of rei#nce on their 8domestic8 interpret#tion &heresoution of this potenti# confict m#: utim#te: re>uire ecudin the "+, #toether[4](which cert#in: does nothin to enh#nce the "+,8s #ppic#7iit:) Ah#t is cert#in is th#t thisconfict cre#tes unpredict#7iit:6[4uite possi7: t$e mostserious -- thre#t to the m#in purpose of the "+,.proress tow#rd # uniformreime of intern#tion# s#es #w8[51]"n other words6 on: if onemo$es 8tow#rds # "+, perspecti$e th#t tr#nscends domestic ideoo:8[52]c#n the "+,8s m#inpurpose 7e re#ched[53]&his re>uires fihtin the homew#rd trend6 not #d$oc#tin for it %pa&e--(

-. DEFININ/ HOME#AD TEND

%ow6 c#n this -- #ru#7: most sinific#nt [54]-- thre#t to the "+,8s m#in purpose 7e defined'!ccordin to those "+, comment#tors who h#$e not on: referred to the homew#rd trend6 [55]7ut who h#$e #so #ttempted to define it6 the homew#rd trend is #in to the 8n#tur#8[5]8tendenc: of those interpretin the "+, to pro@ect the domestic #w in which the interpreter w#str#ined (#nd with which he or she is ie: most f#mii#r) onto the intern#tion# pro$isions of theon$ention8[5


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the uniformit: the dr#fters of the "+, w#nted to #chie$e &his is true6 for inst#nce6 with respectto the epression 8pri$#te intern#tion# #w8 empo:ed 7: the "+,[3]+ince the "+,constitutes 8mere:8 # su7st#nti$e #w con$ention [4]th#t does not set forth #n: pri$#teintern#tion# #w rue6[5]the epression 8pri$#te intern#tion# #w8 found in !rts 1(1)(7) #nd


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st#tement6 #s we #s other comp#r#7e ones6[=1]which ce#r: show6 #s suested #re#d: moreth#n h#f # centur: #o6 th#t %pa&e -)(8the homew#rd trend m#: 7e prompted not on: 7: re#terstr#neness 7ut #so 7: re#ter simi#rit: 7etween forum #nd forein [or uniform] #w86 [=2]iswron &he mere f#ct th#t the wordin of # p#rticu#r "+, pro$ision corresponds to th#t of #specific domestic rue (whether cre#ted 7: st#tute or c#se #w) is 'er seinsufficient to #ow one

to resort to interpret#tions of th#t domestic rue6 #s noted in D#rt 1 of this p#per[=3]&hus6 oneshoud >uestion whether it is true th#t the "+,8s 8foresee#7iit: re>uirement [] is identic# tothe we-nown rue of/adle0 v. a,endale6 15 n Rep 145 (t ch 1=54)6 such th#tree$#nt interpret#tions of th#t rue c#n uide the ourt8s re#sonin re#rdin proper d#m#es8[=4]"f the foresee#7iit: re>uirement set forth in !rt


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"t is worth mentionin th#t under !rt uenti# d#m#es under the "+, (those th#t were foresee#7e #s # Cpossi7eCconse>uence of the 7re#ch) th#n under the common #w or B (on: those th#t wereforesee#7e #s # Cpro7#7eC conse>uence of the 7re#ch)8[111]&o put it different:6 8%#de:8s[oriin#] %pa&e 0(Cpro7#7e resutC imit#tion is much more restricti$e th#n the Cpossi7econse>uenceC imit#tion of !rt ui$oc#: show th#t the rues on imit#tion ofd#m#es set forth in !rt


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possi7iit: of impicit ecusion w#s not ret#ined 7: the dr#fters of the "+,6[120]despite some#ttempts m#de #t the ;ienn# ipom#tic onference to reintroduce it[121]

B+ courts6 for inst#nce6 consistent: [122]ecude the possi7iit: for p#rties to impicit: %pa&e0-(opt-out of the "+,6 hodin th#t6 8[w]hie the p#rties to # contr#ct m#: ecude the

#ppic#7iit: of the "+,6 #n: such ecusion must 7e epicit8[123]"t is therefore not surprisinth#t B+ courts h#$e st#ted6 for inst#nce6 th#t the choice of the #w of # contr#ctin +t#te to the"+, re>uires courts to 8uphod #ppic#tion of the on$ention #s the #w of the desin#tedontr#ctin +t#te8[124]or th#t 8mere: referrin to # p#rticu#r st#te8s #w does not opt out of the"+,8[125]

Ah#t is surprisin6 howe$er6 is the f#ct th#t $#rious B+ courts [12]h#$e hed th#t where thep#rties choose to 7e 7ound 7: the "niform Commercial Code6 the "+, does not #pp: &hissoution is irreconci#7e with the epress opt-out #reement re>uired6 #mon others6 7: those$er: s#me courts "t c#n on: 7e ep#ined 7: the #forementioned le, forism3 i.e.6 th#t $#ri#tion ofthe homew#rd trend th#t f#$ours #n interpret#tion th#t wi e#d to the #ppic#tion of the #w of

the forum

!t this point6 it is worth mentionin th#t the $iew hed 7: B+ courts6 pursu#nt to which p#rtiesmust epress: opt-out of the "+, for it not to #pp:6 is not sh#red 7: m#n: courts [12uent:6 the #c of #nepress reference to the possi7iit: of #n impicit ecusion must not 7e re#rded #s precudinsuch possi7iit:[134]R#ther6 it h#s # different me#nin. to discour#e courts from too e#si:

inferrin #n 8impied8 ecusion or dero#tion[135]&hus6 #n impicit ecusion of the "+, ispossi7e6[13]#nd h#s 7een confirmed 7: $er: m#n: courts[13


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"n discussin the possi7iit: of impicit: ecudin the "+,6 the >uestion h#s 7een r#isedwhether the "+, is impicit: ecuded where the p#rties #rue # c#se on the soe 7#sis of thesu7st#nti$e #w of the forum "n this #uthor8s opinion6[14


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e$idence rue Ahere controin pro$isions #re inconsistent6 it woud 7e in#ppropri#te to #pp:B c#se #w in construin contr#cts under the "+,8

urope#n courts #s we h#$e compied with the o7i#tion not to interpret the "+, in the ihtof domestic #w6 7ut r#ther 7: h#$in re#rd for its intern#tion# ch#r#cter "n # +wiss c#se from

19936[15=]# court of first inst#nce e$en epress: st#ted th#t the "+, 8is supposed to 7einterpreted #utonomous: #nd not out of the perspecti$e of the respecti$e n#tion# #w of theforum &hus6 [] it is ener#: not decisi$e whether the on$ention is form#: #ppied #sp#rticu#r: this or th#t n#tion# #w6 #s it is to 7e interpreted #utonomous: #nd with re#rd to itsintern#tion# ch#r#cter8 !n epress reference to the need to interpret the "+, C#utonomous:Cc#n #so 7e found in # more recent +wiss c#se[159]#s we #s in # +p#nish c#se6[10]#n!ustri#n one [11]#nd $#rious recent "t#i#n court decisions rendered 7: the &ri7un#e di D#do$#in 2005 #nd 2004 [12]#s we #s 7: the &ri7un#e di ?oden#[13]

Ahie there #re some courts in ,erm#n: th#t h#$e simp: referred to the need to interpret the"+, 7: h#$in re#rd for its intern#tion# ch#r#cter #nd to the need to %pa&e 0,(promote its

uniform #ppic#tion6[14]other courts h#$e one further "n 1996 the ,erm#n +upreme ourt6for inst#nce6 epress: st#ted th#t 8the "+, is different from ,erm#n domestic #w6 whosepro$isions #nd speci# principes #re6 #s # m#tter of principe6 in#ppic#7e for the interpret#tionof the "+, (!rt < "+,)8[15]"t is this re#sonin th#t h#s ed the ourt of !ppe# ofF#rsruhe to st#te th#t 8,erm#n e# concepts such #s CFe$lerC #nd C5u)esic$erte6i)ensc$afteriC #re therefore not tr#nsfer#7e to the "+,8[1]?ore recent:6 in 20056 the,erm#n +upreme ourt st#ted th#t 8insof#r #s the ourt of !ppe#s refers to [$#rious ,erm#n]@udments [] in #n#:sin the >uestion whether6 #t the time the ris p#ssed6 the dei$ered me#tconformed to the contr#ct within the me#nin of !rts 356 3 "+,6 it inored the f#ct th#t thesedecisions were issued 7efore the "+, went into effect in ,erm#n: #nd refer to G 459 H,H []&he principes de$eoped there c#nnot simp: 7e #ppied to the c#se #t h#nd6 #thouh the f#ctu#

position -- suspicion of foodstuffs in tr#ns7order tr#de 7ein h#I#rdous to he#th -- is simi#rth#t is so 7ec#use6 in interpretin the pro$isions of "+,6 we must consider its intern#tion#ch#r#cter #nd the necessit: to promote its uniform #ppic#tion #nd the protection of oodwi inintern#tion# tr#de (!rt u#it:6 st#ted th#t itssoution 8compies with !rtice


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trendC'8[1


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42


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11 +ee !rt 4 of the "#I*(I+ Convention on International Factorin)6 reprinted in (19==) 2uences8#nd the 8pro7#7e resut8. 8to 7orrow from ord Reid8s e#mpe in &he %eron ""6 if one t#es #

we-shuffed p#c of c#rds it is >uite possi7e6 thouh not ie:6 th#t the top c#rd wi pro$e to7e the nine of di#monds e$en thouh the odds #re 51 to 1 ##inst8

10


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112 ?#@umd#r6 H6 #nd Nh#6 +6 C&he #w Re#tin to #m#es under "ntern#tion# +#es. !omp#r#ti$e $er$iew 7etween the "+, #nd "ndi#n ontr#ct #wC (2001) 5 VindobonaJournal1=56 #t p 193

113 ode6 A +6su'rafn 1116 #t p 926 7orrowin from # st#tement 7: ?urphe:6 ! ,6su'ra

fn =


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11= Hone6 ? N6 Commento #8#rt de# on$enIione di ;ienn#C6su'rafn 146 #t p 1uU7Ucois en # m#tiXreC (19=2) 23 Ca$. dr 9196 #t p 931

121 Hoth the represent#ti$es of n#nd #nd Heium m#de propos#s to reintroduce # referenceto the possi7iit: of impicit: ecudin the "+,8s #ppic#tion for # reference to these #ttempts6see ?#nus6 B6su'rafn 136 #t p 150 Bnited E#tions (ed)6 (fficial ecordsH *ocuments of t$eConference and Summar0 ecords of t$e 4lenar0 Meetin)s and of t$e Meetin)s of t$e MainCommittees @Vienna3 1! Mars-11 Avril 19!6 19=16 Eew Jor/,ene$#6 #t pp 249 ff

122 +ee S?0 Cast3 Inc v. %lobal *irect *istribution3 LLC6 B+ eder# istrict ourt6 #stern

istrict of Fentuc:6 1= ?#rch 200=6 #$#i#7e #t.Phttp.//cisw3#wp#ceedu/c#ses/0=031=u1htmQ6asom Automation S0stems3 Inc. v.+$0ssen?ru'' Fabco3 Cor'.6 B+ eder# istrict ourt6 #stern istrict ?ichi#n6 2=+eptem7er 200


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123 Cedar 4etroc$emicals3 Inc. v. *on)bu /annon) C$emical Co.3 Ltd. 6 B+ eder# istrictourt6 +outhern istrict of Eew Jor6 19 Nu: 200


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130 +ee6 e6 He6 F6 C&he +phere of !ppic#tion of the ;ienn# on$ention on ontr#cts forthe "ntern#tion# +#e of ,oodsC (199) =4ace Intl L. ev. K16 #t p 255 Ierwen#6 , H6ec$tsanwendun)s'robleme im internationalen =aufrec$t. *as =ollisionsrec$t bei)ren58bersc$reitenden =aufvertrG)en und der Anwendun)sbereic$ der internationalen=aufrec$ts8berein?ommen6 19==6 uncer O %um7ot6 Herin6 #t p 1


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13


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142 n the occ#sion of the ;ienn# ipom#tic onference6 # #re num7er of dee#tionsre@ected the propos#s 7: #n#d# #nd Heium (for these propos#s6 see (fficial ecords of t$e"nited #ations Conference3 su'rafn 1216 #t p 250) pursu#nt to which the domestic s#es #w6#nd not the "+,6 woud h#$e to 7e #ppied whene$er the p#rties indic#ted the #w of #ontr#ctin +t#te #s the proper #w for their contr#ct

143 or this $iew see6 in e# writin6 !chies6 A-!6su'rafn 146 #t p 25 !udit6 H6su'rafn1326 #t p 39 Hone6 ? N6su'rafn 1336 #t p 5 hiomenti6 6 Coes the choice of #-n#tion#rues ent#i #n impicit ecusion of the "+,'C (2005)6ur. Le). For 1416 #t p 144 nderein66 ?#sow6 #nd +troh7#ch6 %6su'rafn 316 #t p 5= err#ri6 6su'rafn 1346 #t p 129,#rro6 ! ?6 #nd Luppi6 ! 6su'rafn 1306 #t p 95 #ndo6 6 C&he 19=5 %#ue on$entionon the #w !ppic#7e to +#esC (19=


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Phttp.//cisw3#wp#ceedu/cis/tet/000=301erm#nhtmQ 7er#ndesericht r#nfurt6 15?#rch 1996 #$#i#7e #t. Phttp.//wwwcis-oninech/cis/urteie/2=4htmQ

14 +ee !d %oc !r7itr# &ri7un# orence6 19 !pri 19946 #$#i#7e in nish #t.Phttp.//cisw3#wp#ceedu/c#ses/940419i3htmQ &ri7un#e di ?onI#6 14 N#nu#r: 19936

#$#i#7e in nish #t. Phttp.//cisw3#wp#ceedu/c#ses/930114i3htmQ

14uestioni in m#teri# di $endit# intern#Iion#e tr#interpret#Iione #utonom# e ricorso #i# iurisprudenI# str#nier#C (2004) %iur. it 14056 #t p141 err#ri6 6 CLum $ertr#ichen !usschuss des BE-F#ufrechtsC (2002) 76u4


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152 +ee6 most recent:6 +he#ffer6 6su'rafn


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11 +ee 7erster ,erichtshof6 23 ?#: 20056 #$#i#7e in nish #t.Phttp.//cisw3#wp#ceedu/c#ses/050523#3htmQ6 st#tin th#t 8[t]he "+, cre#tes su7st#nti$e#w [] #nd is to 7e interpreted #utonomous: in #ccord#nce with "+, !rt


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6su'rafn 426 #t p 44aren?aufvertrG)e mit /inweisenf8r die Vertra)s'ra,is6 1996 %#ufe6 rei7er6 #t p 103 Auf6 % ?6 "#-=aufrec$t und e-CommerceH 4roblembereic$e bei der Anwendun) des >iener berein?ommens auf Internet-Vertrd)e6 20036 Deter #n6 r#nfurt6 #t p 3


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1=0 +eesu'ratet #ccomp#n:in fns 5 #nd 1

homeward trend and lex forism despite uniform sales law

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