美国合同法.ppt

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1、美国合同法的法律渊源n n由判例法和制定法共同构成n n学者的著述具有重要的参考价值,但无强制约束力.1 1统一商法典Uniform Commercial Coden n是法院必须遵循的法律n n是涉及各种商事交易的综合性法律2 2合同法重述(Restatement of Contract)n n美国法学会(ALI)n n合同法重述(Restatement of Contract),1933n n第二次合同法重述(Restatement(2nd)of Contract),19813 3不履行合同的法律后果n n因违约而不履行合同的,承担法律责任.n n因不可归责于当事人的原因而不履行合同的,不

2、承担违约责任;4 4因对方不履约而免责n n如果合同中约定了履约顺序如果合同中约定了履约顺序,则从约定则从约定;n n如果合同没有约定履约顺序如果合同没有约定履约顺序,法院将依案件具体法院将依案件具体情况推定履约顺序情况推定履约顺序,但法院倾向于把双方的履行但法院倾向于把双方的履行解释为对流条件解释为对流条件.n n法律要求做到两点法律要求做到两点,才能因对方不履行而免责才能因对方不履行而免责:1.1.曾向另一方表示要履行其义务曾向另一方表示要履行其义务;2.2.他在合同规定的履行期到来时有充分的能力履他在合同规定的履行期到来时有充分的能力履行其合同义务行其合同义务5 5因履行不能而免责n n

3、合同标的物的毁损合同标的物的毁损n n政府行为使合同不能履行政府行为使合同不能履行n n不可抗力不可抗力Force Force MajeureMajeure1.1.The event can not be foreseenThe event can not be foreseen2.2.Must be beyond the control of the partiesMust be beyond the control of the parties3.3.Not able to be avoided through the exercise of due diligence.Not able

4、to be avoided through the exercise of due diligence.4.4.Due diligenceDue diligencen n合同目的落空合同目的落空Doctrine of frustration of contract permit the parties to a contract Doctrine of frustration of contract permit the parties to a contract to be relieved of their contractual obligations because of the to

5、 be relieved of their contractual obligations because of the occurrence of some event occurrence of some event beyondbeyond their control that makes it their control that makes it impossible,impracticable or frustrates the purpose impossible,impracticable or frustrates the purpose of the of the perf

6、ormance of the contract.performance of the contract.6 6Other Examplesn nDestruction of thing necessary for performanceDestruction of thing necessary for performanceEx:O,owner of concert hall,leases her concert hall to P,a concert Ex:O,owner of concert hall,leases her concert hall to P,a concert prom

7、oter,for a concert on April 3.The concert hall burns to the promoter,for a concert on April 3.The concert hall burns to the ground on April 1.P sues O for breach of contract.Is Os ground on April 1.P sues O for breach of contract.Is Os performance excused?performance excused?Ex:paint wallEx:paint wa

8、lln nDeath of a person necessary for performanceDeath of a person necessary for performanceEx:F,a famous architect contract to design a house for O,for Ex:F,a famous architect contract to design a house for O,for 200,000.F dies.O pays X$250,000 to design the house.O sues 200,000.F dies.O pays X$250,

9、000 to design the house.O sues Fs estate for$50,000 resulting from Fs non-performance.Is Fs Fs estate for$50,000 resulting from Fs non-performance.Is Fs performance excused?performance excused?Ex:P contracts to paint Os house for$1,000.P dies.Ps estate Ex:P contracts to paint Os house for$1,000.P di

10、es.Ps estate refuses to complete performance or hire someone to complete the refuses to complete performance or hire someone to complete the performance.O hires X$1,500 to paint the house.Can O sue Ps performance.O hires X$1,500 to paint the house.Can O sue Ps estate for$500?estate for$500?n nFrustr

11、ation of purposeFrustration of purpose 7 7违约及救济Breach of Contract and Remedies.8 8违约Breach of Contractn n如果一方没有履行合同约定的义务即构成违约如果一方没有履行合同约定的义务即构成违约If a party to a contract fails to perform If a party to a contract fails to perform obligations specified in the contract,there is a obligations specified

12、in the contract,there is a breach.breach.9 9受损害方在另一方违约时的权利和义务n n中止履行的权利n n给违约方自行补救机会的义务n n解除或终止合同的权利 1010中止履行的权利n n前提是另一方的违约属于重大(material)违约,而不时轻微(minor)的违约.n nUCC 2-609 规定:”当任何一方有合理的理由认为对方不能正常履约时,该方可以用书面形式要求对方就其正常履约提供适当的保证,在收到此种保证之前,可以中止履行对应的那部分义务,只要这种中止在商业上是合理的.”1111给违约方自行补救机会的义务n n在某些情况下在某些情况下,即使

13、合同一方严重违反合同即使合同一方严重违反合同,法院依然法院依然会认为会认为,在受损害方中止履行或解除合同之前在受损害方中止履行或解除合同之前,必须给必须给违约方一个对违约进行自行补救的机会违约方一个对违约进行自行补救的机会,只要违约方有只要违约方有这样的要求这样的要求.UCC UCC 明确规定在两种情况下卖方有权替换货物明确规定在两种情况下卖方有权替换货物:1.1.买方试图拒绝接受卖方的替换货物时买方试图拒绝接受卖方的替换货物时,合同约定的履约期还没合同约定的履约期还没有超过有超过,只要将替换货物的意图通知买方只要将替换货物的意图通知买方,就可以在合同履行期就可以在合同履行期内使其履行与合同的

14、规定一致内使其履行与合同的规定一致.(UCC 2-508(1).(UCC 2-508(1)2.2.合同规定的履行期限已过合同规定的履行期限已过,但卖方有合理的理由相信但卖方有合理的理由相信,该项有缺该项有缺陷的交付本来是可以被买方接受的陷的交付本来是可以被买方接受的,不管卖方是否在价格上作不管卖方是否在价格上作了调整了调整 (UCC 2-508(2).(UCC 2-508(2).这种合理的理由可以这种合理的理由可以 “产生于过去的交产生于过去的交易过程易过程,履约的过程和围绕合同的订立而发生的特定情况履约的过程和围绕合同的订立而发生的特定情况.UCC UCC 的这一规定是传统的适用于货物买卖合

15、同的的这一规定是传统的适用于货物买卖合同的”无可挑剔的提供无可挑剔的提供规则规则”(Perfect Tender Rule)(Perfect Tender Rule)的例外的例外.n n如果案件情况显示如果案件情况显示,违约方没有能力进行自行补救违约方没有能力进行自行补救,或或没有补救的意愿没有补救的意愿,则受损害方就有充分的理由立即解除则受损害方就有充分的理由立即解除合同合同.1212解除或终止合同的权利n n解除(rescission)使原来订立的合同不复存在,双方在经济上恢复到合同订立前的状态,恢复原状应成为救济原则;n n终止(termination)是使合同自终止之日起不再具有约束力

16、 1313预期违约Anticipatory Repudiationn n预期违约是指合同一方在合同规定的履行期限到来之前的预期违约是指合同一方在合同规定的履行期限到来之前的违约违约,表现为毁弃合同表现为毁弃合同,否认合同的效力否认合同的效力,或明确表示不或明确表示不履行自己承担的合同义务履行自己承担的合同义务.Anticipatory breach/repudiation Anticipatory breach/repudiation-a repudiation that a repudiation that occurs before the time of performance of a

17、 contract.occurs before the time of performance of a contract.n n预期违约可以是明示的预期违约可以是明示的,也可以是默示的也可以是默示的Anticipatory repudiation can be express or implied.Anticipatory repudiation can be express or implied.毁弃合同的表示可以由言论构成毁弃合同的表示可以由言论构成-用语言明确表示不履行用语言明确表示不履行合同义务合同义务,也可以有行为构成也可以有行为构成-用行为表明他将不履行合用行为表明他将不履行合同

18、义务同义务事实上事实上,违约方很少会把自己置于违约方的位置违约方很少会把自己置于违约方的位置,所以需所以需要通过具体的语言和行为来判断一方是否构成预期违约要通过具体的语言和行为来判断一方是否构成预期违约.1414预期违约制度的目的n n预期违约制度渊源于英国法院1853年作出的霍切斯特诉德.拉.图尔雇佣合同案的判决(Hochster v.De la Tour),确立了受损害一方可以立即就对方的预期违约行为提起诉讼的权利.n n目的是使受损害方提前获得法律上的救济,可以立即提起诉讼,以防止其蒙受本来可以避免的损失.1515预期违约的构成条件n nUCC 2-610 UCC 2-610 规定预期违

19、约是指规定预期违约是指(1)(1)合同一方在合同规定的履行期限到来合同一方在合同规定的履行期限到来之前的违约之前的违约,(2),(2)并且由此产生的损害严重影响另外一方对合同期盼的并且由此产生的损害严重影响另外一方对合同期盼的价值价值.UCC provides that it is anticipatory repudiation if either party UCC provides that it is anticipatory repudiation if either party repudiates a performance not yet due“the loss of whi

20、ch will repudiates a performance not yet due“the loss of which will substantially impair the value of the contract to the other.”substantially impair the value of the contract to the other.”n n对合同的毁弃必须是清楚的对合同的毁弃必须是清楚的,明确的明确的,毫不含糊的毫不含糊的.The repudiation must be clear,unambiguous,and explicit.The repud

21、iation must be clear,unambiguous,and explicit.例例:合同签订后合同签订后,规定的交货日之前规定的交货日之前,卖方电话通知买方无法以合同价卖方电话通知买方无法以合同价格交货格交货.例例:甲对乙承担了在甲对乙承担了在6 6月月1 1日后的一年之内每周向乙购买日后的一年之内每周向乙购买100100吨煤的合同吨煤的合同义务义务.履行了三个月以后甲对乙说履行了三个月以后甲对乙说:”:”除非我方的钢产量进一步增加除非我方的钢产量进一步增加,否则否则,我将从我将从1111月开始停止向你买煤月开始停止向你买煤.1616第二次合同法重述Restatement(Sec

22、ond)of Contracts列举了预期违约的三种情况列举了预期违约的三种情况:n n违约方用声明明确地表示将不履行合同义务违约方用声明明确地表示将不履行合同义务,声明声明 必须是明确的和不附条件的必须是明确的和不附条件的.n n合同一方的确定的行为使得违约方显然不能履约合同一方的确定的行为使得违约方显然不能履约,包括违约方的行为以及其履约能力上的明显瑕疵包括违约方的行为以及其履约能力上的明显瑕疵,同样会起到构成毁弃合同的作用同样会起到构成毁弃合同的作用.n n义务人在合理要求下义务人在合理要求下,在合理的期限内没有提供在合理的期限内没有提供履约保证的履约保证的.1717预期违约的后果n n

23、确认一方预期违约后,UCC 2-610 为受损害方提供了三种选择:1.1.在商业上合理的时间内等候违约方的履行在商业上合理的时间内等候违约方的履行;2.2.选择取消合同选择取消合同,视预期违约为实际违约视预期违约为实际违约,立即立即提起诉讼提起诉讼,或采取相应的行动或采取相应的行动,寻求包括附带寻求包括附带损失和间接损失在内的一切违约救济损失和间接损失在内的一切违约救济,即使无即使无过错方已经通知违约方他将等待履行并敦促过错方已经通知违约方他将等待履行并敦促违约方撤回违约声明违约方撤回违约声明;3.3.在上述两种情况下都可以中止无过错方的履在上述两种情况下都可以中止无过错方的履约责任约责任.1

24、818要求保证的规定Request Assurance除上述选择除上述选择,还可以向违约方要求履约保证还可以向违约方要求履约保证n nUCC 2-609 UCC 2-609 对履行作出适当保证的权利的规定对履行作出适当保证的权利的规定 “(1)(1)买卖合同强加给每一方当事人一种义务买卖合同强加给每一方当事人一种义务,即使另一方即使另一方对合同能得到正常履行抱有的期待不会受到损害对合同能得到正常履行抱有的期待不会受到损害.当有当有合合合合理的依据证明理的依据证明理的依据证明理的依据证明,某一方的履行不能得到保证时某一方的履行不能得到保证时,另一方可另一方可以用以用书面形式书面形式书面形式书面形

25、式要求对于正常履行作出适当的保证要求对于正常履行作出适当的保证.在得到在得到此种保证之前此种保证之前,他可以中止履行那部分义务他可以中止履行那部分义务,只要这种中只要这种中止在商业上是合理的止在商业上是合理的.(4)(4)在收到有正当理由的要求后在收到有正当理由的要求后,如果未能在至多不超过如果未能在至多不超过3030天的合理期限内提供在特定案件的情况下可认为是合理天的合理期限内提供在特定案件的情况下可认为是合理的对适当履行的保证的对适当履行的保证,即构成毁弃合同即构成毁弃合同.”.”1919保证n n在商人之间在商人之间,要求保证所提出的理由是否合理要求保证所提出的理由是否合理,以及提供以及

26、提供的保证是否适当的保证是否适当,都应依据商业标准来确定都应依据商业标准来确定.即使对方的即使对方的行为尚未达到预期违约的程度行为尚未达到预期违约的程度,只要有合理的依据只要有合理的依据,就可就可以要求保证以要求保证.例例:卖方将某一特定物出售给第三方卖方将某一特定物出售给第三方;或卖方在交货时间临近时或卖方在交货时间临近时,将本应给买方的不特定标的物将本应给买方的不特定标的物出售给第三方出售给第三方,买方都有权要求就正常履约提供保证买方都有权要求就正常履约提供保证;卖方通过可靠消息得知买方申请破产的消息卖方通过可靠消息得知买方申请破产的消息n n合理的依据合理的依据n n合理的要求合理的要求

27、n n书面形式书面形式2020预期违约的撤回Retraction of Anticipatory Repudiationn nUCC UCC 提供了一个很好的撤回预期违约的模式提供了一个很好的撤回预期违约的模式n nT The repudiating party can retract his repudiation he repudiating party can retract his repudiation before the performance is due“unless the before the performance is due“unless the aggrieved

28、 party has cancelled the contract or aggrieved party has cancelled the contract or has materially changed his position or otherwise has materially changed his position or otherwise indicated the repudiator that he considers the indicated the repudiator that he considers the repudiation final.”repudi

29、ation final.”n n例例:船运公司案船运公司案2121发生预期违约后的救济n n无过错方可以被免除履约责任无过错方可以被免除履约责任,并可以立即就违约提起诉讼并可以立即就违约提起诉讼.The innocent party is excused from performing and can sue for The innocent party is excused from performing and can sue for breach of contract immediately.breach of contract immediately.n n但无过错方必须从对方的语言

30、和行为确认但无过错方必须从对方的语言和行为确认,在合同规定的履行期限在合同规定的履行期限到来时到来时,对方确实不准备履约对方确实不准备履约.The innocent party must ascertain,from the actions or statement The innocent party must ascertain,from the actions or statement of the other party,that he or she does not intend to perform the of the other party,that he or she doe

31、s not intend to perform the obligation under the contract when the time for performance obligation under the contract when the time for performance is is due.due.n n在违约被信赖以前在违约被信赖以前,预期违约是可以撤回的预期违约是可以撤回的.如果原违约方要求继如果原违约方要求继续履行续履行,无过错方可以要求对方提供充足的履约保证无过错方可以要求对方提供充足的履约保证.Retraction of anticipatory repudi

32、ation is possible before Retraction of anticipatory repudiation is possible before repudiation has been relied on.The non-repudiating party can repudiation has been relied on.The non-repudiating party can demand adequate assurance of performance.demand adequate assurance of performance.2222救济措施n n声明

33、构成预期违约的声明构成预期违约的,当一方以声明毁弃合同的当一方以声明毁弃合同的,对方可以立即解除合同对方可以立即解除合同,同时请求获得其他救济同时请求获得其他救济.n n声明之外的其他事实构成预期违约的声明之外的其他事实构成预期违约的,对方通常对方通常不能立即解除合同不能立即解除合同,而应当暂停自己一方的履行而应当暂停自己一方的履行,按照按照UCC 2-609UCC 2-609要求对方对其正常履约提供保证要求对方对其正常履约提供保证.n n如果在合理的期限内仍未收到适当的履约保证如果在合理的期限内仍未收到适当的履约保证,则可以解除合同则可以解除合同.一方作出适当的履约保证的时一方作出适当的履约

34、保证的时间从该方收到有正当理由的要求时起计算间从该方收到有正当理由的要求时起计算,最长最长不得超过不得超过3030天天.通常合理的期限指保证方在付诸通常合理的期限指保证方在付诸合理努力的情况下提供此种保证所需的时间合理努力的情况下提供此种保证所需的时间.5.5天天?10?10天天?20?20天天?2323解除合同后的其他救济n n依据UCC 2-610(b)的规定,当一方预期违约,相对方有权寻求”任何违约救济”.例如:如买方在交货期之前声明将不接受货物,卖方有权转售货物,并在善意的和商业合理地转售的情况下,取得转售价格与原合同价格的差额,加其他附带损失,减去因买方违约而使卖方节省的支出.242

35、4默示预期违约的不确定性n n对于默示预期违约来讲对于默示预期违约来讲,由于是通过违约方的行为和周围由于是通过违约方的行为和周围的环境判断出来的的环境判断出来的,如果假定的违约方看起来不能履行如果假定的违约方看起来不能履行,但在履行期限内实际完成了自己的义务但在履行期限内实际完成了自己的义务,很可能使无过错很可能使无过错方因为采取了某些措施反而变成先违约一方方因为采取了某些措施反而变成先违约一方.For an implied anticipatory repudiation,the innocent For an implied anticipatory repudiation,the inn

36、ocent party is in a difficult position because the party who party is in a difficult position because the party who appears to be repudiating may still perform the contract appears to be repudiating may still perform the contract as specified when the time comes.as specified when the time comes.n nI

37、f the innocent party assumes that the other party If the innocent party assumes that the other party intends to breach when that is not the case,the intends to breach when that is not the case,the innocent party may take steps that result in a breach on innocent party may take steps that result in a

38、 breach on his or her part.his or her part.2525Examplesn nEx:sold painting equipment before performance due.Ex:sold painting equipment before performance due.Anticipatory repudiation?Anticipatory repudiation?n nEx:A and B enter into a contract where A agree to sell B Ex:A and B enter into a contract

39、 where A agree to sell B her computer.One week before the date A is supposed her computer.One week before the date A is supposed to deliver the computer to B,B find out A has sold the to deliver the computer to B,B find out A has sold the computer to C.computer to C.n nP contracts to paint Os house

40、in exchange for a unique P contracts to paint Os house in exchange for a unique picture O owns.While P is painting the house,O sells picture O owns.While P is painting the house,O sells the unique picture to A?the unique picture to A?n nP contracts to paint Os house for$1,000,payable 30 P contracts

41、to paint Os house for$1,000,payable 30 days after P complete his work.After P begins painting,days after P complete his work.After P begins painting,O tells P that he is not going to pay.P excused?O tells P that he is not going to pay.P excused?n nIf later O tells P that he will pay so that P should

42、 resume If later O tells P that he will pay so that P should resume work.What are Ps contract duties and rights?work.What are Ps contract duties and rights?2626违约救济Remediesn n损害赔偿Damagesn n实际履行Specific performancen n禁令Injunctionsn n解除合同Rescission2727损害赔偿Damagesn n最普遍的救济方式最普遍的救济方式.n n损害赔偿原则是尽可能使因违约而蒙

43、受损失的一方在经济上恢损害赔偿原则是尽可能使因违约而蒙受损失的一方在经济上恢复到如果合同得到正常履行复到如果合同得到正常履行,他应处的地位他应处的地位.The intent of the court is,as far as possible,to put the injured The intent of the court is,as far as possible,to put the injured party back to the position that he or she would have been in party back to the position that h

44、e or she would have been in had the contract been fully performed.had the contract been fully performed.Damage=the difference between what P would have received Damage=the difference between what P would have received if there was no breach and what P actually get because of the if there was no brea

45、ch and what P actually get because of the breach.breach.n n除非有特殊原因促使法院采用其他救济方式除非有特殊原因促使法院采用其他救济方式,法院只适用损害法院只适用损害赔偿救济赔偿救济.Unless there is some compelling reason to award some other Unless there is some compelling reason to award some other form of relief,the court will only award damages.form of reli

46、ef,the court will only award damages.n n赔偿范围仅限于违约方在订立合同时有理由预见到的违约后果赔偿范围仅限于违约方在订立合同时有理由预见到的违约后果The injured party must prove that the damages were The injured party must prove that the damages were reasonably foreseeable at the time of contract was made.reasonably foreseeable at the time of contract w

47、as made.例例2828Damagesn n损害赔偿的目的是补偿损害赔偿的目的是补偿,而不是惩罚而不是惩罚.Generally no punitive damages in contracts.Generally no punitive damages in contracts.n n约定违约金约定违约金Liquidated damages A contract provision regarding the Liquidated damages A contract provision regarding the amount of damages in case of breach.I

48、t usually amount of damages in case of breach.It usually provides a formula or approach that fluctuates provides a formula or approach that fluctuates depending on the amount or magnitude of breach.depending on the amount or magnitude of breach.n nLiquidated damages provision is used when it is diff

49、icult Liquidated damages provision is used when it is difficult to forecast the damages and it is a reasonable forecast.to forecast the damages and it is a reasonable forecast.旅店装修旅店装修2929实际履行Specific Performancen n当损害赔偿不能够充分地补偿受损害方的损失当损害赔偿不能够充分地补偿受损害方的损失,法官就会基于公平的原则法官就会基于公平的原则,考虑采用衡平法的救济考虑采用衡平法的救济方

50、法方法,以使受损害方的权益获得更有效的保护以使受损害方的权益获得更有效的保护.When damages cannot adequately compensate When damages cannot adequately compensate the injured party,equitable remedies may be the injured party,equitable remedies may be available based on fairness.available based on fairness.n n实际履行的救济方法要求违约方履行其合同规定实际履行的救济方法