UNCITRAL UNCITRAL: Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods—2012 *1186558* V.11-86558—March 2012 UNITED NATIONS UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW UNCITRAL Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods 2012 Edition UNITED NATIONS Further information may be obtained from: UNCITRAL secretariat, Vienna International Centre, P.O Box 500, 1400 Vienna, Austria Telephone: (+43-1) 26060-4060 Internet: http://www.uncitral.org Telefax: (+43-1) 26060-5813 E-mail: uncitral@uncitral.org UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW UNCITRAL Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods 2012 Edition UNITED NATIONS New York, 2012 Note Symbols of United Nations documents are composed of capital letters combined with figures Mention of such a symbol indicates a reference to a United Nations document © United Nations, March 2012 All rights reserved The designations employed and the presentation of material in this publication not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area, or of its authorities, or concerning the delimitation of its frontiers or boundaries Information on uniform resource locators and links to Internet sites contained in the present publication are provided for the convenience of the reader and are correct at the time of issue The United Nations takes no responsibility for the continued accuracy of that information or for the content of any external website Publishing production: English, Publishing and Library Section, United Nations Office at Vienna This publication has not been formally edited Contents Introduction to the Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods ix The Convention as a Whole; Overview of Digest xiii Preamble xv Part one Sphere of application and general provisions Chapter I. Sphere of application (articles 1-6) Overview Chapter I of part I: sphere of application Article Article 17 Article 20 Article 24 Article 32 Article 33 Chapter II. General provisions (articles 7-13) 41 Overview 41 Article 42 Article 55 Article 65 Article 10 71 Article 11 73 Article 12 77 Article 13 79 Part two Formation of the contract Overview 83 Permitted reservations by contracting States 83 Exclusivity of part II 83 Validity of contract; formal requirements 84 Incorporating standard terms 84 iii Commercial letters of confirmation 84 Interpretation of statements or conduct 85 Article 14 91 Article 15 96 Article 16 97 Article 17 98 Article 18 99 Article 19 103 Article 20 107 Article 21 108 Article 22 109 Article 23 110 Article 24 112 Part three Sale of goods Overview 115 Permitted reservations by Contracting States 115 Part III, Chapter I. General provisions (articles 25-29) 117 Article 25 118 Article 26 122 Article 27 124 Article 28 126 Article 29 127 Part III, Chapter II. Obligations of the seller (articles 30-52) 129 Article 30 130 Section I of Part III, Chapter II. Delivery of the goods and handing over of documents (articles 31-34) 131 Overview 131 Relation to other parts of the Convention 131 Article 31 132 Article 32 136 Article 33 137 Article 34 140 Section II of Part III, Chapter II. Conformity of the goods and third party claims (articles 35-44) 143 iv Overview 143 Relation to other parts of the Convention 143 Article 35 144 Article 36 155 Article 37 159 Article 38 160 Article 39 175 Article 40 203 Article 41 212 Article 42 214 Article 43 216 Article 44 218 Section III of Part III, Chapter II. Remedies for breach of contract by the seller (articles 45-52) 223 Overview 223 Relation to other parts of the Convention 223 Article 45 224 Article 46 227 Article 47 231 Article 48 233 Article 49 236 Article 50 243 Article 51 246 Article 52 248 Part III, Chapter III. Obligations of the buyer (articles 53-65) 251 Overview 223 Article 53 252 Section I of Part III, Chapter III. Payment of the price (articles 54-59) 263 Overview 263 Relation to other parts of the Convention 263 Article 54 264 Article 55 268 Article 56 272 Article 57 273 Article 58 280 Article 59 285 v Section II of Part III, Chapter III. Taking delivery (article 60) 289 Overview 289 Relation to other parts of the Convention 289 Article 60 290 Section III of Part III, Chapter III. Remedies for breach of contract by the buyer (articles 61-65) 293 Overview 293 Relation to other parts of the Convention 293 Article 61 294 Article 62 298 Article 63 303 Article 64 307 Article 65 313 Part III, Chapter IV. Passing of risk (articles 66-70) 315 Overview 315 Nature of risk 315 Parties’ agreement on passing risk 315 Article 66 319 Article 67 321 Article 68 324 Article 69 325 Article 70 327 Part III, Chapter V. Provisions common to the obligations of the seller and of the buyer (articles 71-88) 329 Overview 329 Section I of Part III, Chapter V. Anticipatory breach and instalment contracts (articles 71-73) 331 Overview 331 Article 71 332 Article 72 336 Article 73 339 Section II of Part III, Chapter V. Damages (articles 74-77) 343 Overview 343 Relation to other articles 343 Burden of proof 344 Set off 344 vi Jurisdiction: place of payment of damages 344 Article 74 346 Article 75 358 Article 76 364 Article 77 368 Section III of Part III, Chapter V. Interest (article 78) 375 Overview 375 Article 78 376 Section IV of Part III, Chapter V. Exemption (articles 79-80) 387 Overview 387 Relation to other parts of the Convention 387 Article 79 389 Article 80 400 Section V of Part III, Chapter V. Effects of avoidance (articles 81-84) 405 Overview 405 Relation to other parts of the Convention 405 Article 81 406 Article 82 411 Article 83 414 Article 84 415 Section VI of Part III, Chapter V. Preservation of the goods (articles 85-88) 419 Overview 419 Relation to other parts of the Convention 419 Article 85 420 Article 86 422 Article 87 424 Article 88 425 Part four Final provisions Overview 431 Article 89 432 Article 90 433 Article 91 435 Article 92 436 Article 93 438 vii Article 94 440 Article 95 442 Article 96 444 Article 97 446 Article 98 447 Article 99 448 Article 100 450 Article 101 452 Authentic Text and Witness Clause 453 Index I Case list by country and court 455 Index II Case list by country 581 viii 682 UNCITRAL Digest of Case Law on the United Nations Convention on the International Sale of Goods Country Article Tribunal of International Commercial Arbitration at the Ukrainian Chamber of Commerce and Trade, 28 July 2003 53 Tribunal of International Commercial Arbitration at the Ukrainian Chamber of Commerce and Trade, 10 October 2003 Tribunal of International Commercial Arbitration at the Ukrainian Chamber of Commerce and Trade, 12 January 2004 77 Tribunal of International Commercial Arbitration at the Ukrainian Chamber of Commerce and Trade, 15 April 2004 Tribunal of International Commercial Arbitration at the Ukrainian Chamber of Commerce and Trade, 19 October 2004 62 54 Tribunal of International Commercial Arbitration at the Ukrainian Chamber of Commerce and Trade, 27 October 2004 53 77 Tribunal of International Commercial Arbitration at the Ukrainian Chamber of Commerce and Trade, 18 November 2004 74 Tribunal of International Commercial Arbitration of the Ukrainian Chamber of Commerce and Trade, July 2005 34 49 Tribunal of International Commercial Arbitration at the Ukrainian Chamber of Commerce and Trade, 19 September 2005 62 63 Tribunal of International Commercial Arbitration at the Ukrainian Chamber of Commerce and Trade, 31 December 2005 74 77 Tribunal of International Commercial Arbitration at the Ukraine Chamber of Commerce and Trade, 15 February 2006 53 62 80 Supreme Court, 11 December 2007 18 39 Commercial Court of Donetsk Region, 13 April 2007 Remarks 39 53 59 62 UNITED STATES U.S Court of International Trade, 24 October 1989 U.S District Court, Southern District of New York, 14 April 1992 CLOUT case No 23 Country Index II. Case list by country Article 683 Remarks U.S Court of Appeals, 5th Circuit, 15 June 1993 CLOUT case No 24 U.S District Court, Southern District of New York, April 1994 50 U.S District Court, Northern District of New York, September 1994 45 74 75 77 78 86 87 CLOUT case No 85 U.S District Court, Southern District of New York, 22 September 1994 29 CLOUT case No 86 Oregon Court of Appeals, 12 April 1995 U.S Court of Appeals, 2nd Circuit, December 1995 25 35 45 46 49 74 75 77 86 87 CLOUT case No 138 Oregon Supreme Court, 11 April 1996 11 CLOUT case No 137 U.S District Court, Southern District New York, 23 July 1997 14 25 61 63 CLOUT case No 187 U.S District Court, Southern District of New York, April 1998 Part II 19 29 CLOUT case No 413 U.S Court of Appeals, 11th Circuit, 29 June 1998 11 Part II 39 CLOUT case No 222 U.S District Court, Northern District of Illinois, 27 October 1998 Part II 92 CLOUT case No 419 684 UNCITRAL Digest of Case Law on the United Nations Convention on the International Sale of Goods Country Article Remarks U.S District Court, Eastern District of Louisiana, 17 May 1999 25 35 49 CLOUT case No 418 U.S District Court, Northern District of Illinois, December 1999 Part II 14 18 19 28 72 CLOUT case No 417 State of Minnesota County of Hennepin State District Court, 4th Judicial District, March 1999; affirmed Minnesota Court of Appeals, 14 December 1999 Part II 18 CLOUT case No 416 U.S District Court, Southern District of New York, August 2000 11 CLOUT case No 414 U.S District Court, Eastern District of Pennsylvania, 29 August 2000 74 CLOUT case No 420 U.S District Court, Northern District of California, 30 January 2001 CLOUT case No 617 U.S Bankruptcy Court, Northern District of Ohio, Eastern Division, 10 April 2001 53 CLOUT case No 632 Preamble 10 12 CLOUT case No 433 U.S District Court, Northern District of Illinois, 28 August 2001 CLOUT case No 434 U.S District Court, Western District of Michigan, 17 December 2001 25 64 71 73 CLOUT case No 578 Part III, Chap IV 67 CLOUT case No 447 81 CLOUT case No 613 U.S District Court, Northern District for California, 27 July 2001 U.S District Court, Southern District of New York, 26 March 2002 U.S.District Court, Northern District of Illinois, 27 March 2002 Index II. Case list by country 685 Country Article Remarks U.S District Court, Southern District of New York, 10 May 2002 Preamble 14 16 18 CLOUT case No 579 U.S Court of Appeals, 4th Circuit, 21 June 2002 35 CLOUT case No 580 U.S District Court, Southern District of New York, 21 August 2002 16 CLOUT case No 579 U.S Circuit Court of Appeals, 7th Circuit, 19 November 2002 CLOUT case No 611 U.S District Court,, Southern District of Florida, 22 November 2002 95 100 CLOUT case No 616 U.S District Court, Northern District of Illinois, 29 January 2003 35 CLOUT case No 574 U.S Circuit Court of Appeals, 9th Circuit, May 2003 CLOUT case No 576 U.S Court of Appeals, 5th Circuit, [11 June 2003, corrected on July 2003] 36 39 40 CLOUT case No 575 U.S Court of Appeals, 3rd Circuit, 20 June 2003 92 CLOUT case No 612 U.S District Court, Northern District of Illinois, October 2003 CLOUT case No 609 U.S District Court, Northern District of Illinois, 21 March 2004 38 U.S District Court, Eastern District of Pennsylvania, 29 March 2004 54 CLOUT case No 695 U.S Bankruptcy Court, District of Oregon, 29 March 2004 39 40 50 CLOUT case No 694 U.S District Court, Eastern District of Pennsylvania, 13 April 2004 U.S District Court, Northern District of Illinois, 21 May 2004 39 U.S District Court, Northern District of Illinois, 06 July 2004 79 Superior Court of Massachusetts, 28 February 2005 CLOUT case No 698 686 UNCITRAL Digest of Case Law on the United Nations Convention on the International Sale of Goods Country Article Remarks U.S District Court, Easter District Court of New York, 19 March 2005 CLOUT case No 699 U.S District Court, Northern District of Illinois, 30 March 2005 U.S District Court, Northern District of Alabama, 27 April 2005 58 U.S District Court, Kansas, 10 May 2005 53 U.S Court of Appeals (7th Circuit), 23 May 2005 35 36 67 U.S District Court, New Jersey, 15 June 2005 92 U.S District Court, Middle District of Pennsylvania, 16 August 2005 U.S District Court, Northern District of California, November 2005 10 U.S District Court, Middle District of Pennsylvania, Janaury 2006 U.S District Court, Rhode Island, 30 January 2006 U.S District Court, Southern District of Texas, February 2006 U.S District Court, Western District of Washington, 13 April 2006 U.S District Court, Western District of Washington, 17 July 2006 95 U.S District Court, Southern District of New York, 23 August 2006 35 36 39 74 U.S Court of Appeals, 11th Circuit, 12 September 2006 77 U.S District Court, Southern District of Ohio, 10 October 2006 U.S District Court, Minnesota, 31 January 2007 35 CLOUT case No 847 U.S Court of Appeals, 3rd Circuit, 19 July 2007 25 47 CLOUT case No 846 CLOUT case No 848 CLOUT case No 777 Index II. Case list by country Country Article 687 Remarks U.S District Court, Kansas, 28 September 2007 CLOUT case No 844 U.S District Court, Eastern District Michigan, 28 September 2007 18 CLOUT case No 845 International Centre for Dispute Resolution of the American Arbitration Association, 23 October 2007 79 U.S Court of Appeals, 9th Circuit, November 2007 American Arbitration Association, 12 December 2007 78 U.S District Court, Eastern District of Kentucky, 18 March 2008 39 40 U.S District Court, Southern District of New York, 16 April 2008 79 U.S District Court, Delaware, May 2008 U.S District Court, Eastern District of California, 19 May 2008 85 88 U.S District Court, Southern District of Florida, 19 May 2008 12 18 78 U.S District Court, Minnesota, 16 June 2008 U.S District Court, Western District of Pennsylvania, 25 July 2008 35 78 U.S District Court, Southern District of New York, 20 August 2008 46 79 U.S District Court, Northern District of Illinois, September 2008 93 U.S District Court, New Jersey, October 2008 12 U.S District Court, Southern District of Ohio, 26 March 2009 39 49 688 UNCITRAL Digest of Case Law on the United Nations Convention on the International Sale of Goods Country Article U.S District Court, Southern District of Ohio, April 2009 35 U.S District Court, Western District of Washington, April 2009 35 U.S District Court, New Jersey, 15 April 2009 74 78 U.S Court of Appeals (2nd Circuit), 26 May 2009 79 U.S District Court, Southern District of New York, 29 May 2009 53 54 64 71 72 75 U.S District Court, Eastern District of California, 26 October 2009 U.S District Court, Northern District of Georgia, 17 December 2009 93 U.S District Court, Eastern District of Arkansas, 23 December 2009 93 U.S District Court, Eastern District of California, 21 January 2010 18 U.S District Court, Eastern District of Pennsylvania, 29 January 2010 74 U.S District Court, Southern District of New York, 30 March 2010 74 U.S District Court Arkansas, April 2010 93 U.S Court of International Trade, April 2010 18 U.S District Court, Colorado, July 2010 36 U.S Court of Appeals, for the Third Circuit, 21 July 2010 12 69 96 U.S District Court, Eastern District of Tennessee, 20 October 2010 93 Remarks Index II. Case list by country Country Article U.S District Court, Southern District of New York, 11 January 2011 Remarks U.S District Court, Maryland, February 2011 689 ARBITRATION/INTERNATIONAL CHAMBER OF COMMERCE ICC, Court of Arbitration, 6076/1989 99 ICC, Court of Arbitration, case No. 5713/1989 38 39 40 CLOUT case No 45 ICC, Court of Arbitration, 26 August 1989, case No. 6281/1989 75 79 CLOUT case No 102 ICC, Court of Arbitration, 31 December 1992, case No. 7585/1992 Part II 25 53 54 63 64 Part III, Chap V, Sect II 74 75 77 78 92 CLOUT case No 301 ICC, Court of Arbitration, case No. 7197/1992 53 54 61 62 69 Part III, Chap V, Sect II 74 77 78 79 85 87 CLOUT case No 104 ICC, Court of Arbitration, case No. 7153/1992, 31 December 1992 3 53 59 CLOUT case No 26 CLOUT case No 26 ICC, Court of Arbitration, case No. 6653/1993 35 78 81 84 CLOUT case No 103 ICC, Court of Arbitration, case No. 7565/1994 39 78 CLOUT case No 300 690 UNCITRAL Digest of Case Law on the United Nations Convention on the International Sale of Goods Country Article Remarks ICC, Court of Arbitration, case No. 7660/1994 39 51 74 81 84 CLOUT case No 302 ICC, Court of Arbitration, case No. 7331/1994 39 44 50 77 78 CLOUT case No 303 ICC, Court of Arbitration, case No. 7531/1994 48 51 Part III, Chap V, Sect II 74 75 84 Part III, Chap V, Sect VI 86 87 88 CLOUT case No 304 ICC, Court of Arbitration, case No. 7844/1994 18 21 23 ICC Court of Arbitration, January 1995, case No 7754 48 ICC, Court of Arbitration, March 1995, case No. 7645 34 Part III, Chap V, Sect II 75 81 ICC, Court of Arbitration, case No. 8324/1995 14 55 ICC, Court of Arbitration, case No. 8128/ 1995 73 75 78 79 ICC, Court of Arbitration, case No. 8204/1995 41 ICC Court of Arbitration, October 1995, case No. 8453 Country ICC, Court of Arbitration, 30 June 1996, case No. 8247 Index II. Case list by country Article 35 38 39 45 53 ICC, Court of Arbitration, September 1996, case No. 8574 64 71 72 Part III, Chap V, Sect II 75 76 77 ICC, Court of Arbitration, October 1996, case No. 8740 73 Part III, Chap V, Sect II 74 75 76 77 ICC, Court of Arbitration, December 1996, case No. 8769 78 ICC, Court of Arbitration, 31 January 1997, case No. 8786 25 33 45 46 49 62 71 72 77 ICC, Court of Arbitration, 23 January 1997, case No. 8611 19 39 44 71 78 ICC, Court of Arbitration, 28 February 1997 case No. 8716 53 54 ICC, Court of Arbitration, 30 September 1997, case No. 8962 78 53 ICC, Court of Arbitration, December 1997, case No. 8817 80 ICC, Court of Arbitration, March 1998, case No. 9117 33 34 ICC, Court of Arbitration, August 1998, case No. 9574 85 ICC, Court of Arbitration, October 1998, case No. 9333 691 Remarks 692 UNCITRAL Digest of Case Law on the United Nations Convention on the International Sale of Goods Country Article ICC, Court of Arbitration, 31 December 1998, case No. 8908 18 78 19 ICC, Court of Arbitration, March 1999, case No. 9978 26 81 84 ICC, Court of Arbitration, June 1999, case No. 9187 Remarks 44 55 77 78 ICC, Court of Arbitration, 31 July 1999, case No. 9448 51 71 73 Part III, Chap V, Sect II 78 ICC, Court of Arbitration, August 1999, case No. 9887 26 64 73 81 ICC, Court of Arbitration, 30 September 1999, case No. 9819 55 ICC, Court of Arbitration, 20 December 1999 75 ICC, Court of Arbitration, 31 December 1999, case No. 9083 ICC Court of Arbitration, 31 December 1999, case No. 10274 64 73 92 ICC, Court of Arbitration, 31 December 2000, case No. 10329 19 75 ICC, Court of Arbitration, 31 December 2000, case No. 9781 ICC, Court of Arbitration, 31 December 2000, case No. 8790 53 67 ICC, Court of Arbitration, 31 December 2001, case No. 9771 78 ICC, Court of Arbitration, 31 December 2002, case No. 10377 35 ICC, Court of Arbitration, 31 December 2002, case No. 11333 40 CLOUT case No 630 Country Index II. Case list by country Article ICC, Court of Arbitration, 31 December 2003, case No.11849 54 58 63 64 71 73 78 80 ICC, Court of Arbitration, 31 December 2004, case No.12173 28 46 693 Remarks 694 UNCITRAL Digest of Case Law on the United Nations Convention on the International Sale of Goods Miscellaneous/Courts Article Remarks Miscellaneous Report of the Working Group on the International Sale of Goods on the work of its ninth session (Geneva 19-30 September 1977) (A/CN.9/142) United Nations Conference on Contracts for the International Sale of Goods, Vienna, 10 March-11 April 1980 10 11 12 38 45 46 47 48 50 52 61 Article 3, Rome Convention on the Law Applicable to Contractual Obligations, October 1980 Hague Convention on the Law of Applicable to International Sale of Goods, 1995 Official Journal of the European Community, Legislation, 16 January 2001 57 Opinion of Advocate General Tesauro Part II 18 Iran/U.S Claims Tribunal, Watkins-Johnson Co., WatkinsJohnson Ltd v Islamic Republic of Iran, Bank Saderat Iran, 28 July 1989 77 88 European Court of Justice, October 1976, case No. C-14/76 57 European Court of Justice, 20 February 1997, Case No C-106/95 31 57 European Court of Justice, May 2007, case No C-386/05 57 European Court of Justice, July 2009, case No C-204/08 57 European Court of Justice, 25 February 2010, case No C-381/08 31 57 CLOUT case No 298 Further information may be obtained from: UNCITRAL secretariat, Vienna International Centre, P.O Box 500, 1400 Vienna, Austria Telephone: (+43-1) 26060-4060 Internet: http://www.uncitral.org Telefax: (+43-1) 26060-5813 E-mail: uncitral@uncitral.org UNCITRAL UNCITRAL: Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods—2012 *1186558* V.11-86558—March 2012 UNITED NATIONS UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW UNCITRAL Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods 2012 Edition UNITED NATIONS ... E-mail: uncitral@ uncitral.org UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW UNCITRAL Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods. .. Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods Article This Convention governs only the formation of the contract of sale and the rights... of Case Law on the United Nations Convention on Contracts for the International Sale of Goods See Report of the Working Group on the International Sale of Goods on the work of its ninth session