国际商事合同通则形成新商人习惯法吗？

formanewlexmercatoria?

GesaBaron

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Contents

Contents

DotheUNIDROITPrinciplesofInternationalCommercialContractsformanewlexmercatoria?GesaBaron,Bonn/Edinburgh

I.IntroductionandCourseofExamination....................II.TheLexMercatoria...............................

1.TheMedievalLexMercatoria......................2.TheAbsorptionandDisintegrationoftheLexMercatoria......3.TheModernLexMercatoria......................4.TheDebate................................III.TheUNIDROITPrinciples..........................

1.Generalremarks.............................2.TheUNIDROITPrinciplesasLawMerchant.............3.ThePrinciplesCounteringtheCriticismAgainsttheLexMercatoria?IV.Conclusion...................................

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DocumentInformation(metadata)17Metadata.......................................17InformationonthisdocumentcopyandanunofficialListofSomewebrelatedinformationandsources18Informationonthisdocumentcopy.........................18Linksthatmaybeofinterest............................18

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DotheUNIDROITPrinciplesofInternationalCommercialContractsformanewlex

mercatoria?

DotheUNIDROITPrinciplesofInternationalCommercialContractsformanewlexmercatoria?GesaBaron,Bonn/Edinburgh*

“Custom,notlaw,hasbeenthefulcrumofcommercesincetheoriginsofexchange.”L.Trakman1

I.IntroductionandCourseofExamination

Partyautonomyallowsthepartiestochoosethelawthatshallbeapplicabletotheircontract.Especiallyinthecontextofarbitration,thequestionarises,astowhetherthepartiesmayalsochoosethelexmercatoriaor“principlesoftransnationallaw”asapplicablelawtothecontract.Theanswerishighlycontroversial,inparticularbecausethepossibleuserdoesnothaverecoursetoadefinedandconcretesetofrules.

Notlongagoin1994,UNIDROIT(InternationalInstitutefortheUnificationofPrivateLaw)publishedits“PrinciplesofInternationalCommercialContracts”.Byitsdraftersandsomecommentators,thesePrinciplesweresooncelebratedasthenewlexmercatoriaandananswertothelonglastingdebate.Isthereagoodreasonforthisenthusiasm?ThisessaywillpursuethequestionofwhethertheUNIDROITPrinciples(hereaftercalled“Principles”)canreallybeconsideredasanewlexmercatoria.Startingwithahistoricaldescriptionoftheancientlexmercatoria(seeII1.and2.),itwillthenturntothetheoryofamodernlexmercatoria(seeII3.)andoutlinethedebateconcerningthelexmercatoriaasbeinganautonomousbodyoflaw(seeII4.).Initssecondpart,thispaperwillexplaintheideaofthePrinciples(seeIII1.)andexaminetheminlightofthespecificcharacteristicsofalexmercatoria(seeIII2.)andthecriticismputforwardagainstit(seeIII3.).Hereby,itwillbedemonstratedthatthePrincipleswiththeirautonomousandyetnon-bindingcharacterdonotonlymeetthesubstantiverequirementsofatruelawmerchant,butthattheyalsocountersomeofthemainpointsofcriticismagainstthemodernlexmercatoria.Assuch,thePrinciplesconstituteacornerstoneinthelexmercatoriadebateandmaybecometheheartofthenewlexmercatoria.II.TheLexMercatoria

WhenlookingatthequestionastowhetherthePrinciplesformanewlexmercatoria,theuseoftheterm“newlexmercatoria”suggeststhattheremustbesomethinglikean“old”or“ancientlexmercatoria”.Indeed,theideaofthelexmercatoriaisnotanewinventionofrecentyearsbutdatesbacktotheMiddleAges.

1Trakman,TheLawMerchant:TheEvolutionofCommercialLaw,1983,p.7.*

Paceessaysubmission,June1998

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1.TheMedievalLexMercatoria

Intheeleventhandtwelfthcentury,Europeexperiencedagreatgrowthofcommerce,acommercialrenaissance,creatingaEuropeantradingcommunitywhichdevelopedanewsystemoflawtogovernitscommercialactivities.2

ItwasaspeciallawforthemerchantclassthatfirstgrewintheItaliancitiesandthenspreadtoFrance,SpainandtherestofEuropeincludingEngland.3Tradewasaboveallpursuedinthegreatmarkets,fairsandseaports,whichwerethemaintradingplaces.Themerchants,tradingacrossboundariesandtransportingpracticesintoforeignmarkets,hadamobilitythatcarriedwithitamobilityoflocalcustomfromregiontoregion.Townsandmarketssoonreducedlocalpracticesintoregulatorycodes,4andthelawsofparticulartowns,usuallythosethatweretradecentres,inevitablygrewintodominantcodesofcustomoftransterritorialproportions.5EncouragedbytheoceantradewithitscentresinVenice,Genoa,Marseilles,Barcelona,AmsterdamandtheHanseatictowns,thelawmerchantsoonreceivedatrulycosmopolitancharacter6andreflectedtheultimatemoveawayfromlocallawtowardsauniversalsystemoflaw.

Thelexmercatoriagoverningaspecialclassofpeople(merchants)inspecialplaces(mar-kets,fairsandseaports)wasverydistinctfromlocal,feudal,royal,andecclesiasticallaw.7

Itsspecialcharacteristics8werethatitwasfirstofalltransnational.Secondly,itwasbasedonacommonoriginandafaithfulreflectionofthemercantilecustoms.Thirdly,itwasnotadministeredbyprofessionaljudgesbutbymerchantsthemselves:itwasdevelopedandpromotedbymercantilecorporationsandthespecialjurisdictionofthemercantilecourts,9businesspracticeandthespecialcourtsofthegreatmarketsandfairs.Fourthly,itsprocedureswerespeedyandinformalandfinallyfifthly,asoverridingprinciples,itemphasizedfreedomofcontractanddecisionofcasesexaequoetbono.

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H.J.Berman/C.Kaufman,TheLawofInternationalCommercialTransactions(LexMercatoria),19/{Harv.Int.L.J.}/(1978),221(224.)3

E.v.Caemmerer,TheInfluenceoftheLawofInternationalTradeontheDevelopmentandCharacteroftheCommercialLawintheCivilLawCountries,in:Schmitthoff,TheSourcesofInternationalTrade,London19,88.4

L.Trakman(note1),p.8.5

E.g.,AmalfiLaws(9);thePisaConstitum(1156,1160);theConsulatodelMare(customsofBarcelona,1340).6

P.W.Thayer,ComparativeLawandtheLawMerchant,6BrooklynL.Rev.(1936),139(141),citedinL.Trakman(note1),p.8;foracriticismofthemedievalcommerciallawasbeingtransnationalseeOliverVolckart/AntjeMangels,HastheModernLexMercatoriaReallyMedievalRoots?,Max-Planck-InstitütforResearchintoEconomicSystems,Diskussionsbeitrag8-96.7

H.J.Berman/C.Kaufman(note2),221(225).8

H.J.Berman/C.Kaufman(note2),221(225);C.Schmitthoff,DasneueRechtdesWelthandels,28RabelsZ(19),47(49);L.Trakman(note1),p.8etseq.;J.Honnold,TheInfluenceofTheLawofInternationalTradeontheDevelopmentandCharacterofEnglishandAmericanCommercialLaw,in:Schmitthoff,TheSourcesofInternationalTrade,London19,70(71);K.P.Berger,InternationalEconomicArbitration,1993,p.525etseq.9

InEngland,thesewerethesocalledpiepowderandstaplecourts.

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Assuch,itreflectedperfectlywellthecommercialneedtopromotetradebaseduponfreedomandrecognizedthecapacityofthemerchantstoregulatetheirownaffairsthroughtheircustoms,theirusages,andtheirpractices.10

2.TheAbsorptionandDisintegrationoftheLexMercatoria

InEngland,beginningintheseventeenthcentury,theautonomouslawmerchantwascurtailedandforcedbackwiththedevelopmentofacommonlaw.Withtime,especiallyunderLordChiefJustice,SirEdwardCoke,theCourtofAdmiraltyandotherspecializedcourtsformerlyapplyingthelexmercatoriawereabolishedorlimitedintheirjurisdiction.Commercialdisputeswerenowsolvedaccordingtocommonlawwhiletherulesofthelawmerchant,thoughnotofficiallyabolished,weresimplytreatedascommercialcustomsandpracticesthathadtobeprovedineachcase11“tothesatisfactionoftwelvereasonableandignorantjurors”.12

ItwasnotuntilLordMansfield(1705-1793)thatthelexmercatoriacametohonouragain.InthefamouscaseofPillansv.Mierop13heheldthattherulesofthelawmerchantwerequestionsoflawtobedecidedbythecourtsratherthanmattersofcustomstobeprovedbytheparties.Thus,thelawmerchantwasmadeanintegralpartofthecommonlaw.

Itwasinthenineteenthcentury,thatthemostimportantpartsofthecommerciallawonthebasisofcommonlawdecisionswereembodiedintovariousstatutes.14

OntheContinent,15itwastheappearanceofnationallegislationintheageofmercantilismwhichononehandeffectivelypromotedthecommerciallaw,yetatthesametimeledtothedeclineofthecustom-basedmerchantlawanditsuniversality.Theemergenceofnationallawsandstatutesmarkedtheendoftheancientlexmercatoria.Atthelatest,withtheeraofcodificationinthenineteenthcentury,ithaddissolvedintothevariousdomesticlegalsystems.16

Withthenationalizationandcodificationofcommerciallaw,adevelopingcommerciallaw,flexible,universalandtransnationalincharacter,ceasedtoexist.Surely,theincorporationofthelawmerchantintodifferentnationalsystemsaddedaninternationaldimensiontotheselegalsystemswithoutwhichtheneedsofthecommerceofthedifferentnationalstatescouldhardlyhavebeenserved.Yet,nationalcommerciallawlostthecosmopolitandimensionandbecameincreasinglydivorcedfromexperience,17whichwasoftencoupled

10

L.Trakman(note1),p.8.

11T.Plucknett,ConciseHistoryOfTheCommonLaw,5thedn.1956,p.660etseq.12

Fifoot,EnglishLawandItsBackground,1932,105,citedinHonnold(note8),70(72).13

3Burr.1663,97Eng.Rep.1035(K.B.1765).14

E.g.,BillsofExchangeAct,1882;SalesofGoodsAct,13.15

SeeL.Trakman(note1),p.24etseq.;v.Caemmerer(note3),88(90).16

v.Caemmerer(note3),88(90);A.Kappus,“ConflictAvoidance”durch“lexmercatoria”undUN-Kaufrecht1980,RIW1990,788(7).17

H.J.Berman/C.Kaufman(note2),221(227);Honnold(note8),70(73);v.Caemmerer(note3),88(90).

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withahostilitytowardsmercantilecustom.3.TheModernLexMercatoria

Merchantlawwasnotyetdead--thewillforworldtradewasstrongerthanthenationalrestrictionsandlimitationsofthecommerciallaw:merchantscreatedinternationallylegalstructuresandinstrumentsthathadtoberecognizedbynationallegalsystemsinordertoreachacommonbaseforinternationaltraderelations.18Furthermore,non-governmentalinstitutionsliketheInternationalChamberofCommerce(ICC)19startedinthe1920'stofosterinternationaltradelawbydevelopinguniformstandardrulesandprocedures.20Thereemergedatrendofrediscoveringtheinternationalcharacterofthecommerciallawandtomoveawayfromtherestrictionsofnationallawtoauniversal,internationalconceptionofinternationaltradelaw.Thistrendwasdrivenbythebusinesscommunity.21Inthe1960's,BertholdGoldman,CliveSchmitthoffandAleksanderGoldstajn22wereamongthefirsttopointatthisdevelopment,atthis“newlawmerchant”andatitstendencytobeautonomous.

Itisnotsurprisingthattheideaofthelexmercatoriahasbeenrevitalized:businessmeninvolvedincross-bordertransactionswereincreasinglyandstillaredissatisfiedwiththeunsuitabilityofsomenationallawsforinternationalcommerce23andwiththeresultsoftheconflictoflawruleswhichoftenappeararbitraryandimpractical.24Asystemofsupra-nationallegalprinciples,itisfelt,couldoustthetechnicalities25and“blindmechanisms”26ofnationallegalsystemsandcouldhelpescapethevagariesofnationallaw.27Acommoncoreofrulesandprincipleswouldpermeatethevariouslegalsystemsandwouldthusprovideacommonframeofreferencefornegotiationsbetweenparties

18

C.Schmitthoff(note8),47(58);H.J.Berman/C.Kaufman(note2),221(222);H.Berman/F.Dasser,The“New”LawMerchantandthe“Old”:Sources,Content,andLegitimacy,in:T.Carbonneau(ed.),LexMercatoriaandArbitration,1990,21(22).19

SeeM.C.Rowe,TheContributionoftheICCtotheDevelopmentofInternationalTradeLaw,in:N.Horn/C.Schmitthoff(ed.),StudiesinTransnationalEconomicLaw,TheTransnationalLawofInternationalCommercialTransactions,1982,51.20

E.g.,UniformCustomsandPracticeforDocumentaryCredits,ICCPublicationNo.290(No.500forthe1993Revision);RulesfortheICCCourtofArbitration,ICCPublicationNo.291.ForfurtherICCPublicationsconcerninginternationaltradelawseeM.C.Rowe(note19),51(59).21

C.Schmitthoff(note8),47(59);K.P.Berger,DieUNIDROIT-PrinzipienfürInternationaleHandelsverträge,94ZVglRWiss(1995),217(221).22

B.Goldman,Frontièresdudroitetdu“lexmercatoria”,9ArchivesdePhilosophieduDroit(19),177;A.Goldstajn,TheNewLawMerchant,JournalofBusinessLaw(1961),12;C.Schmitthoff,

ModernTrendsinEnglishCommercialLaw,Tidskrift,utgivenavJuridiskaFöreningeniFinland1957,349;C.Schmitthoff(note8),47;C.Schmitthoff,TheLawofInternationalTrade,ItsGrowth,FormulationandOperation,in:Schmitthoff,TheSourcesofInternationalTrade,London19,3.23

O.Lando,TheLexMercatoriaandInternationalCommercialArbitration,34ICLQ(1985),747(7);F.Juenger,TheLexMercatoriaandtheConflictofLaws,in:T.Carbonneau(ed.),LexMercatoriaandArbitration,1990,213.24

A.Kappus(note16),788(790).25

O.Lando(note23),747(748).26

K.P.Berger(note8),p.528.27

O.Chukwumerije,ChoiceofLawinCommercialArbitration,1994,p.110;A.Goldstajn(note22),12.

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fromdifferentlegalbackgrounds.28Furthermore,agrowingbodyofcommercialpracticespromisestobemoreflexibleandadaptabletocommercialneedsthanthedomesticlegalsystems.29

Tomanyjurists,thesereasonstopromoteasupra-nationallegalsystemweresoundandconvincing,andsoontheideaofanewlexmercatoriafoundmanyadmirerswhopickedupitselementsanddevelopedthemfurther.Meanwhile,anumberofdistinguishedauthorsadheretotheconceptofthemodernlexmercatoria.30Theyseeitasagrowingbodyofuniformanda-nationalrulesconsistingofcustomsandusagesofinternationaltradeandofthoseprinciples,conceptsandinstitutionswhicharecommontoallormostofthestatesengagedininternationaltrade.31Anditisthedynamicpotentialinherentinthemerchantcommunityandinallareasofmoderninternationalcommerciallawwhichtheyregardasthedrivingforcebehindthecreationofthisuniformbodyoftransnationallaw.32

Theauthorswhoadvocatethemodernlexmercatoriaarenumerousandassuch,itisnotsurprisingthattheirviewsaboutitsstatusandshapingarenotcongruousineverydetail.33Thereis,forinstance,disagreementinrespectoftheexactmeaningoftheterm“modernlexmercatoria”,i.e.,theconstituentsourcesofthelexmercatoria.

Someauthorstakeawideapproachandequatethelexmercatoriawithtransnationalcommerciallaw.Hereby,theydonotonlyclassifyinternationalstandardformcontracts,generalcommercialpractices,tradeusages,customarylaw,codesofconduct,rulesofinternationalorganisationsandgenerallyrecognizedprinciplesoflawasconstituentel-ementsofthelexmercatoria,butalsointernationalconventionsanduniformlaws.34Othersupportersofthelexmercatoriatakeamorenarrowviewinthattheyemphasizeitscustomary,spontaneousandthusnon-statutorynature.35Accordingly,theyexcludeinternationalconventions,uniformlawsandotherstatutorylawasaprimarysourceofthelexmercatoria(althoughthosemay,ofcourse,influencethegeneralprinciplesofcommerciallaw).36

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R.Schlesinger,ResearchontheGeneralPrinciplesofLawRecognizedbyCivilizedNations,AJIL1957,734(747).29

A.Goldstajn(note22),12.30

ApartfromtheabovenamedO.Lando(note23),747;K.P.Berger(note8),p.525;H.J.Berman/C.Kaufman(note2),221;H.J.Berman/F.Dasser(note18),21;B.Goldman,TheApplicableLaw:

GeneralPrinciplesofLaw-thelexmercatoria,in:J.Lew(ed.),ContemporaryProblemsinInternationalArbitration,1987,113;F.Juenger(note22),213;A.Lowenfeld,LexMercatoria:AnArbitrator'sView,in:T.Carbonneau(ed.),LexMercatoriaandArbitration,1990,37;L.Trakman(note1),p.39;A.

Kappus(note16),788;U.Blaurock,ÜbernationalesRechtdesInternationalenHandels,ZEuP1993,247.31

O.Lando(note23),747;K.P.Berger(note8),p.525;H.J.Berman/F.Dasser(note18),21(22,23;)H.J.Berman/C.Kaufman(note2),221(274).32

K.P.Berger(note8),p.535.33

Itwouldgofarbeyondthescopeofthisessaytopursuethesedifferentstreams,forfurtherreferenceandexplanationseeK.P.Berger,p.538andM.J.Bonell,DasautonomeRechtdesWelthandels-RechtsdogmatischeundRechtspolitischeAspekte,42RabelsZ(1978),485(486etseq.).34

O.Lando(note23),747(748etseq.);K.P.Berger(note8),p.526,A.Kappus(note16),788(790);A.Goldstajn(note22),12etseq.35

B.Goldman(note30),113(114).36

R.Goode,UsageanditsReceptioninTransnationalCommercialLaw,46/{ICLQ}/(1997),1(2);B.

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Becausethespecificproblemsoftransnationalcommercialcustomwhichshapethecon-troversialdebaterelatingtothelexmercatoria(i.e.,Isitalaw?Anautonomouslegalorderdistinctfromnationallegalsystems?37)38donotarisewithrespecttorulesofstateorinterstateorigin,thelatternarrowviewshallbefollowedforthepurposeofthisessay.

4.TheDebate

Sincetheideaofanewlexmercatoriawasintroducedsomedecadesago,ithaskindledahighlycontroversialdebatebetweenthoseinfavourandthoseagainstthelexmercatoria,whichalmostresemblestrenchwarfare.39Withthepopularityofinternationalcommercialarbitrationandtherecenteffortsandprojectsofharmonizinginternationalcontractlaw,40thisdebatehasregaineditsimportance.Authorsandcommentatorsarestilldividedintotwocamps-“mercatorists”and“anti-mercatorists”.41Theircontroversyfindsitsclimaxinthequestionastowhetherthelexmercatoriaisatruebodyoflawdistinctandautonomousfromnationallegalsystemsandwhetherassuch,thepartiestoacontractcanvalidlychoosethelexmercatoriaasthelawgoverningtheircontractbyincludingachoiceoflawclausereferringtothelexmercatoria(generalprinciplesofinternationalcommerciallaworalike)astheproperlawofthecontract.Theargumentsofthetwoopposingsideswillbeoutlinedhereafter.(a)ArgumentsagainsttheLexMercatoria

Manyauthorsdoubtthatthereissuchanewlexmercatoriainthesenseofaninternationalcommerciallawautonomousfromanystatelaw.Atleast,theydenythatitexistsinanyusefulsenseandthatitisbeneficialforsolvingcommercialdisputes.42Severalargumentsareputforwardtosupportthisview:

Themainpointofcriticismreferstothelexmercatoriaasnotbeinga“law”.Thelexmercatorianotonlylacksamethodologicalbaseandalegalsystemsupportingitandisdependentonnationallegalsystemstoworkefficiently,43moreover,itdoesnothaveanystateauthorityfromwhichitcanderiveitsbindingforce.Assuch,itisargued,

Goldman(note30),113(114).37

Seeinfra.38

B.Goldman(note30),113(114).39

P.Lagarde,citedinH.J.Berman/F.Dasser(note18),21(31).40

SeethePrinciplesofInternationalCommercialContracts(preparedbyUNIDROIT)andthePrinciplesofEuropeanContractLaw(preparedbytheCommissionOnEuropeanContractLaw).41

E.Gaillard,TrenteansdeLexMercatoria-Pouruneapplicationsélectivedelaméthodedesprincipesgénéreauxdudroit,JDI(1995),5(6).42

M.Mustill/S.Boyd,CommercialArbitration,2ndedn.19,p.80etseq.;K.Highet,TheEnigmaoftheLexMercatoria,63TulaneLawReview(19),613;F.A.Mann,IntroductionIIin:T.

Carbonneau(ed.),LexMercatoriaandArbitration,1990,p.xixetseq.;G.Delaume,in:T.Carbonneau(ed.),LexMercatoriaandArbitration,1990,77;O.Chukwumerije(note27),p.110;P.Schlosser,DasRechtderinternationalenprivatenSchiedsgerichtsbarkeit,2ndedn.19,p.146etseq.43

P.Schlosser(note42),p.153;K.Highet(note42),613(616).

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itcannotgovernacontract,becauseacontractconcludedbetweenprivatepartiesmustbebasedonthemunicipallawofsomestate.Lawmeansnationallaw,lawmadebynation-states.Hence,acontractintendedtobesubjecttothelexmercatoriawouldbeastatelesscontract,onefloatinginavacuum.AsexpressedbyHighet,a“statefreecontract”44presentstheparadoxofthe“contratsansloi--unmarteausansmatre--whichis...alogicalimpossibilityandanintellectualsolecism”.45

Theissueof“becominglaw”isparticularlyproblematicinrespectofstandardformcon-tractsandtradeusageswhicharesaidtobeanimportantpartandsourceofthelexmercatoria.46Indeed,theycanfrequentlybeencounteredinthecommercialworld.Yet,ifstandardformcontractshaveanyconsiderableinfluenceonbusinesstransactions,thenitisastartingpointforcontractualnegotiations.Usingthem,thecommercialnegotiationsaremeanttobefacilitatedandspeeded.Hereby,itisargued,standardformcontractscannotcreateanylegalrulesoflaw47andcanthereforenotbeanysourceoflaw.Usagesofinternationaltradeonlyacquirethecharacteroflawtotheextendthattheyarein-corporatedintoanationallegalsystem,eitherexpresslyortacitly.Justbecausetheyareavailableasasourceforinterpretationoramplificationofcontractualclausesdoesnotmakethemlaw.48

Asecondstrongargument,veryoftenputforwardagainstthelexmercatoriaasanau-tonomousbodyoflaw,isitsincompleteness,vaguenessandincoherence.49Whatconsti-tutesthisallegedbodyoflaw?Whereisittobefound?Thegeneralprinciples,ruleswhicharereflectedinthelawofalltradingnationsandwhicharesaidtoconstitutethecoreofthelexmercatoria,aretobedistilledbymeansofacomparativeanalysisofrepre-sentativenationallaws.50Yet,whichrulesandprinciplesarecommontoageneralityofnations?Consideringthediversityofnationallegalsystems(civillaw,commonlaw,Is-lamiclaw)andthevastnumberofstates,onewillmostlikelyfindonlyveryfewprinciplesthataretrulycommontoarepresentativenumberoflegalsystems.51Thoseprinciplesthatmayfinallybeidentifiedareoftentoogeneralandtoobroad52tosolveanybutthesimplestproblem,letaloneacomplexcommercialdispute.53Theoftencitedprinciplesofgoodfaithorpactasuntservandaareassuchabstractprinciples.Theygaincolourbythesupplementaryrulesandexplanatorycourtdecisionsinthevariousnationallegal

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Authorsinfavourofthelexmercatoriahavepointedout,thatcontractsgovernedbythelex

mercatoriaarenottobeconfusedwiththecontratsansloi,assuming,ofcourse,thatthelexmercatoriaisalaw;seeP.Lalive,RDC1967I,9;B.GoldmanRDC1963II,480,29,citedinV.Triebel/E.

Petzold,GrenzenderlexmercatoriainderinternationalenSchiedsgerichtsbarkeit,RIW1988,245(246).45

K.Highet(note42),613etseq.46

A.Kappus(note16),788(790);O.Lando(note23),747(751);K.P.Berger(note8),p.526.47

O.Chukwumerije(note27),p.113;P.Schlosser(note42),p.150.48

V.Triebel/E.Petzold(note44),245(246).49

O.Chukwumerije(note27),p.112;M.Mustill/S.Boyd(note42),p.81;V.Triebel/E.Petzold(note44),245(247);P.Schlosser(note42),p.151.50

H.J.Berman/F.Dasser(note18),21(23).51

V.Triebel/E.Petzold(note44),245(247);O.Chukwumerije(note27),p.112.52

Itisargued,thattheyaremoreamatterofcommonsense,anyway;seeK.Highet(note42),613(627);P.Schlosser(note42),p.152.53

M.Mustill/S.Boyd(note42),p.81;K.Highet(note42),613(618);O.Chukwumerije(note27),p.112.

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systems.Thosesupplementaryclarificationswill,however,rarelybegeneral.

Theincompletenessofthelexmercatoria,itisfeared,mightleadtoarbitraryresultsandhencetoa“palm-treejustice”.55Thecelebratedflexibilityofthelexmercatoria(determiningitsparticularsuitabilityforinternationaltrade)makesitrelativelyeasyforarbitratorstocircumventtheprescribedlimitsoftheirauthorityandmightencouragethemtousethelexmercatoriaas“afigleaftohideanunauthorizedsubstitutionof(their)ownprivatenormativepreferencesfor...theproperlyapplicablelaw”.56Allthis,however,doesnotprovidethecertaintyandpredictabilitythatisofsuchvitalimportancetothecommercialworld.

Neitherbeingabodyoflawnoracoherentsystemofrules,thelexmercatoria--accordingtotheaforedescribedview--mightbeclassifiedasextralegalstandardsthathavebeenacceptedbylaw.57Assuch,theycannotgovernacontractoracommercialdispute.ArgumentsInFavouroftheLexMercatoria

Theauthorsinfavourofthelexmercatoria,incontrast,defendthelexmercatoriaasbeingalaw:

Therefusalofthe“anti-mercatorists”toacceptthelexmercatoriaasanautonomousbodyoflawstemsfromajurisprudenceofpositivismwhichisbasedonthetheorythatalllawisderivedfromthewillofthesovereignstateandthatinternationallawisderivedfromthecoincidenceofthewillsofmanysovereignstates.58Hence,legislationisseenastheheartoflaw,whereastheroleofcustomisminimized.59

Otherthanthelegalpositiviststhe“mercatorists”starttheirconceptofthelexmercatoriafromthefundamentalideathatingeneral,lawcanemergeindependentlyfromwhetherthereisanorganwhichcanformalizeit.60AsLandoputsit,“thebindingforceofthelexmercatoriadoesnotdependonthefactthatitismadeandpromulgatedbyStateauthoritiesbutthatitisrecognisedasanautonomousnormsystembythebusinesscommunityandbyStateauthorities”.61Assuch,thelexmercatoriaisdifferentfromthetraditionalconceptof“law”asthelawtobefoundinlawbooks,codesandcaselaw.Itismoreoverpartofthe“livinglaw”whichistheproductoftheadaptability,creativenessandinventivenessofthemerchantsandwhichthereforeconcentratesonthoselegalnormsthatcanbeenforcedinpractice.62Assumingthatthelexmercatoriaconstitutesan

O.Chukwumerije(note27),p.112.55F.A.Mann(note42),xix(xx).56

W.Park,ControlMechanismsintheDevelopmentofaModernLexMercatoria,in:T.Carbonneau(ed.),LexMercatoriaandArbitration,1990,109.57

P.Schlosser(note42),p.153.58

H.J.Berman/F.Dasser(note18),21(28);K.P.Berger(note8),p.536;F.Juenger(note22),213(216etseq.).59

H.J.Berman/F.Dasser(note18),21(28).60

Ph.Fouchard,L'arbitragecommercialinternationale(1965),p.579etseq.61

O.Lando(note23),747(752).62

K.P.Berger(note8),p.536.

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independentlegalsystembesidenationallaw,thereferencebythepartiestothelexmercatoria,generalprinciplesofinternationalcommerciallawandalikedoesnotleavethecontractinalegalvacuum,63andthereisnoreasonwhythepartiesshouldnotbeabletochoosethelexmercatoriaastheproperlawoftheircontract.

Noneofthemercatoristsclaimthatthelexmercatoriaconstitutesacomplete,preciseandexhaustivesetofrules.Yet,thisisalsotrueforthenationallegalsystems.They,too,areincompleteandrequiregap-filling.Everydecisionbasedonalawbearsthereforeacertaindegreeofopennessandunpredictability.Assuch,thelexmercatoriaisverymuchinlinewiththenationalorinternationallegalsystems.Furthermore,itisnotasvagueandrudimentaryasitsopponentsclaimittobe:inanumberofspecialisedareasofinternationalcontractlawtherearehighlysophisticatedrules,andasfarasthegeneralprinciplesofinternationallawareconcerned,thereismeanwhileasolidnumber(whichisconstantlyincreasingandprogressing)oflistingswhichoutlineandexplainthesegenerallegalconceptsandprinciples.Withtimeandanincreasingnumberofarbitralawards,theseprincipleswillberefined,morecompleteandsufficientlyconcrete.Whyshouldn'tarbitratorstakeupthesameinterpretativeandgap-fillingpositionasjudgesdidandstilldowithinnationallegalsystems?65Everylegalsystemhastostartsomewhere.Hence,thetemporaryincompletenessofthelexmercatoriacannotbetakenasanargumentagainstthestatusaslawandagainstitsapplicabilityininternationalcommercialcontracts.III.TheUNIDROITPrinciples

Thelonglastingdebateconcerningtheexistenceandrecognitionofthelexmercatoriaasanautonomouslegalsystemwassuddenlyagaininthecentreofattentionandreceivednewimpulses,whenin1994,UNIDROITpublishedits“PrinciplesofInternationalCommercialContracts”,66whichwerefreneticallywelcomedasnewlexmercatoriainthecampofthemercatorists.Withtheaboveoutlinedbackgroundofthelexmercatoriadebate,itwillnowbeexaminedwhethertheUNIDROITPrinciplescanrightlybeclaimedtobetheheartofthemodernlexmercatoria.Forthistobe,onewould,ononehand,expectthePrinciplestofulfilthecharacteristicsofalawmerchantand,ontheotherhand,wouldwishthePrinciplestocounterthecriticismputforwardagainstthetheoryofthemodernlexmercatoriaasautonomouslegalsystem.

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1.Generalremarks

a)TheIdeaoftheUNIDROITPrinciples

Inpractice,effortstounifytheprivatelawweremainlyconcentratedonbindingactsoflawintheformofconventionsandmodellaws,and--ifnon-legislative--onlyonverylimitedandspecialisedlegalniches.Incontrast,thePrinciplesarebasedontheidea,thatprivatelawcanalsobeunifiedotherthanbylegislativemeans.TheideawasinspiredbytheAmericanRestatementsoftheLawofContracts,67accordingtowhichtheinternationallawofcontractwasmeanttobeelaboratedinacomparativeapproach,summarizedandstructured.Principlesweretobelaiddownthatwerecommontotheexistingnationallegalsystemsand/orwhichseemedbestadaptedtotheparticularneedsofinternationalcommercialcontracts.68Assuch,theaimwas“toestablishabalancedsetofrulesdesignedforusethroughouttheworldirrespectiveofthelegaltraditionsandtheeconomicandpoliticalconditionsofthecountriesinwhichtheyaretobeapplied.”69Althoughphrasedasaruleoflaw,thePrinciplesweredeliberatelynotdraftedasaconven-tionormodellawtobetransformedintonationallaw.Instead,theideawastoelaborateinternationalprinciplesofcontractswithoutadirectbindingforce,theacceptanceandapplicationofwhichwereexclusivelydependentonitspersuasivepowerandtheauthorityofUNIDROIT.70AccordingtoBonell,a“novelproductoftheinternationalcommerciallaw”wascreated.71

Yet,thePrinciplesgofarbeyondthemerecompilationofprinciplesidentifiedbyacom-parativeanalysis.Attemptingtolaydownthegeneralprinciplesofcontractlawinacoherentcode-likeform,theyintendtobeamoderniuscommune,72aratioscripta73ofasupranationallegalorderoftrade.TheirscopeofapplicationislaiddowninthePreambleinanon-conclusivelistwhichprovides,interalia,thatthePrinciples“shallbe

63

K.P.Berger(note8),p.538.

A.Lowenfeld(note30),37(41);H.J.Berman/F.Dasser(note18),21(27).65

O.Lando(note23),747(755);K.P.Berger(note8),p.5.66

ConcerningthereceptionofthePrinciples,seeM.J.Bonell,TheUNIDROITPrinciplesinPractice:theexperienceofthefirsttwoyears,UniformLawReview1997,34;M.J.Bonell,TheUNIDROITPrinciplesofInternationalContracts:TowardsanewLexMercatoria?,Revuededroitdesaffairesinternationales1997,145.67

M.J.Bonell,DasUNIDROIT-Projektf?rdieAusarbeitungvonRegelnf?rinternationaleHandelsvertr?ge(DasUNIDROIT-Projekt),56RabelsZ(1992),274(276);M.J.Bonell,An

InternationalRestatementofContractLaw,TheUNIDROTPrinciplesofInternationalCommercialContracts,(InternationalRestatement)1994,p.7etseq.68

UNIDROITPrinciplesofInternationalCommercialContracts,Rome1994,Introductionp.viii;M.J.Bonell(note67),DasUNIDROITProjekt,274(287);M.J.Bonell,(note67),InternationalRestatement,p.42.69

UNIDROITPrinciples(note68),Introductionp.viii.70

UNIDROITPrinciples(note68),Introductionp.ix;J.M.Bonell,DieUNIDROIT-PrinzipienderinternationalenHandelsverträge:EineneueLexMercatoria?,ZfRV1996,152(153).71

M.J.Bonell(note70),152.72

M.J.Bonell(note67),DasUNIDROIT-Projekt,274(276).73

M.J.Bonell,RDAI1988,873(878).

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appliedwhenthepartieshaveagreedthattheircontractbegovernedbythem”andthatthey“maybeappliedwhenthepartieshaveagreedthattheircontractbegovernedby`generalprinciplesoflaw',the`lexmercatoria'orthelike.”

Assuch,thePrinciplesthemselveslinktotheideaofthemodernlexmercatoria.Itwasaprimarygoalofthedrafterstocreateasystemofrulesthatis“sufficientlyflexibletotakeaccountoftheconstantlychangingcircumstancesbroughtaboutbythetechnologicalandeconomicdevelopmentsaffectingcrossborderpractice”74andthatatthesametimeattempts“toensurefairnessininternationalcommercialrelations...”.75ThisgoalismirroredinmanyofthearticlesandinthebasicideasunderlyingthePrin-ciples,whichwereidentified76asthefreedomofcontract,77opennesstousages,78theso-calledfavorcontractus79andtheideaofgoodfaithandfairdealingininternationaltrade.80

b)FormationandSourcesoftheUNIDROITPrinciples

ThePrinciplesweredraftedbyaworkinggroupthatwasspecificallyformedforthispurpose.Itsmembers,representingalldifferentlegalandsocio-economicsystems,wereleadingexpertsintheareaofcomparativelawandinternationaltradelaw,amongthemwerelegalscholars,judgesandcivilservants.Itisimportanttonotethatthemembersoftheworkinggroupwereappointedintheirowncapacityandnotasrepresentativesoftheirgovernmentsortheirownlegalsystems.81

Intheircomparativework,emphasiswasnotonlyplacedonconsideringasmanynationallegalordersaspossiblebutespeciallyonfindingasynthesisbetweenthedifferentlegalsystems,namelybetweenthecivilandthecommonlaw.

However,inviewofthemanifoldnationallegalorders,thedraftershadtolimitandconcentrateonafewnationalcodificationsorcompilationsoflaw,whichwerethoseofamorerecentdate,suchastheAmericanUniformCommercialCode,theRestatement(Second)oftheLawofContracts,thedraftofthenewDutchCivilCodeandthenewCivilCodeofQuébec.Asinternationalsources,specialattentionwasgiventothe1980ViennaSalesConventionand,whereappropriate,tonon-legislativeinstrumentsbyprofessionalbodiesortradeassociations,suchasINCOTERMS82ortheUniformCustomsandPractice

74

UNIDROITPrinciples(note68),Introductionp.viii.75

UNIDROITPrinciples(note68),Introductionp.viii.76

SeeM.J.Bonell(note67),InternationalRestatement,p.etseq.77

Art.1.1UNIDROITPrinciples.78

Art.1.8UNIDROITPrinciples.79

SeeamongothersArts.2.11,2.14,2.22,6.2.1-6.2.3.80

Art.1.7UNIDROITPrinciples.81

M.P.Furmston,UnidroitGeneralPrinciplesforInternationalCommercialContracts,10JournalofContractLaw(1996),11;M.J.Bonell(note67),DasUNIDROIT-Projekt,274(278).82

SeeInternationalCommercialterms-INCOTERMS1990,ICCPublicationn.460.

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forDocumentaryCredits.83

84

ThePrincipleswereoriginallydraftedinEnglish,buthavealreadybeentranslatedintoFrench,German,Italian,Spanish,Arabic,ChineseandRussianandwillsoonbepublishedinthese(andmore)languagesbothwithtextandcomment.c)StructureandFormalPresentation

ThePrinciplesarecomposedofaPreambleand119articlesdividedintosevenchapters,namely“GeneralProvisions”(Chapter1),“Formation”(Chapter2),“Validity”(Chapter3),“Interpretation”(Chapter4),“Content”(Chapter5),“Performance”(Chapter6)and“Non-Performance”(Chapter7).Eacharticleisaccompaniedwithcommentswhichareintendedtoexplainthereasonsfortheblackletterruleandthedifferentwaysinwhichitmayoperateinpractice.Whereappropriate,thecommentsalsocontainfactualillustrations.ThesecommentsaretobeseenasanintegralpartofthePrinciples,85becausenotinfrequently,theynotonlyexplaintheblackletterrulebutalsosupplementit.

Asfaraspossible,thePrinciplesdeliberatelyavoidtheuseofaterminologythatispeculiartoanygivennationallegalsystem.Preferencehasbeengiventosomeextenttothosetermsandexpressionswhicharecommonlyusedininternationalcontractpractice.Oneexample86istheterm“hardship”whichreferstosituationsinthevariousnationallegalsystemsotherwiseknownas“impracticability”,“frustrationofpurpose”,“imprévision”,“WegfallderGeschäftsgrundlage”,etc.Whereinonecaseoranotheraspecifictermpeculiartooneormorenationallegalsystemsisused,thistermistobeinterpreted“autonomously”,i.e.,inthelightandcontextofthePrinciplesthemselvesandnotbyreferencetothemeaninggivenbytherelevantnationallegalsystem.87ThisautonomousandinternationalcharacterofthePrinciplesisofvitalimportanceandisalsostressedbythefactthatthecommentstotheblackletterrulessystematicallyrefrainfromreferringtonationallawinordertoexplaintheoriginandrationaleofthesolutionchosen.882.TheUNIDROITPrinciplesasLawMerchant

Asalreadyoutlinedabove,forthePrinciplestobeanewlexmercatoria,theyfirstofallhavetomeetthecharacteristicsofatruelawmerchant.90Recallingthemainfeatures

83

SeeUniformCustomsandPracticeforDocumentaryCredits-1993Revision,ICCPublicationNo.500.84

M.J.Bonell(note67),InternationalRestatement,p.43.85

M.J.Bonell(note67),InternationalRestatement,p.27;alsoM.J.Bonell(note67),DasUNIDROIT-Projekt,274(279).86

Arts.6.2.2.-6.2.3.UNIDROITPrinciples;examplecitedinJ.M.Bonell,(note70),152(1),alsoinM.J.Bonell(note67),InternationalRestatement,p.29.87

Comment2toArt.1.6UNIDROITPrinciples.88

Whichis,however,criticisedbyK.P.Berger(note21),217(218).

SeesupraIII.90

Foracriticismoflinkingancientcommerciallawwiththemodernlexmercatoria,seeOliver

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ofthesubstantivelawmerchantoftheMiddleAges,91onewouldthereforehavetoexpectthePrinciplestobetransnational,basedonacommonorigin,afaithfulreflectionofthemercantilecustomsandparticularilyresponsivetocommercialneeds.

ThereisnodoubtthatthePrinciplesfulfilthecriterionofbeing“transnational”and“basedoncommonorigin”.ThePrinciplesneitherbelongtoanynationallegalsystemnordotheyreflecttherulesandprinciplesofonesinglenationallegalorder--instead,theyaredetachedfromanynationallegalcontext.Theyweredesignedtobeapplicabletoin-ternationalcontractsthroughouttheworldirrespectiveoflegaltraditionoreconomicandpoliticalenvironment.92Thesearchforlegalideasandprinciplescommontothevariousnationalandinternationallegalsystemswasthoroughlydonebymeansofcomparativeanalysis,93andforeacharticle,manydifferentnationalapproacheswereconsidered.ThisenabledthePrinciplestorootintheAnglo-American“commonlaw”aswellasinthecivillawtradition.American,English,ContinentalEuropean,Russian,JapaneseandChinesejuristsshouldfindthemselvesathomeinthem.94

Apartfrombeingtransnationalandcommoninorigin,thePrinciplesalsopayspecialattentiontousagesandcustomswhendeterminingtherightsanddutiesofthepartiestoeachindividualcontract.Indeed,theopennesstousagesisevenconsideredasanessentialelementandunderlyingideaofthePrinciples.95Art.1.8inthegeneraltermsofthePrinciplesprovidesinessencethatusagesmaynotonlybebindingwhentheyhavebeenagreeduponbetweentheparties,butalsointheabsenceofanysuchagreement.96ThePrinciplesrefertousagesalsoinseveralotherarticles.97WiththisopennesstocustomsandusagesthePrinciplesbecomeresponsivetonewcommercialpractices,legalinstrumentsanddevicesdevelopedbythemerchantcommunity.ThisisparticularlyimportantforthePrinciplesaswrittentransnationallawandasasimplyinstantaneousreflectionofcommonlegalrules.Inordertoavoidthetypicaldilemmaofcodifiedlaw,which,withthefixationofthelegalrulesbecomesratherstaticatthesametime,98thePrincipleshavetoprovideamechanismthatmaintainsitspliantness.Thismechanismmaybeseenintheresponsivenesstocustomsandusages.Hence,theopennesstocustomsandusageskeepthePrinciplesasasetofrulesflexibleinthesenseofa“lawinaction”andthusparticularyadaptabletocommercialneeds.

However,therearealsootherfeaturesthatsupporttheadaptabilityandsuitabilityoftheprinciplestocross-bordertrade.Oneofthemistheaforementionedfavorcontractus,99

Volckart/AntjeMangels(note6),esp.p.29etseq.91

SeesupraII.1.92

UNIDROITPrinciples(note68),Introductionp.viii.93

SeeinfraIII.3.94

VanHoutte,De“UNIDROITPrinciplesofInternationalCommercialContracts”endeBelgischerechtspraktijk,TBHR1995,348at349,citedinK.Boele-Woelki,DieAnwendungderUNIDROIT-PrinciplesaufinternationaleHandelsverträge,IPrax1997,161(163).95

M.J.Bonell(note67),InternationalRestatement,p.61etseq.96

Exceptwheretheapplicationofsuchusagewouldbeunreasonable,Art.1.8(2).97

See,e.g.,Art.2.6(3).98

K.P.Berger,Formalisierteoder“schleichende”KodifizierungdestransnationalenWirtschaftsrechts-ZudenmethodischenundpraktischenGrundlagenderlexmercatoria,1996,p.192.99

SeealsoM.J.Bonell(note67),InternationalRestatement,p.65etseq.

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accordingtowhichtherulesaimatpreservingthecontractbyrestrictingthenumberofcasesinwhichitsexistenceorvaliditymaybechallengedorinwhichitmaybeterminatedbeforetime.Thisideatakesintoaccountthatthepartiesintradeusuallydohaveaninterestinupholdingtheoriginalcontractualrelationshipratherthanterminatingthecontractand--attheexpenseoftimeandmoney-searchforanewcontractpartner.Agoodexampleofthisfavorcontractus-principleisArt.2.22(Battleofforms)accordingtowhichacontractwasvalidlyconcluded,evenifthepartiesusedconflictingstandardterms.100

ThePrinciplesarealsovery“user-friendly”:Theyareneutral,shortandconcise,clearlyarrangedandwithitssimplelanguage,explanationsandpracticalexampleseasilyunder-standable.101Theynotonlyofferalinguafranca102tofacilitatenegotiationsandthereforecross-bordertrade,buttheyalsorenderunnecessarythetime-consumingsearchfortheforeignlegalrulesor“generalinternationalprinciples”(inthecasethatthosewerechosenasapplicablelaw).

OnemustconcludethatthePrinciplesarenotonlytransnational,basedonacommonoriginandresponsivetopracticesandusages,butalsoveryadaptabletocommercialneedsandtheworldofinternationaltrade;hence,theyfulfilthecriteriaofalawmerchant.3.ThePrinciplesCounteringtheCriticismAgainsttheLexMercatoria?AsBergerhasalreadypointedout,103thePrinciplesthemselvesdonotclarifytheirle-galstatusaspossibleautonomouslexmercatoria,i.e.,theydonotexpresslydeterminewhethertheyaretobeunderstoodasownindependentlegalsystemwhichcanvalidlybechosenasproperlawapplicabletoacontract,orwhethertheyaremerelytobeincludedaspartofthecontractandherebynotsupersedingtherelevantnationallaw.InformationastothestatusofthePrinciplesmusthencebededucedfromtheirstructure,methodologyandcontext.

Oneofthemainpointsofcriticismputforwardagainstthelexmercatoriaasanau-tonomousbodyoflawisthatitallegedlylacksthequalityofbeingalaw,whichisjustifiedwiththelexmercatorianotbeinglegitimatedbyalegislativeauthorityandnothavinganappropriatemethodologicalbase.

Asfaraslackinglegitimationbyalegislativeorganisconcerned,thePrinciplesarenotabletoanddonotaimtorefutethisargument,becausethisisanimminentfeatureforanon-legislativesetofrules.However,theargumentconcerningthe“appropriatemethodologicalbase”isnotstrikingwhenreferringtothePrinciples.Inordertoelaborate

100

“Wherebothpartiesusestandardtermsandreachagreementexceptonthoseterms,acontractisconcludedonthebasisoftheagreedtermsandofanystandardtermswhicharecommoninsubstanceunlessonepartyclearlyindicatesinadvance,orlaterandwithoutunduedelayinformstheotherparty,thatitdoesnotintendtobeboundbysuchcontract.”,Art.2.22;thisprovisionismuchbettersuitedforcommercialrealitythanArt.19(2)CISG,itscounterpartinthe1980ViennaSalesConvention.101

K.Boele-Woelki(note94),161(1).102

M.J.Bonell,AnInternationalRestatementofContractLaw,at14.103

K.P.Berger(note21),217(224).

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thePrinciples,theirdrafterschoseafunctionalandcomparativemethod.104Themethodwascomparativeononehand,becausemanydifferentnationallegalorderswerestudiedandconsideredwhichrepresentedalldifferenttypesoflegalsystems,suchascommonlaw,civillaworEasternlaw.Ofparticularinterestwerethesocalled“mixedlegalorders”105andthosethatwerebasedonasimilarcomparativeapproach.106Themethodwasfunctionalontheotherhand,becausethedraftersdidnotfocusonthespecificdogmaticinstruments,butinstead,concentratedontheunderlyingpracticalsituationbehindandthebasicideaoftheparticularnationallegalorder.Itwasespeciallyinthisway,thatabridgewasbuiltbetweenthecommonandthecivillaw.107Themethodchosenwasnotonlyappropriateforthisinternationaltasktofiltercommonideasandprinciplesbutwasalsoasystematicapproachtoelaborateatruesystem.

Thesecondmainpointofcriticismputforwardagainstthelexmercatoriaasanau-tonomousbodyoflawisitsallegedlackingqualityasacoherentandsufficientlyprecisesystemoflaw.

ThePrinciples,incontrast,showverywellfeaturesofacoherentandconcretesystem,inthattheyprovideacode-likestructurewithasystematicorderofgeneralprinciplesandrules,whichcanbefoundinmostcodificationsandwhichcorrespondstothegeneraldoctrineoflegislation.Whilethemodernlexmercatoriasofardescribedconsistsalmostentirelyofgeneralprinciplesandhencelackingthereal“flesh”(atleastfromthepointofviewoftheanti-mercatorists),thePrinciplesprovideside-by-sidegeneralprinciplesandconcreterules.Yet,thegeneralprinciplesfulfilaveryimportantfunction.Ononehand,theyensureacertainopennessandflexibilityofthebodyofrulesintheindividualcaseandtowardschangesanddevelopments.Ontheotherhand,theyprovideasetofvalues,aguidingthread,whichisthebaseandframeforthePrinciplestobecomeasystematicorder.108Itisonlythissetofvaluesthatenablesanautonomousinterpretationandgap-fillingfromwithinthesystem(asprovidedforinArt.1.6(2)ofthePrinciples).Onlywiththisautonomousinterpretationaninternallycoherentandconcisebodyoflawcanconsolidate.Hence,onecanrightlysaythattheinteractionofgeneralprinciplesandrulesjustifytheclaimofthePrinciplestobeatrueandcoherentsystemoflaw.

Beingacoherentsystemoflaw,thePrinciplesmaybecometheheartofthemodernlexmercatoriainthattheycanprovidetheframeworkforthevariouscomplementaryelementsofthelexmercatoriaandatthesametimetheessenceofgeneralprinciples.IV.Conclusion

Themainresultsofthisessaycanbesummarizedasfollowed:

1.Thelonglastingandvividdebateconcerningthelexmercatoriaasautonomousbody

104K.P.Berger(note21),217(226).

105

E.g.,thelawsofSouth-Africa,Scotland,Louisana,Algeria.106

E.g.,the1963CommercialCodeofCzechslovakia,cfK.P.Berger(note21),217(227).107

TheexampleoftheprincipleofgoodfaithisdescribedinK.P.Berger(note21),217(225).108

K.P.Berger(note21),217(233).

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oflawhadsomewhatreachedadeadlock,becausebothopposingsidesofargumentswereincompatiblewitheachother.Asmuchasthecommercialrealitiessupportedtheideaofalexmercatoria,atleastthecriticismofvagueness,incoherenceandunpredictabilityseemtobeseriousobjections.

2.WiththepublicationoftheUNIDROITPrinciples,thesceneryhaschanged.Ononehand,beingtransnational,commoninorigin,opentocustomsandespeciallytailoredtotheneedsofinternationalcommercialtransactions,thePrinciplesmeetallthesubstantiverequirementsofatruelawmerchant.Theirautonomousandyetnon-bindingcharacterisveryattractiveforthebusinesscommunity.

Ontheotherhand,thePrinciplesalsobackthecauseofthelexmercatoria.Althoughtheydonothelptoovercometheproblemofthelackoflegitimationbyalegislativeauthority(acriterionthatsomeconsidertobeessentialforasetofrulestobecomelaw),theydocountersomeofthemainobjectionsagainstthelexmercatoriainthattheyarebasedonalegitimatingthoroughandappropriatemethodologyandinthattheyprovideaconciseandcoherentsystemoflegalrules.Itisespeciallythelatter,thatensuresmorepredictabilityandstabilityandthatfreesthelexmercatoriafromtheblameofbeinganarbitrarypalm-treejustice.

3.Yet,whethertheUNIDROITPrinciplescanreallyqualifyas“thenewlexmercatoria”ormoreover“theheartofthenewlexmercatoria”remainstobeseen.Twofactorsseemtobedecisive:Ononehand,thewayinwhichthePrinciplesarebeinginterpretedandfurtherdevelopedmustbeuniformandautonomous.Andontheotherhand,theyneedtobeapplied!OnemainelementofthesuccessofthelexmercatoriaintheMiddleAgeswasitsgeneralandbroadacceptanceamongthemerchantcommunity.Accordingly,forthePrinciplestoflourishas“newlexmercatoria”merchants,lawyers,arbitrators(andpossiblyalsojudges)havetoincorporatethemintotheirlegalactivities.

Apossiblenon-recognitionornon-enforceabilityshouldnotbeahindrance:Today,theenforceabilityofarbitralawardsrenderedonthebasisofthelexmercatoriaisalmostuniformlyaccepted109--mostnationalcourtswillenforcethoseawardsaccordingtotheNewYorkConventionontheRecognitionandEnforcementofForeignArbitralAwards,1958.Outsidearbitration,nationalcourtsdonotyetapplythelexmercatoriaaslawgoverningacontract.However,ifjudgeskeepenforcingarbitralawardsbasedonthelexmercatoria(especiallythosewhichapplythePrinciples),theymighteventuallycometotheconclusionthattheycanjustequallyapplythelexmercatoriathemselves.Inthatwaythelexmercatoriawouldgainwideacceptanceandenterthecourtscenerythroughthebackdoor.Forthisdoortobeopened,theUNIDROITPrinciplesmightbethekey.

109

D.W.Rivkin,EnforceabilityofArbitralAwardsBasedonLexMercatoria,9ArbitrationInternational(1993),67(74).

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