1、Chapter 12Inspection, Claim, Force Majeure and Arbitration 商品检验、索赔、不可抗力和仲裁,Learning Objectives,1. To learn the 3 ways of stipulating the place and time of inspection in the contract;2. To understand the liabilities of breach of contract;3. To learn the ways of stipulating the claim clause in the con
2、tract;4. To learn the consequences of force majeure;5. To understand the concept of arbitration;6. To learn the importance and contents of arbitration agreement (or clause).,1. Commodity Inspection,Commodity Inspection,商品检验: 第三方商品检验机构对进出口商品的品质、数量、重量、包装、卫生、安全等项目进行测定和分析，并出具相应的检验证书。检验证书: 由商检机构出具的、证明商品品
3、质、数量等是否符合特定标准或合同要求的书面文件，是买卖双方交接货物并据以索赔的重要法律文件。,Buyers rights to inspect the goods,交付、收到与接受：接受：买方认为卖方交付的货物符合合同要求，因而接收货物的过程。收到不等于接受。收到货物后买方有权对货物进行检验，以决定是否接受。买方接受后不能拒绝。如果未经检验就接受了货物，即使事后发现货物有问题，也不能再行使拒收的权利。买方的部分接受视同整体接受。,Buyers rights to inspect the goods,According to CISG Article 38,(1) The buyer must
4、examine the goods, or cause them to be examined, within as short a period as is practicable in the circumstances;(2) If the contract involves carriage of the goods, examination may be deferred until after the goods have arrived at their destination;(3) if the goods are redirected in transit or re-di
5、spatched by the buyer without a reasonable opportunity for examination by him and at the time of the conclusion of the contract the seller knew or ought to have known of the possibility of such redirection or re-dispatch, examination may be deferred until after the goods have arrived at the new dest
6、ination.,CASE STUDY,我出口公司A向新加坡公司B以CIF新加坡条件出口一批土特产品，B公司又将该批货物转卖给马来西亚公司C。货到新加坡后，B公司发现货物的质量有问题，但B公司仍将原货转销至马来西亚。其后，B公司在合同规定的索赔期限内凭马来西亚商检机构签发的检验证书，向A公司提出退货要求。请问：A公司应如何处理？为什么？,A公司应拒绝退货要求。马来西亚商检机构出具的检验证书无效。新加坡B公司已经转卖给马来西亚C公司，意味着对货物的部分接受，部分接受视同整体接受，B公司已经丧失了对货物的检验权。,Ways of stipulating the place and time of
7、inspection in the contract,1. Shipping quality and weight 在出口国检验 （1） inspection at the sellers factory 在产地检验 （2） inspection at the port of shipment.装运前或装运时在装运港或装运地检验，即以离岸质量重量为准。2. Landed quality and weight 在进口国检验 （1）在目的港或目的地卸货后检验，也就是以到岸质量重量为准。 （2）在买方营业处所或最终用户所在地检验。3. Inspection at the port of shipme
8、nt and re-inspection at the port of destination 在出口国检验、在进口国复验（最为常用）,Re-inspection 复验,复验地点：若合同未约定，则按贸易惯例和各国法律规定；我国对进口商品的处理是：一般商品在口岸或集中存储地点进行成套设备、机电仪器在收货、用货地点集装箱运输的货物，在拆箱地点复验机构：以卖方认可的为宜复验方法：一般与检验方法相同,Inspection Standards,当有法定检验标准（强制性检验标准）时，按法定检验标准进行检验；当合同要求高于法定检验标准时，按合同要求进行检验；没有法定检验标准时，按合同要求进行检验；当合同没有
9、规定、也无法定检验标准时：按出口国标准进行检验；无出口国标准的，按进口国标准进行检验；无出口国标准和进口国标准，按国际标准进行检验；无国际标准的，按国外通用标准进行检验。,Statutory inspection (法定检验）in import and export,我国对进出口商品实施检验的范围： 列入商检机构实施检验的进出口商品种类表的商品；中华人民共和国食品卫生法、中华人民共和国进出口动植物检疫法中规定的商品；对船舶、集装箱等运载工具的检验；对出口危险品的包装检验；对外贸合同规定的由商检机构检验的商品；其他法律法规规定由国家质量监督检验检疫总局检验的业务。,Inspection body
10、,1. 国内从事商品检验的机构国家质量监督检验检疫局(AQSIQ)及其在各地的分支机构: 国家设立的部级单位 in charge of the inspection of import and export commodities throughout the country. 中国检验认证（集团）有限公司CCIC及其分公司，以民间第三者的地位，承办进出口商品检验和鉴定业务.,Inspection body,2、Foreign inspection bodies: （1）官方机构 governmental 美国粮谷检验署（FGES） 美国食品药物管理局（FDA） 法国国家实验室检测中心等 （2
11、）民间、社团检验机构 non-governmental 瑞士日内瓦通用鉴定公司（SGS） 美国保险人实验室（UL） 日本海事鉴定协会NKKK 英国劳合氏公证行Lloys Surveyor 香港天祥公证化验行等,The Commonly used inspection Certificates,1.品质检验证书(Inspection Certificate of Quality)2.数量检验证书(Inspection Certificate of Quantity)3.重量检验证书(Inspection Certificate of Weight)4.产地检验证书(Inspection Cert
12、ificate of Origin)5.价值检验证书(Inspection Certificate of Value): 证明发票所列商品价格的真实性。6.卫生检验证书(Sanitary Inspection Certificate)：证明可供人类食用或使用的出口动物产品、食品等经过卫生检验或检疫合格。,The Commonly used inspection Certificates,7.兽医检验证书(Veterinary Inspection Certificate)：证明出口动物产品经过检疫合格。8.消毒检验证书(Disinfection Inspection Certificate)：
13、证明出口动物产品经过消毒处理，保证卫生安全。9.验残检验证书(Inspection Certificate on Damaged Cargo)：证明进口商品残损情况的证书。确定商品的受损情况和对使用、销售的影响，固定损失程度，判断致损原因，作为向发货人或承运人或保险人等有关责任方索赔的有效证件。,Example of Inspection Clause,“It is mutually agreed that the Inspection Certificate of Quality and Quantity (weight) issued by the Manufacturer (or * S
14、urveyor) at the port of shipment shall be part of the documents to be presented for negotiation under the relevant L/C. The Buyers shall have the right to re-inspect the quality and quantity (weight) of the cargo. The re-inspection fee shall be borne by the Buyers. Should the quality and/or quantity
15、 (weight) be found not in conformity with that of the contract, the Buyers are entitled to lodge with the Sellers a claim which should be supported by survey reports issued by a recognized surveyor approved by the Sellers. The claim, if any, shall be lodged within * days after arrival of the cargo a
16、t the port of destination. ”,2. Claim 索赔,Disputes in International Trade,1、卖方不交货，或未按合同规定的时间、品质、数量、包装条款交货，或单证不符等；2、买方不开或缓开信用证，不付款或不按时付款赎单，无理拒收货物，在F.O.B.条件下不按时派船接货等；3、合同条款的规定欠明确，买卖双方国家的法律或对国际贸易惯例的解释不一致，甚至对合同是否成立有不同的看法；4、在履行合同过程中遇到了买卖双方不能预见或无法控制的情况，如某种不可抗力，双方有不一致的解释等。,Claim 索赔,Claim 索赔：买卖合同中的一方当事人因另一方当
17、事人违约，致使其遭受损失而向另一方当事人提出要求损害赔偿的行为，即法律上的主张权利。Settle the claim 理赔：违约方受理受害方提出的赔偿要求或其他权利主张。索、理赔注意点：要对照原合同，研究所提索赔有无依据是否在有效索赔期限内提出证据是否齐全，出证机构是否合乎规定,索赔依据,法律依据：指买卖合同和适用的法律规定。事实依据：指违约的事实、情节及其书面证明。买卖合同中的索赔条款通常包括索赔依据，主要规定索赔时必须具备的证据，以及出具证明文件的机构。,索赔期限,索赔期限是指受损害一方有权向违约方提出索赔的期限。可分为：约定的索赔期限：买卖双方在合同中明确规定的索赔期限。法定的索赔期限：
18、根据有关法律受损害一方有权向违约方要求损害赔偿的期限。E.g. CISG规定，自买方实际收到货物之日起两年内。法定索赔期限仅在买卖合同中未约定索赔期限时才生效。,索赔金额,若买卖合同有约定的损害赔偿的金额或损害赔偿额的计算方法，通常应按约定的金额或根据约定的损害赔偿额的计算方法计算出的赔偿金额提出索赔；若合同未作具体规定，根据法律及惯例，确定损害赔偿金额的基本原则为：（1）赔偿金额应与因违约而遭受的包括利润在内的损失额相等；（2）赔偿金额应以违约方在订立合同时可预料到的合理损失为限；（3）由于受损害一方未采取合理措施使有可能减轻而未减轻的损失，应在赔偿金额中扣除。,Liabilities of
19、 Breach of Contract,联合国国际货物销售合同公约根本性违约非根本性违约,美国法重大违约轻微违约,英国法违反要件违反担保,不同法律对违约行为的解释,Liabilities of Breach of Contract,1. CISG Article 25: 根据违约性质及其后果， 违约可分为：(1) fundamental breach 根本违约：If it results in such detriment to the other party as substantially to deprive him of what he is entitled to expect un
20、der the contract, the injured party may declare the contract avoided and claim damages.指违约方的故意行为造成的违约，如卖方完全不交货，买方无理拒收货物、拒付货款，其结果给受损方造成实质损害。(2) non-fundamental breach 非根本违约：the injured party can only claim damages but cannot declare the contract avoided.指违约的状况尚未达到根本违反合同的程度，受损方只能要求损害赔偿，而不能宣告合同无效。,Liab
21、ilities of Breach of Contract,2. the British law divides the breach of contract into（根据合同中交易条件的主次而非违约后果来规定）：(1) Breach of Condition违反要件: breach of the major terms of the contract. The injured party may declare the contract avoided and claim damages.违反合同的主要条款，即违反与商品有关的品质、数量、交货期等； (2) Breach of Warran
22、ty违反担保: breach of the minor terms of the contract, the breach of which gives rise to a claim for damages, but not to a right to reject the goods and treat the contract as repudiated.至于在每份具体合同中，哪个属于要件，哪个属于担保，该法并无明确具体的解释，只是根据“合同所作的解释进行判断”，带有不确定性和随意性。,CASE STUDY,有一份CIF合同，出售大米100吨，单价为每吨500美元，总价值50000美元。
23、事后卖方只交货5吨。在这种情况下，买方主张何种权利？为什么？如果卖方交货90吨，买方又主张何种权利？为什么？如果卖方交货95吨呢？,CASE STUDY,有份CIF合同，出售矿砂5000公吨，合同装运条款规定：“CIF Hamburg，1989年2月份：由一船或数船装运。”买方于2月15日装运了3100公吨，余数又在3月1日装上另一艘轮船。当卖方凭单据向买方要求付款时，买方以第二批货物延期装运为由，拒绝接受全部单据，并拒付全部贷款，卖方提出异议，认为买方无权拒收全部货物。你如何判断该案？,案例分析,根据合同“由一船或数船装运”的规定，可以认定该合同是允许分批装运的。卖方在履行合同时，分两批装运
24、，第一批货物的装货时间是符合合同规定的，只是第二批货物违反了合同规定的期限。因此，买方不应对符合合同的第一批货物拒收或索赔权力。至于第二批货物，虽然违反了合同，但是，装运时间仅仅超过期限一天，一般不能视为根本性违反合同，因此，买方拒收第二批货物的理由也是不充分的，最多只能要求赔偿。,我国涉外经济合同法的规定,解除合同的条件一方违约严重影响订约所期望的经济利益一方在规定期限内不履约，而且被允许推迟的合理期限内仍未履约发生不可抗力致使合同无法履行合同约定的解除合同的条件已经出现解除合同后受害方有权要求损害赔偿，但应相当于其所受损失,Claim Clause in Contract,1. Discr
25、epancy and claim clause 异议和索赔条款:一般针对卖方交货品质、数量或包装不符合合同规定而订，主要包括索赔依据、索赔期限，索赔的处理方法等。E.g. “Any claim by the Buyers regarding the goods shipped shall be filed within 30 days after arrival of the goods at the port of destination specified in the relative Bill of Lading and supported by a survey report iss
26、ued by a surveyor approved by the Sellers. Claims in respect of matters within responsibility of insurance company, shipping company / other transportation organization will not be considered or entertained by the Seller.”,Claim Clause in Contract,2. Penalty Clause 罚金条款 Under this clause, the party
27、who fails to fulfill the contract must pay a fine, a certain percentage of total contractual value. 又称违约金条款，多用于大宗商品、机器设备交易中，卖方延期交货或买方延期接货的情况，特点是预先在合同中规定罚金的数额或罚金的百分比。订立应谨慎。英美法系国家的法律，只承认损害赔偿，不承认对于带有惩罚性的罚金。所以在与英、美、澳、新等国贸易时，应注意约定的罚金额的合法性。,Example of Penalty Clause,“Should the Sellers fail to make delive
28、ry on time as stipulated in the contract, the Buyers shall agree to postpone the delivery on condition that the Sellers agree to pay a penalty which shall be deducted by the paying bank from the payment under negotiation. The rate of penalty is charged at 0.5% of the total value of the goods whose d
29、elivery has been delayed for every seven days, odd days less than seven days should be counted as seven days. But the total amount of penalty, however, shall not exceed 5% of the total value of the goods involved in the late delivery. In case the Sellers fail to make delivery ten weeks later than th
30、e time of shipment stipulated in the contract, the Buyers shall have the right to cancel the contract and the Sellers, in spite of the cancellation, shall still pay the aforesaid penalty to the Buyers without delay. ”,Example of Penalty Clause - regarding the Buyers delay in opening L/C,“Should the
31、Buyers for its own sake fail to open the letter of credit on time stipulated in the contract, the Buyers shall pay a penalty to the Sellers. The penalty shall be charged at the rate of 0.5% of the amount of the Letter of Credit for every ten days of delay in opening the Letter of Credit, however, th
32、e penalty shall not exceed 5% of the total value of the Credit which the Buyers should have opened. Any fractional days less than ten days shall be deemed to be ten days for the calculation of penalty. The penalty shall be the sole compensation for the damage caused by such delay.”,CASE STUDY,某贸易商以F
33、OB价向我国某厂订购一批货物，在买卖合同中定明若工厂未能于7月底之前交运，则工厂应赔付货款5%的违约金。后工厂交运延迟5天，以致贸易商被其买方索赔货款的3%。问：在这种情况下，贸易商是否可向工厂索赔，索赔5%还是3%？因合同规定工厂如未能于7月底之前交运则应赔付货款5%的违约金，并且工厂交运延迟5天，造成违约，故贸易商可向工厂索赔，索赔5。,3. Force Majeure 不可抗力,Definition,Force majeure (French: “superior force”) is an event or effect that cannot be reasonably antici
34、pated nor controlled. A party is not liable for any damage resulting from his failure to perform the contract if he can show that:(a) his failure was “due to an impediment beyond his control”,(b) the impediment was not something he could have reasonably taken into account at the time of contracting,
35、 and (c) he remains unable to overcome the impediment or its consequences. 一般认为构成不可抗力应当具备以下几个条件：是订立合同后发生的；在订立合同时无法预见的；当事人不能控制、不可避免且无法克服的；不是当事人的过失或故意造成的。,Force Majeure in application,It applies to situations such as :Natural disasters;War;Embargoes;Strikes;Bankruptcy of a supplier, etc. 不可抗力的范围通常包括：由
36、于自然原因引起的，如地震、水灾、飓风、大雪、暴风雨等；由于社会原因造成的，如战争、政府禁令、封锁等 存在较大分歧。并非所有的自然原因和社会原因引起的事件，都属于不可抗力。国际上无统一解释，允许当事人在合同中进行界定。,Consequences of Force Majeure,Two consequences of force majeure:(1) termination of the contract 终止合同;(2) postponement of the contract 变更合同（减少履行或延期）.Whether terminating the contract or postpon
37、ing the performance of the contract depends on what degree the force majeure event has affected the performance of the contract, or on the detailed stipulations in the contract. Generally, the contract can be avoided only if the occurrence of the force majeure event makes it impossible to perform th
38、e contract, or the event is so serious that it is impossible to recover within a short period of time.,CASE STUDY,某年我国某公司出口某种农产品1500公吨给英国某公司，货价为348英镑每M/T CFR LONDON，总货款为522,000英镑；交货期为当年59月。订立合同后，我国发生自然灾害（水灾）。于是，我方以发生不可抗力为由，要求豁免合同责任.但对方回电拒绝，并称该商品市价上涨8；由于我方未交货，使其损失15万英镑，并要求我方公司赔偿其损失，我方未同意。问：该案例应如何解决？,
39、自然灾害属不可抗力，我方可以以不可抗力为由要求豁免责任。对于因我方未交货造成的损失，对方可要求合理补偿。,CASE STUDY,国内某研究所与日本客户签定一份进口合同，欲引进一精密仪器，合同规定9月份交货。9月15日，日本政府宣布该仪器为高科技产品，禁止出口。该禁令自公布之日起15日后生效。日商来电以不可抗力为由要求解除合同。日商的要求是否合理？不合理。该禁令自公布之日起15日后生效，即要到9月30日后才生效，而合同规定在9月份交货，所以日商不能以不可抗力为由要求解除合同。,Force Majeure Clause,1. The scope of force majeure events:Si
40、nce there is still no definite explanation as to which events should be regarded as force majeure概括规定：不订明哪些现象属于不可抗力事故，只进行笼统的规定，如“由于公认的不可抗力原因”等。容易引起争议。具体规定：在合同中规定属于不可抗力事故的现象，发生这些现象而使当事人无法履行合同或无法如期履行合同时，可以免责。还要规定应由何机构出具发生事故的证明文件。综合规定：列明双方已达成共识的各种不可抗力，并加上“及双方同意的其他意外事故”的文句，以便在发生合同未列明的事故时，由双方协商具体做法。我国外贸合
41、同一般采用此种约定方式。,Force Majeure Clause,2. Time limit of notifying the other party: The party seeking to use the clause of force majeure has a duty to promptly notify the other party of “ the impediment and its effect on his ability of perform.”不可抗力发生后，不能按规定履约的一方当事人要取得免责的权利，必须及时通知另一方，并提供必要的证明文件，而且在通知中应提出处
42、理的意见。CISG规定：“不履行义务的一方必须将障碍及其对他履行义务能力的影响通知另一方。如果该项通知在不履行义务的一方已知道或理应知道此障碍后一段合理时间内仍未为另一方收到，则他对由于另一方未收到通知而造成的损害，应付赔偿责任。”通常在合同的不可抗力条款中明确规定具体的通知期限。,Force Majeure Clause,3. The user of the certificate: A force majeure event should be verified by a certificate that attests such an event. 证明文件及出具证明的机构国外：当地的商
43、会或公证机构中国：中国国际贸易促进会或其分会,Force Majeure Clause,4. consequences of force majeure : 依据发生事故的原因、性质及对合同所造成的影响而定。最好预先在合同中进行规定：解除合同：不可抗力事故严重，使履行合同成为不可能；延期履行合同：不可抗力事故影响不大，只在某种程度上阻碍了合同的履行。（中华人民共和国合同法第117条：一方当事人迟延履行后发生不可抗力的，则不能免除责任。,Example of Force Majeure Clause 1,“If the shipment of the contracted goods is pr
44、evented or delayed in whole or in part by reason of war, earthquake, flood, fire, storm, heavy snow or other causes of Force Majeure, the seller shall not be liable for non-shipment or late shipment of the goods or non-performance of this contract. However, the seller shall notify the buyer by cable
45、 or telex and furnish the latter by registered airmail with a certificate issued by the China Council for the Promotion of International Trade attesting such event or events.”,Example of Force Majeure Clause 2,“Any event or circumstance beyond control shall be regarded as Force Majeure but not restr
46、icted to fire, wind, flood, earthquake, explosion, rebellion（叛乱）, epidemic（传染）, quarantine（检疫） and segregation（隔离）. In case either party that encounters Force Majeure fails to fulfill the obligation under the contract, the other party should extend the performance time by period equal to the time th
47、at Force Majeure will last.If the Force Majeure last over 6 months, the two parties of the contract should settle the case of continuing the contract by friendly negotiation as soon as possible. Should the two parties fail to reach an agreement will be settled by arbitration according to Clause 12 o
48、f the contract thereof.”,NOTE,当不可抗力事件发生后，合同当事人在援引不可抗力条款和处理不可抗力事件时，应注意：1发生事故的一方当事人应按约定期限和方式将事件情况通知对方，对方也应及时答复。2双方当事人都要认真分析事件的性质，看其是否属于不可抗力事件的范围。3发生事件的一方当事人应出具有效的证明文件，以作为发生事件的证据。 4双方当事人应就不可抗力的后果，按约定的处理原则和办法进行协商处理。处理时，应弄清情况，体现实事求是的精神。,CASE STUDY,1985年，中国某公司A和香港某公司B签订了醋酸纤维素板的来料加工和补偿贸易合同。合同规定A公司利用B公司和另外两
49、家金融机构共同提供的设备为港方B进行来料加工，港方B负责提供给中方A的来料数量为：1985年不少于80吨，1986年不少于150吨，1987年不少于200吨，以后每年不少于200吨。中方A以来科加工费偿还设备的货款的本息。但港方B仅在1985年提供来料34吨，1986年来料17吨，1987年2月来料11吨，合计来料521吨。1987年10月，双方签订补充协议，再次规定了港方B提供来料的义务和数量。结果该补充协议仍末履行，致使中方引进的设备无法得到充分利用，只偿还了设备贷款本息的一小部分。中方提请仲裁，要求港方B赔偿包括设备贷款在内的经济损失。港方B辩称：因为国际市场发生重大变化，原料价格上涨，数量短缺，最后供货厂停产,无法买到原科。这是不可抗力事故，港方不应承担责任。试分析本案中，港方应不应该承担责任?为什么？,
