国际贸易实务-第八章-第九组

ChapterEightInsepction,ForceMajeure&PrivateDisputeResolution检验、不可抗力及争端解决Createdby：格根图雅赵佳伟王彪Insepction，ForceMajeure&PrivateDisputeResolution

123CommodityInspectionForceMajeurePrivatedisputeresolution本章主要讲述国际货物买卖合同中普遍需要规定的检验、不可抗力、索赔和仲裁条款的订立及相关的知识。1.CommodityInspectionQ:Whatiscommodityinspection?

Itmeanscheckthequality,quantity,weight,labeling,packing,etc.accordingtothestipulationsofthesalescontract,convention(CISG)andthelawsandregulationsofrelatedcountries.根据销售合同、惯例或相关国家法律法规的规定对商品的质量、数量、重量、包装和标签等进行检验。Whyinspect?Forthebuyer:Abuyerwantstomakecertainthatthegoodsdeliveredtohimareexactlythegoodsdescribedbythecontracthehassignedwiththeseller.Fortheseller:1)asellerwantstocontrolthequalityofthegoodssothathiscredibilitywillnotbedamagedandthemarketwillbedeveloped.2)asellerwantstoprovewithaninspectiondocumentthatthegoodsdeliveredhavemettherelevantcontracttermssothathewillnotberesponsibleforanyprobleminthegoodsafterdelivery.Mandatoryreason:certainimportandexportcommoditiesaresubjecttomandatoryinspectionunderacountry`slawsandregulations.(compulsorystandards–p171)Inspectionclause3.Methodsandstandardsofinspection2.Inspectionagencyandcertificate1.Placeandtimeofinspection4.Re-inspection5.Receiptandacceptance6.ClaimPlaceandTimeofInspectionItstipulateswhereandwhentheinspectionshouldbeconductedanditisassociatedwiththetermsofdelivery,thenatureofthecommodityandpacking,thelawsorregulationsofdifferentcountries.EXW;DDU&DDP;FOB,CFR&CIF–whereandwhen?Generally–twoplaces(exportingcountryandimportingcountry)&

twokeyitems(qualityandquantity)①离岸品质，离岸数量(shippingqualityandquantity)

②到岸品质，到岸数量(landedqualityandquantity)③出口国检验，进口国复验(inspection

attheportofshipmentand

re-inspectionattheportofdestinayion)④离岸数量，到岸质量

(shippingquantityandlandedquality)『案例』：合同中的检验条款规定：“以装运地检验报告为准”。但货到目的地后，买方发现货物与合同规定不符，经当地商品检验机构出具检验证书后，买方可否向卖方索赔？为什么？分析：买方复验无权对商品品质、重量向卖方提出异议，除非买方证明货物是由于卖方违约或货物有瑕疵造成的。

InspectionagencyandcertificateInspectionAgency

检验代理机构Stateinspectionagenciesareprimarilyregulatorsbutarealsoresponsiblefortheinspectionofcertainveryimportantgoods.Privateinspectioncompanies:

whoseinspectionresultscanbesemi-officialduetogovernmentauthorization.Sometimes,inspectioncertificatesissuedbyleadingmanufacturersofacertainindustryarealsoacceptable.InspectionagencyExamplesofstateinspectionagencies:FoodandDrugAdministrationoftheU.S.(FDA),GeneralAdministrationofQualitySupervision,

InspectionandQuarantineofthePeople’sRepublicofChina(中华人民共和国质量监督检验检疫总局)Examplesofprivatecompanies:Underwriter’sLaboratory(UL)

oftheU.S.,Lloyd’sSurveyoroftheUK,InternationalWoolSecretariat,ChinaNationalImport&ExportCommoditiesInspectionCorporationInspectioncertificateCertificateisageneralnameanditcanbeissuedtoincludedifferentitemsofinspectionsuchasweight,quality,packaging,etc.Whatarethefunctionsofinspectioncertificates?

Certificatesareusedtoverifywhetherthegoodsareinconformitywiththetermsofcontract.Iftheverificationispositive,thecertificatesarethedocumentsforpayment.Ifnot,theyarethedocumentsforrefusalofthegoodsandclaimforcompensation.FrequentlyUsedInspectionCertificatesInspectionCertificateofQuality质量检验证书InspectionCertificateofQuantity数量检验证书InspectionCertificateofWeight重量检验证书InspectionCertificateofOrigin产地检验证书InspectionCertificateofValue价值检验证书inspectioncertificateondamagedcargo残损货物检验证书InspectionCertificateofHealth健康检验证书SanitaryInspectionCertificate卫生检验证书VeterinaryInspectionCertificate兽医检验证书Itshouldbeclearlystatedinthecontractwhatcertificatesareneededaccordingtothenatureofthegoodsandthelawsoftheimportingcountry.MethodsandStandardsofInspectionInspectionmethods(suchassampling

and

standards)prescribehowinspectionshouldbecarriedoutandhowqualityandquantityshouldbeassessed.Differentmethodsandstandardswillcertainlyproducedifferentconclusionsandresults,whichcanhaveasignificantimplicationtoboththesellerandthebuyer.MethodsandStandardsofIernationalstandardscanbeusedWaysofdeterminingthemethodsandstandardsofinspection:Foronecontract,onlyonemethodandonestandardshouldbeusedtoensureconsistencyininspection.importingcountryexportingcountryathirdcountryRE-INSPECTIONwithregardtotimewithregardtotheplaceofre-inspectionIfre-inspectionispermittedbythecontract,thetimeandplaceofre-inspectionshouldbesetoutclearly.Thechoiceofthetimeandplaceislargelyrelatedtothenatureofcommodity.P175RE-INSPECTIONRegardtotime:(thetimelimitisusually30-180days)1.Re-inspectioncanbeconductedaspecifiednumberofdaysaftertheship'sarrivalattheportofdestination.itisunfavourabletothebuyerincasetheportiscongestedandunloadingcannotstartsoonaftertheship'sarrival.2.Re-inspectioncanbeconductedaspecifiednumberofdaysafterthedischargeofgoods.itisfavourabletothebuyersinceitstartstocountthenumberofdaysallowedforre-inspectiononlywhenthegoodshavebeendischargedfromthecarryingvessel.RE-INSPECTIONRegardtoplace：

Withregardtotheplaceofre-inspection,thereareseveralalternatives:onthedock(在码头),inbond(在关栈中beforepayingCustomsduty),finaldestination,buyer'sbusinesspremises.Thechoiceoftheplaceofre-inspectiondependsmainlyonthenatureofthecommodity.ReceiptandAcceptanceIncommodityinspectionandtheexpressionofyourintentiontotakeortorejectthegoods,itisimportanttousecorrectlythewords

receipt

andacceptance.receipt

=

acceptance?

Receipt

meansthatthegoodshavecomeintothecontrolofthebuyerwithoutregardtoownershiportoagreementtoanyaspectofthegoods.Acceptance

meansthatthebuyerhasthecontrolofgoodswithconsentregardingthegoodsdelivered.Receiptdoesnotmeanacceptanceandacceptancemeansmorethanreceipt.Acceptance

generallycanbemadebyexpressstatement;buyer'sdisposalofgoodsagainstseller'sownership;givingnorejectionafterareasonabletime.Ifabuyerdoesnotintendtoacceptthegoodshehasreceived,heshouldgiveaclearrejectionwithinareasonabletimeandshouldnotdisposethegoodsagainsttheseller'sownership.ClaimClauseClaim:Whenonepartytoacontractfailstofulfillhisobligationsandcausestheotherpartyfinanciallosses,thelatterwoulddemandtheformertocompensatehimforthelosses.Foramoderate(中等的)

contractofgeneralmerchandise,adiscrepancyandclaimclauseisoftenincluded.

中等大小的一般货物销售合同–差异和索赔条款Foracontractcoveringahuge

shipmentofgoodsorhighvalueequipment(suchasacompleteplant(成套设备)),

apenaltyclausemayalsobeincluded.

大批货物或高价值设备–还有可能在合同中规定罚款条款

1221ClaimClause

Tofileorsettleaclaim,thefollowingpointsshouldbefirstconsidered:(fileaclaim-提出索赔；settleaclaim-解决索赔)whethertheclaimisjustifiedbythecontract;whethertheclaimismadeintime;andwhethertheclaimiswellsupportedbygooddocumentation.ClaimClauseWaysofsettlingclaims(理赔方法):

makingrefundwithcompensationforotherderictlossesandexpensessuchasbankingcharges,storageandinspectioncharges,etc.(退款并赔偿其它直接损失和费用)devaluating(使贬值)thegoodsaccordingtothedegreeofinferiority,extentofdamageandamountoflosses;and,(根据货物的低劣程度、损坏程度和损失数量降低估价)replacingthedefectivegoodswithnewonesthatconformtothespecifications,qualityandperformanceasstipulatedinthecontract.(用符合合同规定的货物替换不合格货物)不可抗力条款是一种免责条款。合同中规定：如当事人一方因为不可抗力不能履行合同全部或部分义务时，免除其全部或部分责任，而另一方当事人则不得对此要求损害赔偿。1）不可抗力的定义●非当事人的主观意志所决定，也非当事人能力所能抗拒的客观事实，使得当事人在订约时所谋求的商业目的无法达成，从而导致当事人的责任被免除的情况。●不可抗力事故均为意外事故，包括：自然原因引起的，如：地震、旱灾、风灾、火灾、雪灾等；社会原因引起的，如：战争、政府封锁、禁运和罢工等。构成不可抗力的条件在合同成立并生效后发生。非因任何一方当事人的过失或疏忽造成。对事故发生，当事人不能预见、无法避免和无法预防。水2）不可抗力的后果发生不可抗力后，一方当事人必须及时通知对方（并尽快提供有商会等公众机构出具的证明文件），同时提出处理建议，征求对方同意。发生不可抗力后，当事人必须尽最大努力将不可抗力造成的影响降低到最小。案例1我方于1990年11月2日于伊朗签订fob进口合同。因海湾战争爆发，我方接货货船无法驶抵伊朗，到海湾战争结束后，我方方能派船接货，而外方以我方未能派船接货为由，要求我方赔偿其仓储费。请问：外商的要求是否合理？看情况。我方未能按时派船接货是因不可抗力事件。但我方不需按照约定的通知期限和通知方式通知，并与对方商定是解除合同还是延期履行。若没有按时通知，我方对买方因未收到通知而造成的损害应负赔偿责任。起草条款时的注意：确定不可抗力范围明确处理原则和方法明确由哪个机构出具证明文件④明确在何时之前必须通知对方有关不可抗力事件及影响在引用条款时所要注意的：乙方接到对方关于不可抗力的通知或证明后，无论是否同意都应及时答复，否则，有些国家（如：美国），将认为这是默认的。PrivateDisputeResolution目录1Mediation2ArbitrationArbitration仲裁一、Definition定义仲裁(arbitration)是指买卖双方达成协议，自愿将有关争议交给双方同意的仲裁机构进行裁决，而裁决是终局的，对双方都有约束力，双方必须遵照执行。analternativetocourts(arbitration)仲裁者(arbitrators)：参与并负责仲裁仲裁者一般由矛盾双方选择2.仲裁者(arbitrators)有两大特征：knowledgeableinsubjectmattersofdisputeItisoftenadministeredbyaprivateorganizationthatmaintainslistsofavailablearbitratorsandproviderulesunderwhichthearbitrationwillbeconducted.Itrestswiththepartiesincontroversy/tothedisputenon-binding:agreementuponallpartiesinvolvedbinding:unlessotherwiseagreed,legallybinding有约束力的andnon-appealable不可上诉的exceptinextremecircumstancesFraud(欺诈欺骗行为)Collusion(法律’串骗)Isarbitrationbindingornon-binding?仲裁的约束力矛盾双方shouldnotethearbitratorrendersadecisionattheendofanarbitrationhearing(仲裁听证会)仲裁听证会后产生仲裁结果，结束后做出的决定一般都是finalandbinding(终极判决)(很少有需要courtreview的)二，仲裁的特点及优点（1）仲裁是双方自愿的，当事人双方可以选择仲裁员（2）仲裁的程序简便、结案较快(expeditious迅捷高效)。（3）仲裁的费用较低(economic)。（4）灵活性、保密性、终局性和裁决易于得到执行。（5）仲裁气氛缓和，当事人双方感情上有回旋余地。基本特点其他特点：仲裁程序私密进行

arbitrationproceedingsareconductedinprivacy.仲裁判决不对外公开

awardsarekeptconfidential.仲裁者为专业人士

expertsinhandlingsuchtypeofdispute.仲裁日期须固定datesarefixedwiththeconvenienceofallconcerned.neutrality/fairness/flexibilityplaceonanequalfootinginfivekeyrespects1placeofarbitration2languageused3proceduresorrulesoflawapplied4nationality

5legalrepresentationNeutralitycanhelpstructureaneutralprocedureofferingnoundueadvantagetoanypartyarbitrationmaytakeplaceinanycountry,inanylanguageandwitharbitratorsofanynationalityPleasenote三、仲裁案件流程arbitrationcaseflowSubmitdisputetoarbitrationAppointarbitratorsHearacaseIssueanaward提交纠纷申请仲裁雇佣仲裁者问案做出审判结果1.Submitdisputetoarbitration提交争议提交机构分两类：permanentorganization（常设仲裁机构）tribunal（特别法庭，裁判所）defendant（仲裁被诉人）temporaryorganization（临时仲裁庭）defendant（仲裁被诉人）机构仲裁如国际商会仲裁院、英国伦敦仲裁院、英国仲裁协会、美国仲裁协会、瑞典斯德哥尔摩商会仲裁院、瑞士苏黎世商会仲裁院、日本国际商事仲裁协会以及香港国际仲裁中心等。2.appointarbitrators任命仲裁者differencebetweenJudicialsystem（司法系统）andarbitration（仲裁）intheparties’choosingjudgesensurequalityofjudges在争议的审理过程中，需要考虑numberofarbitrators仲裁人员数量qualificationsofarbitrators仲裁人员资质在雇佣仲裁者时通常

1

或

3人仲裁者为1人时，由仲裁机构雇佣仲裁者为3人时，分两种情况：情况一：矛盾双方各自雇佣一名仲裁者，第三名由仲裁机构负责雇佣情况二：首席仲裁官(仲裁长)(chiefarbitrator)由仲裁机构雇佣，其余两名仲裁人员由首席仲裁官雇佣为了保证审判的公正，进行仲裁时，要考虑雇佣的仲裁人员的资质，尤其是国籍和专业水平一人或三人你需要知道的如出现纠纷双方中有一方拒绝雇佣仲裁人员时，另一方可以这样做：主动帮其雇佣或指定仲裁人员（前提：双方已使用同一家仲裁机构）

或者：

诉诸于法庭，请求法庭帮其雇佣

(倘使双方并无达成共识的仲裁机构)

3.Hearacase:问案形式：face-to-facereply现场仲裁(矛盾双方均需出席)correspondence通信仲裁(矛盾双方可以不参加现场仲裁)tribunal：atypeofcourtwiththeauthoritytodealwithaparticularproblemordisagreement特别法庭，裁判所在一些国家，特别法庭，有权对贸易双方的争议物品提出让第三方保管的意见若商品易腐烂，第三方有权利将其卖出，卖出所获得金钱由特别法庭掌管。必要时的保全措施4.Issueanaward:给予判决theaward(thedecisionmadebythearbitrationtribunalafterdeliberation)mustbeinwirttenformwithorwithoutexplanationsorreasons仲裁判决必须为书面形式,仲裁判决上有无对仲裁结果的判决原因及适当解释均可。四.Effectsofarbitration

仲裁的影响四.Effectsofarbitration仲裁的影响Anarbitrationis"finalandawarding"inmostcountriesprovidedtherearenolilegalactionsbyanypartyinvolvedinthearbitrationprocess.仲裁审判结果为终局裁决，对双方都有约束力Inotherwords,anarbitrationawardissubjectedtoreviewbyacourt

onaverylimitedbasis.Ifonepartyrefusestoobeytheaward,theothercanaskacourttoenforce

theimplementationoftheaward.Accordingtothelawsofsomecountries,alawsuitagainsttheawardisallowed.Then,theremustbeatimelimittofilethesuit.一些国家的法律允许矛盾双方对仲裁结果提出诉讼，前提是根据规定的固定时间。仲裁管辖权仲裁管辖权：是指仲裁机构或仲裁庭依据法律的规定，在当事人约定的某种情况发生时对某一特定的争议享有审理并做出裁决的权利，是国际商事仲裁机构或仲裁庭有权对特定的国际商事争议进行审理并做出有拘束力的裁决的依据。仲裁程序必须解决的首要问题。管辖权的问题必须要处理好五.仲裁协议或仲裁条款functions(作用):Itembodiestheagreementofbothpartiesthat,ifanydisputeariseswithregardtotheobligationswhichonepartyhasundertakentotheother,suchadisputeshallbesettledbyatribunaloftheirownconstitution.

Itmayexcludethecourtfromhavingjurisdictionoverthedispute

排除了法院对该争议案件的管辖权Itgivesjurisdictiontothearbitratororanarbitrationorganization,whichshouldhaveasetofruleswithregardtothearbitrationbythatorganization.

赋予了仲裁机构抑或仲裁人员对争议案件的管辖权注意：MAYSomecountries.我国《仲裁法》规定，双方达成仲裁协议后，一方面使仲裁机构取得争议案件的管辖权，同时排除法院对本案件的管辖权。绝大多数国家法律都规定法院不受理双方已经达成仲裁协议的争议案件。仲裁协议或仲裁条款的主要内容仲裁地点仲裁机构仲裁规则仲裁裁决的效力仲裁费用的承担(一)仲裁地点在什么地方进行仲裁，是买卖双方在磋商仲裁条款时的一个重点。主要是因为，仲裁地点与仲裁所适用的程序法，以及合同所适用的实体法关系至为密切。仲裁地点的规定方法：（标准：地点便利，合乎地方法律规定）在我国；在被申请人一方所在国；在双方同意的第三国；必要时，可规定在对方所在国；politicallyandprofessionallyacceptable

仲裁地点不同，适用的法律可能不同，对买卖双方的权利、义务的解释就会有差别，其结果也会不同。我国进出口贸易合同中的仲裁地点一般采用下述三种规定方法之一：1.力争规定在我国仲裁。2.有时规定在被告所在国仲裁。3.规定在双方同意的第三国仲裁。(二)仲裁机构两种：一种是仲裁机构；另一种是双方当事人指定仲裁员组成的临时仲裁机构，当争议案处理完毕后自动解散。

目前我国常设的仲裁机构是设在北京的中国国际经济贸易仲裁委员会以及海事仲裁委员会。世界许多国家也都有常设的国际贸易仲裁机构。

（三）仲裁规则包括如何提出申请、指定仲裁员、审理、作出裁决、裁决效力等。

各个仲裁机构都有自己的仲裁规则，一般来说，仲裁规则采用相应仲裁机构的规则进行仲裁。在法律上也允许双方约定采用其他仲裁机构的仲裁规则进行仲裁。我国的仲裁机构采用《中国国际经济贸易仲裁委员会仲裁规则》进行仲裁。（四）仲裁裁决的效力仲裁裁决是终局的，对双方均有约束力，双方必须自动执行。（五）仲裁的费用明确仲裁费用由谁负担，一般由败诉方负担，也可规定由仲裁庭决定。拓展：

涉外案件仲裁费用表(本费用表适用于仲裁规则第三条第(二)款第1项和第2项仲裁案件,自2012年5月1日起施行)争议金额（人民币）仲裁费用（人民币）1,000,000元以下争议金额的4%,最低不少于10,000元1,000,000元至2,000,000元40,000元+争议金额1,000,000元以上部分的3.5%2,000,000元至5,000,000元75,000元+争议金额2,000,000元以上部分的2.5%5,000,000元至10,000,000元150,000元+争议金额5,000,000元以上部分的1.5%10,000,000元至50,000,000元225,000元+争议金额10,000,000元以上部分的1%50,000,000元至100,000,000元625,000元+争议金额50,000,000元以上部分的0.5%100,000,000元至500,000,000元875,000元+争议金额100,000,000元以上部分的0.48%500,000,000元至1,000,000,0002,795,000元+争议金额500,000,000元以上部分的0.47%1,000,000,000元至2,000,000,0005,145,000元+争议金额1,000,000,000元以上部分的0.46%2,000,000,000元以上9,745,000元+争议金额2,000,000,000元以上部分的0.45%,最高不超过15,000,000元申请仲裁时，每案另收立案费人民币10,000元，其中包括仲裁申请的审查、立案、输入及使用计算机程序和归档等费用。申请仲裁时未确定争议金额或情况特殊的,由仲裁委员会决定仲裁费用的数额。收取的仲裁费用为外币时，按本仲裁费用表的规定收取与人民币等值的外币。仲裁委员会除按照本仲裁费用表收取仲裁费外，可以按照仲裁规则的有关规定收取其他额外的、合理的实际开支。仲裁条款：future

disputesAnycontroveersyorclaimarisingoutoforrelatingtothiscontract,orthebreachthereof,shallbesettledbyarbitrationadministeredby(thearbitrationorganization)underits(commercialarbitrationrules).Thetribunalwillconsistof[threearbiotrators][asolearbitrator].Theplaceofarbitrationwillbe[location].Thelanguagetobeusedinthearbitralproceedingswill[language].Judgementontheawardrenderedbythearbitrator(s)may(not)beenteredinanycourt/maybeenteredinanycourthavingjurisdicationthereof.关于本合同以及由于本合同修改，终止或无效或者与之相关的争端或索赔，应该通过（仲裁机构）以(商事仲裁规则)做出仲裁解决。仲裁法庭应由（三名仲裁员）（一名仲裁员）构成。仲裁地点应定在（地点）仲裁程序中应使用（语言）仲裁机构的裁决可（不可）提交任何具有司法权限的法庭予以判决。ForWe,theundersignedparties,herebyagreetosubmittoarbitrationadministeredby(thearbitrationorganization)underits(commercialarbitrationrules)thefollowingcontroversy:(describebriefly)Wefurtheragreethattheabovecontroversybesubmittedto(one)(three)arbitrator(s).Wefurtheragreethatwewillfaithfullyobservethisagreementandtherules,thatwewillabidebyandperformanyawardrenderedbythearbitrtor(s),andthatajudgementofanycourthavingjurisdictionmay(not)beenteredontheaward.我们，本文件之签署人于此同意将下列争议上交给（仲裁机构）依其（商事仲裁规则）进行仲裁。（简要描述）我们同意将上述争议上交给（1名）（3名）仲裁者进行仲裁，同意严格遵守协议及其原则，顺从仲裁者做出的任何判决。审判结果不包含任何具有司法权限的法庭意见ForexistingdisputesArbitration:AlldisputesinconnectionwiththisContractortheexecutionthereofshallbeamicablysettledthroughnegotiation.IncasenosettlementcanbereachedbetweenthetwoParties,thecaseunderdisputeshallbesubmitedtotheTradeArbitrationCommission(贸易仲裁委员会).ThearbitrationshalltakeplaceinBeijing,Chinaandshallbeexecutedinaccordancewiththe

ProvisionalRulesofProcedureofthesaidCommissionandthedecisionmadebytheArbitrationCommision(仲裁委员会)

shallbeacceptedasfinalandbinding