Chapter 10: Disputes, Claim, Arbitration and Force Majeure

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1 Chapter 10: Disputes, Claim, Arbitration and Force Majeure
争议，索赔，仲裁和不可抗力 School of International Economics

2 Disputes, Claim, Arbitration and Force Majeure
A：Disputes and claim B: Force Majeures clause C: Arbitration School of International Economics

3 Disputes, Claim, Arbitration and Force Majeure
A：Disputes and claim Disputes Claim and Satisfaction Points in Handling Claim and Satisfaction Claim Clauses in the Contract Settlement of Claim School of International Economics

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A：Disputes and claim Disputes 争议 Disputes often arise between the two parties when one party thinks that the other fails to carry out the duties stipulated in the contract wholly or partially. 交易的一方认为对方未能部分或全部履行合同规定的责任与义务而引起的纠纷。 School of International Economics

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A：Disputes and claim Reasons lead to Disputes 争议 Whether the contract is tenable, (合理的) Stipulations of the contract are unclear Force Majeure events arise Non-performance or incomplete performance of the contract by the seller Non-performance or incomplete performance of the contract by the buyer The responsibility of the carrier The insurer is liable for loss of, or damage to the goods School of International Economics

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A：Disputes and claim Claim and Satisfaction 索赔与理赔 Claim: means that in international trade, one party breaks the contract and causes losses to the other party directly or indirectly, the party suffering the losses may ask for compensation for the losses. 指遭受损害的一方在争议发生后，向违约方提出赔偿的要求，在法律上是指主张权利，在实际业务中，通常指受损害方因对违约方违约而根据合同或法律提出予以补救的主张。 School of International Economics

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A：Disputes and claim Claim and Satisfaction 索赔与理赔 Satisfaction: means that the party breaking the contract declares that he will accept and handle the claim. 指违约方对受害方所提赔偿要求的受理与处理。 School of International Economics

8 Claim and Satisfaction 索赔与理赔
Determine the nature of breach Based on trade terms of the contract According to the “British Law” Based on the consequence of breach According to the “United Nations Convention on Contracts for the International sale of Goods” School of International Economics

9 Determine the nature of breach
Based on trade terms of the contract Breach of Condition Breach of Warranty School of International Economics

10 Determine the nature of breach
Breach of Condition 违反要件 Condition: is a clause to which the parties, when making the contracts, attribute such importance that it can truly be descried as being of the essence of the contract. It goes to the root of the contract. 指违反合同中的主要条款，受害方有权因之解除合同并要求损害赔偿。 School of International Economics

11 Determine the nature of breach
Breach of Warranty 违反担保 Warranty: The less important type of undertaking and does not go to the root of the contract 指违反合同中的次要条款，受害方有权因之而要求损害赔偿，但不能解除合同。 School of International Economics

12 Determine the nature of breach
Based on consequence of breach Material breach Minor breach School of International Economics

13 Based on consequence of breach
Material breach（Fundamental Breach）重大违约，根本性违约 If one party breaks the contract and makes the other party unable to obtain the main profit. “一方当事人违反合同的结果，使另一方当事人蒙受损害，以致实际上剥夺了他根据合同规定有权期待得到的东西，即为根本违反合同。”如果一方当事人根本违反合同，另一方当事人可以宣告解除合同，并要求损害赔偿。 School of International Economics

14 Based on consequence of breach
Minor breach（ Non-fundamental Breach）轻微违约，非根本性违约 If one party breaks the contract, but the case is not so serious and the other party will not lose any main profit. 但如违约情况不严重，不影响另一方就该交易应得的主要利益，则属于“轻微违约”。那么就不构成根本性违约。在这时，只能要求损害赔偿。 School of International Economics

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A：Disputes and claim Points in Handling Claim and Satisfaction Careful study on the contract and its clauses Careful study on facts and reasons and documents that support the claim Further study on the nature of the breach Further study on the correct standards and methods to calculate the losses. School of International Economics

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A：Disputes and claim Claim Clauses in the Contract Discrepancy & claim clauses Penalty clause School of International Economics

17 Claim Clauses in the Contract
Discrepancy & claim clause 异议和索赔条款 Is stipulated in case the quality, quantity or packing of the goods delivered by the seller is not in conformity with the contract. Mainly includes: the claim foundation 索赔依据 the time limitation 索赔期限 School of International Economics

18 Claim Clauses in the Contract
Discrepancy & claim clause 异议和索赔条款 Example: “Any claim by the buyers on the goods shipped shall be filed within 30 days after the arrival of the goods at the port of destination and supported by a survey report issued by a surveyor approved by the seller……” School of International Economics

19 Claim Clauses in the Contract
Penalty clause 罚金条款 Is stipulated in case of delayed delivery by the sellers or delayed taking over the goods by the buyers. Feature: stipulate a certain percentage of penalty in advance in the contract. School of International Economics

20 Claim Clauses in the Contract
Penalty clause 罚金条款 Example: “ In case of delayed delivery, the seller shall pay to the buyers for every week of delay a penalty that amounts to 0.5% of the total value of the goods whose delivery has been delayed……” School of International Economics

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A：Disputes and claim Settlement of Claim Agree to the rejection of the goods and refund (退还) to the buyers the value of the rejected goods, and bear all direct losses and expenses Devaluation the goods Replace the defective goods with new ones School of International Economics

22 B: Force Majeure Clause
“A party is not liable for the failure to perform any of his obligations if he proves that the failure was due to an impediment (阻碍) beyond his control and that he could not reasonably be expected to have taken the impediment into account at the time of the conclusion of the contract or to have avoided or overcome it or its consequences.” 在签订买卖合同之后，发生了不是由于任何一方当事人的疏忽或过失而造成的，而是当事人无法预见、无法预防、无法避免和克服的自然灾害或意外事故，致使合同不能履行或不能如期履行。 School of International Economics

23 B: Force Majeure Clause
Scope of Force Majeure Natural forces: such as flood, earthquake, typhoon, fire etc. Social forces: such as war, strikes, government decrees of prohibition (政府禁令) etc. School of International Economics

24 B: Force Majeure Clause
Two Requirement for Free from the Liability under Force Majeure The party should timely inform the other party right after the accident so that the latter can take necessary remedial measures (补救措施). Provide effective documentation describing the frustrating events and their consequences. School of International Economics

25 B: Force Majeure Clause
Three Ways to Stipulate Force Majeure Clauses In a general way In a way to list the contents In a comprehensive way School of International Economics

26 Three Ways to Stipulate Force Majeure Clauses
In a General Way 概括式 “If the shipment of the contract goods is prevented or delayed in whole or in part due to force majeure, the seller shall not be liable for non-shipment or late shipment of the goods of this contract. ……” “由于不可抗力的原因，而不能履行合同或延迟履行合同的一方可不负有违约责任。但应立即以电传或传真通知对方，并在15天内以航空挂号信向对方提供中国国际贸易促进委员会出具的证明书”。 School of International Economics

27 Three Ways to Stipulate Force Majeure Clauses
In A Way to List the Contents 列举式 “If the shipment of the contract goods is prevented or delayed in whole or in part by reason of war, earthquake, flood, fire, storm, heavy snow, the seller shall not be liable for non-shipment of the goods of this contract. ……” “由于战争、地震、水灾、火灾、暴风雪的原因而不能履行合同或延迟履行合同的一方不负有违约责任......” 。 School of International Economics

28 Three Ways to Stipulate Force Majeure Clauses
In A Comprehensive Way 综合式 “If the shipment of the contract goods is prevented or delayed in whole or in part by reason of war, earthquake, flood, fire, storm, or other causes of force majeure, the seller shall not be liable for non-shipment or late shipment of the goods of this contract.……” “由于战争、地震、水灾、火灾、暴风雪或其他不可抗力原因而不能履行合同的一方不负有违约责任......”。综合式是最为常用的一种方式。 School of International Economics

29 国际贸易实务 第九章 案 例1 我某进口企业按FOB条件向欧洲某厂商订购一批货物。当我方派船前往西欧指定港口接货时，正值埃及与以色列发生战争，埃及被迫关闭苏伊士运河。我所派轮船只得绕道南非好望角航行，由于绕道而增加航程，致使船只延迟到达装货港口。欧洲厂商要求我方赔偿因接货船只迟到而造成的仓租和利息，我方拒绝了对方要求，因此引起争议。 问题：请问欧洲厂商的要求合理？为什么？

30 国际贸易实务 第九章 分 析 欧洲厂商的要求不合理。因为我方所派船只迟到，是由于战争造成，这属于社会原因引起的不可抗力，是法定免责事项，对欧洲厂商提出的赔偿要求，我方可不予理睬。

31 国际贸易实务 第九章 案 例2 某年，我国A公司与英国B公司成交小麦 100公吨每公吨CFR London 400英镑，总金额为 40000英镑，交货期为当年5月～9月份。签约后，A公司购货地发生水灾，于是我方以不可抗力为由，要求免除交货责任。但对方回电拒绝。 问题：我方要求以不可抗力免除 交货的理由是否充分？

32 国际贸易实务 第九章 分析 不可抗力事由发生后，带来两种后果，解除合同与延迟履行。本例中，合同中小麦并非特定产地产品，某一产地发生水灾可以从其它产地调集，所以A无法要求免除交货义务。

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C: Arbitration Four Ways to Settle disputes Amicable negotiation 友好协商 Conciliation 调解 Arbitration Litigation 诉讼 School of International Economics

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C: Arbitration Arbitration 仲裁 Means that the two parties, before or after the disputes arise, reach a written agreement that they will submit the disputes which cannot be settled through amicable negotiations to the third party for arbitration. 指买卖双方在发生争议之前或之后，签订书面协议，自愿将争议提交双方所同意的第三者予以裁决，以解决争议的一种方式。争议双方约定将其争议交由第三者（仲裁机构）公断并作出裁决。 School of International Economics

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C: Arbitration Characteristics of Arbitration An agreement between the two parties on solving the disputes through arbitration. (仲裁协议) Arbitration Clause 仲裁条款 Submission 提交仲裁协议 The ruling of arbitration is in general final. School of International Economics

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C: Arbitration Difference between Arbitration and litigation The legal action has jurisdiction (管辖权) Arbitration is of the two parties’ own will Arbitrators are appointed by the two parties, while judges are appointed by the government. Arbitration is more flexible，quicker and cheaper. School of International Economics

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C: Arbitration Functions of Arbitration Agreement Is the basis for settlement of disputes, and is binding upon both parties. (约束双方当事人以仲裁方式解决争议) Is the warranty to obtain the jurisdiction. (使仲裁机构取得对争议案件的管辖权) Eliminate the jurisdiction of the court over the relative case. (排除法院对有关案件的管辖权) School of International Economics

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C: Arbitration The Arbitral Proceedings Plaintiff’s application Defendant’s defence or countercharge (反诉) Formation of arbitral tribunal (仲裁法庭) Hearings Award-making School of International Economics

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C: Arbitration Contents of the Arbitration Clause Place of arbitration Arbitration authority Arbitration rules Effectiveness of award School of International Economics

40 The Arbitration Clause
Place of arbitration In our country “China International Economic and Trade Arbitration Commission” 中国国际经济贸易仲裁委员会 In the country of defendant In a third country School of International Economics