教学材料《谈判英语》-Unit9

Unit9Claim,

MediationandArbitrationNegotiationAwarenessIninternationalbusinessactivities，nomatterhowperfectanorganizationmaybe，complaintsfromthecustomersarecertaintoarise.Todealwiththesecomplaints，threemainmethodsareadopted，thatis，claim，mediationandarbitration.Inthischapter，thelearnersaresupposedtohaveadeepunderstandingofthesethreeconcepts.下一页上一页返回Unit9Claim,

MediationandArbitrationClaimClaimreferstothesituationwheretheinjuredpartyclaimsforcompensationforlossesincasethecontractisbreached.Intradepractice，thesellerandthebuyermayfailtoperformtheirobligation’spartiallyorcompletelyduringtheexecutionofthecontract，oroneofthepartiesintentionallycreatesdisputes.Undersuchcircumstances，claimsusuallyarise.Therearecaseswhensellersclaimcompensation.Butthemajorityofclaimsaremadebybuyers.Thebuyersclaimcompensationfromthesellersforalotofreasons，themostcommononesare：下一页上一页返回Unit9Claim,

MediationandArbitrationThewronggoodsmayhavebeensent；Thequalitymaynotbesatisfactory；Thegoodsmayhavebeendelivereddamagedorlate；Thepriceschargedmaybeexcessive，ornotasagreed.HowtosettleclaimsintradeisquiteacomplicatedissueParticularattentionshouldbepaidtothefollowingpointswhensettlingclaims：下一页上一页返回Unit9Claim,

MediationandArbitrationThefirstthingthathastobedecidediswhethertheactinbreachofthecontractisjustified；Ifanactinbreachofthecontractisjustified，afurtherstudyshouldbemadeofitslegalnatureandthelegalconsequencethatthesidemakingthebreachhastoface.Itisveryimportanttostudythenatureofabreachinhandlingcasesofcompensationclaimsbecauseitdecidestheresponsibilityofthepartywhichhasbreachedthecontract；Oncethenatureofabreachandthedamageresponsibilityaredetermined，afurtherstudyshouldbemadeofthecorrectstandardsandmethodstocalculatethedamage；下一页上一页返回Unit9Claim,

MediationandArbitrationPayattentiontothetimelimitformakingclaims.Ifthetimelimitforaclaimisoverdue，thepartyagainstwhichtheclaimismademayreservetherightstorefusetodealwiththecaseevenifanactinbreachofthecontractisjustified.Ininternationaltrade，itisveryimportanttostipulatetheclaimclausesdefinitelyinthecontractThefollowingisanexampleofaclaimclause，mainlyincludingthefollowingcontents：下一页上一页返回Unit9Claim,

MediationandArbitrationThefullparticularsofsuchclaimshallbemadeinwritingandforwardedbyregisteredairmailtothesellerwithin15daysbytelephoneoremailThebuyermustsubmitsuchparticularsasswornpublicsurveyor’sreportwhenqualityorquantityofthegoodsisindisputeAllclaimsmustbemadeinwritingwithin2ldaysafterthereceiptofthegoodsattheportofdestinationandnoclaimwillberecognizedifthegoodsareusedorresoldpartlyorwhollytosomethirdpartyorunlesstheyhavebeensetasideforinspectionbytheseller.下一页上一页返回Unit9Claim,

MediationandArbitrationShouldthequalityofgoodsbefoundslightlyinferiortothesample,thebuyershalltakedeliveryofthegoodsonconditionthatareasonablereductionbemadeonthecontractpricebysubsequentmutualnegotiationThegoodsmayberejectedifthebuyerfindsthegoodsfarinferiortothesampleorthepricereductionunfair.Thesellershallnotbeliableforanyclaimsunlesstheyaremadepromptlyafterthereceiptofthegoodsanddueopportunityhasbeengivenforinvestigationbytheseller’sownrepresentatives.Goodsmustnotbereturnedbeforetheinspectionbytheseller.下一页上一页返回Unit9Claim,

MediationandArbitrationClaims，ifany，shouldbesubmittedwithin14daysafterthearrivalofgoodsatdestinationReportsbyrecognizedsurveyorsshouldbesentbyairmailwithoutdelayAtleast10%oftheoriginalunopenedpackagesmustbeavailabletothesellerintheeventofdisputeregardingquality，otherwise，claimwillnotbevalid.下一页上一页返回Unit9Claim,

MediationandArbitrationTomakeallclaimsregardingquality，quantityand/orsuitability，thebuyershouldnotifythesellerinwriting，givingadescriptionofthedefectsand/orshortagesSuchanoticeshouldbepostedwithin30daysafterthearrivalofthegoodsattheplaceofthefinaluserThesellershallberesponsibleforpotentialdefectsofthegoods，evenafterdeliveryandinspectionand/ordelayofnotificationbythebuyer.Inpracticalbusinessactivities，mostinternationaltradecontractsrequirethepartiesconcernedtotrytosolvedisputesbyamicablesettlement，i.e，bynegotiatingasolutionbetweenthemselveswithoutoutsideintervention.下一页上一页返回Unit9Claim,

MediationandArbitrationThismethodofsettlingdisputesisbeneficialtobothofthemasitisfasterandlessexpensivethanothermethods.Whendealingwithclaims，thepartiesshouldrememberthatitisessentialtoprovideacreditedevidenceofthelosses.Inmostcases,anofficialcommodityinspectioncertificatetogetherwithotherappropriateevidencewillsuffice.Astowhentomakeaclaim，itisimportanttolodgeitwithinthetermagreeduponinthecontract.Otherwise，thepartyagainstwhichtheclaimismademayreservetherightstorefusetodealwiththecase.下一页上一页返回Unit9Claim,

MediationandArbitrationMediationMediationisanonbindingagreementbetweenpartiestosettledisputesbyaskingathirdparty（agreeduponbyboththesellerandthebuyer）tomediatedifferences.Itisaninformalprocessinwhichthethirdpartytriestobringthedisputingpartiestogether.However，thisthirdpartymaynothavecompletefreedomtoimposeitsownwillbutmayberestrictedtoselectingoneortheotherofthetwopartiessocalledfinaloffers.Accordinglythefocusshouldbeonwhatactionsthepartiesmighttakethatmightsmoothoverdifferencesandleadtoamutuallyacceptablesettlement.下一页上一页返回Unit9Claim,

MediationandArbitrationMediationisastructuredandfacilitatedsettlementprocessinvolvinganeutral,professionalfacilitator.Inthecommercialworldmediationisanextensionofbusinessnegotiations.Itisacommercialprocess，notajudicialprocess.Mostcommonly，itisaprocesslargelyprogressed，withtheguidanceofthemediator,bytheseniorcommercialrepresentativesofthedisputingparties.Thecharacteristicsofmediationarelistedasfollows：下一页上一页返回Unit9Claim,

MediationandArbitrationFirst，mediationisgenerallyavoluntaryprocessPartiesarefreetowithdrawfromthemediationatanytimewithouteither〖WTHZ〗penalty〖WT〗〖STBZ〗or〖WTHZ〗adverse〖WT〗〖STBZ〗effectHowever，inrecentyears，〖WTHZ〗moreandmorecommercialarrangementscontainarequirementthatthepartiesengageinmediationpriortolitigationorarbitration〖WT〗〖STBZ〗.Inotherwords，thereisnorequirementtomakeanyagreementontermsthatarenotsatisfactorytotheparticipantsBecausethemediatorisnotajudgeoranarbitrator，onlythepartiescandecidetheacceptableresolutiontothedispute.下一页上一页返回Unit9Claim,

MediationandArbitrationSecond，thereisanongoingphilosophicaldebateinthemediationcommunityoverwhethertheprocessshouldbepurelyfacilitativeorwhetherthemediatorshouldprovidesomeformofevaluationofthedispute.Dependingonthemediator’sexpertiseinthefieldinquestion，addingalevelofevaluationtohisdutiesmaybemoreorlessappropriate.Thisisnottosay，however，thattheevaluatingmediatorshouldimposehisjudgmentontheparties.Rather，amediatorwithsignificantknowledgeoftheindustryinquestioncanprovidea“realitycheck”ofthestrengthsandweaknessesofpartiesarguments.下一页上一页返回Unit9Claim,

MediationandArbitrationMeanwhile，mediationhasbothpositiveandnegativeinfluencesBeginningwiththepositiveaspects，thereislittleornorisktoparticipatinginmediationThepartiesretaincontroloftheoutcomeandworktowardstheirownresolutionofthedispute.Thus，thereisnoturningthematterovertoathirdpartyand“rollingthedice”ontheoutcome.Furthermore，thenatureoftheprocessissuchthatitisnon-adversarial.Thoughitmaystartoutasadversarial，inthehandsofaneffectivemediator，ittransformsthegroupintoa“team”workingtowardasolution.Theoutcomeisbyagreementofpartiesconcerned下一页上一页返回Unit9Claim,

MediationandArbitrationMediationalsoofferstheopportunityforcreativesolutionsthatwouldinnowaybeavailableinarbitrationorlitigation.Theprocessbringstogetherthepartyrepresentativeswhoarereadytoexplore，withoutinterruptionandwithgreatfocus，allofthestrengthsandweaknessesofthepartiesincludingtheirown.Thisallowstheabilitytomovetowardanunderstandingoftheneedsandvaluesofallconcernedand,moreimportantly，torecognizeandfosterresolution.下一页上一页返回Unit9Claim,

MediationandArbitrationThepotentialvalueofmediationtoadisputantisbestdrawnfromcomparison.Typically，thedisputanthasthechoicebetweenmediationandeitherlitigationorarbitration.Sometimes，however，theoptionismoremuddiedbecauseofanecessaryfuturerelationshipbetweenthepartiesForexample，thedisputantmaybeembroiledinacontroversywithajointventurepartnerintheearlystageofalongtermconstructionproject.Litigationorarbitrationwouldlikelydrivethepartiesapartandmakefuturedealingseithermiserableorimpossible，ratherthanbringthepartiestogethertoallowthecontinuationofaworkingrelationship.下一页上一页返回Unit9Claim,

MediationandArbitrationThird，mediationprovidestheopportunitytocurtailattorney，expertandconsultantexpensesaswellasthehiddenexpenseoftheinvolvementofthecorporatestaffinlitigationorarbitrationExperienceshowsthatthetimefromthedaythepartiesselectamediatoruntilthematterisresolvedisusuallyaperiodofabout60daysInaddition，whileclearlytherearecoststowagethewarsoflitigationintermsofattorneysandconsultants,itislessobviouscoststhatmediationreducessosuccessfully.下一页上一页返回Unit9Claim,

MediationandArbitrationThisistheemotionaltoll，andthedisruptionofcorporateoperations.Theinabilitytoworkonprofitableactivitiesbecauseexecutives，managers，andotherworkersarefledupinpreparationforcourtorarbitrationproceedingsistheexpensethatissounpredictableandsodamagingtosmoothrunningcorporateoperations.Infact，itisfrequentlythisfeaturethatattheendofevena“successful”arbitrationcausestheseniorexecutivetopauseandwonderwhetherhiscompanywasreally“successful”fromacommercialstandpoint.Further，mediationalsoreachesanend,therebydiminishinganyinterestexpensethatmightbepayableasaresultofanarbitrationaward.下一页上一页返回Unit9Claim,

MediationandArbitrationFourth,mediationprovidestheopportunitytoobtaininformationthatcouldbeusefulinlitigationorarbitration.ThiscanbeviewedasbothapositiveandnegativeaspectTherearethosethatcriticizetheprocessbysayingthatthismeans“freediscovery”oftheotherparty’sdocumentsandpositions.Andthatmaybetrue.Yetthepossiblebenefittobeobtainedisaveryhighlikelihoodofsuccessinthemediationprocess.Givenits85%successrate,theriskisrelativelymodest.Furthermore,shouldthemediationtalksfail，thepartieswouldoftenstillberequiredtoprovidethissameinformationtotheotherpartyinatraditionaldisputeresolutionprocess.下一页上一页返回Unit9Claim,

MediationandArbitrationAnotherpositiveelementofmediationisitsfinality.Therearenoappeals.Therearenoawardstoconverttojudgments.Therearenochasingpayments.Inaddition，inmanyinstances，thepartiescanresumeworkingtogetherproductivelyandprofitably.Arbitrationorlitigationoftenbuildupenormousrancorandacrimony,andcreatesindeliblemarkingsofmistrustthatagerarelyeverrepairableYetthespeed，lowcost，andfinalityofnon-adversarialmediationreducethechancesofthiskindofrift，andallowcompaniestoreturntotheirprofitmakingendeavors下一页上一页返回Unit9Claim,

MediationandArbitrationAtlast，thisfinalityisachievedwithconfidentiality，afactthatallowsallpartiestomovepastthedisputemorequicklyandeasilyThisconfidentialitycanbemaintainedinmediationinawaythatisoftennotpossibleinarbitrationandnoteverpossibleinlitigationinapublicforum.Forpartieswantingtokeepthedetailsoftheirdisputeprivate，mediationisanexcellentchoice.下一页上一页返回Unit9Claim,

MediationandArbitrationLookingtothenegativeside，thereisanexpensetoparticipatinginmediation.Thecosttomediatedisputesof$200000to$50millioncouldrangefrom$3000tomorethan$20000perparty.Theuseofcorporatestafftimecomesintoplayaswell，butitislimitedintermsofbothtimeandexpense,becausethemediationprocessiscompleted,successfulorotherwise,inaveryshorttimeframe.Asecondnegativefeatureistheinformationdisclosureissuediscussedabove，thoughthebenefitsgenerallyoutweightherisks.下一页上一页返回Unit9Claim,

MediationandArbitrationArbitrationArbitrationisameansofsettlingadisputebetweentwopartiesthroughthemediumofathirdpartywhoisnotpartialtoeitherofthepartiestothedispute，andwhosedecisiononthedisputeisfinalandbindingThattheawardisfinalmeansneitherpartyshallbringanappealforrevisionbeforeacourtoflaworanyotherorganizationsAnarbitrationawardoncemadehastheforceoflawandthereisnoneedtoregisterandkeepitinalawcourt.下一页上一页返回Unit9Claim,

MediationandArbitrationItisquiteusualthatdisputesariseinthecourseoftheexecutionofabusinesscontractorrelatingtotheinterpretationoftheprovisionsofacontract.Somebusinessmenresorttounscrupulousmeanstobreakthecontractwhenthemarketpriceofthecontractgoodsisfallingdrasticallyortherateofexchangeisfluctuatinginadirectionadversetotheirinterests.Theywilltrytofindvarioussubterfugestoterminatethecontract.Itis，therefore，deemednecessarytoincludeanarbitrationclausethecontract.下一页上一页返回Unit9Claim,

MediationandArbitrationHowever，inactualpractice，weoftensettlethedisputesthroughfriendlyconsultation,i.e,settlethedisputesdirectlythroughamicablenegotiations.Arbitrationisresortedtowhenbothpartiesrealizethatitisbeneficialtobothofthem，iftheywillmakesomeconcessionsinthelightoftheconcretecircumstancesandseekafairandequitablesolutiontotheproblems.Anoverwhelmingmajorityofthedisputeshavebeenthussettledandfriendlybusinessrelationsmaintainedbetweenbuyersandsellers.下一页上一页返回Unit9Claim,

MediationandArbitrationButsomeofthemarereluctanttomakeconcessionswhenthestakeinvolvedisverybig，someothersarenotsofriendlyandtakeantagonisticattitudeduringnegotiationThenarbitrationbecomestheonlyalternativetomakeasettlement.Arbitrationisdifferentfromamicableconsultationandlitigation.Inthecaseofarbitrationthedisputeisvoluntarilysubmittedtoathirdpartyforarbitration，whileconsultationiscarriedoutbetweenthebuyerandthesellerdirectlywithouttheinterventionofathirdpartyLitigationisbroughtagainstthedefendantbytheclaimantwithoutpreviousmutualagreement.下一页上一页返回Unit9Claim,

MediationandArbitrationGenerallyspeaking，thepartiesconcernedshouldpayattentiontothefollowingmainpointsconcerningarbitrationwhileconsigningbusinesscontracts：Thecontentofanarbitrationclause；Wheretoholdarbitration；Theapplicationofsubstantivelaw；Theappointmentofarbitrators；Thewritingofanarbitrationclause.下一页上一页返回Unit9Claim,

MediationandArbitrationIntradepractice，greatattentionshouldbepaidtothefollowingtwopoints：Ifyourpartnerdoesnotagreetoholdarbitrationinyourcountry，pleasetrytoseeifthereisapossibilityofholdingitinathirdcountryinsteadofholdingitinthepartner’scountry.ItwillberathersaferforChinesecorporationsandenterprisestohavearbitrationinapermanentarbitralinstituteundertherulesandproc