买卖合同中的索赔和罚金条款解析

在一般的商品买卖合同中，多数只订异议和索赔条款，只有在买卖大宗商品和机械设备一类商品的合同中，除订明异议与索赔条款外，还另订罚金条款。

1．异议与索赔条款

异议与索赔条款（Discrepancy and Claim Clause）一般是针对卖方交货的品质、数量或包装不符合合同规定而订立的，主要包括索赔依据、索赔期限、索赔的处理办法以及索赔金额。

索赔依据包括法律依据和事实依据两个方面。法律依据指贸易合同和有关国家的法律规定；事实依据则指违约的事实真相及其书面证明。

索赔期限指索赔方向违约方提出索赔的有效时限。逾期索赔，违约方可不予受理。索赔期限也就是检验条款中的买方对货物进行复验的有效期限。

索赔的处理办法和索赔金额通常在合同中只作笼统规定。

例如，

Any claim by the Buyer regarding the goods shipped should be filed within 30 days after the arrival of the goods at the port/place of destination specified in the relative B/L and/or transport document and supported by a survey report issued by a surveyor approved by the Seller. Claims in respect of matters within responsibility of insurance company, shipping company/other transportation organization will not be considered or entertained by the Seller.

译：买方对于装运货物的任何异议和索赔，必须于货物到达提单及/或运输单据所订目的港（地）之日起30天内提出，并须提供卖方同意的公证机构出具的检验报告。属于保险公司、轮船公司或其他有关运输机构责任范围内的索赔，卖方不予受理。(www.xing528.com)

2．罚金条款

罚金条款（Penalty Clause）主要规定，当一方未履行合同义务时，应向对方支付一定数额的约定罚金，以补偿对方的损失。

罚金条款一般适用于卖方延期交货，或者买方延迟开立信用证和买方延期接货等情况。通常在连续分批交货的大宗货物买卖合同和机械设备一类商品的合同中使用。

例如，

In case of delayed delivery, the Sellers shall pay to the Buyers for every week of delay a penalty amounting to 0.5% of the total value of the goods whose delivery has been delayed.Any fractional part of a week is to be considered a full week. The total amount of penalty shall not，however, exceed 5% of the total value of the goods involved in late delivery and is to be deducted from the amount due to the Sellers by the paying bank at the time of negotiation, or by the Buyers directly at the time of payment. In case the period of delay exceeds 10 weeks after the stipulated delivery date the Buyers have the right to terminate this Contract but the Sellers shall not thereby be exempted from the payment of penalty.

译：如卖方不能如期交货，在卖方同意由付款行从议付的货款中扣除罚金或由买方于支付货款时直接扣除罚金的条件下，买方可同意延期交货。但是因延期交货的罚金不得超过延期交货部分金额的5%。罚金按每7天收取延期交货部分金额的0.5%，不足7天者按7天计算。如卖方未按本合同规定的装运期交货，延期10周时，买方有权撤销合同，并要求卖方支付上述延期交货罚金。

值得注意的是，对于合同中的罚金条款，各国法律有不同的解释和规定。有些国家的法律承认并执行合同中的罚金条款，但有些国家的法律则认为，对于违约只能要求赔偿，而不能予以惩罚。