律師對中國新造船合同的案例研究

2023/11/101Lawyer’sCaseStudyonPRCNewbuildingContracts–LessonsLearnedandEmergingTrendsinthePost-GFCWorld

律師對中國新造船合同的案例研究–吸取教訓(xùn)和世界金融危機后的開展趨勢

PeterMurray

Partner,

Ince&Co,Shanghai

馬瑞

英士律師事務(wù)所上海代表處合伙人

1stChinaMaritimeCongress

Friday26June2021

Shangri-LaHotel,Shanghai

第一屆中國航運大會

2021年6月26日，星期五

上海浦東香格里拉大酒店

2023/11/102ShipbuildingContractsPresentChallengesEvenintheMostStableofTimes

即使在最穩(wěn)定的時期，造船合同也面臨諸多挑戰(zhàn)Agreeingtermsforconstructionofvesselatsomefuturepointintime雙方對于某些未來時間點的船舶建造條款進行約定Pricefixedwithcommoditiesandmaterialsfromvarioussourcessubjecttopriceandcurrencyfluctuations合同價格預(yù)先確定，但商品、原料及各種其他資源卻可能受價格和匯率波動的影響Futurevesselmarketvalueestimatedbothinrelationtohullvalueandearningcapacity船舶未來的市場價值：從船體本身及其盈利能力兩方面預(yù)估2023/11/103BuildingaShipinChinaGaveRisetoSpecialChallenges在中國造船產(chǎn)生的特殊挑戰(zhàn)Evergrowingnumberofyards不斷增長的船廠數(shù)量Greenfieldyardswithnotrackrecord沒有歷史記錄的新建船廠Supervision監(jiān)理Qualityissues質(zhì)量問題Delaysandtheoccasionalcancellation推遲和時有發(fā)生的解除Butinthemaintheproblemswereovercome但是主要的問題都已經(jīng)克服了2023/11/104CommonThemesApplicabletoMostShipbuildingContractsinChina

對中國絕大多數(shù)造船合同都適用的一般原那么Contracttermswhichweretriedandtestedwithadhocamendmentsfromtimetotime被試用且經(jīng)受過考驗的合同條款及其不時的修改Rigidintermsofperformanceobligationsbothastopriceandotherobligationstoperform嚴(yán)格的義務(wù)履行條款，包括價格和其他義務(wù)履行條款Englishlawstilltheprevailinglawputtingthepartiesintoastraitjacketofobligations英國法仍然是常用法律，迫使當(dāng)事人受義務(wù)的約束Forcemajeureclausesbutoflimitedapplication不可抗力條款，但適用受限Ifthetermsdidnotsuit,theonlywaytorenegotiatewastoriskgoingintodefault假設(shè)條款不適宜，重新協(xié)商的唯一方法是冒違約的風(fēng)險2023/11/105Aswelookbackandforward……fourstages

我們回憶并展望……四個階段1st-Pre-GFCandpre-06/08bubble第一階段-世界經(jīng)濟危機前和06/08年泡沫期之前2nd-Inthemiddleofthe06/08bubble第二階段-06/08年泡沫期中期3rd–GFCandtheimmediatefallout第三階段-世界經(jīng)濟危機及其直接后果4th–NewContractsandlookingforwardto2021第四階段–新合同并展望2021年2023/11/1061stStage-

TheGeneralOperationofShipbuildingContractsPre-GFC&the06/08Bubble

第一階段-

金融危機前和06/08年泡沫期之前對造船合同的一般操作Priceadjustmentclauseshardlyexisted幾乎不存在價風(fēng)格整條款Currencyfluctuationclauseswerebeingusedsparingly很少適用匯率波動條款Butveryrarelywasthereasteelpriceadjustmentclause但是在極少數(shù)情況下會有鋼材價風(fēng)格整條款Theresultinarisingmarket….行情上漲的市場環(huán)境下….Numerousrenegotiationsonpriceanddelivery就價格和交船重新展開的眾多談判2023/11/1071stStage-

TheGeneralOperationofShipbuildingContractsPre-GFC&the06/08Bubble

第一階段-

金融危機前和06/08年泡沫期之前對造船合同的一般操作Generallytheresultwasanamicablesettlement一般都能獲得友好解決WiththeYardreceivingmoremoneyandtheOwnerstakingdeliverysoonerratherthanmuchlater船廠獲得更多價款，船東盡快接船Giventhenumberofshipsbuiltanddelivered,veryfewarbitrations鑒于建造和交付船舶的數(shù)量，仲裁案件很少Ofthearbitrationscommenced,veryfewtakentoafinalaward已經(jīng)開始的仲裁，很少進行到最終裁決階段2023/11/1082ndStage–

Pre-GFCbutinthemidstofthe06/08Bubble

第二階段–

經(jīng)濟危機前，但處于06/08年泡沫期中期Contractsconcludedatanyprice以任何價格締結(jié)合同Buyersnotbuyingashipbutacontract買方不是買船而是合同Contractualtermsnotalwaysgivenverymuchattention合同條款不是很受關(guān)注Shipbuildingcontractsbecamefinancialinstruments造船合同成為融資工具2023/11/109Resalesbecamethesecondarymarketofshipbuilding轉(zhuǎn)售成為船舶建造的二級市場Aswithderivatives,legalproblemsabounded隨著衍生物的出現(xiàn)，出現(xiàn)大量法律問題Prospecttoonsellornovatebecamethemainobjective出售或整體轉(zhuǎn)讓合同成為主要目標(biāo)AtendencyofBuyerstoconcludemorecontractsthanneeded出現(xiàn)了一個趨勢：買方簽訂數(shù)量超出其需求的合同2ndStage–

Pre-GFCbutinthemidstofthe06/08Bubble

第二階段–

經(jīng)濟危機前，但處于06/08年泡沫期中期2023/11/1010

3rdStage–FalloutfromtheGFC第三階段-由全球金融危機引起的滑落AsuddendesirebyBuyersnottotakedelivery買方突然不愿意接船ThelongtermC/Pdisappeared難覓長期租約的蹤跡Andfinancenolongerpossible融資變得不再可能Foranoverpricedandmarketlessasset船舶成了毫無市場但卻價格昂貴的資產(chǎn)Lockedintothecontractbyapaymentguarantee因付款保函而被合同禁錮StraitjacketofEnglishlawunlessloopholescouldbefound英國法對合同義務(wù)的嚴(yán)格態(tài)度〔除非可以發(fā)現(xiàn)合同的漏洞〕2023/11/1011FalloutfromtheGFC

由全球金融危機引起的滑落

Bettertofindgroundstocancel希望找到理由解除合同Butcancellationunderthetermsofthecontract但必須根據(jù)合同條款解除合同Recoveryofinstalmentsundertherefundguaranteeparamount首要考慮是依據(jù)還款保函收回預(yù)付款DelaybySellersnolongertoleratedandeverydaycounted不再容忍賣方的延遲交船，每天的遲延都計算違約金Ifnodelaythenlookforothergroundstocancel如果賣方?jīng)]有遲延，尋找其他理由解除合同Technicaldefects技術(shù)缺陷Legaldefects法律缺陷2023/11/1012FalloutfromtheGFC

由全球金融危機引起的滑落

Desperatetodeliverontime賣方盡力按時交付船舶Keepingacloseeyeonthepaymentguarantee密切留意付款保函Havingtomeetallthedemandsofover-demandingsuperintendents賣方不得不滿足船舶監(jiān)理苛刻的要求2023/11/10134thStage–

HasEnglishlawandLondonarbitrationperformedwellpost-GFC?

第四階段-后全球金融危機時期英國法和倫敦仲裁的表現(xiàn)Torepeattheproblem……重復(fù)以前出現(xiàn)的問題……Contractagreedfordeliveryoflowvalueassetathighfixedpricewithnoroomtomove訂立的造船價格高于實際船舶的價值，但卻無法改變Englishlawwelldevelopedinidentifyingbreachesofcontractsanddamagesthatmustbepayable英國法在合同違約的認(rèn)定和須支付的損害賠償金額方面開展得較完善Alsoforconsideringnoveldefensessomeofwhicharebelowthebelt–loopholesbeyondthecontemplationoftheparties一些新提出的抗辯欠缺公平性-因為不是立約各方所能預(yù)見的Futureeconomiccircumstancesofnorelevance無關(guān)未來經(jīng)濟環(huán)境2023/11/10144thStage–

HasEnglishlawandLondonarbitrationperformedwellpost-GFC?

第四階段-后全球金融危機時期英國法和倫敦仲裁的表現(xiàn)Therehavebeenremediesbuttheyallgotopunishingbreach已有的救濟都主要是懲罰違約行為ObtainingsecurityforpotentialarbitrationawardsnowkeepingNewYorklawyersbusyapplyingforRuleBattachments為將來的仲裁裁決獲取擔(dān)保使得美國律師忙于申請RuleB扣押令Butenforcementofverylargearbitrationawardsgoingtobeproblematic但是金額高的仲裁裁決的執(zhí)行很成問題Liquidationorreconstructionmaybetheonlywayoutforsomecompanies清算或重組可能是有些公司的唯一出路2023/11/1015Aswelookforward……AretherealternativestoEnglishlawandLondonarbitration?

展望未來…英國法和倫敦仲裁以外的選擇？Wearecurrentlysittinginthelargestmaritimejurisdictionintheworld我們處于全球最大的海商海事法域TheMaritimeCodeadoptedin19931993年施行的?中華人民共和國海商法?Nowinterpretedbynolessthan48maritimecourtsinChina中國有多達48個海事法院對海商法的具體適用有自由裁量權(quán)WithChinaMaritimeArbitrationCommissioninBeijing在北京的中國海事仲裁委員會AndthenewShanghaiArbitrationCourtofInternationalShippingoftheShanghaiArbitrationCommission上海仲裁委下新成立的國際航運仲裁院2023/11/1016ShanghaiMaritimeCourt

上海海事法院2023/11/1017Butwhatlawwouldbeapplied?

適用何種法律？

Chinesemaritimelawiscivillawwithsomecommonlawcharacteristics中國海商法屬于大陸法但具備一些普通法特色Couldberegardedasthebestofbothworlds可以被認(rèn)為是兩種法律體系中最好局部的結(jié)合ManyoftheprinciplesareuniversalincludingForceMajeure許多原那么相通，比方不可抗力AsyetnodefenseofeconomicinsanityunderEnglishlaworChineseLaw!目前英國法和中國法下沒有基于經(jīng)濟環(huán)境異常變化的抗辯Civillawoffersmoreflexibility,notjustpunitivebutproblemsolving大陸法更靈活，更有利于解決問題而非僅僅是懲罰性的2023/11/1018Hardshipclause

艱難情勢條款Theso-called“hardshipclause〞usedincivillaw 所謂“艱難情勢條款〞在大陸法中的運用Whereeconomic,fiscalormonetaryeventscauseunfairgaintoonepartyandheavylosstoanother……… 當(dāng)經(jīng)濟、財政或貨幣情況使一方不公正獲益，使另一方遭受巨大損失……Thepartiesaresupposedtositdownandseekanappropriatesolution 當(dāng)事人應(yīng)坐下來尋求一個適當(dāng)?shù)慕鉀Q方法Theconceptoffrustrationisnotknownincivillawandso…. 合同落空的概念不存在于大陸法中，所以……2023/11/1019Hardshipclause

艱難情勢條款Failingasatisfactorysolution,themattermustbereferredtoacourtorarbitratorfordetermination

在不能達成滿意解決方案的情況下，爭議必須交由法院或仲裁庭裁判Thisisknownasthecontractualfunctionofathirdparty,i.e.thejudgeorthearbitrator

這就是第三方即法官或仲裁員在合同關(guān)系中的功能Apowertorewritetheagreement

重寫合同的權(quán)利Isthatabetterresultthanabandonmentofthecontract?

這是否是比放棄合同更好的解決方案呢？2023/11/1020DoesChineselawhaveasimilarprovision?

中國法下有相似的規(guī)定嗎？Chinadidconsiderincludingahardshipprovisioninthe1999ContractLawbutitwasnotincluded中國曾考慮在1999年合同法中參加有關(guān)艱難情勢的規(guī)定但最終未被訂入Thedraftprovisionparaphrased:Ifthereareexceptionalunforeseenchangesresultinginsignificantdamagetoonepartyifperformanceofthecontractiscontinued,thecontractcanberenegotiatedoffailingagreement,thePeople’sCourtorarbitrationtribunalcanmodifyorterminatethecontract. 草案中的規(guī)定大意如下：當(dāng)有異常的不可預(yù)見的變化造成在一方當(dāng)事人繼續(xù)履行合同的情況下將受到重大損害時，當(dāng)事人可以重新協(xié)商，協(xié)商不成可申請人民法院或仲裁庭變更或者解除合同。Andthefinalsentence:Thisarticledoesnotapplytocommercialrisks最后一句：商業(yè)風(fēng)險不適用前款規(guī)定。2023/11/1021RecentChangeinCircumstancesPrincipleinChina

中國情勢變更原那么的最新開展InterpretationsIIoftheSupremeCourtonSeveralIssuesConcerningtheApplicationoftheContractLawofthePeople’sRepublicofChinaeffective13May2021?最高人民法院關(guān)于適用〈中華人民共和國合同法〉假設(shè)干問題的解釋〔二〕?自2021年5月13日起施行Significantchanges重大變化Notforeseeableattimeofcontracting在訂立合同時無法預(yù)見的Notforcemajeureandnot“commercialrisks〞非不可抗力造成的且不屬于商業(yè)風(fēng)險的Furtherperformancewillcauseobvioushardshiptooneparty繼續(xù)履行合同會對于一方當(dāng)事人明顯不公平2023/11/1022FreeTranslationoftheTextoftheInterpretations

?解釋?條文非官方譯文 Intheeventofsignificantchangesafterconclusionofacontract,whicharenotforeseeablebythecontractingpartiesatthetimeofenteringintothecontract,notattributabletoforcemajeureandnotconsideredascommercialrisks,andfurtherperformanceofthecontractwillcauseobviousunfairnesstoonepartyorwillcausethepurposeofthecontracttobeimpracticable,thecourtsareentitled,ifonepartysorequests,toruleonchangingorterminatingthecontractbasedonprinciplesoffairnessandtheactualcircumstancesofthecase. 合同成立以后客觀情況發(fā)生了當(dāng)事人在訂立合同時無法預(yù)見的、非不可抗力造成的不屬于商業(yè)風(fēng)險的重大變化，繼續(xù)履行合同對于一方當(dāng)事人明顯不公平或者不能實現(xiàn)合同目的，當(dāng)事人請求人民法院變更或者解除合同的，人民法院應(yīng)當(dāng)根據(jù)公平原那么，并結(jié)合案件的實際情況確定是否變更或者解除。2023/11/1023WillChineseLaweverbecometheprevailinggoverninglawofPRCnewbuildingcontracts?

中國法律能否成為中國新造船合同的主要管轄法律？

Choiceoflawtendstofolloweconomicpower-Chinaisnowa

creditornation法律選擇往往取決于經(jīng)濟實力-

中國如今是一個債權(quán)國

Thatchoicemadeeasierwhenyourememberthatmorethan50%ofEnglishlawsaremadeinBrusselsnotinLondon當(dāng)你牢記超過

50%的英國法律是在布魯塞爾而非倫敦制定的，就更容易作出選擇DevelopmentofEnglishcommerciallawlimitedbystrictrulesofappealfromarbitration

tribunal

tothecourt英國對仲裁庭裁決上訴至法院有著嚴(yán)格的規(guī)那么，該規(guī)那么限制了英國商事法律的開展Inanyevent,EnglishandChinesecommerciallawsnotworldsapart無論如何，英國和中國商事法律并非截然不同

2023/11/1024WillChineseLaweverbecometheprevailinggoverninglawofPRCnewbuildingcontracts?

中國法律能否成為中國新造船合同的主要管轄法律？

Chineselawisalreadyrelevantinmanyrespects中國法律已在諸多方面相關(guān)聯(lián)

theexecutionbyandcapacityoftheSeller賣方對合同的簽署及其行為能力

continuedfinancialstandingoftheSeller賣方連續(xù)的財務(wù)狀況

localperformanceissuesand當(dāng)?shù)芈男袉栴}，及

ultimateenforcementofanyLondonaward任何倫敦仲裁裁決的最終執(zhí)行

WhygotoLondontoobtainanawardtoenforceintheChinesecourts?為何去倫敦獲得裁決，而后由中國法院執(zhí)行？

2023/11/1025Whattoexpectaswemoveintothe4thstageleadingupto2021andbeyond

對從第四階段開始至2021年及更長遠(yuǎn)的未來的展望

TheChallenge

挑戰(zhàn)

ChineselawcouldquietlyslipintothegoverninglawclausewitharbitrationinShanghai中國法可能會被訂入適用法條款，而仲裁地那么為上海Nogreatchangeswillberequiredtotherestofcontract合同的其他局部不太會有重大的變化Shouldoverseasbuyersbeconcernedaboutthisdevelopment?國外買方會對這種變化產(chǎn)生憂慮？2023/11/1026Theanswershouldbe“no〞provided:答案應(yīng)該是否認(rèn)的，前提是：

Chinahasinplacemodernandcomprehensivelaws中國擁有現(xiàn)代化且完善的法律規(guī)定Theruleoflawisrespectedatalllevels-achallengewhichBeijingaccepts各層面都尊重法治

-

北京方面接受這一挑戰(zhàn)

TheChineselegalsystemgainsareputationoverseasforproperimplementationofthelaw