律师对中国新造船合同的案例研究

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

律师对中国新造船合同的案例研究–吸取教训和世界金融危机后的开展趋势

PeterMurray

Partner,

Ince&Co,Shanghai

马瑞

英士律师事务所上海代表处合伙人

1stChinaMaritimeCongress

Friday26June2021

Shangri-LaHotel,Shanghai

第一届中国航运大会

2021年6月26日，星期五

上海浦东香格里拉大酒店

2023/11/102ShipbuildingContractsPresentChallengesEvenintheMostStableofTimes

即使在最稳定的时期，造船合同也面临诸多挑战Agreeingtermsforconstructionofvesselatsomefuturepointintime双方对于某些未来时间点的船舶建造条款进行约定Pricefixedwithcommoditiesandmaterialsfromvarioussourcessubjecttopriceandcurrencyfluctuations合同价格预先确定，但商品、原料及各种其他资源却可能受价格和汇率波动的影响Futurevesselmarketvalueestimatedbothinrelationtohullvalueandearningcapacity船舶未来的市场价值：从船体本身及其盈利能力两方面预估2023/11/103BuildingaShipinChinaGaveRisetoSpecialChallenges在中国造船产生的特殊挑战Evergrowingnumberofyards不断增长的船厂数量Greenfieldyardswithnotrackrecord没有历史记录的新建船厂Supervision监理Qualityissues质量问题Delaysandtheoccasionalcancellation推迟和时有发生的解除Butinthemaintheproblemswereovercome但是主要的问题都已经克服了2023/11/104CommonThemesApplicabletoMostShipbuildingContractsinChina

对中国绝大多数造船合同都适用的一般原那么Contracttermswhichweretriedandtestedwithadhocamendmentsfromtimetotime被试用且经受过考验的合同条款及其不时的修改Rigidintermsofperformanceobligationsbothastopriceandotherobligationstoperform严格的义务履行条款，包括价格和其他义务履行条款Englishlawstilltheprevailinglawputtingthepartiesintoastraitjacketofobligations英国法仍然是常用法律，迫使当事人受义务的约束Forcemajeureclausesbutoflimitedapplication不可抗力条款，但适用受限Ifthetermsdidnotsuit,theonlywaytorenegotiatewastoriskgoingintodefault假设条款不适宜，重新协商的唯一方法是冒违约的风险2023/11/105Aswelookbackandforward……fourstages

我们回忆并展望……四个阶段1st-Pre-GFCandpre-06/08bubble第一阶段-世界经济危机前和06/08年泡沫期之前2nd-Inthemiddleofthe06/08bubble第二阶段-06/08年泡沫期中期3rd–GFCandtheimmediatefallout第三阶段-世界经济危机及其直接后果4th–NewContractsandlookingforwardto2021第四阶段–新合同并展望2021年2023/11/1061stStage-

TheGeneralOperationofShipbuildingContractsPre-GFC&the06/08Bubble

第一阶段-

金融危机前和06/08年泡沫期之前对造船合同的一般操作Priceadjustmentclauseshardlyexisted几乎不存在价风格整条款Currencyfluctuationclauseswerebeingusedsparingly很少适用汇率波动条款Butveryrarelywasthereasteelpriceadjustmentclause但是在极少数情况下会有钢材价风格整条款Theresultinarisingmarket….行情上涨的市场环境下….Numerousrenegotiationsonpriceanddelivery就价格和交船重新展开的众多谈判2023/11/1071stStage-

TheGeneralOperationofShipbuildingContractsPre-GFC&the06/08Bubble

第一阶段-

金融危机前和06/08年泡沫期之前对造船合同的一般操作Generallytheresultwasanamicablesettlement一般都能获得友好解决WiththeYardreceivingmoremoneyandtheOwnerstakingdeliverysoonerratherthanmuchlater船厂获得更多价款，船东尽快接船Giventhenumberofshipsbuiltanddelivered,veryfewarbitrations鉴于建造和交付船舶的数量，仲裁案件很少Ofthearbitrationscommenced,veryfewtakentoafinalaward已经开始的仲裁，很少进行到最终裁决阶段2023/11/1082ndStage–

Pre-GFCbutinthemidstofthe06/08Bubble

第二阶段–

经济危机前，但处于06/08年泡沫期中期Contractsconcludedatanyprice以任何价格缔结合同Buyersnotbuyingashipbutacontract买方不是买船而是合同Contractualtermsnotalwaysgivenverymuchattention合同条款不是很受关注Shipbuildingcontractsbecamefinancialinstruments造船合同成为融资工具2023/11/109Resalesbecamethesecondarymarketofshipbuilding转售成为船舶建造的二级市场Aswithderivatives,legalproblemsabounded随着衍生物的出现，出现大量法律问题Prospecttoonsellornovatebecamethemainobjective出售或整体转让合同成为主要目标AtendencyofBuyerstoconcludemorecontractsthanneeded出现了一个趋势：买方签订数量超出其需求的合同2ndStage–

Pre-GFCbutinthemidstofthe06/08Bubble

第二阶段–

经济危机前，但处于06/08年泡沫期中期2023/11/1010

3rdStage–FalloutfromtheGFC第三阶段-由全球金融危机引起的滑落AsuddendesirebyBuyersnottotakedelivery买方突然不愿意接船ThelongtermC/Pdisappeared难觅长期租约的踪迹Andfinancenolongerpossible融资变得不再可能Foranoverpricedandmarketlessasset船舶成了毫无市场但却价格昂贵的资产Lockedintothecontractbyapaymentguarantee因付款保函而被合同禁锢StraitjacketofEnglishlawunlessloopholescouldbefound英国法对合同义务的严格态度〔除非可以发现合同的漏洞〕2023/11/1011FalloutfromtheGFC

由全球金融危机引起的滑落

Bettertofindgroundstocancel希望找到理由解除合同Butcancellationunderthetermsofthecontract但必须根据合同条款解除合同Recoveryofinstalmentsundertherefundguaranteeparamount首要考虑是依据还款保函收回预付款DelaybySellersnolongertoleratedandeverydaycounted不再容忍卖方的延迟交船，每天的迟延都计算违约金Ifnodelaythenlookforothergroundstocancel如果卖方没有迟延，寻找其他理由解除合同Technicaldefects技术缺陷Legaldefects法律缺陷2023/11/1012FalloutfromtheGFC

由全球金融危机引起的滑落

Desperatetodeliverontime卖方尽力按时交付船舶Keepingacloseeyeonthepaymentguarantee密切留意付款保函Havingtomeetallthedemandsofover-demandingsuperintendents卖方不得不满足船舶监理苛刻的要求2023/11/10134thStage–

HasEnglishlawandLondonarbitrationperformedwellpost-GFC?

第四阶段-后全球金融危机时期英国法和伦敦仲裁的表现Torepeattheproblem……重复以前出现的问题……Contractagreedfordeliveryoflowvalueassetathighfixedpricewithnoroomtomove订立的造船价格高于实际船舶的价值，但却无法改变Englishlawwelldevelopedinidentifyingbreachesofcontractsanddamagesthatmustbepayable英国法在合同违约的认定和须支付的损害赔偿金额方面开展得较完善Alsoforconsideringnoveldefensessomeofwhicharebelowthebelt–loopholesbeyondthecontemplationoftheparties一些新提出的抗辩欠缺公平性-因为不是立约各方所能预见的Futureeconomiccircumstancesofnorelevance无关未来经济环境2023/11/10144thStage–

HasEnglishlawandLondonarbitrationperformedwellpost-GFC?

第四阶段-后全球金融危机时期英国法和伦敦仲裁的表现Therehavebeenremediesbuttheyallgotopunishingbreach已有的救济都主要是惩罚违约行为ObtainingsecurityforpotentialarbitrationawardsnowkeepingNewYorklawyersbusyapplyingforRuleBattachments为将来的仲裁裁决获取担保使得美国律师忙于申请RuleB扣押令Butenforcementofverylargearbitrationawardsgoingtobeproblematic但是金额高的仲裁裁决的执行很成问题Liquidationorreconstructionmaybetheonlywayoutforsomecompanies清算或重组可能是有些公司的唯一出路2023/11/1015Aswelookforward……AretherealternativestoEnglishlawandLondonarbitration?

展望未来…英国法和伦敦仲裁以外的选择？Wearecurrentlysittinginthelargestmaritimejurisdictionintheworld我们处于全球最大的海商海事法域TheMaritimeCodeadoptedin19931993年施行的?中华人民共和国海商法?Nowinterpretedbynolessthan48maritimecourtsinChina中国有多达48个海事法院对海商法的具体适用有自由裁量权WithChinaMaritimeArbitrationCommissioninBeijing在北京的中国海事仲裁委员会AndthenewShanghaiArbitrationCourtofInternationalShippingoftheShanghaiArbitrationCommission上海仲裁委下新成立的国际航运仲裁院2023/11/1016ShanghaiMaritimeCourt

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

适用何种法律？

Chinesemaritimelawiscivillawwithsomecommonlawcharacteristics中国海商法属于大陆法但具备一些普通法特色Couldberegardedasthebestofbothworlds可以被认为是两种法律体系中最好局部的结合ManyoftheprinciplesareuniversalincludingForceMajeure许多原那么相通，比方不可抗力AsyetnodefenseofeconomicinsanityunderEnglishlaworChineseLaw!目前英国法和中国法下没有基于经济环境异常变化的抗辩Civillawoffersmoreflexibility,notjustpunitivebutproblemsolving大陆法更灵活，更有利于解决问题而非仅仅是惩罚性的2023/11/1018Hardshipclause

艰难情势条款Theso-called“hardshipclause〞usedincivillaw 所谓“艰难情势条款〞在大陆法中的运用Whereeconomic,fiscalormonetaryeventscauseunfairgaintoonepartyandheavylosstoanother……… 当经济、财政或货币情况使一方不公正获益，使另一方遭受巨大损失……Thepartiesaresupposedtositdownandseekanappropriatesolution 当事人应坐下来寻求一个适当的解决方法Theconceptoffrustrationisnotknownincivillawandso…. 合同落空的概念不存在于大陆法中，所以……2023/11/1019Hardshipclause

艰难情势条款Failingasatisfactorysolution,themattermustbereferredtoacourtorarbitratorfordetermination

在不能达成满意解决方案的情况下，争议必须交由法院或仲裁庭裁判Thisisknownasthecontractualfunctionofathirdparty,i.e.thejudgeorthearbitrator

这就是第三方即法官或仲裁员在合同关系中的功能Apowertorewritetheagreement

重写合同的权利Isthatabetterresultthanabandonmentofthecontract?

这是否是比放弃合同更好的解决方案呢？2023/11/1020DoesChineselawhaveasimilarprovision?

中国法下有相似的规定吗？Chinadidconsiderincludingahardshipprovisioninthe1999ContractLawbutitwasnotincluded中国曾考虑在1999年合同法中参加有关艰难情势的规定但最终未被订入Thedraftprovisionparaphrased:Ifthereareexceptionalunforeseenchangesresultinginsignificantdamagetoonepartyifperformanceofthecontractiscontinued,thecontractcanberenegotiatedoffailingagreement,thePeople’sCourtorarbitrationtribunalcanmodifyorterminatethecontract. 草案中的规定大意如下：当有异常的不可预见的变化造成在一方当事人继续履行合同的情况下将受到重大损害时，当事人可以重新协商，协商不成可申请人民法院或仲裁庭变更或者解除合同。Andthefinalsentence:Thisarticledoesnotapplytocommercialrisks最后一句：商业风险不适用前款规定。2023/11/1021RecentChangeinCircumstancesPrincipleinChina

中国情势变更原那么的最新开展InterpretationsIIoftheSupremeCourtonSeveralIssuesConcerningtheApplicationoftheContractLawofthePeople’sRepublicofChinaeffective13May2021?最高人民法院关于适用〈中华人民共和国合同法〉假设干问题的解释〔二〕?自2021年5月13日起施行Significantchanges重大变化Notforeseeableattimeofcontracting在订立合同时无法预见的Notforcemajeureandnot“commercialrisks〞非不可抗力造成的且不属于商业风险的Furtherperformancewillcauseobvioushardshiptooneparty继续履行合同会对于一方当事人明显不公平2023/11/1022FreeTranslationoftheTextoftheInterpretations

?解释?条文非官方译文 Intheeventofsignificantchangesafterconclusionofacontract,whicharenotforeseeablebythecontractingpartiesatthetimeofenteringintothecontract,notattributabletoforcemajeureandnotconsideredascommercialrisks,andfurtherperformanceofthecontractwillcauseobviousunfairnesstoonepartyorwillcausethepurposeofthecontracttobeimpracticable,thecourtsareentitled,ifonepartysorequests,toruleonchangingorterminatingthecontractbasedonprinciplesoffairnessandtheactualcircumstancesofthecase. 合同成立以后客观情况发生了当事人在订立合同时无法预见的、非不可抗力造成的不属于商业风险的重大变化，继续履行合同对于一方当事人明显不公平或者不能实现合同目的，当事人请求人民法院变更或者解除合同的，人民法院应当根据公平原那么，并结合案件的实际情况确定是否变更或者解除。2023/11/1023WillChineseLaweverbecometheprevailinggoverninglawofPRCnewbuildingcontracts?

中国法律能否成为中国新造船合同的主要管辖法律？

Choiceoflawtendstofolloweconomicpower-Chinaisnowa

creditornation法律选择往往取决于经济实力-

中国如今是一个债权国

Thatchoicemadeeasierwhenyourememberthatmorethan50%ofEnglishlawsaremadeinBrusselsnotinLondon当你牢记超过

50%的英国法律是在布鲁塞尔而非伦敦制定的，就更容易作出选择DevelopmentofEnglishcommerciallawlimitedbystrictrulesofappealfromarbitration

tribunal

tothecourt英国对仲裁庭裁决上诉至法院有着严格的规那么，该规那么限制了英国商事法律的开展Inanyevent,EnglishandChinesecommerciallawsnotworldsapart无论如何，英国和中国商事法律并非截然不同

2023/11/1024WillChineseLaweverbecometheprevailinggoverninglawofPRCnewbuildingcontracts?

中国法律能否成为中国新造船合同的主要管辖法律？

Chineselawisalreadyrelevantinmanyrespects中国法律已在诸多方面相关联

theexecutionbyandcapacityoftheSeller卖方对合同的签署及其行为能力

continuedfinancialstandingoftheSeller卖方连续的财务状况

localperformanceissuesand当地履行问题，及

ultimateenforcementofanyLondonaward任何伦敦仲裁裁决的最终执行

WhygotoLondontoobtainanawardtoenforceintheChinesecourts?为何去伦敦获得裁决，而后由中国法院执行？

2023/11/1025Whattoexpectaswemoveintothe4thstageleadingupto2021andbeyond

对从第四阶段开始至2021年及更长远的未来的展望

TheChallenge

挑战

ChineselawcouldquietlyslipintothegoverninglawclausewitharbitrationinShanghai中国法可能会被订入适用法条款，而仲裁地那么为上海Nogreatchangeswillberequiredtotherestofcontract合同的其他局部不太会有重大的变化Shouldoverseasbuyersbeconcernedaboutthisdevelopment?国外买方会对这种变化产生忧虑？2023/11/1026Theanswershouldbe“no〞provided:答案应该是否认的，前提是：

Chinahasinplacemodernandcomprehensivelaws中国拥有现代化且完善的法律规定Theruleoflawisrespectedatalllevels-achallengewhichBeijingaccepts各层面都尊重法治

-

北京方面接受这一挑战

TheChineselegalsystemgainsareputationoverseasforproperimplementationofthelaw