再談新加坡船舶買賣格式契約（壹）

壹、【前言】：
在國際航運業界特別是最近這幾年來經濟持續快速增長的亞洲市場上，二手船舶買賣的交易似乎異常活絡。然由於二手船舶買賣所涉及的專業複雜性，通常交易均會有專業的「船舶買賣經紀人」（the Ship Broker）參與其中。放眼目前二手船舶市場上最常使用的買賣標準格式，主要是「挪威買賣格式」（Norwegian Saleform 87/93, 簡稱NSF），而由於船舶買賣具有標的金額大、交易程序複雜，與潛藏的風險多變等有別於其他貨物買賣的特徵，因此交易雙方必須相當謹慎。西元2011年的1月6日，新加坡的「海事基金會」（Maritime Foundation）正式推出特別為「亞洲市場」量身製作的二手船舶買賣格式契約：「新加坡買賣格式契約」（the Singapore Ship Sale Form 2011, 簡稱SSF），本文擬就SSF做更進一步的探討，以為業者未來在實務操作上的參考，首先就從SSF的簽約主體談起。

貳、【保證人】：
在二手船舶買賣契約中，除了10％的定金之外，常常可見要求對方提供額外的履約保證。SSF針對此點亦提醒買賣雙方他們可以有此一選擇（在欄位1（賣方欄）與欄位2（買方或指定方欄）中有一「保證人」項（Guarantor）的選擇欄位，而此一特點亦凸顯出SSF與NSF與Nipponsale（日本船舶買賣格式契約）等其他買賣格式不同之處。而選擇此一「保證人」項目，亦意味「保證人」必須遵循英國法中「防止詐欺法」（the Statute of Frauds）的相關規定，並必須簽署書面的保證契約。

而依SSF第一頁下方的註釋規定，當「保證人」簽署此一買賣格式契約時，即需負擔一「不可撤銷與無條件」（irrevocable and unconditional）的保證責任，爰發生保證人需履行保證責任的情況時，則無過失的一方即可依SSF第15條的規定(註一) ，向對方暨其保證人（負連帶賠償責任，joint and several liability）提出仲裁聲請，請求損害賠償。如是一來即可以解決之前Stellar Shipping Co. LLC. –v.- Hudson Shipping Lines案中所出現的爭議問題(註二) ，即保證人雖然為船舶買賣契約當事人的一方背書擔保，但是否即意味保證人亦必須遵守買賣契約中所約定的仲裁爭議解決條款？SSF的第15條在條文中，即明定攸關本買賣契約所為的「保證」，亦受此一「仲裁與準據法」條款（Arbitration and Governing Law）的約束，爰避免了類似Stellar案可能會發生的爭議。

另，針對保證人選擇不在船舶買賣契約中背書，而改以另行簽發所謂「保證書」的方式來履行其保證責任者，如保證人仍舊想主張SSF第15條所賦予的權利時，則應於其中敘明，以杜爭議，蓋在Transocean Offshore International Ventures Ltd. –v.- Burgundy Global Exploration Corp.案中，亦曾發生有爭議解決方式的規範，在「買賣契約」與「保證契約」之間有兩相衝突的現象(註三) 。

參、【買主的變更】：
在SSF第1頁的第2個註釋中，則提供買方在收到賣方在船舶預計抵達指定交船地點前15天所發的通知時，有變更買主的最後機會。依SSF第8條（d）項的規定，買賣雙方最遲應於預期交船妥適日14天前（the Vessel’s expected readiness of delivery），彼此交換審閱「交船文件」稿本（the draft of Delivery Documents）。如是一來對照前開規定，即可大幅降低昔日賣方在最後一刻因臨時變更買主，而疲於奔命在修定交船文件的「窘境」，同時亦可節省若干因修改買主所枉費的認證或律師費用。

同時SSF亦要求以「附件」（the Addendum）的方式記錄下來，攸關買方變更買主的所有歷程，而其亦澄清攸關「買主變更」的本質，係屬於賣方、原買主，與新買主間的「novation」（轉讓）（即「轉讓」（或稱「變更」）之後，原買主即自始自終地從原船舶買賣交易中全面退出，視同未曾參加過買賣交易般，取而代之地即由新買主直接介入。而賣方自此亦祇得向新買主主張買賣契約上的權義，而不得再「追索」（recourse）到原買主處，此舉對於並不是那麼瞭解前開「變更」所產生法律效果的一般當事人而言，可謂是一大幫助。

肆、【定金與付款】：
SSF的第1條與第2條，則分別是所謂「定金」與「付款」條款的約定：

1. Deposit:
The Buyer shall pay a deposit of 10 per cent of the Purchase Price specified in Box 8 (i) as security for the fulfillment of this Agreement to the bank nominated by the Sellers in Box 8 (i)(a), with a value date no later than that specified upon in Box 8 (i)(b) of this Agreement. Notwithstanding that the amount received may be lesser due to bank remittance charges imposed during the normal course of transfer, such amount shall stand as due fulfillment of the Buyers obligation to pay the deposit and be held in a joint escrow account of both the Sellers and the Buyers, which shall be released to the Sellers as part of the Purchase Price in accordance with joint written instructions of the Sellers and the Buyers. The Sellers are to arrange the opening of the joint escrow account latest by 2 banking days prior to the Value Date. The Buyers, latest together with their remittance of the Deposit, are to arrange bank-to-bank confirmation from the remitting bank to the bank specified in Box 8 (i)(a) that the Buyers, and the remitting party if different, are a known customer of the bank and should it be required by the bank in Box 8 (i)(a), the Buyer will also arrange for the bank-to-bank confirmation to include the confirmation by the remitting bank that they know the source of funds. Both Sellers and Buyers shall comply with the anti-money laundering laws and regulations of the country in which the bank(s) specified in Box 8 are located.

Any interest earned on the deposit shall accrue to the Buyers whereas any closing fee/fees charged for holding the deposit shall be borne equally by the Sellers and the Buyers.

前開條款中，將「定金」（the Deposit）必須支付的期日清楚明白地約定在SSF的第8條（i）項中，且註明係所謂的「Value Date」，此意味在此一指定期日時，這筆「定金」必須在買賣雙方所聯合共開的戶頭中出現（the joint escrow account），且無任何轉讓的限制（freely transferable）。如果條款不是像上面這樣的約束，而是註明「定金應該於合約簽署的7日內支付」的話（Deposit is to be paid within 7 days from the date of execution of the Agreement），則買方可能以為其可以在簽約後的第7天才安排匯付「定金」款項，而賣方卻可能期待在前開第7天前即可以收到賣方匯付款項，即買賣雙方在認知上即可能出現若干「差距」。

另，SSF條款中亦要求賣方應於Value Date之前的2個銀行營業日（Banking Days）將「聯合escrow戶頭」開妥，由於賣方期待早日收到買方匯付的「定金」，所以早日將聯合帳戶備妥，對於賣方而言，亦可謂是一項利多。

另，SSF對於英國法攸關買賣契約的法律見解亦表示關切，其於條文中明白約定定金屆時會轉為買賣價金的一部分（「as part of the Purchase Price」），蓋在PT Berlian Laju Tanker TBK –v.- Nuse Shipping Ltd. (2008)的Aktor案中(註四) ，雙方針對買賣價金的全部（或至少是部分款項），應該在哪個地點支付有所爭執。案件中賣方以為買賣契約所採用的NSF 93第2條中，規定了定金不等同於買賣價金的一部分，也不必成為買賣價金的一部分，爰沒有限制賣方根據第3條指定金額付款地點的權利。為杜類似爭議再度發生，SSF於是乎在第1條中，明示定金屆時會成為買賣價金的一部分。

對於國際銀行間，為打擊不法洗錢的行為（money laundering），莫不卯足全勁，而設下層層的嚴格防制與關卡，SSF即於條款中要求買方提供匯款銀行確認函，以確認其債信良好、資金來源正當並無不法等事項。當然要求買賣雙方務必配合遵守收款銀行攸關防制洗錢等措施，自不在話下。當然匯付銀行是否能夠配合前開條款，而迅速提供確認函，則端視當地的銀行系統運作狀況而定，是買方應該在正式簽署SSF之前，被告知其有此一義務，以得預先自忖在履行上是否有任何困難。

2. Payment:
(a) The Buyer shall pay the Balance Purchase Price specified in Box 8 (ii) in full including any extras under Clause 7 free of bank/transfer charges to Sellers’ nominated bank account at Sellers’ bank stated in Box 8 (ii)(a) upon delivery of the Vessel. The agreed Purchase Price shall be paid for same day value within 3 full banking days, (being banking days in the place of closing and in the country of the Purchase Price currency) after the Sellers tender the written notice* of actual readiness of the Vessel for delivery in accordance with Clause 5 (b).
(b) The Buyers may delay to take delivery of the Vessel for up to a maximum of further seven (7) consecutive days paying to the Sellers the sum specified in Box 8 (iv) per day, or part thereof, as compensation for such delay provided that the Buyers have declared their intention to take late delivery prior to the expiry of the specified 3 full banking days. Any such amount due shall be paid at the time and place and in the same currency as the Purchase Price and any additional amounts due under Clause 7. If such delay exceeds seven (7) consecutive days then the Sellers shall have the right to cancel this Agreement and claim damages for their losses incurred.

（* Throughout this Agreement, a written notice is to mean a registered letter, telex, tele-fax, e-mail or other modern form of written communication between Sellers and the Buyers）.

在SSF第2條的b項中，其准許買方得在買方發出「準備妥適通知」（NOR）後的3個銀行日內，表明遲延交船的意願（最長期間可達7天連續）。而對於前開延遲交船所造成賣方的損失，則雙方預先於SSF第8(iv)欄中，相互約定「每日的賠償金額」，是可謂係「損害賠償預定性違約金」（the Liquidated Damages）的最佳範例。祇是在決定此項賠償金額之時，雙方務必精打細算，以實際反應出賣方屆時可能會產生的損失，恐怕才是最重要的爭點。

伍、【檢查與交船前的潛水檢查】：
SSF的第3條與第6條，則分別是所謂「檢查」與「交船前的潛水檢查」條款的約定：

3. Inspections*:
(a) The Buyers have physically inspected the Vessel at the place and on the date specified in Box 9 (i) as well as the Classification records and have accepted the Vessel making the sale outright, subject only to the terms and conditions of this Agreement.
(b) The Sellers shall make the Vessel available for Physical Inspection as per Box 9 (i) hereof.

The Buyers shall undertake the Physical Inspection** without undue delay to the Vessel. Should the Buyers cause undue delay, the Sellers shall be compensated for the losses incurred by them. The sale shall become definite and outright, subject only to the terms and conditions of this Agreement, if the Vessel is accepted by the Buyers after the inspection and a written notice of acceptance from the Buyers is received by the Sellers within 72 hours after completion of Physical Inspection of the Vessel. If the Buyers decline the Vessel or if such notice of acceptance is not received by the Sellers within the afore-mentioned time, the deposit together with any interest earned shall be immediately released to the Buyers, whereafter this Agreement shall be null and void.

* 3(a) and 3 (b) are alternatives; delete whichever is not applicable. In the absence of deletion, alternative 3 (a) shall apply.
** In the context of this Agreement, Physical Inspection of the Vessel is to mean only inspection of the Vessel physically including taking photographs without opening up of the Vessel and without cost to the Sellers. The Physical Inspection to include inspection of Vessel’s Classification records, continuous synopsis record, maintenance records, deck and engine log books and available ballast spaces.

SSF的第3條係所謂的「檢查」條款，其與其他買賣格式契約的檢查條款相類似，並無太多爭議之處。SSF將交船時船舶狀態的舉證責任置於買方身上（the burden of proof），是買方暨其委任的Surveyor（公證人）於執行調查任務時，若發現任何缺失，即應記載於調查報告中，並輔以照片佐證（SSF於第3條b項的第2點備註中的「實體檢查」定義中（Physical Inspection），即明示買方於進行檢查程序中得予拍照記錄）。

6. Pre-Delivery Divers Inspection:
Prior to delivery, the Sellers shall make the Vessel available to the Buyers for underwater inspection. The Sellers shall be responsible for ensuring that the port, anchorage or berth chosen for underwater inspection of the Vessel is suitable and permitting such inspection.

(a) The Buyers shall have the right to appoint, at their own expense, a Class approved diver to inspect the Vessel’s underwater parts below the deepest load line including rudder and propeller upon the Vessel’s arrival at the port specified in Box 9 (ii). The Sellers shall grant Buyers sufficient daylight hours within which to conduct the said inspection and Sellers shall be obliged to ensure attendance of the Class surveyor to monitor the said inspection which may be attended by Buyers’ and Sellers’ representatives without interference to Class and/or the divers. However, should the Buyers fail to arrange for such inspection then they shall lose the right of such divers inspection.

(i) If any defects are found during underwater inspection including rudder and propeller that shall affect the Vessel’s present Class and the repair of which Class agrees can be deferred to the Vessel’s next scheduled dry-docking, the Buyers’ sole remedy shall be the payment by the Sellers of the estimated cost of repair of such defects only excluding any dry-dock costs, as per the average of the quotations of two reputable repair yards independent of the Sellers and the Buyers in the delivery area, one to be selected by each party. The said average amount in respect of the cost of repair shall be deducted from the Purchase Price to be paid to the Sellers at the time of delivery of the Vessel. The costs of Class attendance and divers fees incurred for the underwater inspection shall be borne by the Buyers unless damage is found and the Class imposes a recommendation in which case both costs shall be borne by the Sellers.
(ii) If damage is found for which Class requires immediate repair, then Sellers shall repair such damage without delay prior to delivery. Should the Sellers be required to dry-dock the Vessel to repair such damage, then Class 6 (b) shall apply.

(b) Where the Sellers are required to dry-dock the Vessel under Clause 6 (a)(ii), the Sellers shall also enable the inspection of the Vessel’s bottom, rudder, propeller, tail shaft and other underwater parts by a surveyor of the Classification Society to the satisfaction of the Classification Society standards. The Sellers shall be obliged to rectify any defects found that affect the present Class of the Vessel within the agreed time or if no agreement is reached then latest within 14 days of such damage being found (and, insofar as necessary, the Cancelling Date shall be extended to allow the full agreed or 14 days’ repair period), failure of which shall enable the Buyers to cancel the Agreement and recover the deposit together with interest.

(i) The Buyers shall bear the cost of the survey of the tail shaft system unless the Classification Society requires such survey to be carried out, in which case the Sellers shall bear the cost. The expenses in connection with putting the Vessel in and taking her out of dry-dock including dry-dock dues and Classification Society’s fees shall be paid by the Sellers if any condition or recommendation, excluding surveyor notes is issued as a result of the survey. In all other cases Buyers shall pay the aforesaid expenses, dues and fees.
(ii) The Buyer shall have the right to place a representative for observation whilst the Vessel is in dry-dock without interfering with the Classification surveyor’s work or decision, during the Classification Society inspections.
(iii) The Buyers shall have the right to have the underwater parts of the Vessel cleaned and painted at their risk and expense without interfering with the Classification Society’s or the Sellers’ work, and without affecting timely delivery of the Vessel. Upon the completion of the Sellers’ work, the Sellers may tender Notice of Actual Readiness of the Vessel for delivery notwithstanding the non-completion of Buyers’ work and notwithstanding that the Vessel is not at the Delivery Place, upon which the Buyers shall be obliged to take delivery of the Vessel in accordance with the aforesaid notice. All dry-docking expenses incurred after such delivery except undocking expenses under Clause 6 (a)(ii) shall be borne by the Buyers.

The Classification Society shall be the only entity to determine whether any underwater damage constitutes a condition of Class, and such determination shall be final and binding on both parties.

買賣雙方若能於買賣契約正式簽署前，決定潛水檢查的港口或停泊地點，即可以免除未來買賣雙方對於港口選擇可能產生的意見歧異（待續）。

(註釋):
(註一): SSF第15條規定：「i. * This Agreement and any guarantee contained herein shall be governed by and construed in accordance with Singapore/English* Law and any and all disputes arising out of or in connection with this Agreement, including any question regarding its existence, validity or termination, shall be referred to and finally resolved by arbitration in Singapore in accordance with the Arbitration Rules of the Singapore Chamber of Maritime Arbitration for the time being in force at the commencement of the arbitration. ii. * This Agreement and guarantee contained herein shall governed by and construed in accordance with __________ Law and any all disputes arising out of or in connection with this Agreement, including any question regarding its existence, validity or termination, shall be referred to and finally resolved by arbitration in __________ in accordance with ______________ Rules for the time being in force at the commencement of the arbitration」（細節容後述）。
(註二): [2010] EWHC 2985 (Comm)。
(註三): [2010] 2 SLR 821。
(註四): 2 Lloyd’s Rep. 24。