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第三十六篇
全损退回租金
(Frustration)
(NYPE 46 第 102 行至第 103 行)
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“16. That should the Vessel be lost, money paid in advance and not earned
(reckoning from the date of loss or being last heard of) shall be returned to the Charterers
at once…”
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受阻这个庞大课题已经在杨良宜先生的《国际商务游戏规则 – 英国合约
法》第十二章详论, 只去简单介绍法律是怎样说是会构成合同受阻,较早在 Davis
Contractors v. Fareham2, 贵族院认为:-
1
The Oliva [1972] 1 Lloyd’s Rep 458.
2
[1956] AC 696.
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期租合約 – 修訂版
“[F]rustration occurs whenever the law recognizes that without default of either party a
contractual obligation has become incapable of being performed because the circumstances
in which performance is called for would render it a thing radically different from that
which was undertaken by the contract.”
(一)是受阻不是轻易可以成立。
(二)是即使有一个不能预见的变化而令合同的履行变得更苛刻,也不足
构成合同受阻。这不能预见的变化必须是根本上改变双方在合同中的承诺。
(三)是延误可以去构成合同受阻,但通常是不容易,关键还是要去看延
误的程度。这里也要去考虑有关延误是否在双方所订立的合同本质上能够去预料
得到2。至于在期租合同,曾有先例说到主要的考虑是延误的长短去比较剩余的
租约期3,但另有先例不认为这是主要的考虑因素4。
(四)虽然受阻是针对不能预见的重大变化,但也有先例的说法是主要不
在可否预见,而是主要在双方的合同中有否去针对5。
(五)受阻是不能由依赖的一方行为所导致6。
1
[2007] 1 Lloyd’s Rep 335.
2
这里可以 The Sea Angel 为例,它是一个 20 天的期租,船舶是用在一个救助行动中把搁浅的油
轮轻载,但在还船之前船舶被巴基斯坦当局拒绝清关,造成了十分严重的延误,长达 3 个多月。
船东索赔这一段时间的租金,但承租人认为在巴基斯坦当局不准船舶离开卡拉奇时租约已经受
阻。英国法院判是租约并没有受阻,虽然延误是很长,但考虑到救助行动的本质上会受到政府
的干预是经常发生,所以并不构成是租约受阻, 而延误的风险应该是在承租人,毕竟他可在救
助奖金中得到赔偿。
3
Anglo-Northern Trading Co Ltd v. Emlyn Jones & Williams [1917] 2 KB 78.
4
Bank Line v. Arthur Capel & Co [1919] AC 435.
5
Tatem (WJ) Ltd v. Gamboa [1939] 1 KB 132, Goddard 大法官说:“ … it makes very little difference
whether the events are foreseen or not. If the foundation of the contract goes, it goes whether or not the
parties have made a provision for it… It seems to me, therefore, that when one uses the expression
‘unforeseen circumstances’ in relation to the frustration of the performance of a contract one is really
dealing with circumstances which are unprovided for, circumstances for which … the contract makes no
provision.”。
6
The Super Servant Two [1990] 1 Lloyd’s Rep 1.在该案中 Bingham 大法官说:“ A frustrating event
must take place without blame or fault on the side of the party seeking to rely on it … which is whether the
frustrating event relied upon is truly an outside event or extraneous change of situation or whether it is an
event which the party seeking to rely on it had the means and opportunity to prevent but nevertheless caused
or permitted to come about. A fine test of legal duty is inappropriate; what is needed is a pragmatic judgment
whether a party seeking to rely on an event as discharging him from a contractual promise was himself
responsible for the occurrence of that event.”
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期租合約 – 修訂版
1
The World Sky [1961] 2 Lloyd’s Rep 496.
2
在这方面的一个近期例子是 The Greek Fighter [2006] EWHC 1729, 承租人裝了一些联合国禁运
的伊拉克石油, 令船舶结果被沒收然后拍卖。 结果承租人要向船东负责。
3
The Ardoyne (1921) 8 Ll. L. Rep. 345.
3
期租合約 – 修訂版
这 1943 年《受阻合同法》《
( Frustrated Contracts Act 1943》) 在 Section 1 (2)允许
合同一方去向对方索回在受阻前已支付了但没有赚取的钱, 具体请参阅杨良宜
先生《国际商务游戏规则—英国合约法》一书第十二章 5.3 段。 它适用在期租合
同但不适用在程租合同, 这可见其 Section 2 (5) 说明不适用在一些合同:
36.4 向单船公司要回预付租金的取巧
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期租合約 – 修訂版
36.5 其他方面的受阻
36.5.1 介绍
在以下只去简单介绍除了船舶全损, 有什么其他情况会或不会带来期租合同
受阻。
36.5.2 一些一般都不会带来受阻的事情
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期租合約 – 修訂版
以下列出几个例子:-
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期租合約 – 修訂版
看来, 现实上最有机会令期租合同受阻的情况是若某些事件会带来严重或无
法准确计算的延误, 或使履行租约变为非法 (supervening illegality), 令在这期间船
舶无法履行租约1。 延滞的长短会否令租约受阻也要看租约期长短, 一个 TCT 当
然比一个长期租约容易受阻。 要带来这种延滞一般都会要是较特殊的情况, 以下
来探讨。
36.5.3 战争
战争的影响一般是最严重, 看来亦是最容易会令期租合同受阻的情况。 在
80 年代初期的两伊战争, 有几宗案例 2针对因这战争的爆发导致好几十艘船舶被
困在沙特阿拉伯河 (Shatt-al-Arab) 出不来而无法继续履行租约的情况。 结果这些
租约都先后被仲裁员判为受阻, 毕竟战争的爆发通常何时结束会是遥遥无期。
这不比一些短暂的延滞, 例如是由于沙特阿拉伯河因发生了沉船堵塞航道或领
航员罢工, 导致船舶被困出不来。 在 The Chrysalis3, Mustill 大法官解释除非战争
令履行租约变成非法, 例如承租人与船东/船旗的国家变为敌对国, 他们之间的
租约即会因非法而受阻。 否则不能假设一发生战争必定会令租约受阻, 因为会
令船舶无法向承租人提供服务的原因不是战争本身, 而是战争带来的行动。 战
争本身与合同的履行没有必然的关系。 例如同样是两伊战争, 被困在沙特阿拉
伯河开不走的船舶是因此受阻, 但没有被困的船舶并不会因两伊战争的爆发而
受阻。 Mustill 大法官原文的判决如下:-
“In my judgment the true position is as follows: (1) Except in the case of supervening
illegality, arising from the fact that the contract involves a party in trading with some one
who has become an enemy, a declaration of war does not prevent the performance of a
contract; it is the acts done in furtherance of the war which may or may not prevent
performance, depending on the individual circumstances of the case. (2) If there is any
presumption at all, it relates to the duration of the state of war, not to the effects which the
war may have on the performance of the contract. The war itself and its effects on the
contract are by no means necessarily coterminous. (3) Any presumption as to the indefinite
duration of the war is capable of being rebutted.”
1
The Quito [1919] AC 435; The Wenjiang (No. 2) [1983] 1 Lloyd’s Rep 400.
2
The Evia [1982] 2 Lloyd’s Rep 307; The Wenjiang [1983] 1 Lloyd’s Rep 400; The Lucille [1983] 1
Lloyd’s Rep 387; The Chrysalis [1983] 1 Lloyd’s Rep 503.
3
[1983] 1 Lloyd’s Rep 503.
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期租合約 – 修訂版
“[T]he real principle which applies in cases of commercial responsibility is that business
men must not be left in indefinite suspense. If there is a reasonable probability from the
nature of the interruption that it will be of indefinite duration, they ought to be free to turn
their assets, their plant and equipment and their business operations into activities which
are open to them, and to be free from commitments which are stuck with sterility for an
uncertain future period.”
为了避免一种情况即战争的爆发导致了营运的困难, 或航运市场大变, 但
该战争却不直接影响某一个租约的履行。 在上述例子, 会是指一些没有被困在
沙特阿拉伯河的船舶, 但她们经常要回来伊朗装货, 显然两伊战争严重影响该
些租约, 但又不足够构成租约受阻。 所以特别是较长期的期租合同越来越多见
到双方加入一条“战争能取消租约条款”(War Cancellation Clause), 给船东或承租
人在某些国家发生战争时可选择取消租约。 换言之这又是去依赖明示条款给与
的选择权, 而不是去依赖默示地位的合同受阻理论。 NYPE 46 没有这条款, 需
1
[1944] AC 265.
2
The Evia [1982] 2 Lloyd’s Rep 307 (1980 年 10 月 4 日); The Wenjiang [1983] 1 Lloyd’s Rep 400 (1980
年 11 月 24 日 ); The Lucille [1983] 1 Lloyd’s Rep 387 (1980 年 10 月 23 日 ); The Chrysalis [1983] 1
Lloyd’s Rep 503 (1980 年 11 月 24 日).
3
The Nema [1981] 2 Lloyd’s Rep 239; The Evia (No. 2) [1982] 2 Lloyd’s Rep 307.
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期租合約 – 修訂版
这种“战争能取消租约条款”又会带来另一种争议, 就是有否发生有关的
战争导致可去行使选择权。 明显的例子是在 The Northern Pioneer1, 该租约有这种
条款如下:-
“In the event of the outbreak of war (whether there be a declaration of war or not)
between any two or more of the following countries: The United States of America, the
United Kingdom, France, Russia, the People’s Republic of China, Federal Republic of
Germany and any country of the EEC or in the event of the nation under whose flag the
vessel sails becoming involved in war (whether there be a declaration of war or not), either
the Owners or the charterers may cancel this charter …”
上述条款特别要强调是包括了德国如果爆发或者参与战争, 原因是船东是
德国公司, 船舶是德国旗。 在 1999 年, 德国作为北约成员国参与了在前南斯
拉夫与科索沃 (Kosovo) 的军事行动, 承租人趁机去行使选择权取消租约。 这看
来是取巧, 但合法与否纯粹是去看上述条款文字上的解释。 这问题是这军事行
动是否属于一场战争, 结果是仲裁庭 2 比 1 认为不是战争。 当然也会有比较明
确的情况, 例如在本书第 6 篇 6.5.3 段介绍的 The Golden Victory2先例, 美国与
伊拉克之间的战争与敌对关系在该租约的“战争能取消租约条款”下是双方都
同意的事实, 因为太过明显。
1
[2003] 1 Lloyd’s Rep 212.
2
[2005] 2 Lloyd’s Rep 747.
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期租合約 – 修訂版
“If major war which affects performance of this Charter breaks out between any two or
more of the following countries: United Kingdom, U.S.A., Russia, The People’s
Republic of China and Australia, directly affecting the performance of this Charter, both
the Owners and the Charterers shall have the option of canceling this Charter whereupon
the Charterers shall redeliver the vessel to the Owners, if she has cargo on board after
discharge thereof at destination, or, if debarred from reaching or entering it, at a near open
and safe port as directed by the Charterers, or if she has no cargo on board, at a port at
which she stays provided this port is not in the war range countries or if at sea at a near
and safe port as directed by the Charterers. In all cases hire shall be paid until the
vessel’s redelivery.”
36.5.4 罢工
36.5.5 没收
36.5.6 征用
船舶被船旗国征用的情况不多听闻, 毕竟越来越多散装船舶与油轮的船旗
国是方便旗国家。 但即使方便旗国家, 也会有这种危险, 例如美国政府如果
1
[1928] P. 180.
2
[1981] 2 Lloyd’s Rep 239.
3
[2006] EWHC 1729.
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期租合約 – 修訂版
考虑到船舶被征用除非是有一条特定条款针对,否则承租人是不能去停租
或向船东提出索赔损失。这表示如果船舶被征用 3 个月或半年,承租人就一直要
给租金,除非他能够成功以船舶一被征用该租约就自动受阻。
如果确实有这样一条特定条款说明船舶征用将被停租,这就增加了租约受
阻的机会。这会是要去比较征用到底会是多久(例如是 3 个月), 然后去比较
余下的租约期(例如是 2 个月)。 在后者比前者时间更短的情况下,就应该使
租约受阻了,因为停租是不能用来延长租约期(请看本书第六篇之 6.6 段)。
为了避免上述的麻烦, 所以比较长期的期租合同通常会有一条款去针对,
例子如下:-
“Should the vessel be requisitioned by the government of the vessel’s flag during the
period of the Charter, the vessel shall be deemed to be off-hire during the period of such
requisition, and any hire paid by the said government in respect of such requisition period
shall be retained by the Owners. However, if the period of requisition is more than 30
days, the Charterers shall have the option to cancel the balance period of this Charter. ”
1
[1919] AC 435
11