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 法律及新造船合同 | 新造船合同及点评 |  提纲挈领读懂造船合同--造船合同第14章,合同转让
 
提纲挈领读懂造船合同--造船合同第14章,合同转让
2019-08-24

合同原文:

ARTICLE XIV - RIGHT OF ASSIGNMENT

Neither of the parties hereto shall assign this Contract to any other individual, firm, company or corporation unless prior consent of the other party is given in writing.


翻译:

在未得到另一方的书面同意前,任何一方不得将本合同转让给任何个人、团体、公司或联合体。

What! 就一句话?

是的,就一句话!

重点提示

(一)Novation 和 Assignment 有什么区别?

(1)Novation:合同的权利和义务完全转让,受让方将取代原买方,船舶建造完成后船舶将交付给受让方(新买方);
(2)Assignment:部分转让,通常是买方将合同项下的权利转让给受让方(通常为融资机构),合同中买方的义务将由原买方保留,船舶建造完成后将交付给原买方。

如果是转让给银行,合同中取消合同的权利,以及还款保函中索赔权都建议保留在原买方。

买方怎么可能不转让造船合同和还款保函?不转让怎么融资?以下这段补充很好的解决了完全转让(Novation)和部分转让(Assignment)

Notwithstanding the foregoing, the BUYER may

(i) novate its rights and obligations under this Contract to any affiliate (with reasonably satisfactory evidence thereof provided to the SELLER) upon condition that the BUYER guarantees in accordance with the format in Exhibit B the obligations of such affiliate in a manner reasonably satisfactory to the SELLER (in which event the parties to this Contract shall execute a novation agreement in a form reasonably mutually agreed to by the parties), or

(ii) assign the benefit, but not the obligations, of this Contract to a financial bank or financial institution involved in the provision of financing to the BUYER (in which event the SELLER shall execute an acknowledgement to the financiers upon receipt of a notice of assignment in a form reasonably acceptable to the SELLER). However, the right of cancellation under this Contract as well as the right of demand for payment under the Refund Guarantee shall always remain with the BUYER.

上面这段补充条款中,涵盖了全部转让和部分转让两种情况。(i),买方将造船合同赋予买方的权利,以及合同应完成的义务和责任全部转让给其子公司,但买方(母公司)在转让时出具履约保函;(ii),买方将合同赋予买方的权利转让给融资方,但取消合同的权利、保函的索赔权保留在原买方。

问题(1)银行会不会拒绝银行保函的转让?是的,银行完全有理由拒绝银行保函的转让。银行保函是一种有价证券,卖方银行为建造方开具的还款保函是为了支持卖方获得新造船项目,是卖方的担保人。而买方因为融资的需求将保函转让给买方银行,变相成为支持买方融资,卖方开具的银行保函目的发生根本的改变。所以,千万不要认为银行同意保函转让是理所当然的。

问题(2)为什么要将取消合同的权力和索赔权保留在买方手上?(i)造船合同的签署,是在买卖双方了解并且相互信任的前提下达成的协议。卖方并不了解买方的融资银行,而且买方的融资银行并不参与船舶建造,并不了解船舶建造的情况,卖方怎么能将取消合同这一重大的权力交给买方的融资银行?(ii)如果出现卖方违约,买方有权取消合同时,如果买卖双方仍有意向继续完成船舶建造并交船,但此时买方的融资银行可能以金融系统的风险为由,如金融危机,而取消合同并向卖方融资银行索赔,这样会扩大卖方的风险。基于以上两点,取消合同和索赔全需要保留在买方手上。


Exhibit B PERFORMANCE GUARANTEE SAMPLE 买方履约保函


Date: xx, xx, 20xx
To: [the SELLER]

In consideration of your executing a Shipbuilding Contract dated [xx, xx, 20xx] with [the Buyer], [register country] (hereinafter called the “Buyer”) for one (1) [82,000] MTDW type single screw motor driven bulk carrier bearing the builder’s Hull No. [Hxxxx] (hereinafter called the “Vessel”), we, the undersigned, do hereby, absolutely, unconditionally and irrevocably guarantee to you, your successors and assigns, the due and faithful performance by the Buyer of all of its liabilities and responsibilities under the said Shipbuilding Contract and any agreements related thereto and any supplements, amendments, changes or modifications to be hereafter made thereto (hereinafter collectively called the “Contract”), including but not limited to, due and punctual payment of the Contract Price by the Buyer to you under the Contract.

In the event of failure by the Buyer to perform and/or to observe its obligations under the Contract, then, we shall promptly perform, upon receipt of notice from you, the obligations of the Buyer under the Contract according to the terms thereof, without requesting you to take further step or other action against the Buyer.

The undersigned hereby unconditionally affirm and consent to any and all amendments, changes and modifications to be hereafter made to the Contract without requesting any further notice.

Yours faithfully
[the Guarantor]

Signed by xxx

Title: xxx

这段履约保函非常简单,造船合同里买方所有未完成的义务,买方一收到卖方的通知,立刻完成该义务。这个履约保函范围非常广,不仅是付款还有接船,不同于标准造船合同中的买方付款保函,供各位同行参考。


转让协议之一(Novation Agreement)

双方都同意转让,就需要签署转让协议,关于转让协议主要有以下条款:

(一)转让协议主要条款

(1)新买方取代原买方承担造船合同中的所有未履行的责任和义务,原买方解除造船合同中规定的仍未履行的所有责任和义务;
(2)新买方和原买方共同承诺,除造船合同中明确承担的责任和义务,不得因本转让协议协议而对卖方施加额外的责任或义务;
(3)卖方同意向新买方继续执行造船合同中规定的应向原买方执行的责任和义务;
(4)卖方解除造船合同中规定的应向原买方执行的责任和义务;
(5)原买方已支付的所有款项视为新买方已支付的款项;
(6)原买方已供应的买方供应品视为新买方的供应品。

(二)还款保函转让(如有)

如果卖方已开具还款保函,买方都会要求将还款保函的收益人修改为新买方。还款保函的转让根据不同银行的要求不同,以中国银行和中国进出口银行为例,通常银行会要求(1)买方提出保函收益人修改的函件(如本文所附转让协议草稿-附件C);(2)卖方申请保函收益人的申请表格;(3)转让协议。

银行会出具保函收益人修改的函,如本文所附转让协议草稿-附件A

(三)付款保函

如果原买方已出具付款保函(通常为母公司保函),需要由买方单独出具付款保函的承诺函,如本文所附转让协议草稿-附件B。承诺函中需要(1)付款保函继续有效,(2)保函的效力不发生变化。

如果原买方没有出具付款保函,而转让是给单船公司,那么应要求原买方出具母公司付款保函。

(四)其他的法律条款,
不一一描述


转让协议之二(Assignment Notice)

Assignment 通常称为不完全转让,合同买方将合同赋予的权利转让给融资方-如银行,而将合同中的义务和责任保留在买方手上,合同中买方主体并未发生转变。注意,这种转让方式,通常在船舶建造完成时,船舶是交给买方的(即原船东)。近几年由于融资方更强势,通常要求完全转让,即Novation。很少有Assignment 的模式。

注意:

(一)合同买方将合同赋予的权利转给融资方;
(二)合同买方保留合同中的义务和责任;
(三)如果有还款保函,还款保函受益人通常无需变更;
(四)船舶完成建造后将交付给合同买方

Assignment 模式文件处理通常较简单,买方发给卖方“Assignment Notice”以及还款保函开具银行,卖方如果同意,回复“Notice Acknowledgement”;还款保函开具银行如同意,回复“Notice Acknowledgement”。具体文本参阅所附“Assignment Notice”。

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