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说说租船运输中的"租家代理":从船东的视角

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说说租船运输中的"租家代理":从船东的视角

1.1什么是船舶代理

在Dictionary of Shipping Terms一书中,“船舶代理”定义为:

【Ship's agent】
Person who looks after the interests of a ship while she is in port. His duties include the arranging of pilotage, towage and a berth for the ship, the signing of bills of lading and the collection of freight. The agent is paid a fee, agreed in advance with the shipowner.
【船舶代理】
船舶在港期间照管船舶利益的人。其职责包括安排船舶的引航、拖轮与靠泊,提单签发,运费收取等。船东按事先同意向代理支付费用。

船舶代理的授权,首先来自委托人的指示,其次来自港口习惯。

代理有义务行事with reasonable care, diligence and skill,否则代理要承担后果。
案例: Lage V. Siemens (1932) 42 Ll. L. Rep. 252
另一起伦敦仲裁中,Lond. Arb. 4/99 (L.M.L.N. 504),代理没有及时通知船东港方收取额外费用,判要自己承担部分产生的费用。
1.2 什么是"租家代理"

根据以上"船舶代理"的定义,在航次租船合同中,船代自然的应由船东选择,委托,并支付费用,以保证船舶在港期间顺利作业。但实务中,代理的"选择"与"委托"通常发生分离, 区分为“船东代理”与“租家代理”。

在Dictionary of Shipping Terms一书中,定义为:

【Owner's agent】
Ship's agent nominated by, and paid by, the shipowner in accordance with the charter-party.
【船东代理】
由船东根据租船合同所指定并支付费用的船舶代理。

【Charterer's agent】
Ship's agent nominated by the voyage charterer in accordance with the charter-party. Although nominated by the charterer, the agent is paid by, and is responsible to, the shipowner. See also Ship's agent.
【租家代理】
由航次租船人根据租船合同指定的船舶代理。尽管由租船人指定,该代理由船东支付费用,并对船东负责。参见“船舶代理”。

Peter R. Brodie(Editor), Dictionary of Shipping Terms, LLP Professional Publishing, 2001.
1.3 "租家代理"的起源

租家代理的起源

航次租船合同中,先由租家指定船舶代理,再由船东委托,这种做法源起于油轮运输。

据资料介绍,船东委托租家指定的船舶代理,最早出现于20世纪60年代。当时,世界的几大石油公司逐步改变过去的运输模式,即用自有船运自己的货,而是改为在航运现货市场租船运输。石油公司希望与自己原来委托的港口代理能够继续保持合作。这些代理熟悉石油公司的业务,可以保证装卸作业顺利。石油公司虽然不再控制运输环节,仍然希望占有代理指定权。石油巨头们坚持指定船舶代理的习惯做法延续下来,并渗透入干散货海上运输中,成为租船运输中的常见操作方式。

(本节内容整理自 Intermediary,2002年10月刊,“Who’s agent am I?”一文。)
2. 租船合同的代理条款

航次租船合同中,代理指定权有重要意义,船东与租家都应力争。理由包括:

成本控制方面,代理指定方有更大的议价能力,可以控制港口费用,降低成本;
船期速遣方面,与自己熟悉的代理有利于操作配合;
争议处理方面,一旦船东与租家发生利益纷争,如事实记录争议,无单放货争议等,所谓“租家(指定的船舶)代理”,究竟是租家的代理,还是船舶的代理,维护谁的利益?不能不打上一个问号。

但有时,船东面临租方市场,不得不妥协。下面考察一下常见租船合同范本中代理条款. 对船舶代理的指定及委托的方式,大致分为四种类型:
2.1船东自行委托代理,租家不干预

这是行业的习惯做法,条款规定相对简单,如:
GENCON 1994 – Uniform General Charter
Clause 14. Agency
In every case the Owners shall appoint their own Agent both at the port of loading and the port of discharge.

【比较】
GENCON 1976
Clause 13. Agency
In every case the Owners shall appoint his own Broker or Agent both at the port of loading and the port of discharge.
历史上,船舶往往通过卸货港当地的代理揽取“回程货”,代理同时充当经纪的角色。现代航运业分工更加专业化,经纪行业和代理行业已经分离,GENCON合同1994版本已删去了Broker。


ASBATANKVOY Charter Party 1977
Clause 22. AGENTS
The Owners shall appoint Vessel’s agents at all ports.
2.2 代理由租家指定,船东委托

“租家代理”浮出水面了

BALTIMORE FORM 1976 – Berth Grain Charter Party
Agents
…… At loading port/s, Owners to appoint and employ agents as selected by Charterers. At discharging port/s, Owners to appoint and employ agents as selected by Charterers.

又如
SUGAR CHARTER-PARTY 1999
Clause 7. AGENTS
At port(s) of loading and discharging Owners to appoint, employ and to be solely responsible for Agents, as selected by Charterers without risk or liability to Charterers, for all ship’s business, owners paying the agency fees.
(糖类贸易及运输,控制在ABCD为首的大粮商手中,垄断性强,制定的条款也极苛刻,如这一个关于代理的例子. 有兴趣研究一下大租家准备如何"欺凌"小船东的, 认真看看SUGAR CHARTER-PARTY应有收获 )

2.3 明确约定代理的名称

AMWELTH 93 – AMERICANIZED WELSH COAL CHARTER
Clause 17. Agents
The Vessel shall be consigned to …… agents at port(s) of loading, and to …… agents at port(s) of discharge.

类似规定的还有
CEMENTVOY 2006 - VOYAGE CHARTER PARTY FOR THE TRANSPORTATION OF BULK CEMENT
Clause 36. Agency
At the port(s) of loading the Vessel shall be consigned to the Agents as stated in Box 31(i) and at the port(s) of discharge to the Agents as stated in Box 31(ii), the Owners always paying the customary fees.

这种规定方式,优点是双方一早商定代理,可以提前安排装卸货事宜,在装/卸港十分明确,或有长期固定的总代理情况下,可以写进去。缺点是缺少灵活性。

2.4 由谁来指定代理,在租船合同中列出选项,由双方协商选择

GRAINCON 2003 – BIMCO Standard Grain Voyage Charter Party
Clause 27. Agents
The Owners*/Charterers* shall nominate agents at loading port(s) and the Owners*/Charterers* shall nominate agents at discharge port(s).
The Owners shall appoint agents as nominated above. In all instances, agency fee shall be for Owners’s account but shall not exceed customary applicable fees.
*Delete as appropriate.

Norgrain 89 – NORTH AMERICAN GRAIN CHARTERPARTY
Clause 29. Agents
Owners*/Charterers* are to appoint agents at loading port(s) and Owners*/Charterers* are to appoint agents at discharging port(s).
In all instances, agency fees shall be for Owners’ account but are not to exceed customary applicable fees.
* Delete as appropriate.

2.5小结
分析以上,2.1属于船东代理,2.2属于租家代理,而2.3与2.4则取决与双方谈判结果,可能是船东代理,也可能是租家代理。

总体来看,租家代理的方式,已经被广泛接受,并纳入许多租船合同范本中。船东组织如BIMCO或经纪人协会如ASBA拟定的合同范本,多由船东选择代理;货主、贸易商和行业协会等组织侧重租家利益,所拟定的合同范本大都规定租家指定代理,甚至包括对船东更为苛刻的内容,如上面SUGAR C/P 1999中的 “without risk or liability to Charterers”。

在现今的航次租船合同范本中,租家指定代理的条款已经很常见。更不必说,在合同洽谈过程中,租家通常会要求加入租家指定代理条款,对原合同的标准条款进行补充和修订。例如:

Owners to appoint Charterers nominated agents at load/discharge port(s).

甚至可能简单的在 Fixture Note 里简单写为几个单词:

CHARTERERS AGENT BOTH ENDS.

接下来谈谈“租家代理”带来的问题。
3 代理费回扣

如前文介绍,“租家代理”操作方式源于租家对船舶在港顺利作业的需要。但随着船代业竞争加剧,代理公司营销加强,租船人发现,争取代理指定权还会带来另外的回报:即从租家代理处取得一定的回扣。据说,有时该回扣可能高达代理费的一半。如果代理在港费计算与支付的操作过程中,还有运作与赢利的空间,为了争得船舶代理权,甚至可能向租家报更高的回扣额。

这种回扣,在商业诚信乃至法规监管等层面,多少有一定的问题。

例如, 交通部于1990年3月2日发布的《国际船舶代理管理规定》第十二条规定,"船舶代理公司必须执行交通部统一规定的费收标准,不得以任何形式给予回扣或变相给予回扣。" 但现在所谓部颁标准已经取消了,代理费率通过市场谈判商定。

国务院颁布的《中华人民共和国国际海运条例》第二十七条规定,"经营国际船舶运输业务和无船承运业务,不得有下列行为:(一)以低于正常、合理水平的运价提供服务,妨碍公平竞争; (二)在会计账簿之外暗中给予托运人回扣,承揽货物;......" 该法规并不适用于船舶代理业.
对比一下,保险业倒是对回扣问题有明确规定:
《中华人民共和国保险法》第一百一十六条规定,“保险公司及其工作人员在保险业务活动中不得有下列行为:……(四)给予或者承诺给予投保人、被保险人、受益人保险合同约定以外的保险费回扣或者其他利益; ……”

保险行业涉及千千万万的普通老百姓的利益,严格规范,整顿交易秩序是大有必要的. 但船舶代理业属于商业活动范畴,正常的商业回扣行为似不应禁止,只要正确区分正常的商业回扣与通过回扣进行商业贿赂. 当然,这笔费用会最终转嫁到船东身上,船东对此也只能是争一争,让一让,最后接受了.

铁矿石三巨头之一的力拓,自恃"身强体壮",根本不遮遮掩掩,在自己的程租合同范本中直接加入"吃回扣"条款, 船东亦无可奈何. 实在是直爽得可爱

Clause 24. AGENCY AND DISBURSEMENTS
At load/discharge ports, the vessel(s) shall be consigned to agents nominated by the Charterer.
Agency fees as customary shall be for Owners' account.  Owners undertake to provide the  nominated agents with funds sufficient to cover Vessel(s) disbursements prior to arrival at the respective ports and acknowledge that pursuant to Charterers' worldwide agency arrangements, Charterers' may receive appointment fees from the nominated agents, which shall be for Charterers' benefit.
4. 代理人的资质

代理费太高,船东增加了成本,当然也不肯. 在接受租家指定代理条款时,往往坚持对代理费做出一定限制。例如,在租船合同中订明,费率必须是有竞争力的(competitive),或者是惯常的(customary):

Agency:
Vessel agents shall be nominated by Charterers at loading and discharging port(s), provided rate is competitive. Customary agency fees shall be for the Owners' account.

对于competitive和customary之类的措辞,缺乏客观标准,容易引起争议。实践中,往往是船东与代理各让一步,费率做适当的优惠,达到各方能接受的利益平衡点。

这样,租家代理可能一方面要支付租家的回扣,另一方面要向船东提供优惠费率,变得利润微薄。价格的竞争,会不会导致服务质量下降?在争取国内租家的代理指派中,小型的私营代理公司有时具有优势,原因值得思考。
船舶代理业的门槛并不高。《中华人民共和国国际海运条例》规定,在国内经营船舶代理业务,只有两个基本条件:(1)至少2个具有3年以上国际海运经营经验的高级业务管理人员;(2)有固定营业场所和必要营业设施。

国内船舶代理公司数量增加迅猛,一个口岸几十家甚至上百家船舶代理公司, 同时,服务质量却良莠不齐,彼此恶性竞争。租家指定的代理,不具备合格的业务能力,造成损失的,租家是否应负有责任?又如,租家指定代理后,船东将港口费用备用金支付该代理,之后代理破产,谁来承担后果?

船东的自然会说,租家应该对其指定的代理负有一定的责任,包括其财务实力和执行能力。但上述各代理条款内容都很简单,难以保护船东的基本利益。

对此,国际独立油轮船东协会(INTERTANKO)拟定了一个较全面的航次租船合同代理条款,可以参考借鉴:

INTERTANKO AGENCY CLAUSE:
Where charterers under this charterparty have the right to nominate the vessel's agents at any port and they wish to exercise such right, they shall do so at the same time as the nomination of such port and they shall exercise due diligence to ensure that such agents are reliable, competent, competitive in price and service and (where possible) have ISO 9002 (or substantially equivalent) certification. If charterers fail to nominate the agent at the time that the port is nominated then owners may reject any subsequent nomination of agents by charterers. The appointment of such agents is subject always to owners' right to appoint protective agents in any port if they so wish.

条款内容比较全面, 平衡了租家和船东的权利和义务,注重与实务操作的衔接。除了对租家指定代理提出基本要求,另涉及其它几个重要问题,如:租家没有及时指定代理,船东可以自行委托船东代理;船东有权委托保护代理,监督租家代理的操作,维护船东利益等。

下面介绍一个租家代理失职,导致船东损失的案例.
【案例】

"伦敦仲裁LMLN No. 285 (1990),有关条文是要去船东在卸货后90天内递交所有的“支持文件”(supporting documents)。案件的争议什么才算是支持文件,因为船东面临一个问题是装港文件欠缺。因为船东的港口代理人是承租人要求委任。这会带来一定的困难就是,该港口代理人可能会与承租人合作多于与船东的合作,更不用说承租人在背后搞什么鬼,但船东是不会知道,更谈不上有证据了。在该案件中,船东也被仲裁庭认定是没有去追索装港代理人要求有关的文件直到很后期。结果是船东败诉,判是错过了90天时效。"
(杨良宜著,《装卸时间与滞期费》,大连海事大学出版社,2006年,634-635页)


船东最头疼的问题,租家代理不配合船东,偏袒租家的利益。它的后果可大可小,本案中导致船东滞期费索赔失败。

扬先生的《装卸时间与滞期费》是关于“滞期费”的专著,案情介绍中涉及“代理”的部分很简略。查阅LMLN(Lloyds’ Maritime Law Newsletter)285,对“租家代理”的内容补充整理如下:

该航次租船合同是Asbatankvoy格式,附加条款第8条为:

Any claim for demurrage must be received by [charterers] in writing with supporting documents within 90 days of final discharge and where this provision is not complied with, the claim shall be deemed to be waived and absolutely barred.

附加条款第11条为:

Owners to appoint agents nominated by charterers at both load and discharge ports.

在装货港租家指定(nominate)了代理,它是该港唯一的代理,船东也依照合同委托(appoint)该代理。之后,船东先后两次向代理索要Notice of Readiness,Statement of Facts和Timesheet,但代理迟迟不予回复。最终船东递交装港文件时间超过卸货结束后90天的时效期限。

船东向仲裁庭提出,租家应指定“胜任的”代理,否则应对其后果负责:
…… the owners contended that the charterers were bound, under additional clause 11, to nominate reasonably competent agents; they did not do so and that caused the owners to be unable to comply with additional clause 8 (Demurrage time bar clause).

仲裁庭并不倾向支持船东的争辩:
…… So far as the owners’ …… argument was concerned, there might well be a question whether, in a contract which provided for a named loading port at which there was only one agent (a fact which ought to have been known to the owners even if they did not have actual knowledge of it), there was any room for implying a duty on the charterers to nominate reasonably competent agents. Probably the answer to that question was in the negative. But even assuming that there was some such duty on the charterers, further questions arose, namely: were the agents reasonably competent? and if not, did their incompetence cause the owners’ loss?

从以上判决内容看,关于租家代理,租家是否有义务指定一个“胜任的”代理,仲裁员并不明确支持;即使假定租家有这样的义务,代理延误递交装港文件是否构成“不胜任”,是否与船东过了失效存在因果关系,都被仲裁庭质疑。

最终,仲裁庭判船东追索装港文件不够及时和积极,自己承担错过90天时效的后果:
The cause of the owners’ loss was their own failure earlier and more vigorously to have sought to obtain the documents…… That broke the chain of causation between any breach of the (assumed) obligation on the charterers to nominate reasonably competent agents, and the owners’ inability to recover any demurrage.

【小结】
对于“charterers nominate/ owners appoint”这种租家代理模式,英国法案例,租家nominate方面的义务要求很低,船东可考虑采用INTERTANKO的条款加以限制;同时,船东想追究租家代理的懈怠责任,也不容易成功,应及早委托保护代理进行监督。
5. 保护代理

为了监督租家代理的工作,保护船东的利益, 保护代理或称监护代理也出现了.

【Protecting agent】
Person or company appointed by a shipowner to protect his interests and to supervise the work carried out by the ship's agent when the owner's ship is in port. The ship's agent may be the only agent at the port or he may have been appointed or nominated by the charterer and therefore not the choice of the shipowner. Also referred to as a supervisory agent or protective agent.
【保护代理】
由船东委任的个人或公司,在该船东的船舶在港期间,保护船东的利益,并监督船舶代理的工作。船舶代理可能是该港唯一的代理,或是由租家指定的代理,船东无代理选择权。参见“监护代理”。

- Peter R. Brodie(Editor), Dictionary of Shipping Terms, LLP Professional Publishing, 2001.


船东委托保护代理,必然增加费用。但在节省港费,控制船期,文件审核等方面,合格称职的保护代理可能给船东带来许多帮助。

保护代理的具体业务不在本文的分析范围内. 如标题所示, 只是从船东的角度,略加阐述. 以下内容摘录自某国际知名船东的内部租船培训材料,可作参考:

PROTECTIVE AGENTS
When chartering out our vessels, it may be prudent and in some cases necessary to appoint protective agents to look after owners’ interest. Do not be penny wise, pound foolish. The savings that we can achieve by using good and effective protective agents (through reduced costs or quicker dispatch) could more than offset the fee payable to the protective agents. As a rule, we should at least consult or check on local conditions with our representatives where we do have area offices.

Example Elaboration

MV ABC – Voyage Charter
By paying USD 1,500 only to Barwil Agency, our protective agents at Cigading, we managed to avoid paying USD 43,000 which the charterers’ agents claimed to be payable as surcharge fee for using iron ore berth to receive wheat cargo.

MV XYZ – Time Charter
Vessel has scheduled to load petcoke (which required ‘clean’ holds) at Port Arthur right after completion of discharge of bauxite at Point Comfort. In view of the short ballast leg of 12 hours and the deteriorated holds condition, we appointed Alan Basden as our protective agents who took proactive action of sending a surveyor to Point Comfort to advise vessel/crew on steps to take prevent holds failure. As a result, no delay occurred.

We want to save money. We do not want to waste money but remember we must not be penny-wise pound-foolish.
6. 租家代理代表租家还是代表船东

按照GENCON的条文,代理由船东选择并委托,单独作为船东的代理,租家如果需要港口代理的服务,应自行委托代理。但在实务中,港口代理通常作为“船舶代理”,同时为船东和租家服务,会分别要求他们自己负担费用。

在Sutton Shipping Co. v. Graham’s Trading Co. (1927)29 Ll. L. Rep. 12中,船舶代理被裁定同时代表船东和租家,但无权使用船东的备用金支付租家费用。

下面的美国仲裁案例,涉及代理权限及港口费用是否合理的问题。

【案例】
The Express Patriot, SMA 3899 (2005) (Arnoald, Bulow, Hansen)
航次租船合同,第28条规定:
Charterers are to nominate vessel’s agents at loading port … In all instances, agency fees shall be for Owners’ account but are not exceed customary applicable fees.

租家指定(nominate)了Bluewater Shipping公司作为在装货港的代理,船东予以确认并要求该代理在船舶在港期间,应维护船东利益。

之后,Bluewater Shipping作为船舶代理向装货码头公司申请泊位,在申请书中接受了该码头的费率条款,包括“船舶原因导致装货延误的,每小时收费USD 5,000”。

装货过程中,由于船舶机械故障,1舱舱盖无法打开,被迫将船舶移往锚地修理。修妥后,重新靠泊装货,共延误10.3个小时。码头公司按照上述费率,向船东收取延误费合计USD 51,500。

船东的争辩,USD 5,000/小时的码头延误费并不合理,不属于“通常的”港口费用,不应由船东承担。该轮的租金也不过USD 4,150/

同时,船东争辩,代理在靠泊申请中接受了码头公司的费率,并没有得到船东的授权,该行为对船东无约束力:
(Owner) further argues that the Vessel is not obligated to accept the terms of (Terminal)’s tariff by virtue of Bluewater's signing the berthing application on the Vessel's behalf, inasmuch as Bluewater was acting as Charterer's agent, not Owner's. …… where a charterer selects an Agent and the vessel owner exercises no control over that choice, and where the vessel owner exerts no control over the conduct of that agent, the agent lacks authority to bind the vessel owner when making berthing arrangements.

仲裁庭驳回了船东的争辩,判USD 51,500由船东承担。

仲裁庭认为,首先,船舶租金的高低对判断码头延误费是否合理并没有影响;其次,关于代理问题,船东已经接受Bluewater Shipping作为船舶代理,其申请泊位的行为是代表船东,并对船东有约束力:
By accepting Clause 28, (Owner) had agreed to the use of Bluewater Shipping as the Vessel's agents for the loading in New Orleans. If indeed (Owner) was not satisfied with the nominated agents or lacked faith in their qualifications, (Owner) could have retained the services of a protective agent.

【小结】
是船东还是租家,要对代理的行为的后果负责?不仅要看谁委托/指定的代理,也要看代理行为的性质,为了谁而行为。例如安排引水、拖轮、靠泊等传统上由船东负责的事项,即使是“租家代理”安排,也会被认为代表了船东。国内对船代与货代的业务范围, 划分比较清楚, 业务交叉的情况应不多. 但无论如何, 船东如果对租家指定这个代理船东不信任,还是尽早委任保护代理为宜。

(全文完)

欢迎大家多多讨论\批评\指正.
总结的不错!继续保持!
Thanks for your sharing.
解决了我一些疑惑,很感谢!刚毕业,还好好多不懂的地方,在这里学习到很多,对杨先生及各位无私奉献的业内前辈表示感谢!
因为租家代理的存在所以就会有租家代理不理船东的同意与否,直接按照租家要求签发符合信用证要求的提单给租家,提单的货物数量跟大副收据对应不起来,虚高了一截,这种情况去船东就有被索赔的风险。
现在是货方市场,船东没有办法才肯忍气吞声的接受租家代理,实际风险是非常大的。
租家代理唯租家是从,装港的很多不好消息都不会告知船东的,按理说船东付费给代理,代理应该好好服务于船东,但是租家代理往往只是对租家服务。
港口费用不会好好的给船东省,甚至跟港口相关方勾结来欺诈船东的事情也是很正常的。
OWNER APPOINT CHTRS NOMINATED AGENT. 租家不仅仅是能拿到回扣,其实这个代理费总共也就2-5W之间,就是全部给租家也没有多少,关键是代理肯定多少都会偏向于CHTRS, 比较在做SOF 上,比如在签发提单和放货细节上。信誉差的代理甚至表面上要船东确认签提单,确认放货,其实提单早签了,货早放了。所以一般对于一些不太了解的代理,好的做法就是我们可以通过装卸港其他的代理公司打听DA 和其他细节,或者委一个OWNER PROTECT ANGENT. 这样才能有效的保护好船东的利益。尤其是现在市场低迷,无单卸货的情况下,一个保护代理可以更好的协助船东控制好货,避免代理私自无单放货。
将来一旦回到船东市场, 各个港口的租家代理们自然会见风使舵.

不过, 要是真到了那一天, 租家还有权利指定代理吗?
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