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鹿特丹规则英文版

United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea

The States Parties to this Convention,

Reaffirming their belief that international trade on the basis of equality and mutual benefit is an important element in promoting friendly relations among States,

Convinced that the progressive harmonization and unification of international trade law, in reducing or removing legal obstacles to the flow of international trade, significantly contributes to universal economic cooperation among all States on a basis of equality, equity and common interest, and to the well-being of all peoples,

Recognizing the significant contribution of the International Convention for the Unification of Certain Rules of Law relating to Bills of Lading, signed in Brussels on 25 August 1924, and its Protocols, and of the United Nations Convention on the Carriage of Goods by Sea, signed in Hamburg on 31 March 1978, to the harmonization of the law governing the carriage of goods by sea,

Mindful of the technological and commercial developments that have taken place since the adoption of those conventions and of the need to consolidate and modernize them,

Noting that shippers and carriers do not have the benefit of a binding universal regime to support the operation of contracts of maritime carriage involving other modes of transport,

Believing that the adoption of uniform rules to govern international contracts of carriage wholly or partly by sea will promote legal certainty, improve the efficiency of international carriage of goods and facilitate new access opportunities for previously remote parties and markets, thus playing a fundamental role in promoting trade and economic development, both domestically and internationally,

Have agreed as follows:

CHAPTER 1. GENERAL PROVISIONS

Article 1. Definitions

For the purposes of this Convention:

1. “Contract of carriage” means a contract in which a carrier, against the payment of freight, undertakes to carry goods from one place to another. The contract shall provide for carriage by sea and may provide for carriage by other modes of transport in addition to the sea carriage.

2. “V olume contract” means a contract of carriage that provides for the carriage of a specified quantity of goods in a series of shipments during an agreed period of time. The specification of the quantity may include a minimum, a maximum or a certain range.

3. “Liner transportation” means a transportation service that is offered to the public through publication or similar means and includes transportation by ships operating on a regular schedule between specified ports in accordance with publicly available timetables of sailing dates.

4. “Non-liner transportation” means any transportation that is not liner transportation.

5. “Carrier” means a person that enters into a contract of carriage with a shipper.

6. (a) “Performing party” means a person other than the carrier that performs or undertakes to perform any of the carrier’s obligations under a contract of carriage with respect to the receipt, loading, handling, stowage, carriage, care, unloading or delivery of the goods, to the extent that such person acts, either directly or indirectly, at the carrier’s request or under the carrier’s supervision or control.

(b) “Performing party” d oes not include any person that is retained, directly or indirectly, by a shipper, by a documentary shipper, by the controlling party or by the consignee instead of by the carrier.

7. “Maritime performing party” means a performing party to the extent that it performs or undertakes to perform any of the carrier’s obligations during the period between the arrival of the goods at the port of loading of a ship and their departure from the port of discharge of a ship. An inland carrier is a maritime performing party only if it performs or undertakes to perform its services exclusively within a port area.

8. “Shipper” means a person that enters into a contract of carriage with a carrier.

9. “Documentary shipper” means a person, other than the shipper, that accepts to be

named as “shipper” in the transport document or electronic transport record.

10. “Holder” means:

(a) A person that is in possession of a negotiable transport document; and (i) if the document is an order document, is identified in it as the shipper or the consignee, or is the person to which the document is duly endorsed; or (ii) if the document is a blank endorsed order document or bearer document, is the bearer thereof; or

(b) The person to which a negotiable electronic transport record has been issued or transferred in accordance with the procedures referred to in article 9, paragraph 1. 11. “Consignee” means a person entitled to delivery of the goods under a contract of carriage or a transport document or electronic transport record.

12. “Right of control” of the goods means the right under the contract of carriage to give the carrier instructions in respect of the goods in accordance with chapter 10. 13. “Controlling party” means the person that pursuant to article 51 is entitled to exercise the right of control.

14. “Transport document” means a document issued under a contract of carriage by the carrier that:

(a) Evidences the carrier’s or a performing party’s receipt of goods under a contract of carriage; and

(b) Evidences or contains a contract of carriage.

15. “Negotiable transport document” means a transport document that indicates, by wording such as “to order” or “negotiable” or other appropriate wording recognized as having the same effect by the law applicable to the document, that the goods have been consigned to the order of the shipper, to the order of the consignee, or to bearer, and is not explicitly stated as being “nonnegotiable” or “not negotiable”.

16. “Non-negotiable transport document” means a transport document that is not a negotiable transport document.

17. “Electronic communication” means information generated, sent, received or stored by electronic, optical, digital or similar means with the result that the information communicated is accessible so as to be usable for subsequent reference.

18. “Electronic transport record” means information in one or more messages issued by electronic communication under a contract of carriage by a carrier, including information logically associated with the electronic transport record by attachments or otherwise linked to the electronic transport record contemporaneously with or subsequent to its issue by the carrier, so as to become part of the electronic transport record, that:

(a) Evidences the carrier’s or a performing party’s receipt of go ods under a contract of carriage; and

(b) Evidences or contains a contract of carriage.

19. “Negotiable electronic transport record” means an electronic transport record:

(a) That indicates, by wording such as “to order”, or “negotiable”, or other appropri ate wording recognized as having the same effect by the law applicable to the record, that the goods have been consigned to the order of the shipper or to the order of the consignee, and is not explicitly stated as being “non-negotiable” or “not negotiable”; and

(b) The use of which meets the requirements of article 9, paragraph 1.

20. “Non-negotiable electronic transport record” means an electronic transport record that is not a negotiable electronic transport record.

21. The “issuance” of a negotiable ele ctronic transport record means the issuance of the record in accordance with procedures that ensure that the record is subject to exclusive control from its creation until it ceases to have any effect or validity.

22. The “transfer” of a negotiable electro nic transport record means the transfer of exclusive control over the record.

23. “Contract particulars” means any information relating to the contract of carriage or to the goods (including terms, notations, signatures and endorsements) that is in a transport document or an electronic transport record.

24. “Goods” means the wares, merchandise, and articles of every kind whatsoever that a carrier undertakes to carry under a contract of carriage and includes the packing and any equipment and container not supplied by or on behalf of the carrier.

25. “Ship” means any vessel used to carry goods by sea.

26. “Container” means any type of container, transportable tank or flat, swapbody, or any similar unit load used to consolidate goods, and any equipment ancillary to such unit load.

27. “Vehicle” means a road or railroad cargo vehicle.

28. “Freight” means the remuneration payable to the carrier for the carriage of goods under a contract of carriage.

29. “Domicile” means (a) a place where a company or other legal p erson or association of natural or legal persons has its (i) statutory seat or place of incorporation or central registered office, whichever is applicable, (ii) central administration or (iii) principal place of business, and (b) the habitual residence of a natural person.

30. “Competent court” means a court in a Contracting State that, according to the rules on the internal allocation of jurisdiction among the courts of that State, may exercise jurisdiction over the dispute.

Article 2. Interpretation of this Convention

In the interpretation of this Convention, regard is to be had to its international character and to the need to promote uniformity in its application and the observance of good faith in international trade.

Article 3. Form requirements

The notices, confirmation, consent, agreement, declaration and other communications referred to in articles 19, paragraph 2; 23, paragraphs 1 to 4; 36, subparagraphs 1 (b), (c) and (d); 40, subparagraph 4 (b); 44; 48, paragraph 3; 51, subparagraph 1 (b); 59, paragraph 1; 63; 66; 67, paragraph 2; 75, paragraph 4; and 80, paragraphs 2 and 5, shall be in writing. Electronic communications may be used for these purposes, provided that the use of such means is with the consent of the person by which it is communicated and of the person to which it is communicated.

Article 4. Applicability of defences and limits of liability

1. Any provision of this Convention that may provide a defence for, or limit the

liability of, the carrier applies in any judicial or arbitral proceeding, whether founded in contract, in tort, or otherwise, that is instituted in respect of loss of, damage to, or delay in delivery of goods covered by a contract of carriage or for the breach of any other obligation under this Convention against:

(a) The carrier or a maritime performing party;

(b) The master, crew or any other person that performs services on board the ship; or

2. Any provision of this Convention that may provide a defence for the shipper or the documentary shipper applies in any judicial or arbitral proceeding, whether founded in contract, in tort, or otherwise, that is instituted against the shipper, the documentary shipper, or their subcontractors, agents or employees.

CHAPTER 2. SCOPE OF APPLICATION

Article 5. General scope of application

1. Subject to article 6, this Convention applies to contracts of carriage in which the place of receipt and the place of delivery are in different States, and the port of loading of a sea carriage and the port of discharge of the same sea carriage are in different States, if, according to the contract of carriage, any one of the following places is located in a Contracting State:

(a) The place of receipt;

(b) The port of loading;

(d) The port of discharge.

2. This Convention applies without regard to the nationality of the vessel, the carrier, the performing parties, the shipper, the consignee, or any other interested parties.

Article 6. Specific exclusions

1. This Convention does not apply to the following contracts in liner transportation:

(a) Charter parties; and

(b) Other contracts for the use of a ship or of any space thereon.

2. This Convention does not apply to contracts of carriage in non-liner transportation except when:

(a) There is no charter party or other contract between the parties for the use of a ship or of any space thereon; and

(b) A transport document or an electronic transport record is issued.

Article 7. Application to certain parties

Notwithstanding article 6, this Convention applies as between the carrier and the consignee, controlling party or holder that is not an original party to the charter party or other contract of carriage excluded from the application of this Convention. However, this Convention does not apply as between the original parties to a contract of carriage excluded pursuant to article 6.

CHAPTER 3. ELECTRONIC TRANSPORT RECORDS

Article 8. Use and effect of electronic transport records

Subject to the requirements set out in this Convention:

(a) Anything that is to be in or on a transport document under this Convention may be recorded in an electronic transport record, provided the issuance and subsequent use of an electronic transport record is with the consent of the carrier and the shipper; and (b) The issuance, exclusive control, or transfer of an electronic transport record has the same effect as the issuance, possession, or transfer of a transport document. Article 9. Procedures for use of negotiable electronic transport records

1. The use of a negotiable electronic transport record shall be subject to procedures that provide for:

(a) The method for the issuance and the transfer of that record to an intended holder;

(b) An assurance that the negotiable electronic transport record retains its integrity;

(d) The manner of providing confirmation that delivery to the holder has been effected, or that, pursuant to articles 10, paragraph 2, or 47, subparagraphs 1 (a) (ii) and (c), the electronic transport record has ceased to have any effect or validity.

2. The procedures in paragraph 1 of this article shall be referred to in the contract particulars and be readily ascertainable.

Article 10. Replacement of negotiable transport document or negotiable electronic transport record

1. If a negotiable transport document has been issued and the carrier and the holder agree to replace that document by a negotiable electronic transport record:

(a) The holder shall surrender the negotiable transport document, or all of them if more than one has been issued, to the carrier;

(b) The carrier shall issue to the holder a negotiable electronic transport record that includes a statement that it replaces the negotiable transport document; and

2. If a negotiable electronic transport record has been issued and the carrier and the holder agree to replace that electronic transport record by a negotiable transport document:

(a) The carrier shall issue to the holder, in place of the electronic transport record, a negotiable transport document that includes a statement that it replaces the negotiable electronic transport record; and

(b) The electronic transport record ceases thereafter to have any effect or validity.

CHAPTER 4. OBLIGATIONS OF THE CARRIER

Article 11. Carriage and delivery of the goods

The carrier shall, subject to this Convention and in accordance with the terms of the contract of carriage, carry the goods to the place of destination and deliver them to the consignee.

Article 12. Period of responsibility of the carrier

1. The period of responsibility of the carrier for the goods under this Convention begins when the carrier or a performing party receives the goods for carriage and ends when the goods are delivered.

2. (a) If the law or regulations of the place of receipt require the goods to be handed

over to an authority or other third party from which the carrier may collect them, the period of responsibility of the carrier begins when the carrier collects the goods from the authority or other third party.

(b) If the law or regulations of the place of delivery require the carrier to hand over the goods to an authority or other third party from which the consignee may collect them, the period of responsibility of the carrier ends when the carrier hands the goods over to the authority or other third party.

3. For the purpose of determining the carrier’s period of responsibility, the parties may agree on the time and location of receipt and delivery of the goods, but a provision in a contract of carriage is void to the extent that it provides that:

(a) The time of receipt of the goods is subsequent to the beginning of their initial loading under the contract of carriage; or

(b) The time of delivery of the goods is prior to the completion of their final unloading under the contract of carriage.

Article 13. Specific obligations

1. The carrier shall during the period of its responsibility as defined in article 12, and subject to article 26, properly and carefully receive, load, handle, stow, carry, keep, care for, unload and deliver the goods.

2. Notwithstanding paragraph 1 of this article, and without prejudice to the other provisions in chapter 4 and to chapters 5 to 7, the carrier and the shipper may agree that the loading, handling, stowing or unloading of the goods is to be performed by the shipper, the documentary shipper or the consignee. Such an agreement shall be referred to in the contract particulars.

Article 14. Specific obligations applicable to the voyage by sea

The carrier is bound before, at the beginning of, and during the voyage by sea to exercise due diligence to:

(a) Make and keep the ship seaworthy;

(b) Properly crew, equip and supply the ship and keep the ship so crewed, equipped and supplied throughout the voyage; and

(c) Make and keep the holds and all other parts of the ship in which the goods are carried, and any containers supplied by the carrier in or upon which the goods are carried, fit and safe for their reception, carriage and preservation.

Article 15. Goods that may become a danger

Notwithstanding articles 11 and 13, the carrier or a performing party may decline to receive or to load, and may take such other measures as are reasonable, including unloading, destroying, or rendering goods harmless, if the goods are, or reasonably appear likely to become during the carrier’s period of responsibility, an actual danger to persons, property or the environment.

Article 16. Sacrifice of the goods during the voyage by sea

Notwithstanding articles 11, 13, and 14, the carrier or a performing party may sacrifice goods at sea when the sacrifice is reasonably made for the common safety or for the purpose of preserving from peril human life or other property involved in the common adventure.

CHAPTER 5. LIABILITY OF THE CARRIER FOR LOSS, DAMAGE OR DELAY

Article 17. Basis of liability

1. The carrier is liable for loss of or damage to the goods, as well as for delay in delivery, if the claimant proves that the loss, damage, or delay, or the event or circumstance that caused or contributed to it took place during the period of the carrier’s responsibility as defined in chapter 4.

2. The carrier is relieved of all or part of its liability pursuant to paragraph 1 of this article if it proves that the cause or one of the causes of the loss, damage, or delay is not attributable to its fault or to the fault of any person referred to in article 18.

3. The carrier is also relieved of all or part of its liability pursuant to paragraph 1 of this article if, alternatively to proving the absence of fault as provided in paragraph 2 of this article, it proves that one or more of the following events or circumstances caused or contributed to the loss, damage, or delay:

(a) Act of God;

(b) Perils, dangers, and accidents of the sea or other navigable waters;

(d) Quarantine restrictions; interference by or impediments created by governments, public authorities, rulers, or people including detention, arrest, or seizure not attributable to the carrier or any person referred to in article 18;

(e) Strikes, lockouts, stoppages, or restraints of labour;

(f) Fire on the ship;

(g) Latent defects not discoverable by due diligence;

(h) Act or omission of the shipper, the documentary shipper, the controlling party, or any other person for whose acts the shipper or the documentary shipper is liable pursuant to article 33 or 34;

(i) Loading, handling, stowing, or unloading of the goods performed pursuant to an agreement in accordance with article 13, paragraph 2, unless the carrier or a performing party performs such activity on behalf of the shipper, the documentary shipper or the consignee;

(j) Wastage in bulk or weight or any other loss or damage arising from inherent defect, quality, or vice of the goods;

(k) Insufficiency or defective condition of packing or marking not performed by or on behalf of the carrier;

(l) Saving or attempting to save life at sea;

(m) Reasonable measures to save or attempt to save property at sea;

(n) Reasonable measures to avoid or attempt to avoid damage to the environment; or (o) Acts of the carrier in pursuance of the powers conferred by articles 15 and 16.

4. Notwithstanding paragraph 3 of this article, the carrier is liable for all or part of the loss, damage, or delay:

(a) If the claimant proves that the fault of the carrier or of a person referred to in article 18 caused or contributed to the event or circumstance on which the carrier relies; or

(b) If the claimant proves that an event or circumstance not listed in paragraph 3 of this article contributed to the loss, damage, or delay, and the carrier cannot prove that this event or circumstance is not attributable to its fault or to the fault of any person referred to in article 18.

5. The carrier is also liable, notwithstanding paragraph 3 of this article, for all or part of the loss, damage, or delay if:

(a) The claimant proves that the loss, damage, or delay was or was probably caused by or contributed to by (i) the unseaworthiness of the ship; (ii) the improper crewing, equipping, and supplying of the ship; or (iii) the fact that the holds or other parts of the ship in which the goods are carried, or any containers supplied by the carrier in or upon which the goods are carried, were not fit and safe for reception, carriage, and preservation of the goods; and

(b) The carrier is unable to prove either that: (i) none of the events or circumstances referred to in subparagraph 5 (a) of this article caused the loss, damage, or delay; or (ii) it complied with its obligation to exercise due diligence pursuant to article 14.

6. When the carrier is relieved of part of its liability pursuant to this article, the carrier is liable only for that part of the loss, damage or delay that is attributable to the event or circumstance for which it is liable pursuant to this article.

Article 18. Liability of the carrier for other persons

The carrier is liable for the breach of its obligations under this Convention caused by the acts or omissions of:

(a) Any performing party;

(b) The master or crew of the ship;

(d) Any other person that performs or undertakes to perf orm any of the carrier’s obligations under the contract of carriage, to the extent that the person acts, either directly or indirectly, at the carrier’s request or under the carrier’s supervision or control.

Article 19. Liability of maritime performing parties

1. A maritime performing party is subject to the obligations and liabilities imposed on the carrier under this Convention and is entitled to the carrier’s defences and limits of liability as provided for in this Convention if:

(a) The maritime performing party received the goods for carriage in a Contracting State, or delivered them in a Contracting State, or performed its activities with respect to the goods in a port in a Contracting State; and

(b) The occurrence that caused the loss, damage or delay took place:

(i) during the period between the arrival of the goods at the port of loading of the ship and their departure from the port of discharge from the ship; (ii) while the maritime performing party had custody of the goods; or (iii) at any other time to the extent that it was participating in the performance of any of the activities contemplated by the contract of carriage.

2. If the carrier agrees to assume obligations other than those imposed on the carrier under this Convention, or agrees that the limits of its liability are higher than the limits specified under this Convention, a maritime performing party is not bound by this agreement unless it expressly agrees to accept such obligations or such higher limits.

3. A maritime performing party is liable for the breach of its obligations under this Convention caused by the acts or omissions of any person to which it has entrusted the performance of any of the carrier’s obligations under the contract of carriage under the conditions set out in paragraph 1 of this article.

4. Nothing in this Convention imposes liability on the master or crew of the ship or on an employee of the carrier or of a maritime performing party.

Article 20. Joint and several liability

1. If the carrier and one or more maritime performing parties are liable for the loss of, damage to, or delay in delivery of the goods, their liability is joint and several but only up to the limits provided for under this Convention.

2. Without prejudice to article 61, the aggregate liability of all such persons shall not exceed the overall limits of liability under this Convention.

Article 21. Delay

Delay in delivery occurs when the goods are not delivered at the place of destination provided for in the contract of carriage within the time agreed.

Article 22. Calculation of compensation

1. Subject to article 59, the compensation payable by the carrier for loss of or damage to the goods is calculated by reference to the value of such goods at the place and time of delivery established in accordance with article 43.

2. The value of the goods is fixed according to the commodity exchange price or, if there is no such price, according to their market price or, if there is no commodity exchange price or market price, by reference to the normal value of the goods of the same kind and quality at the place of delivery.

3. In case of loss of or damage to the goods, the carrier is not liable for payment of any compensation beyond what is provided for in paragraphs 1 and 2 of this article except when the carrier and the shipper have agreed to calculate compensation in a different manner within the limits of chapter 16.

Article 23. Notice in case of loss, damage or delay

1. The carrier is presumed, in absence of proof to the contrary, to have delivered the goods according to their description in the contract particulars unless notice of loss of or damage to the goods, indicating the general nature of such loss or damage, was given to the carrier or the performing party that delivered the goods before or at the time of the delivery, or, if the loss or damage is not apparent, within seven working days at the place of delivery after the delivery of the goods.

2. Failure to provide the notice referred to in this article to the carrier or the performing party shall not affect the right to claim compensation for loss of or damage to the goods under this Convention, nor shall it affect the allocation of the burden of proof set out in article 17.

3. The notice referred to in this article is not required in respect of loss or damage that is ascertained in a joint inspection of the goods by the person to which they have been delivered and the carrier or the maritime performing party against which liability is being asserted.

4. No compensation in respect of delay is payable unless notice of loss due to delay

was given to the carrier within twenty-one consecutive days of delivery of the goods.

5. When the notice referred to in this article is given to the performing party that delivered the goods, it has the same effect as if that notice was given to the carrier, and notice given to the carrier has the same effect as a notice given to a maritime performing party.

6. In the case of any actual or apprehended loss or damage, the parties to the dispute shall give all reasonable facilities to each other for inspecting and tallying the goods and shall provide access to records and documents relevant to the carriage of the goods.

CHAPTER 6. ADDITIONAL PROVISIONS RELATING TO PARTICULAR STAGES OF CARRIAGE

Article 24. Deviation

When pursuant to applicable law a deviation constitutes a breach of the carrier’s obligations, such deviation of itself shall not deprive the carrier or a maritime performing party of any defence or limitation of this Convention, except to the extent provided in article 61.

Article 25. Deck cargo on ships

1. Goods may be carried on the deck of a ship only if:

(a) Such carriage is required by law;

(b) They are carried in or on containers or vehicles that are fit for deck carriage, and the decks are specially fitted to carry such containers or vehicles; or

(c) The carriage on deck is in accordance with the contract of carriage, or the customs, usages or practices of the trade in question.

2. The provisions of this Convention relating to the liability of the carrier apply to the loss of, damage to or delay in the delivery of goods carried on deck pursuant to paragraph 1 of this article, but the carrier is not liable for loss of or damage to such goods, or delay in their delivery, caused by the special risks involved in their carriage on deck when the goods are carried in accordance with subparagraphs 1 (a) or (c) of this article.

3. If the goods have been carried on deck in cases other than those permitted pursuant to paragraph 1 of this article, the carrier is liable for loss of or damage to the goods or delay in their delivery that is exclusively caused by their carriage on deck, and is not entitled to the defences provided for in article 17.

4. The carrier is not entitled to invoke subparagraph 1 (c) of this article against a third party that has acquired a negotiable transport document or a negotiable electronic transport record in good faith, unless the contract particulars state that the goods may be carried on deck.

5. If the carrier and shipper expressly agreed that the goods would be carried under deck, the carrier is not entitled to the benefit of the limitation of liability for any loss of, damage to or delay in the delivery of the goods to the extent that such loss, damage, or delay resulted from their carriage on deck.

Article 26. Carriage preceding or subsequent to sea carriage

When loss of or damage to goods, or an event or circumstance causing a delay in their delivery, occurs during the carrier’s period of responsibility but solely before their loading onto the ship or solely after their discharge from the ship, the provisions of this Convention do not prevail over those provisions of another international instrument that, at the time of such loss, damage or event or circumstance causing delay:

(a) Pursuant to the provisions of such international instrument would have applied to all or any of the carrier’s activities if the shipper had made a separate and direct contract with the carrier in respect of the particular stage of carriage where the loss of, or damage to goods, or an event or circumstance causing delay in their delivery occurred;

(b) Specifically provide for the carrier’s liability, limitation of liability, or time for suit; and

CHAPTER 7. OBLIGATIONS OF THE SHIPPER TO THE CARRIER

Article 27. Delivery for carriage

1. Unless otherwise agreed in the contract of carriage, the shipper shall deliver the goods ready for carriage. In any event, the shipper shall deliver the goods in such condition that they will withstand the intended carriage, including their loading, handling, stowing, lashing and securing, and unloading, and that they will not cause harm to persons or property.

2. The shipper shall properly and carefully perform any obligation assumed under an agreement made pursuant to article 13, paragraph 2.

3. When a container is packed or a vehicle is loaded by the shipper, the shipper shall properly and carefully stow, lash and secure the contents in or on the container or vehicle, and in such a way that they will not cause harm to persons or property.

Article 28. Cooperation of the shipper and the carrier in providing information and instructions

The carrier and the shipper shall respond to requests from each other to provide information and instructions required for the proper handling and carriage of the goods if the information is in the requested party’s possession or the instructions are within the requested party’s reasonable ability to prov ide and they are not otherwise reasonably available to the requesting party.

Article 29. Shipper’s obligation to provide information, instructions and documents

1. The shipper shall provide to the carrier in a timely manner such information, instructions and documents relating to the goods that are not otherwise reasonably available to the carrier, and that are reasonably necessary:

(a) For the proper handling and carriage of the goods, including precautions to be taken by the carrier or a performing party; and

(b) For the carrier to comply with law, regulations or other requirements of public authorities in connection with the intended carriage, provided that the carrier notifies the shipper in a timely manner of the information, instructions and documents it requires.

2. Nothing in this article affects any specific obligation to provide certain information, instructions and documents related to the goods pursuant to law, regulations or other requirements of public authorities in connection with the intended carriage.

Article 30. Basis of shipper’s liability to the carrier

1. The shipper is liable for loss or damage sustained by the carrier if the carrier proves that such loss or damage was caused by a breach of the shipper’s obligations under this Convention.

2. Except in respect of loss or damage caused by a breach by the shipper of its obligations pursuant to articles 31, paragraph 2, and 32, the shipper is relieved of all or part of its liability if the cause or one of the causes of the loss or damage is not attributable to its fault or to the fault of any person referred to in article 34.

3. When the shipper is relieved of part of its liability pursuant to this article, the shipper is liable only for that part of the loss or damage that is attributable to its fault or to the fault of any person referred to in article 3

Article 31. Information for compilation of contract particulars

1. The shipper shall provide to the carrier, in a timely manner, accurate information required for the compilation of the contract particulars and the issuance of the transport documents or electronic transport records, including the particulars referred to in article 36, paragraph 1; the name of the party to be identified as the shipper in the contract particulars; the name of the consignee, if any; and the name of the person to whose order the transport document or electronic transport record is to be issued, if any.

2. The shipper is deemed to have guaranteed the accuracy at the time of receipt by the carrier of the information that is provided according to paragraph 1 of this article. The shipper shall indemnify the carrier against loss or damage resulting from the inaccuracy of such information.

Article 32. Special rules on dangerous goods

When goods by their nature or character are, or reasonably appear likely to become, a danger to persons, property or the environment:

(a) The shipper shall inform the carrier of the dangerous nature or character of the goods in a timely manner before they are delivered to the carrier or a performing party. If the shipper fails to do so and the carrier or performing party does not otherwise have knowledge of their dangerous nature or character, the shipper is liable to the

carrier for loss or damage resulting from such failure to inform; and

(b) The shipper shall mark or label dangerous goods in accordance with any law, regulations or other requirements of public authorities that apply during any stage of the intended carriage of the goods. If the shipper fails to do so, it is liable to the carrier for loss or damage resulting from such failure.

Article 33. Assumption of shipper’s rights and obligations by the documentary shipper

1. A documentary shipper is subject to the obligations and liabilities imposed on the shipper pursuant to this chapter and pursuant to article 55, and is entitled to the shipper’s rights and defences provided by this chapter and by chapter 13.

2. Paragraph 1 of this article does not affect the obligations, liabilities, rights or defences of the shipper.

Article 34. Liability of the shipper for other persons

The shipper is liable for the breach of its obligations under this Convention caused by the acts or omissions of any person, including employees, agents and subcontractors, to which it has entrusted the performance of any of its obligations, but the shipper is not liable for acts or omissions of the carrier or a performing party acting on behalf of the carrier, to which the shipper has entrusted the performance of its obligations.

CHAPTER 8. TRANSPORT DOCUMENTS AND ELECTRONIC TRANSPORT RECORDS

Article 35. Issuance of the transport document or the electronic transport record

Unless the shipper and the carrier have agreed not to use a transport document or an electronic transport record, or it is the custom, usage or practice of the trade not to use one, upon delivery of the goods for carriage to the carrier or performing party, the shipper or, if the shipper consents, the documentary shipper, is entitled to obtain from the carrier, at the shipper’s option:

(a) A non-negotiable transport document or, subject to article 8, subparagraph (a), a non-negotiable electronic transport record; or

(b) An appropriate negotiable transport document or, subject to article 8, subparagraph (a), a negotiable electronic transport record, unless the shipper and the carrier have

agreed not to use a negotiable transport document or negotiable electronic transport record, or it is the custom, usage or practice of the trade not to use one.

Article 36. Contract particulars

1. The contract particulars in the transport document or electronic transport record referred to in article 35 shall include the following information, as furnished by the shipper:

(a) A description of the goods as appropriate for the transport;

(b) The leading marks necessary for identification of the goods;

(d) The weight of the goods, if furnished by the shipper.

2. The contract particulars in the transport document or electronic transport record referred to in article 35 shall also include:

(a) A statement of the apparent order and condition of the goods at the time the carrier or a performing party receives them for carriage;

(b) The name and address of the carrier;

or on which the goods were loaded on board the ship, or on which the transport document or electronic transport record was issued; and

(d) If the transport document is negotiable, the number of originals of the negotiable transport document, when more than one original is issued.

3. The contract particulars in the transport document or electronic transport record referred to in article 35 shall further include:

(a) The name and address of the consignee, if named by the shipper;

(b) The name of a ship, if specified in the contract of carriage;

(d) The port of loading and the port of discharge, if specified in the contract of carriage.

《鹿特丹规则》与《海牙规则》《汉堡规则》《维斯比规则》的对比

《鹿特丹规则》与《海牙规则》《汉堡规则》《维斯比规则》的对比一、承运人的责任基础不同《海牙规则》下，承运人的责任基础是“不完全过失责任”，如在航海过失造成的损失可以免责。《维斯比规则》下，承运人的责任基础是“不完全过失责任”。《汉堡规则》则对海牙规则进行了全面彻底的修改，采用了推定过失责任与举责任相结合的完全过失责任制，即完全过失责任。明显的扩大责任人的责任。《鹿特丹规则》也采用了完全过失责任，废除了现行的“航海过失”免责和“火灾过失”免责。但其对举证责任分配的规定不同于《汉堡规则》。承运人除了证明自己没有过失外，还可以通过证明存在一项或多项免责事项免除其对货物的赔偿责任，除非索赔方可以证明免责事项的产生是归因于承运人的过失。《海牙规则》下承运人的基本义务是，谨慎处理使船舶适航和妥善管理货物的义务。《鹿特丹规则》原则上秉承了上述规定,但其具体义务内容有所不同。二、承运人的最高责任赔偿限额不同《海牙规则》第四条规定船东或承运人对货物或与货物有关的灭失或损坏的赔偿金额不超过每件或每单位100英镑或相当于100英镑的等值货币。《维斯比规则》将最高赔偿金额提高为每件或每单位10000金法郎或按灭失或受损货物毛重计算，每公斤30金法郎，两者以较高金额的为准。同时明确一个金法郎是一个含有66.5毫克黄金，纯度为千分之九百的单位。《汉堡规则》再次将承运人的最高赔偿责任增加至每件或每货运单位835特别提款权（Special Drawing Rights，SDR或称记帐单位）或每公斤2.5特别提款权，两者以金额高的为准。其次，对灭失或损害货物的计量方法越来越合理。《海牙规则》是以每件或每单位来计量货物。随着托盘、集装箱等成组化运输方式的发展，这种计量方式的弊端逐渐显现。《维斯比规则》和《海牙规则》都规定如果以集装箱或托盘或类似集装运输工具运送货物，当提单内载明运输工具内货物的包数或件数时，以集装箱或托盘所载货物的每一小件为单位，逐件赔偿；当提单内未载明货物具体件数时，则以一个集装箱或一个托盘作为一件货物进行赔偿。《鹿特丹规则》规定承运人对货物、灭失损害的赔偿责任为每单位875特别提款权或者毛重每公斤3特别提款权,以较高者为准；对迟延交付造成经济损失的赔偿责任限额为该迟延交付货物运费的2.5倍。三、对货物的定义不同《海牙规则》对货物定义的范围较窄，将活动物、甲板货都排除在外。《汉堡规则》扩大了货物的定义。不仅把活动物、甲板货列人货物范畴，而且包括了集装箱和托盘等包装运输工具，“凡货物拼装在集装箱，托盘或类似运输器具内，或者货物是包装的，而这种运输器具或包装是由托运人提供的，则…货物?包括他们在内”。四、公约适用范围不同《海牙规则》只适用于缔约国所签发的提单。《维斯比规则》（1）任何缔约国签发的提单（2）从缔约国港口起运（3）提单中列有首要条款（即当事人选择适用该公约）《汉堡规则》不仅规定公约适用于两个不同缔约国间的所有海上运输合同，而且规定①被告所在地；②提单签发地；③装货港；④卸货港；⑤运输合同指定地点，五个地点之中任何一个在缔约国的都可以适用《汉堡规则》。《鹿特丹规则》传统的海上区段以外的其它领域，包括与海上运输连接的陆上运输，铁路、公路、内河水上运输甚至是航空运输都包括在内。五、承运人的责任期间不同

海牙规则

大家下午好，我们这一组与大家一起分享和探讨的题目是：《鹿特丹规则》下承运人责任制度与现有国际公约、我国法律的比较。首先，我先介绍一下这几大规则制定的背景。《海牙规则》无论是对承运人义务的规定，还是免责事项，索赔诉讼，责任限制，均是体现着承运方的利益。而对货主的保护则相对较少。这也是船货双方力量不均衡的体现。《维斯比规则》是对海牙规则的继承和补充，依然偏重保护承运人利益。由于《维斯比规则》对《海牙规则》的修改很不彻底，广大发展中国家希望另订立更理想的国际海上运输法。1978年3月由UNCITRAL在汉堡正式通过了《1978年联合国海上货物运输公约》，简称为《汉堡规则》。它是发展中国家在航运领域中争取建立新的国际经济秩序所获得的成果，但是汉堡规则施行的并不成功，世界重要的航运大国几乎没有加入。此后，随着A. 货物运输集装箱化，尤其是多式联运的发展。 B. 海牙维斯比规则调整范围狭窄，只适用于提单或类似的物权凭证；而且承运人责任期间也比较短 C. 海牙维斯比规则中某些除外责任过于偏向承运人， D. （汉堡规则矫枉过正的失败）汉堡规则彻底颠覆海牙维斯比规则的责任体系，采取过错推定责任，一旦发生货物灭失或者损坏，就推定承运人应该负责，除非承运人自己能够证明已经尽到一切合理措施避免损失发生。由UNCITRAL制定的鹿特丹规则，于2009年9月23日在荷兰鹿特丹应运而生。中国海商法第四章较多参考了海牙维斯比规则，但是中国海商法和鹿特丹规则在整体上都没有明显地偏向船货任何一方。下面我简单的介绍一下《鹿特丹规则》下承运人责任制度与现有国际公约、我国法律的比较。我们组是基于四个角度来分析的：责任期间，责任基础（归责原则+举证责任），责任限额，延迟交付。一．责任期间海牙/维斯比——货物装上船时起至写下穿时止，俗称“钩到钩” 汉堡规则——在装货港、运输途中以及在卸货港、货物处于承运人掌管下的全部时间，俗称“港到港” 鹿特丹规则——自承运人接受货物时起到交付货物时止的整个期间，俗称“门到门” CMC——对集装箱货物，采用“港到港”，对非集装箱货物，采用“钩到钩”，对于多式联运货物，其责任期间为自承运人接受货物时起到交付货物时止的整个期间。可以看出来，随着现代物流业发展，对承运人责任期间的要求越来高。《鹿特丹规则》将承运人的该项义务延伸至整个海上航程，加重了承运人的义务。但为了便于承运人接受该项变革，新规则同时改变了举证责任的分配，即必须由索赔方承担货损的原因是由于船舶不适航所造成的举证责任，这也体现了国际条约在制定的过程中寻求利益平衡的特点。二．责任基础（归责原则&举证责任） 1.海牙及维斯比规则归责原则：不完全过失原则 “不完全过失原则”的含义是指一般情况下采取过失原则，即有过失就有责任，但同时又有例外情况。《海牙规则》中规定了一项法定免责，即船长和船员在驾驶、管理船舶中的过失，承运人可免责。这一规定就是过失原则的例外，所以称作“不完全过失原则”。举证责任： 1. 管货义务：承运人承担实质举证责任 2. 免责事项：1-16项索赔方举证

国际私法英文专业词汇对照表(可编辑修改word版)

索引词表中文索引英文索引 A ADR 解决方法Alternative Dispute Resolution B 巴托鲁斯Bartolus 本地法说Local Law Theory 本国法lex partriae 比较损害方法comparative-impairment approach 并入或采纳adoption 跛脚婚姻limping marriage BOT 投资方式Build-Operate-Transfer 部分裁决partial award 布鲁歇Brocher 不歧视待遇non-discriminate treatment C 常设仲裁机构permanent arbitration agency 场所支配行为locus regit actum 承认与执行外国法院判决recognition and enforcement of foreign judgments 程序规范procedure rules 重叠适用的冲突规范double conflict rules 冲突法the conflict of laws 冲突规范conflict rules 船舶抵押权ship mortgage 船舶留置权possessors lien on vessel 船舶碰撞collision

船舶所有权ownership of ship 船舶优先权maritime lien 垂直的法律冲突vertical conflict of laws D 达让特莱D’Argentre 代理agency 戴赛Dicey 单边冲突规范unilateral conflict rules 单式运输分合同sub-contracts 单一反致single renvoi 单一破产制unitary bankruptcy 当事人合意选择的法律lex voluntatis 当事人意思自治autonomy of will 德帕涅Despagnet 地理标准geographic criterion 地域效力t erritoriality 定期租船合同time charter 定性qualification 东道国法律law of host country 动态连结点variable point of contact 杜摩兰Dumoulin 独任仲裁员sole arbitrator 对人诉讼管辖权in personam jurisdiction 对物诉讼管辖权in rem jurisdiction 多式运输经营人combined transport operator E 二级识别secondary characterization

提单权利定性的思考

第07卷第05期中国水运 Vol.7 No.05 2007年 05月 China Water Transport May 2007 收稿日期：2007-3-13 作者简介：郭文远张智杜小林重庆万州海事处提单权利定性的思考郭文远张智杜小林摘要：我国司法实践普遍承认提单的物权效力。在我国的民法理论中，也有将提单交付拟制成货物交付的观点，此已为不争之事实。但是我国《海商法》并未明确规定提单物权效力。当然在《海商法》中的提单制度中包含了一些提单物权效力制度。为明确法律关系消除分岐，我国法律应以明文规定提单物权效力的概念，制定有关提单物权效力的条款。关键词：提单物权凭证债权凭证权利定性中图分类号：DF961.9 文献标识码：A 文章编号：1006-7973（2007）05-0259-02 一、前言在国际贸易中，特别是涉及远洋运输时，作为一项重要的单据提单发挥着巨大的作用。提单产生开始不过是船主收到货物的一纸凭证。随着人们商业的扩展和商业复杂性的增加，产生了货物到达目的之前转让其权利的必要。人们常把它拟制为货物本身直接转让它，或拿它作质押向银行申请开出信用证或进行其他融资等。正是提单这一特有性质，使他存在着许多理论上的争议。其焦点是：提单所表彰的权利到底是怎样的一种权利？是物权，还是债权？各种主张莫中一是，至今未有定论。然而提单的法律定性在各种有关提单的法律纠纷中却至关重要。对提单法律定性的不同，就会产生对管辖、时效、法律适用和责任认定等具有不同的判决结果，而这种结果对当事人的影响是极为重要的。笔者从法学的角度释解提单的定性。二、提单的物权凭证提单物权凭证的理论依据，无一例外都源于提单的可转让性。我国海事司法界和理论界的主流之说仍是提单是所载之物的物权凭证。物权凭证是指在正常商业和融资活动中，被认作占用该凭证的某人有权收受、占有和处分，该凭证及其所包含货物的充分证据的凭证。按照提单定义承运人要按提单的规定凭单交货，在货物交付以前，货物是在承运人的保管和占有之下；其次只要不是记名提单，提单可以转让，即在市场上同有价证券一样，善意受让提单的持有人即可凭此向承运人提货。这两点充分说明提单的物权凭证。提单是一份物权凭证时，根据提单提取货物，其提单的取得和货物的取得同一效力。而且不根据提单不能处理货物，对货物的占有并不取得所有权。提单物权效力主要服务于买卖和信用证交易，而非运输环节。尽管提单持有人也可以据物权同承运人主张货物交付。对提单物权效力在理论界有不同的认识。（一）绝对说，指承运人签发提单给托运人之后，提单上记载的货物所有权，就绝对依附于提单上。拥有了提单等于无条件的拥有了货物。即使货物已不在承运人的控制之下，提单的持有人仍可以向实际占有人无条件主张货物的所有权。（二）相对说，认为与提单相关的货物间接占有及其转移，只是在民法规定的占有、转移手续时才有效力。据提单取得物权必须具备民法上物权变更条件。货物占有人若有善意受让人的情况，提单持有人不能取得货物所有权。（三）代表说，认为据提单取得货物所有权或质权，以承运人直接或间接占有货物为前提。提单所作权利转移和取得而特使提单代替货物。以承运人具有货物直接占有权，而提单持有人具有间接占有权为前提。本人认为代表说更符合海上贸易习惯。三、提单的债权凭证这种学说完全否定了提单是物权凭证的观点，颇有新颖。其代表性的文章是李海先生的《关于“提单物权凭证”的反思》，提单只是承运人与托运人之间达成的海上货物运输合同的证明。《汉堡规则》和我国《海商法》的提单定义都将提单规定为运输合同的证明。因为提单作为法定合同凭证所体现了一种交货请求权，成为持有人要求承运人履行交付货物行为的书面凭证。提单所针对的义务主体是特定的承运人而非承运人以外的任何人，提单持有人只能向承运人主张提单记载或代表的权利。由此可见，提单是债权凭证，并体现在运输合同之中。提单是运输合同的证明，并来自于运输合同之中。然而提单持有人（收货人）对承运人享有债权。对于这一点理论中有不同的观点。（一）代理说，即认为运输合同是承运人和收货人订阅的，具有签订合同的托运人只是代理收货人行事。这种观点在国际贸易初期，是被普遍接受的理论。（二）合同让与说，按照一般民法原则，合同让与的后果是债权债务的内容不变，但债的主体发生变化。提单的转让，使提单所证明海上货物运输合同中规定的部分托运人的权利和义务发生转移，属于合同当事人变更的情况。（三）第三方受益说，此说认为当托运人与收货人不是同一人时，托运人是为收货人利益订立的运输合同。 # #

简评鹿特丹规则对中国的影响

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