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1973年多式联运单证统一规则 UNIFORM RULES FOR A COMBINED TRANSPORT DOCUMENT, 1973

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颁布日期:19730101  实施日期:19750101

  INTRODUCTION

  The single mode tradition

  The traditional carriage of goods by a single mode of transportdeveloped an appropriate transport document for each mode. This documentapplies only to carriage by that mode. It is issued at the point ofdeparture by that mode by the actual provider of the transport, and itestablishes his liability for loss or damage to the goods whilst in hischarge by reference to an international convention, or to a national law,applying only to that mode of transport.

  Each of these “single mode” transport documents has served to pass theinformation necessary for the movement of the goods, and also metcommercial and financial needs by acting as a receipt for identifiedgoods, as a contract of carriage, and also, when issued in negotiableform, as a document of title to the goods.Combined transport operators

  The transport developments of the past decade have led to a greatlyincreased through movement of goods, often in “unit load” form, from apoint of departure to a point of final destination by the successive useof more than one mode of transport.

  Such “combined transport” (also referred to in the USA as “inter-modaltransport” and in other parts of the world as “multi-modal transport”)means either the issue of a series of separate single mode transportdocuments-which is inefficient from the international trade viewpoint-ortheir replacement by a new, through, “start-to-finish” transport document.

  Such new transport document, a “CT document” (combined transportdocument), would of necessity be issued by someone who might be the actualprovider of the transport-or at least of part of it-or who might merely bean arranger for the provision of all, or part of, the transport by others.

  But whether as provider or as arranger of the transport, such personissuing the CT document (the CTO-Combined Transport Operator) would beacting as principal vis-a-vis the shipper and would be responsible, as aprincipal, for the transport being properly carried out, and liable, as aprincipal, for loss or damage wherever it occurred during the course ofthe whole combined transport.Uniform Rules for CT Documents

  In the absence of a new international convention specially applicableto multi-modal transport in the way that existing conventions apply to thedifferent single modal transport, and as an essential measure to avoid thecommercially retrograde step of the development of a multiplicity ofdiffering documents for combined transport operations, the ICC has drafteda set of minimum uniform rules to govern an acceptable-and easilyrecognisable-CT document. The Rules may be given legal effect by theirincorporation into a private contract, the combined transport contractevidenced by the CT document.Application

  The ICC Rules are applied by the issue of the CT document, and by theissue of this document the CTO accepts full responsibility for theperformance of the combined transport, as well as liability, throughoutthe entire combined transport.

  Because, however, the Rules are applied by private contract.

  (a) The liability for loss or damage has to be governed:

  (i) by the appropriate single mode rules when the loss ordamage can be attributed to a particular stage of transport (cf. Rule 13),or

  (ii) by the ICC Rules when the loss or damage is “concealed”,i. e. cannot be attributed to a particular stage of transport (cf. Rules11 and 12)。

  (b) The liability for delay has to be governed in all cases by thesingle mode rules regarding delay, where such single mode rules exist,applying to the stage of transport where the delay occurred (cf. Rule 14)。Nevertheless, the Rules do not preclude the voluntary acceptance by theCTO of a greater responsibility or obligation than that outlined above.Forward Looking

  The Rules are also forward looking, in that they take note of theincreasing tendency to replace negotiable documents of title, which mustbe surrendered at destination before the goods may be delivered, bynon-negotiable documents, whereby delivery is made to a consignee named inthe document without the need to surrender any document, and provide forthe issue of the CT document in either negotiable form, or innon-negotiable form.

  They do not, however-and, indeed, they cannot-legislate for thecommercial and financial standing of the CTO. This will be resolved bycommercial willingness or by commercial unwillingness to regard a CTdocument issued by any particular CTO as a worthwhile document.

  In this revised form the Rules represent a major contribution towardsthe simplification of international trade procedures as a means offacilitating international trade and its finance.

  GENERAL PROVISIONS

  Rule 1

  (a) These Rules apply to every contract concluded for the performanceand/or procurement of performance of combined transport of goods which isevidenced by a combined transport document as defined herein. These Rulesshall nevertheless apply even if the goods are carried by a single mode oftransport contrary to the original intentions of the contracting partiesthat there should be a combined transport of the goods as definedhereafter.

  (b) The issuance of such combined transport document confers andimposes on all parties having or thereafter acquiring an interest in itthe rights, obligations and defences set out in these Rules.

  (c) Except to the extent that it increases the responsibility orobligation of the combined transport operator, any stipulation or any partof any stipulation contained in a contract of combined transport or in acombined transport document evidencing such contract, which would directlyor indirectly derogate from these Rules shall be null and void to theextent of the conflict between such stipulation, or part thereof, andthese Rules. The nullity of such stipulation or part thereof shall notaffect the validity of the other provisions of the contract of combinedtransport or combined transport document of which it forms a part.

  DEFINITIONS

  Rule 2

  For the purpose of these Rules:

  (a) Combined transport means the carriage of goods by at least twodifferent modes of transport, from a place at which the goods are taken incharge situated in one country to a place designated for delivery situatedin a different country.

  (b) Combined transport operator (CTO) means a person (including anycorporation, company or legal entity) issuing a combined transportdocument. Where a national law requires a person to be authorised orlicensed before being entitled to issue a combined transport document,then combined transport operator can only refer to a person so authorisedor licensed.

  (c) Combined transport document (CT document) means a documentevidencing a contract for the performance and/or procurement ofperformance of combined transport of goods and bearing on its face eitherthe heading “Negotiable combined transport document issued subject toUniform Rules for a Combined Transport Document (ICC publication No. 298)”or the heading “Non-negotiable combined transport document issued subjectto Uniform Rules for a Combined Transport Document (ICC Publication No.298)”。

  (d) Different modes of transport means the transport of goods by twoor more modes of transport, such as transport by sea, inland waterway,air, rail or road.

  (e) Delivery means delivering the goods to or placing the goods at thedisposal of the party entitled to receive them.

  (f) Franc means a unit consisting of 65.6 milligrams of gold ofmillesimal fineness 900.

  NEGOTIABLE DOCUMENT

  Rule 3

  Where a CT document is issued in negotiable form:

  (a) it shall be made out to order or to bearer;

  (b) if made out to order it shall be transferable by endorsement;

  (c) if made out to bearer it shall be transferable withoutendorsement;

  (d) if issued in a set of more than one original it shall indicate thenumber of originals in the set;

  (e) if any copies are issued each copy shall be marked “non-negotiablecopy”;

  (f) delivery of the goods may be demanded only from the CTO or hisrepresentative, and against surrender of the CT document duly endorsedwhere necessary;

  (g) the CTO shall be discharged of his obligation to deliver the goodsif, where a CT document has been issued in a set of more than oneoriginal, he, or his representative, has in good faith delivered the goodsagainst surrender of one of such originals.

  NON-NEGOTIABLE DOCUMENT

  Rule 4

  Where a CT document is issued in non-negotiable form:

  (a) it shall indicate a named consignee;

  (b) the CTO shall be discharged of his obligation to deliver the goodsif he makes delivery thereof to the consignee named in such non-negotiabledocument, or to the party advised to the CTO by such consignee asauthorised by him to accept delivery.

  RESPONSIBILITIES AND LIABILITIES OF THE CTO

  Rule 5

  By the issuance of a CT document the CTO:

  (a) undertakes to perform and/or in his own name to procureperformance of the combined transport-including all services which arenecessary to such transport-from the time of taking the goods in charge tothe time of delivery, and accepts responsibility for such transport andsuch services to the extent set out in these Rules;

  (b) accepts responsibility for the acts and omissions of his agents orservants, when such agents or servants are acting within the scope oftheir employment, as if such acts and omissions were his own;

  (c) accepts responsibility for the acts and omissions of any otherperson whose services he uses for the performance of the contractevidenced by the CT document;

  (d) undertakes to perform or to procure performance of all actsnecessary to ensure delivery;

  (e) assumes liability to the extent set out in the Rules for loss ofor damage to the goods occurring between the time of taking them into hischarge and the time of delivery, and undertakes to pay compensation as setout in these Rules in respect of such loss or damage;

  (f) assumes liability to the extent set out in Rule 14 for delay indelivery of the goods and undertakes to pay compensation as set out inthat Rule.

  RIGHTS AND DUTIES OF THE PARTIES

  Rule 6

  In addition to the information specifically required by these Rules,the parties shall insert in a CT document such particulars as they mayagree to be commercially desirable.

  Rule 7

  The consignor shall be deemed to have guaranteed to the CTO theaccuracy, at the time the goods were taken in charge by the CTO, of thedescription, marks, number, quantity, weight and/or volume of the goodsas furnished him, and the consignor shall indemnify the CTO against allloss, damage and expense arising or resulting from inaccuracies in orinadequacy of such particulars. The right of the CTO to such indemnityshall in no way limit his responsibility and liability under the CTdocument to any person other than the consignor.

  Rule 8

  The consignor shall comply with rules which are mandatory according tothe national law or by reason of international convention, relating to thecarriage of goods of a dangerous nature, and shall in any case inform theCTO in writing of the exact nature of the danger before goods of adangerous nature are taken in charge by the CTO and indicate to him, ifneed be, the precautions to be taken. If the consignor fails to providesuch information and the CTO is unaware of the dangerous nature of thegoods and the necessary precautions to be taken and if, at any time, theyare deemed to be a hazard to life or property, they may at any place beunloaded, destroyed or rendered harmless, as circumstances may require,without compensation, and the consignor shall be liable for all loss,damage, delay or expenses arising out of their being taken in charge, ortheir carriage, or of any service incidental thereto.

  The burden of proving the CTO knew the exact nature of the dangerconstituted by the carriage of the said goods shall rest upon the personentitled to the goods.

  Rule 9

  The CTO shall clearly indicate in the CT document, at least byquantity and/or weight and/or volume and/or marks, the goods he has takenin charge and for which he accepts responsibility.

  Subject to paragraph 1 of this Rule, if the CTO has reasonable groundsfor suspecting that the CT document contains particulars concerning thedescription, marks, number, quantity, weight and/or volume of the goodswhich do not represent accurately the goods actually taken in charge, orif he has no reasonable means of checking such particulars, the CTO shallbe entitled to enter his reservations in the CT document, provided heindicates the particular information to which such reservations apply.

  The CT document shall be prima facie evidence of the taking in chargeby the CTO of the goods as therein described. Proof to the contrary shallnot be admissible when the CT document is issued in negotiable form andhas been transferred to a third party acting in good faith.

  Rule 10

  Except in respect of goods treated as lost in accordance with Rule 15hereof, the CTO shall be deemed prima facie to have delivered the goods asdescribed in the CT document unless notice of loss of, or damage to, thegoods, indicating the general nature of such loss or damage, shall havebeen given in writing to the CTO or to his representative at the place ofdelivery before or at the time of removal of the goods into the custody ofthe person entitled to delivery thereof under the CT document, or, if theloss or damage is not apparent, within seven consecutive days thereafter.

  LIABILITY FOR LOSS OR DAMAGE

  A. Rules applicable when the stage of transport where the loss ordamage occurred is not known

  Rule 11

  When in accordance with Rule 5(e) hereof the CTO is liable to paycompensation in respect of loss of, or damage to, the goods and the stageof transport where the loss or damage occurred is not known:

  (a) such compensation shall be calculated by reference to the value ofsuch goods at the place and time they are delivered to the consignee or atthe place and time when, in accordance with the contract of combinedtransport, they should have been so delivered;

  (b) the value of the goods shall be determined according to thecurrent commodity exchange price or, if there is no such price, accordingto the current market price, or if there is no commodity exchange price orcurrent market price, by reference to the normal value of goods of thesame kind and quality.

  (c) compensation shall not exceed 30 francs per kilo of gross weightof the goods lost or damaged, unless, with the consent of the CTO, theconsignor has declared a higher value for the goods and such higher valuehas been stated in the CT document, in which case such higher value shallbe the limit.

  However, the CTO shall not, in any case, be liable for an amountgreater than the actual loss to the person entitled to make the claim.

  Rule 12

  When the stage of transport where the loss or damage occurred is notknown the CTO shall not be liable to pay compensation in accordance withRule 5(e) hereof if the loss or damage was caused by:

  (a) an act or omission of the consignor or consignee, or person otherthan the CTO acting on behalf of the consignor or consignee, or from whomthe CTO took the goods in charge;

  (b) insufficiency or defective condition of the packing or marks;

  (c) handling, loading, stowage or unloading of the goods by theconsignor or the consignee or any person acting on behalf of the consignoror the consignee;

  (d) inherent vice of the goods;

  (e) strike, lockout, stoppage or restraint of labour, the consequencesof which the CTO could not avoid by the exercise of reasonable diligence;

  (f) any cause or event which the CTO could not avoid and theconsequences of which he could not prevent by the exercise of reasonablediligence;

  (g) a nuclear incident if the operator of a nuclear installation or aperson acting for him is liable for this damage under an applicableinternational convention or national law governing liability in respect ofnuclear energy.

  The burden of proving that the loss or damage was due to one or moreof the above causes or events shall rest upon the CTO.

  When the CTO establishes that, in the circumstances of the case, theloss or damage could be attributed to one or more of the causes or eventsspecified in (b) to (d) above, it shall be presumed that it was so caused.The claimant shall, however, be entitled to prove that the loss or damagewas not, in fact, caused wholly or partly by one or more of these causesor events.

  B. Rules applicable when the stage of transport where the loss ordamage occurred is known

  Rule 13

  When in accordance with Rule 5(e) hereof the CTO is liable to paycompensation in respect of loss or damage to the goods and the stage oftransport where the loss or damage occurred is known, the liability of theCTO in respect of such loss or damage shall be determined.

  (a) by the provisions contained in any international convention ornational law, which provisions:

  (i) cannot be departed from by private contract, to the detrimentof the claimant, and

  (ii) would have applied if the claimant had made a separate anddirect contract with the CTO in respect of the particular stage oftransport where the loss or damage occurred and received as evidencethereof any particular document which must be issued in order to make suchinternational convention or national law applicable; or

  (b) by the provisions contained in any international conventionrelating to the carriage of goods by the mode of transport used to carrythe goods at the time when the loss or damage occurred, provided that:

  (i) no other international convention or national law would applyby virtue of the provisions contained in subparagraph (a) of this Rule,and that

  (ii) it is expressly stated in the CT document that all theprovisions contained in such convention shall govern the carriage of goodsby such mode of transport, where such mode of transport is by sea, suchprovisions shall apply to all goods whether carried on deck or under deck;or

  (c) by the provisions contained in any contract of carriage by inlandwaterways entered into between the CTO and any subcontractor, providedthat:

  (i) no international convention or national law is applicableunder subparagraph (a) of this Rule, or is applicable, or could have beenmade applicable, by express provision in accordance with subparagraph (b)of this Rule and that

  (ii) it is expressly stated in the CT document that such contractprovisions shall apply; or

  (d) by the provisions of Rules 11 and 12 in cases where the provisionsof subparagraphs (a), (b) and (c) above do not apply.

  Without prejudice to the provisions of Rule 5(b) and (c), when, underthe provisions of the preceding paragraph, the liability of the CTO shallbe determined by the provisions of any international convention ornational law, this liability shall be determined as though the CTO werethe carrier referred to in any such convention or national law. However,the CTO shall not be exonerated from liability where the loss or damage iscaused or contributed to by the acts or omissions of the CTO in hiscapacity as such, or his servants or agents when acting in such capacityand not in the performance of the carriage.

  LIABILITY FOR DELAY

  Rule 14

  The CTO is liable to pay compensation for delay only when the stage oftransport where a delay occurred is known, and to the extent that there isliability under any international convention or national law, theprovisions of which:

  (i) cannot be departed from by private contract to the detrimentof the claimant;

  (ii) would have applied if the claimant had made a separate anddirect contract with the CTO as operator of that stage of transport andreceived as evidence thereof any particular document which must be issuedin order to make such international convention or national law applicable.

  However, the amount of such compensation shall not exceed the amountof the freight for that stage of transport, provided that this limitationis not contrary to any applicable international convention or nationallaw.

  MISCELLANEOUS PROVISIONS

  Rule 15

  Failure to effect delivery within 90 days after the expiry of a timelimit agreed and expressed in a CT document or, where no time limit isagreed and so expressed, failure to effect delivery within 90 days afterthe time it would be reasonable to allow for diligent completion of thecombined transport operation shall, in the absence of evidence to thecontrary, give to the party entitled to receive delivery the right totreat the goods as lost.

  Rule 16

  The defences and limits of liability provided for in these Rules shallapply in any action against the CTO for loss of, damage, or delay to thegoods whether the action be founded in contract or in tort.

  Rule 17

  The CTO shall not be entitled to the benefit of the limitation ofliability provided for in Rule 11 hereof if it is proved that the loss ordamage resulted from an act or omission of the CTO done with intent tocause damage or recklessly and with knowledge that damage would probablyresult.

  Rule 18

  Nothing in these Rules shall prevent the CTO from including in the CTdocument provisions for protection of his agents or servants or any otherperson whose services he uses for the performance of the contractevidenced by the CT document, provided such protection does not extendbeyond that granted to the CTO himself.

  TIME-BAR

  Rule 19

  The CTO shall be discharged of all liability under these Rules unlesssuit is brought within nine months after,

  (i) the delivery of the goods, or

  (ii) the date when the goods should have been delivered, or

  (iii) the date, when in accordance with Rule 15, failure todeliver the goods would, in the absence of evidence to the contrary, giveto the party entitled to receive delivery the right to treat the goods aslost.

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