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法律公约

统一提单的若干法律规则的国际公约(海牙规则)

(“HAGUE RULES”)

INTERNATIONAL CONVENTION FOR THE UNIFICATION OF CERTAIN

RULES OF LAW RELATING TO BILLS OF LADING

(Brussels, 25 August 1924)

The President of the German Republic, the President of the Argentine Republic,

His Majesty the King of the Belgians, the President of the Republic of Chile, the

President of the Republic of Cuba, His Majesty the King of Denmark and Iceland, His

Majesty the King of Spain, the Head of the Estonian State, the President of the United

States of America, the President of the Republic of Finland, the President of the

French Republic, His Majesty the King of the United Kingdom of Great Britain and

Ireland and of the British Dominions beyond the Seas, Emperor of India, His Most

Supreme Highness the Governor of the Kingdom of Hungary, His Majesty the King of

Italy, His Majesty the Emperor of Japan, the President of the Latvian Republic, the

President of the Republic of Mexico, His Majesty the King of Norway, Her Majesty

the Queen of the Netherlands, the President of the Republic of Peru, the President of

the Polish Republic, the President of the Portuguese Republic, His Majesty the King

of Romania, His Majesty the King of the Serbs, Croats and Slovenes, His Majesty the

King of Sweden, and the President of the Republic of Uruguay,

HAVING RECOGNIZED the utility of fixing by agreement certain uniform rules

of law relating to bills of lading,

HAVE DECIDED to conclude a convention with this and have appointed the

following Plenipotentiaries:

WHO, duly authorized thereto, have agreed as follows:

第一条 本公约所用下列各词,涵义如下:

Article 1 In this Convention the following words are employed with the

meanings set out below:

(a)"承运人"包括与托运人订有运输合同的船舶所有人或租船人。

"Carrier" includes the owner or the charterer who enters into a contract of

carriage with a shipper.

(b)"运输合同"仅适用于以提单或任何类似的物权证件进行有关海上货物

运输的合同;在租船合同下或根据租 船合同所签发的提单或任何物权证件,在

它们成为制约承运人与凭证持有人之间的关系准则时,也包括在内。

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"Contract of carriage" applies only to contracts of carriage covered by a bill of

lading or any similar document of title, in so far as such document relates to the

carriage of goods by sea, including any bill of lading or any similar document as

aforesaid issued under or pursuant to a charter party from the moment at which such

bill of lading or similar document of title regulates the relations between a carrier and

a holder of the same.

(c)"货物"包括货物、制品、商品和任何种类的物品,但活牲畜以及在运

输合同上载明装载于舱面上并且已经这样装运 的货物除外。

"Goods" includes goods, wares, merchandise and articles of every kind

whatsoever except live animals and cargo which by the contract of carriage in stated

as being carried on deck and is so carried.

(d)"船舶"是指用于海上货物运输的任何船舶。

"Ship" means any vessel used for the carriage of goods by sea.

(e)"货物运输"是指自货物 装上船时起,至卸下船时止的一段期间。

"Carriage of goods" covers the period from the time when the goods are loaded

on to the time they are discharged from the ship.

第二条 除遵照第六条规定外,每个海上货物运输合同的承运人,对有关货

物的装载、搬运、配载、运送、保管、照料和卸载,都应按照下列规定承担责任

和义务,并享受权 利和豁免。

Article 2

Subject to the provisions of Article 6, under every contract of carriage of goods

by sea the carrier, in relation to the loading, handling, stowage, carriage, custody, care

and discharge of such goods, shall be subject to the responsibilities and liabilities, and

entitled to the rights and immunities hereinafter set forth.

第三条

Article 3

1.承运人须在开航前和开航时克尽职责:

The carrier shall be bound before and at the beginning of the voyage to exercise

due diligence t

(a)使船舶适于航行;

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Make the ship seaworthy.

(b)适当地配备船员、装备船舶和供应船舶;

Properly man, equip and supply the ship.

(c)使货舱、冷藏舱和该船其他载货处所能适宜和安全地收受、运送和保

管货物。

Make the holds, refrigerating and cool chambers, and all other parts of the ship in

which goods are carried, fit and safe for their reception, carriage and preservation.

2.除遵照第四条规定外,承运人应适当和谨慎地装卸、搬运、配载、运送、

保管、照料和卸载所运货 物。

Subject to the provisions of Article 4, the carrier shall properly and carefully load,

handle, stow, carry, keep, care for, and discharge the goods carried.

3.承运人或船长或承运人的代理人在收受货物归其照管后,经托运人

请求,应向托运人签发提单,其上载明下列各项:

After receiving the goods into his charge the carrier or the master or agent of the

carrier shall, on demand of the shipper, issue to the shipper a bill of lading showing

among other things:

(a)与开始装货前由托运人书面提供者相同的、为辨认货物所需的主要唛

头,如果这项唛头是以印戳或其他方式标示 在不带包装的货物上,或在其中装

有货物的箱子或包装物上,该项唛头通常应在航程终了时仍能保持清晰可认。

The leading marks necessary for identification of the goods as the same are

furnished in writing by the shipper before the loading of such goods starts, provided

such marks are stamped or otherwise shown clearly upon the goods if uncovered, or

on the cases or coverings in which such goods are contained, in such a manner as

should ordinarily remain legible until the end of the voyage.

(b)托运人用书面提供的包数或件数,或数量,或重量。

Either the number of packages or pieces, or the quantity, or weight, as the case

may be, as furnished in writing by the shipper.

(c) 货物的表面状况。

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The apparent order and condition of the goods.

但是,承 运人、船长或承运人的代理人,不一定必须将任何货物的唛

头、号码、数量或重量表明或标示在提单上,如果他有合理根据怀疑提单不能正

确代表实际收到的货物, 或无适当方法进行核对的话。

Provided that no carrier, master or agent of the carrier shall be bound to state or

show in the bill of lading any marks, number, quantity, or weight which he has

reasonable ground for suspecting not accurately to represent the goods actually

received, or which he has had no reasonable means of checking.

4.依照 第3款(a)、(b)、(c)项所载内容的这样一张提单,应作为

承运人收到该提单中所载货物的初步证据。

Such a bill of lading shall be prima facie evidence of the receipt by the carrier of

the goods as therein described in accordance with paragraph 3(a), (b) and (c).

5.托运人应被视为已在装船时向承运人保证,由他提供的唛头、号码、数

量和重量均正确无误;并应赔偿给承运人 由于这些项目不正确所引起或导致的

一切灭失、损坏和费用。承运人的这种赔偿权利,并不减轻其根据运输合同对托

运人以外的任何人所承担的责任和义务。

The shipper shall be deemed to have guaranteed to the carrier the accuracy at

the time of shipment of the marks, number, quantity and weight, as furnished by him,

and the shipper shall indemnity the carrier against all loss, damages and expenses

arising or resulting from inaccuracies in such particulars. The right of the carrier to

such indemnity shall in no way limit his responsibility and liability under the contract

of carriage to any person other than the shipper.

6.在将货物移交给根据运输合同有权收货的人之前或当时,除非在卸货

港将货物的灭失和损害的一般情况,已用书面通知承运人或其代理人,则这种移

交应作为 承运人已按照提单规定交付货物的初步证据。

Unless notice of loss or damage and the general nature of such loss or damage be

given in writing to the carrier or his agent at the port of discharge before or at the time

of the removal of the goods into the custody of the person entitled to delivery thereof

under the contract of carriage, or, if the loss or damage be not apparent, within three

days, such removal shall be prima facie evidence of the delivery by the carrier of the

goods as described in the bill of lading.

如果灭失或损坏不明显,则这种通知应于交付货物之日起的三天内提交。

If the loss or damage is not apparent, the notice must be given within three days

of the delivery of the goods.

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如果货物状况在收受时已经进行联合检验或检查,就无须再提交书面通 知。

The notice in writing need not be given if the state of the goods has, at the time

of their receipt, been the subject of joint survey or inspection.

除非从货物交付之日或应交付之日起一年内提出诉讼,承运人和船舶在任何

情况下都免 除对灭失或损害所负的一切责任。

In any event the carrier and the ship shall be discharged from all liability in

respect of loss or damage unless suit is brought within one year after delivery of the

goods or the date when the goods should have been delivered.

遇有任何实际的或推定的灭失或损害,承运人与收 货人必须为检验和清点

货物相互给予一切合理便利。

In the case of any actual or apprehended loss or damage the carrier and the

receiver shall give all reasonable facilities to each other for inspecting and tallying the

goods.

7.货物装船后,如果托运人要求,签发"已装船"提单,承运人、船长或

承运人的代理人签发给托运人的提单,应为"已装船"提单,如果托运人事先已取

得这 种货物的物权单据,应交还这种单据,换取"已装船"提单。但是,也可以

根据承运人的决定,在装货港由承运人、船长或其代理人在上述物权单据上注明

装货船名 和装船日期。经过这样注明的上述单据,如果载有第三条第3款所指

项目,即应成为本条所指的"已装船"提单。

After the goods are loaded the bill of lading to be issued by the carrier, master, or

agent of the carrier, to the shipper shall, if the shipper so demands, be a "shipped" bill

of lading, provided that if the shipper shall have previously taken up any document of

title to such goods, he shall surrender the same as against the issue of the "shipped"

bill of lading, but at the option of the carrier such document of title may be noted at

the port of shipment by the carrier, master, or agent with the name or names of the

ship or ships upon which the goods have been shipped and the date or dates of

shipment, and when so noted, if it shows the particulars mentioned in paragraph 3 of

Article 3, shall for the purpose of this Article be deemed to constitute a "shipped" bill

of lading.

8.运输合同中的任何条款、约定或协议,凡是解除承运人或船舶对由于疏

忽、过失或未履行本条规定的责任和义务,因而引起货物或关于货物的灭 失或

损害的责任的,或以下同于本公约的规定减轻这种责任的,则一律无效。有利于

承运人的保险利益或类似的条款,应视为属于免除承运人责任的条款。

Any clause, covenant, or agreement in a contract of carriage relieving the

carrier or the ship from liability for loss or damage to, or in connexion with, goods

arising from negligence, fault, or failure in the duties and obligations provided in this

Article or lessening such liability otherwise than as provided in this Convention, shall

be null and void and of no effect. A benefit of insurance in favour of the carrier or

similar clause shall be deemed to be a clause relieving the carrier from liability.

第四条 Article 4

1.不论承运人或船舶, 对于因不适航所引起的灭失或损坏,都不负责,

除非造=成的原因是由于承运人未按第三条第1款的规定,克尽职责;使船舶适

航;保证适当地配备船员、装备和供 应该船,以及使货舱、冷藏舱和该船的其

它装货处所能适宜并安全地收受、运送和保管货物。凡由于船舶不适航所引起的

灭失和损害,对于已克尽职责的举证责任, 应由根据本条规定要求免责的承运

人或其他人承担。

Neither the carrier nor the ship shall be liable for loss or damage arising or

resulting from unseaworthiness unless caused by want of due diligence on the part of

the carrier to make the ship seaworthy and to secure that the ship is properly manned,

equipped and supplied, and to make the holds, refrigerating and cool chambers and all

other parts of the ship in which goods are carried fit and safe for their reception,

carriage and preservation in accordance with the provisions of paragraph 1 of Article

3. Whenever loss or damage has resulted from unseaworthiness the burden of proving

the exercise of due diligence shall be on the carrier or other person claiming

exemption under thisArticle.

2.不论承运人或船舶,对由于下列原因引起或造成的灭失或损坏,都不负责:

Neither the carrier nor the ship shall be responsible for loss or damage arising or

resulting from:

(a)船长、船员、引水员或承运人的雇佣人员,在航行或管理船舶中的行

为、疏忽或不履行义务。

Act, neglect, or default of the master, mariner, pilot, or the servants of the carrier

in the navigation or in the management of the ship.

(b)火灾,但 由于承运人的实际过失或私谋所引起的除外。

Fire, unless caused by the actual fault or privity of the carrier.

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(c)海上或其它能航水域的灾难、危险和意外事故。

Perils, dangers and accidents of the sea or other navigable waters.

(d)天灾。 Act of God.

(e)战争行为。 Act of war.

(f)公敌行为。Act of public enemies.

(g)君主、当权者或人民的扣留或管制,或依法扣押。

Arrest or restraint or princes, rulers or people, or seizure under legal process.

(h)检疫限制。 Quarantine restrictions.

(i)托运人或货主、其代理人或代表的行为或不行为。

Act or omission of the shipper or owner of the goods, his agent or

representative.

(j)不论由于任何原因所引起的局部或全面罢工、关厂停止或限制工作。

Strikes or lockouts or stoppage or restraint of labour from whatever cause,

whether partial or general.

(k)暴动和骚乱。 Riots and civil commotions.

(l)救助或企图救助海上人命或财产。Saving or attempting to save life or

property at sea.

(m)由于货物的固有缺点、性质或缺陷引起的体积或重量亏损,或任何其

它灭 失或损坏。

Wastage in bulk or weight or any other loss or damage arising from inherent

defect, quality or vice of the goods.

(n)包装不 善。Insufficiency of packing.

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(o)唛头不清或不当。Insufficiency or inadequacy of marks.

(p)虽克尽职责亦不能发现的潜在缺点。Latent defects not discoverable by

due diligence.

(q)非由于承运人的实际过失或私谋,或者承运人的代理人,或雇 佣人

员的过失或疏忽所引起的其它任何原因;但是要求引用这条免责利益的人应负责

举证,证明有关的灭失或损坏既非由于承运人的实际过失或私谋,亦非承运人的

代理人或雇佣人员的过失或疏忽所造成。

Any other cause arising without the actual fault or privity of the carrier, or

without the actual fault or neglect of the agents or servants of the carrier, but the

burden of proof shall be on the person claiming the benefit of this exception to show

that neither the actual fault or privity of the carrier nor the fault or neglect of the

agents or servants of the carrier contributed to the loss or damage.

3.对于任何非因托运人、托运人的代理人或其雇佣人员的行为、过失或疏

忽所引起的使承运人或船舶遭受的 灭失或损坏,托运人不负责任。

The shipper shall not be responsible for loss or damage sustained by the carrier

or the ship arising or resulting from any cause without the act, fault or neglect of the

shipper, his agents or his servants.

4.为救助或企图救助海上人命或财产而发生的绕航,或任何合理绕航,都

不能作为破坏或违反本公 约或运输合同的行为;承运人对由此而引起的任何灭

失或损害,都不负责。

Any deviation in saving or attempting to save life or property at sea or any

reasonable deviation shall not be deemed to be an infringement or breach of this

Convention or of the contract of carriage, and the carrier shall not be liable for any

loss or damage resulting therefrom.

5.承运人或是船舶,在任何情况下对货物或 与货物有关的灭失或损害,

每件或每计费单位超过一百英镑或与其等值的其他货币的部分,都不负责;但托

运人于装货前已就该项货物的性质和价值提出声明,并已 在提单中注明的,不

在此限。

Neither the carrier nor the ship shall in any event be or become liable for any loss

or damage to or in connexion with goods in an amount exceeding 100 pounds sterling

per package or unit, or the equivalent of that sum in other currency unless the nature

and value of such goods have been declared by the shipper before shipment and

inserted in the bill of lading.

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该项声明如经载入提单,即做为初步证据,但它对承运人并 不具有约

束力或最终效力。

This declaration if embodied in the bill of lading shall be prima facie evidence,

but shall not be binding or conclusive on the carrier.

经承运人、船长或承运人的代理人与托运人双方协议,可规定不同于本

款规定的另一最高限额,但该 最高限额不得低于上述数额。

By agreement between the carrier, master or agent of the carrier and the shipper

another maximum amount than that mentioned in this paragraph may be fixed,

provided that such maximum shall not be less than the figure above named.

如承运人在提单中,故意谎报货物性质或价值,则在任 何情况下,承

运人或是船舶,对货物或与货物有关的灭失或损害,都不负责。

Neither the carrier nor the ship shall be responsible in any event for loss or

damage to, or in connexion with, goods if the nature or value thereof has been

knowingly misstated by the shipper in the bill of lading.

6.承运人、船长或承运人 的代理人对于事先不知性质而装载的具有易燃、

爆炸或危险性的货物,可在卸货前的任何时候将其卸在任何地点,或将其销毁,

或使之无害,而不予赔偿;该项货物 的托运人,应对由于装载该项货物而直接

或间接引起的一切损害或费用负责。如果承运人知道该项货物的性质,并已同意

装载,则在该项货物对船舶或货载发生危险 时,亦得同样将该项货物卸在任何

地点,或将其销毁,或使之无害,而不负赔偿责任,但如发生共同海损不在此限。

Goods of an inflammable, explosive or dangerous nature to the shipment

whereof the carrier, master or agent of the carrier has not consented with knowledge

of their nature and character, may at any time before discharge be landed at any place,

or destroyed or rendered innocuous by the carrier without compensation and the

shipper of such goods shall be liable for all damage and expenses directly or indirectly

arising out of or resulting from such shipment. If any such goods shipped with such

knowledge and consent shall become a danger to the ship or cargo, they may in like

manner be landed at any place, or destroyed or rendered innocuous by the carrier

without liability on the part of the carrier except to general average, if any.

第五条

承运人可以自由地全部或部分放弃 本公约中所规定的他的权利和豁免,或

增加他所应承担的任何一项责任和义务。但是这种放弃或增加,须在签发给托运

人的提单上注明。

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A carrier shall be at liberty to surrender in whole or in part all or any of his rights

and immunities or to increase any of his responsibilities and obligations under this

Convention, provided such surrender or increase shall be embodied in the bill of

lading issued to the shipper.

本公约的规定,不适用于租船合同,但如果提单是根据租船合同签发的,

则上述提单应符合本公约的规定。本公约中的任何规定,都不得妨碍在 提单中

加注有关共同海损的任何合法条款。

The provisions of this Convention shall not be applicable to charter parties, but if

bills of lading are issued in the case of a ship under a charter party they shall comply

with the terms of this Convention. Nothing in these rules shall be held to prevent the

insertion in a bill of lading of any lawful provision regarding general average.

第六条 虽有前述各条规定,只要不违反公共秩序,承运人、船长或承运人

的代理人得与托运人就承运人对任何特定货物应负的责任和应尽的义务,及其所

享受的权利与豁 免,或船舶适航的责任等,以任何条件,自由地订立任何协议。

或就承运人雇佣人员或代理人在海运货物的装载、搬运、配载、运送、保管、照

料和卸载方面应注意 及谨慎的事项,自由订立任何协议。但在这种情况下,必

须是未曾签发或将不签发提单,而且应将上述协议的条款载入不得转让并注明这

种字样的收据内。

Notwithstanding the provisions of the preceding Articles, a carrier, master or

agent of the carrier and a shipper shall in regard to any particular goods be at liberty

to enter into any agreement in any terms as to the responsibility and liability of the

carrier for such goods, and as to the rights and immunities of the carrier in respect of

such goods, or his obligation as to seaworthiness, so far as this stipulation is not

contrary to public policy, or the care or diligence of his servants or agents in regard to

the loading, handling, stowage, carriage, custody, care and discharge of the goods

carried by sea, provided that in this case no bill of lading has been or shall be issued

and that the terms agreed shall be embodied in a receipt which shall be a

non-negotiable document and shall be marked as such.

这样 订立的任何协议,都具有完全的法律效力。

Any agreement so entered into shall have full legal effect.

但本条规定不适用于依照普通贸易程序成交的一般商业货运,而仅在拟

装运的财物的性质和状况,或 据以进行运输的环境、条款和条件,有订立特别

协议的合理需要时,才能适用。

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Provided that this Article shall not apply to ordinary commercial shipments made

in the ordinary course of trade, but only to other shipments where the character or

condition of the property to be carried or the circumstances, terms and conditions

under which the carriage is to be performed are such as reasonably to justify a special

agreement.

第七条 本条约中的任何规定,都不妨碍承运人或托运人就承运人或船舶对

海运船舶所载货物于装船以前或卸船以后所受灭失或损害,或与货物的保管、照

料和搬运有关的灭 失或损害所应承担的责任与义务,订立任何协议、规定、条

件、保留或免责条款。

Nothing herein contained shall prevent a carrier or a shipper from entering into

any agreement, stipulation, condition, reservation or exemption as to the

responsibility and liability of the carrier or the ship for the loss or damage to, or in

connexion with, the custody and care and handling of goods prior to the loading on,

and subsequent to, the discharge from the ship on which the goods are carried by sea.

第八条 本公约各条规定,都不影响有关海运船舶所有人责任限制的任何现

行法令所规定的承运人的权利和义务。

The provisions of this Convention shall not affect the rights and obligations of

the carrier under any statute for the time being in force relating to the limitation of the

liability of owners of sea-going vessels.

第九条 本公约所提到的货币单位为金价。

The monetary units mentioned in this Convention are to be taken to be gold

value.

凡缔约国中不以英镑作为货币单位的,得保留其将本 公约所指的英镑

数额以四舍五入的方式折合为本国货币的权利。

Those contracting States in which the pound sterling is not a monetary unit

reserve to themselves the right of translating the sums indicated in this Convention in

terms of pound sterling into terms of their own monetary system in round figures.

各国法律可以为债务人保留按船舶抵达卸货港之日通知的兑换率,以本

国货币偿清其有关货物的债务的权利。

The national laws may reserve to the debtor the right of discharging his debt in

national currency according to the rate of exchange prevailing on the day of the

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arrival of the ship at the port of discharge of the goods concerned.

第十条 本公约和各项规定,适用于在任何缔约国所签发的一切提单。

The provisions of this Convention shall apply to all bills of lading issued in any

of the contracting States.

第十一条 自本公约签字之日起不超过二年的期限内,比利时政府应与已声

明拟批准本公约的缔约国保持联系,以便决定是否使本公约生效。批准书应于各

缔约国协商确定的日 期交存于布鲁塞尔。首次交存的批准书应载入由参加国代

表及比利时外交部长签署的议定书内。

After an interval of not more than two years from the day on which the

Convention is signed, the Belgian Government shall place itself in communication

with the Governments of the High Contracting Parties which have declared

themselves prepared to ratify the Convention, with a view to deciding whether it shall

be put into force. The ratifications shall be deposited at Brussels at a date to be fixed

by agreement among the said Governments. The first deposit of ratifications shall be

recorded in a procès-verbal signed by the representatives of the Powers which take

part therein and by the Belgian Minister of Foreign Affairs.

以后交存的批准书,应以书面通知送交比利时政府,并随附批准文件。

The subsequent deposit of ratifications shall be made by means of a written

notification, addressed to the Belgian Government and accompanied by the

instrument of ratification.

比利时政府,应立即将有关记载首次交存批准书的议定书和上段所指的

通知,随附批准书等的核证 无误的副本,通过外交途径送交已签署本公约或已

加入本公约的国家。在上段所指情况下,比利时政府应于收到通知的同时,知照

各国。

A duly certified copy of the procès-verbal relating to the first deposit of

ratifications, of the notifications referred to in the previous paragraph, and also of the

instruments of ratification accompanying them, shall be immediately sent by the

Belgian Government through the diplomatic channel to the Powers who have signed

this Convention or who have acceded to it. In the cases contemplated in the preceding

paragraph, the said Government shall inform them at the same time of the date on

which it received the notification.

第十二条 凡未签署本公约的国家,不论是否已出席在布鲁塞尔召开的国际

会议,都可以加入本公约。

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Non-signatory States may accede to the present Convention whether or not they

have been represented at the International Conference at Brussels.

加入本公约的国家,应将其意图用书面通知比利时政府,并送交其

加入的文件,该项文件应存放在比利时政府档案库。

A State which desires to accede shall notify its intention in writing to the Belgian

Government, forwarding to it the document of accession, which shall be deposited in

the archives of the said Government.

比利时政府应立即 将加入本公约通知书的核证无误的副本,分送已签

署本公约或已加入本公约的国家,并注明它收到上述通知的日期。

The Belgian Government shall immediately forward to all the States which have

signed or acceded to the Convention a duly certified copy of the notification and of

the act of accession, mentioning the date on which it received the notification.

第十三条 缔约国的签署、批准或加入本公约时,可以声明其接受本公约并

不包括其任何或全部自治领或殖民地、海外属地、保护国或在其主权或权力管辖

下的地域;并且可以 在此后代表这些声明中未包括的任何自治领或殖民地、海

外属地、保护国或地域将分别加入本公约。各缔约国还可以根据本公约的规定,

代表其任何自治领或殖民 地、海外属地、保护国或其主权或权力管辖下的地域

将分别声明退出本公约。

The High Contracting Parties may at the time of signature, ratification or

accession declare that their acceptance of the present Convention does not include any

or all of the self-governing dominions, or of the colonies, overseas possessions,

protectorates or territories under their sovereignty or authority, and they may

subsequently accede separately on behalf of any self-governing dominion, colony,

overseas possession, protectorate or territory excluded in their declaration. They may

also denounce the Convention separately in accordance with its provisions in respect

of any self-governing dominion, or any colony, overseas possession, protectorate or

territory under their sovereignty or authority.

第十四条 本公约在首批交存批准书的各国之间,于议定书记载此项交存之

日起一年后开始生效。此后批准或加入本公约的各国或根据第十三条规定使公约

生效的各国,于此比 利时政府收到第十一条第2款及第十二条第2段所指的通

知六个月后生效。

The present Convention shall take effect, in the case of the States which have

taken part in the first deposit of ratifications, one year after the date of the protocol

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recording such deposit.

As respects the States which ratify subsequently or which accede, and also in

cases in which the Convention is subsequently put into effect in accordance with

Article 13, it shall take effect six months after the notifications specified in paragraph

2 of Article 11 and paragraph 2 of Article 12 have been received by the Belgian

Government.

第十五条 如有缔约国欲退出本公约,应用书面通知比利时政府,比利时政

府立即将核证无误的通知副本分送其他国家,并注明其收到上述通知的日期。

In the event of one of the contracting States wishing to denounce the present

Convention, the denunciation shall be notified in writing to the Belgian Government,

which shall immediately communicate a duly certified copy of the notification to all

the other States, informing them of the date on which it was received.

这种退出只对提出通知的国家有 效,生效日期从上述通知送达比利时

政府之日起一年以后开始。

The denunciation shall only operate in respect of the State which made the

notification, and on the expiry of one year after the notification has reached the

Belgian Government.

第十六条 任何一个缔约国都有权就考虑修改本公约事项,请求召开新的会

议。

Any one of the contracting States shall have the right to call for a fresh

conference with a view to considering possible amendments.

欲行使此项权利的国 家,应通过比利时政府将其意图通知其他国家,

由比利时政府安排召开会议事宜。

A State which would exercise this right should notify its intention to the other

States through the Belgian Government, which would make arrangements for

convening the Conference.

一九二四年八月二十五日订于布鲁塞尔,计一份。

DONE at Brussels, in a single copy,August 25th, 1924.

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签字议定书

在签订《统一提单的若干法律规则的国际公约》时,下列签字的全权

代表都已采用本议定书;本议定书犹如已将其条款列入它所依附的公约那样,具

有同样的效力。

各缔约国得以给予本公约以法律效力,或将本公约所采用的规则以适

于其本国立法的形式纳入该国的法律,使之生效。

各缔约国得保留以下 权力:

1.规定如发生第四条第2款(c)至(p)项所述情况,提单持有人应有

权就未在第(a)项提及的由于承运人本人或其雇佣人员的过失所 引起的灭失

或损坏,制定责任制度。

2.在本国沿海贸易中,将第六条规定各点用于各种货物上,而不考虑该条

最末一段所规定的限制

 

 

维斯比规则(中英文)

各缔约国考虑到修改一九二四年八月二十五日在布鲁塞尔签订的关于《统一提单

的若干法律规则的国际公约》 的需要,协议如下:

第一条

1.在第三条第4款中应增加:“但是,当提单已经转给善意行事的第

三者时,与此相反的证据不予接受。

2.在第三条第6款中的第4段应改为:“遵照第6款(修改本)的规

定,除非从货物交付之日或应交付之日起一年内提出诉讼,承运人和船舶在任何

情况下都免除 对于货物的任何责任。但是,诉讼事由提出后,如经当事方同意,

该期限可以延长”。

3.在第三条的第6款后应增加下列条文作为第6款(修改本):“即

使在前款规定的年限期满后,如果在受理该案的法院的法律准许的时间内,仍可

以对第三者提 出赔偿诉讼。但是,准许的时间不得少于三个月,自提出这种赔

偿诉讼的人已经解决了对他本人的索赔或者从起诉传票送达他本人之日起算。

第二条

第四条的第5款应予删去,并改为下列规定:

“(a)除非在装货前,托运人已声明该货物的性质和价值,并载入

提单,否则,在任何情况下,承运人或船舶对货物所遭受的或有关的任何灭失或

损害,每件或每 单位的金额超过10.000法郎的部分,或按灭失或损害的

货物每公斤毛重超达30法郎的部分,均不负责任,两者以较高的金额为准。

“(b)全部赔偿金额应参照货物根据契约从船上卸下或应卸下的

当地当时的价值计算。

货物价值应按照商品交易所价格确定,或者如无此种价格时,则按现

行市场价格确定,或者如既无商品交易所价格又无现行市场价格时,则参照同类

同质货物的正常 价值确定。

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“(c)如果货物是用集装箱、托盘或类似的装运器具拼装时,提

单中所载明的、装在这种装运器具中的件数或单位数,应视为就本款所指的件数

或单位数;除上述 情况外,应视为此种装运器具即是件或单位。

“(d)一个法郎是指一个含有纯度为千分之九百的黄金六十五点

五毫克的单位。载决的赔偿数额兑换成国家货币的日期,应由受理该案法院的法

律规定。

“(e)如经证实损失是由于承运人蓄意造成损失而作出的行为或

不行为或明知可能会产生损失但仍不顾后果而作出的行为或不行为产生的,则承

运人或船舶无权享 受本款所规定的责任限制的利益。

“(f)本款(a)项所提到的声明,如载入提单时,应作为初步

证据,但对承运人不具有约束力或最终效力。

“(g)承运人、船长或承运人的代理人和托运人之间的协议,可

以规定高于本款(a)项规定的另外最高金额,但这样规定的最高金额不得低于

(a)项所列的最 高金额。

“(h)如托运人在提单中,故意谎报货物性质或价值,则在任何情

况下,承运人或船舶对货物或与货物有关的灭失或损害概不负责任”。

第三条

在本公约的第四条和第五条之间应插入以下条文作为第四条(修改

本):

“1.本公约规定的抗辩和责任限制,应适用于就运输合同所涉及

的有关货物的灭失或损害对承运人所提起的任何诉讼,不论该诉讼是以合同为根

据还是以侵权行为 为根据。

“2.如果这种诉讼是对承运人的雇佣人员或代理人(而该雇佣人

员或代理人不是独立的缔约人)提出的,则该雇佣人员或代理人适用按照本公约

承运人所可援引的 各项答辩和责任限制。

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“3.从承运人及其雇佣人员和代理人得到的赔偿总额,在任何情

况下都不得超过本公约规定的限制。

“4.但是,如经证实,损失是由于该雇佣人员或代理人蓄意造成

损失而作出的行为或不行为,或明知可能会产生损失,但仍不在意而作出的行为

或不行为产生的, 则该承运人的雇佣人员或代理人不得适用本条的各项规定”。

第四条

本公约的第九条应改为下列规定:

“本公约不应影响任何国际公约或国内法有关对核能损害责任的各项

规定”。

第五条

本公约的第十条应改为下列规定:

“本公约各项规定应适用于两个不同国家的港口之间有关的货物运输

的每一份提单,如果:

“(a)提单在一个缔约国签发,或

(b)从一个缔约国的港口起运,或

(c)提单载有的或由提单证明的契约的规定,该契约应受本公约

的各项规则约束或应受本公约生效的任何国家的立法约束,不论船舶、承运人、

托运人、收货人或 任何其他有关人的国籍如何。

“每个缔约国应将本公约的各项规定适用于上述提单。

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“本条不应妨碍缔约国将本公约的各项规定适用于不包括在前款中

的提单”。

第六条

在本议定书的各缔约国之间,本公约与议定书应作为一个文件,结合

起来阅读和解释。

本议定书的各缔约国没有义务将本议定书的各项规定适用于虽为本公

约缔约国、但不是本议定书缔约国所签发的提单。

第七条

在本议定书的各缔约国之间,任何一国按公约第十五条规定退出本公

约,不能解释为退出经本议定书修订的本公约。

第八条

两个或两个以上缔约国就本公约的解释和适用发生争议,而未能通过

协商解决时,应根据其中一方的请求提交仲裁。如在提请仲裁之日起六个月内,

各方不能对促裁 的组成取得一致意见时,则其中任何一方可以按照国际法庭条

例将纠纷提交国际法庭。

第九条

1.每一缔约国在签字或批准本议定书或加入本议定书时,可以声明

不受本议定书第八条的约束。其他缔约国对作出这一保留的任何缔约国之间的关

系上应不受该条 的约束。

2.根据第1款,作出保留的任何缔约国可在任何时候通知比利时政

府撤销此保留。

第十条

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本议定书对批准本公约的,或在一九六八年二月二十三日前加入本公

约的,以及出席海上法外交会议第十二次会议(一九六七——一九六八年)的任

何国家开放以供 签字。

第十一条

1.本议定书须经批准。

2.任何非本公约缔约国的国家所提交的本议定书的批准书,具有加

入本公约的效力。

3.批准的文件应交存比利时政府。

第十二条

1.未出席海上法外交会议第十二次会议的联合国成员国或联合国各

专门机构成员国,可加入本议定书。

2.加入本议定书,具有加入本公约的效力。

3.加入的文件应交存比利时政府。

第十三条

1.在收到十份批准书或加入文件之日后三个月,本议定书生效,但

其中至少应有五个交存批准书的国家是各拥有相当于或超过一百万总吨船舶的

国家。

2.按照本条第1款规定,交存使本议定书生效所需的批准或加入文

件之日以后的批准或加入本议定书的每一个国家,本议定书在其交存批准或加入

文件之后三个月 生效。

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第十四条

1.任何缔约国可以通知比利时政府退出本议定书。

2.此项退出通知具有退出本公约的效力。

3.此项退出通知在比利时政府收到该通知之日后一年生效。

第十五条

1.任何缔约国在签署、批准或加入本议定书时,或在此后的任何时

候,可用书面通知比利时政府,声明在该国的主权管辖下的地域或在由该国负责

其国际关系的地 域中,哪些地域适用本议定书。

在比利时政府收到该通知之日后三个月,本议定书的适用范围即扩大

到通知书所列明的地域,但在本议定书对该缔约国生效之日以前则不适用。

2.如果这些地域尚未适用本公约,则此种扩大也适用于本公约。

3.根据本条第1款作出声明的任何缔约国,可在此后的任何时候通

知比利时政府,声明本议定书停止扩大适用到该地域。此项退出应在比利时政府

收到退出通知之 日后一年生效;此项退出也应适用本公约。

第十六条

各缔约国可以采用下述方法使本议定书生效:赋以法律效力,或以适

合于国内立法的形式在国内立法中订入本议定书所采用的各种规则。

第十七条

比利时政府应将下列事项通知出席海上法外交会议第十二次会议(一

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九六七—一九六八年)的各国,本议定书各加入国及本公约的各缔约国:

1.根据第十条、第十一条和第十二条所收到的签署、批准和加入

的文件;

2.根据第十三条,本议定书将生效的日期;

3.根据第十五条,关于适用地域的通知;

4.根据第十四条所收到的退出通知。

下列全权代表,经正式授权,已在本议定书上签字,以资证明。

一九六八年二月二十三日订于布鲁塞尔,共一份,每份都用法文和英

文写成,两种文本具有同等效力。本议定书交存于比利时政府档案库,并由比利

时政府分发 核证无误的本议定书副本。

Protocol to Amend the International Convention for the Unification of

Certain Rules of Law Relating to Bills of Lading ("Visby Rules")

(Brussels, 23 February 1968)

THE CONTRACTING PARTIES,

CONSIDERING that it is desirable to amend the International Convention

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for the unification of certain rules of law relating to Bills of Lading,

signed at Brussels on 25th August 1924,

HAVE AGREED as follows:

Article 1

(1) In Article 3, paragraph 4, shall be added:

"However, proof to the contrary shall not be admissible when the Bill of

Lading has been transferred to a third party acting in good faith".

(2) In Article 3, paragraph 6, sub-paragraph 4 shall be deleted and

replaced by:

"Subject to paragraph 6bis the carrier and the ship shall in any event

be discharged from all liability whatsoever in respect of the goods,

unless suit is brought within one year of their delivery or of the date

when they should have been delivered. This period may, however, be

extended if the parties so agree after the cause of action has arisen".

(3) In Article 3, after paragraph 6, shall be added the following paragraph

6bis:

"An action for indemnity against a third person may be brought even after

the expiration of the year provided for in the preceding paragraph if

brought within the time allowed by the law of the Court seized of the case.

However, the time allowed shall be not less than three months, commencing

from the day when the person bringing such action for indemnity has settled

the claim or has been served with process in the action against himself".

Article 2

Article 4, paragraph 5, shall be deleted and replaced by the following:

"(a) Unless the nature and value of such goods have been declared by the

shipper before shipment and inserted in the Bill of Lading, neither the

carrier nor the ship shall in any event be or become liable for any loss

or damage to or in connection with the goods in an amount exceeding the

equivalent of 10,000 francs per package or unit or 30 francs per kilo of

gross weight of the goods lost or damaged, whichever is the higher.

(b) The total amount recoverable shall be calculated by reference to the

value of such goods at the place and time at which the goods are discharged

from the ship in accordance with the contract or should have been so

discharged.

The value of the goods shall be fixed according to the commodity exchange

price, or, if there be no such price, according to the current market price,

or, if there be no commodity exchange price or current market price, by

reference to the normal value of goods of the same kind and quality.

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(c) Where a container, pallet or similar article of transport is used to

consolidate goods, the number of packages or units enumerated in the Bill

of Lading as packed in such article of transport shall be deemed the number

of packages or units for the purpose of this paragraph as far as these

packages or units are concerned. Except as aforesaid such article of

transport shall be considered the package or unit.

(d) A franc means a unit consisting of 65.5 milligrammes of gold of

millesimal fineness 900'. The date of conversion of the sum awarded into

national currencies shall be governed by the law of the Court seized of

the case.

(e) Neither the carrier nor the ship shall be entitled to the benefit of

the limitation of liability provided for in this paragraph if it is proved

that the damage resulted from an act or omission of the carrier done with

intent to cause damage, or recklessly and with knowledge that damage would

probably result.

(f) The declaration mentioned in sub-paragraph (a) of this paragraph, if

embodied in the Bill of Lading, shall be prima facie evidence, but shall

not be binding or conclusive on the carrier.

(g) By agreement between the carrier, master or agent of the carrier and

the shipper other maximum amounts than those mentioned in sub-paragraph

(a) of this paragraph may be fixed, provided that no maximum amount so

fixed shall be less than the appropriate maximum mentioned in that

sub-paragraph.

(h) Neither the carrier nor the ship shall be responsible in any event

for loss or damage to, or in connection with, goods if the nature or value

thereof has been knowingly mis-stated by the shipper in the Bill of

Lading".

Article 3

Between Articles 4 and 5 of the Convention shall be inserted the following

Article 4bis:

"1. The defences and limits of liability provided for in this Convention

shall apply in any action against the carrier in respect of loss or damage

to goods covered by a contract of carriage whether the action be founded

in contract or in tort.

2. If such an action is brought against a servant or agent of the carrier

(such servant or agent not being an independent contractor), such servant

or agent shall be entitled to avail himself of the defences and limits

of liability which the carrier is entitled to invoke under this

Convention.

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3. The aggregate of the amounts recoverable from the carrier, and such

servants and agents, shall in no case exceed the limit provided for in

this Convention.

4. Nevertheless, a servant or agent of the carrier shall not be entitled

to avail himself of the provisions of this Article, if it is proved that

the damage resulted from an act or omission of the servant or agent done

with intent to cause damage or recklessly and with knowledge that damage

would probably result".

Article 4

Article 9 of the Convention shall be deleted and replaced by the following:

"This Convention shall not affect the provisions of any international

Convention or national law governing liability for nuclear damage".

Article 5

Article 10 of the Convention shall be deleted and replaced by the

following:

"The provisions of this Convention shall apply to every Bill of Lading

relating to the carriage of goods between ports in two different States

if:

(a) the Bill of Lading is issued in a Contracting State,

or

(b) the carriage is from a port in a Contracting State,

or

(c) the contract contained in or evidenced by the Bill of Lading provides

that the rules of this Convention or legislation of any State giving effect

to them are to govern the contract

whatever may be the nationality of the ship, the carrier, the shipper,

the consignee, or any other interested person.

Each Contracting State shall apply the provisions of this Convention to

the Bills of Lading mentioned above.

This Article shall not prevent a Contracting State from applying the rules

of this Convention to Bills of Lading not included in the preceding

paragraphs".

Article 6

As between the Parties to this Protocol the Convention and the Protocol

shall be read and interpreted together as one single instrument.

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A Party to this Protocol shall have no duty to apply the provisions of

this Protocol to Bills of Lading issued in a State which is a Party to

the Convention but which is not a Party to this Protocol.

Article 7

As between the Parties to this Protocol, denunciation by any of them of

the Convention in accordance with Article 15 thereof, shall not be

construed in any way as a denunciation of the Convention as amended by

this Protocol.

Article 8

Any dispute between two or more Contracting Parties concerning the

interpretation or application of the Convention which cannot be settled

through negotiation, shall, at the request of one of them, be submitted

to arbitration. If within six months from the date of the request for

arbitration the Parties are unable to agree on the organization of the

arbitration, any one of those Parties may refer the dispute to the

International Court of Justice by request in conformity with the Statute

of the Court.

Article 9

(1) Each Contracting Party may at the time of signature or ratification

of this Protocol or accession thereto, declare that it does not consider

itself bound by Article 8 of this Protocol. The other Contracting Parties

shall not be bound by this Article with respect to any Contracting Party

having made such a reservation.

(2) Any Contracting Party having made a reservation in accordance with

paragraph 1 may at any time withdraw this reservation by notification to

the Belgian Government.

Article 10

This Protocol shall be open for signature by the States which have ratified

the Convention or which have adhered thereto before the 23rd February 1968,

and by any State represented at the twelfth session (1967-1968) of the

Diplomatic Conference on Maritime Law.

Article 11

(1) This Protocol shall be ratified.

(2) Ratification of this Protocol by any State which is not a Party to

the Convention shall have the effect of accession to the Convention.

(3) The instruments of ratification shall be deposited with the Belgian

Government.

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Article 12

(1) States, Members of the United Nations or Members of the specialized

agencies of the United Nations, not represented at the twelfth session

of the Diplomatic Conference on Maritime Law, may accede to this Protocol.

(2) Accession to this Protocol shall have the effect of accession to the

Convention.

(3) The instruments of accession shall be deposited with the Belgian

Government.

Article 13

(1) This Protocol shall come into force three months after the date of

the deposit of ten instruments of ratification or accession, of which at

least five shall have been deposited by States that have each a tonnage

equal or superior to one million gross tons of tonnage.

(2) For each State which ratifies this Protocol or accedes thereto after

the date of deposit of the instrument of ratification or accession

determining the coming into force such as is stipulated in paragraph (1)

of this Article, this Protocol shall come into force three months after

the deposit of its instrument of ratification or accession.

Article 14

(1) Any Contracting State may denounce this Protocol by notification to

the Belgian Government.

(2) This denunciation shall have the effect of denunciation of the

Convention.

(3) The denunciation shall take effect one year after the date on which

the notification has been received by the Belgian Government.

Article 15

(1) Any Contracting State may at the time of signature, ratification or

accession or at any time thereafter declare by written notification to

the Belgian Government which among the territories under its sovereignty

or for whose international relations it is responsible, are those to which

the present Protocol applies.

The Protocol shall three months after the date of the receipt of such

notification by the Belgian Government extend to the territories named

therein, but not before the date of the coming into force of the Protocol

in respect of such State.

(2) This extension also shall apply to the Convention if the latter is

not yet applicable to those territories.

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(3) Any Contracting State which has made a declaration under paragraph

(1) of this Article may at any time thereafter declare by notification

given to the Belgian Government that the Protocol shall cease to extend

to such territory. This denunciation shall take effect one year after the

date on which notification thereof has been received by the Belgian

Government; it also shall apply to the Convention.

Article 16

The Contracting Parties may give effect to this Protocol either by giving

it the force of law or by including in their national legislation in a

form appropriate to that legislation the rules adopted under this

Protocol.

Article 17

The Belgian Government shall notify the States represented at the twelfth

session (1967-1968) of the Diplomatic Conference on Maritime Law, the

acceding States to this Protocol, and the States Parties to the Convention,

of the following:

1. The signatures, ratifications and accessions received in accordance

with Articles 10, 11 and 12.

2. The date on which the present Protocol will come into force in

accordance with Article 13.

3. The notifications with regard to the territorial application in

accordance with Article 15.

4. The denunciations received in accordance with Article 14.

IN WITNESS WHEREOF the undersigned Plenipotentiaries, duly authorized,

have signed this Protocol.

DONE at Brussels, this 23rd day of February 1968, in the French and English

languages, both texts being equally authentic, in a single copy, which

shall remain deposited in the archives of the Belgian Government, which

shall issue certified copies.

 

联合国海上货物运输公约(汉堡规则)(中英文对照)

简介:

《维斯比规则》对虽然《海牙规则》作了一些有益的修改,对于维护建立在

《海牙规则》基础 上船货双方利益的平衡上起了一定的作用,但没有触及《海

牙规则》的核心—承运人的归责原则,因而很多第三世界国家,以及代表货主利

益的发达国家,如美国、 加拿大、法国、澳大利亚,要求从根本上修改《海牙

规则》的愿望未能得到实现。同时,《海牙—维斯比规则》存在内容不够完善,

不少规定含义不够明确、清楚的 不足。

有鉴于此,联合国贸易和发展会议(United Nations Conference on Trade

and DevelopmentUNCTAD)于 1969 4 月设立国际航运立法工作组,研究提单

的法律问题。该工作组在 1971 年第 2 届会议上作出两项决议: 第一,对《海牙

规则》和《维斯比规则》进行修改,必要时制订新的国际公约;第二,在审议修

订上述规则时,应清除规则含义不明确之处,建立船货双方平等分担 海运货物

风险的制度。按照分工,上述工作后来移交给联合国国际贸易法委员会。该委员

会下设的国际航运立法工作组,于 1976 5 月完成起草工作。1978 3 6

日至 31 日,在德国汉堡有 78 个国家代表参加的联合国海上货物运输会议上通过

了《1978 年联合国海上货物运输公约》(United Nations Convention on the

Carriage of Goods by Sea,1978),简称《汉堡规则》(Hamburg RulesHBR)。

《汉堡规则》重新调整了船货双方的权利和义务,对《海牙规则》进 行了

比较彻底的修改,主要表现在以下几方面:(1)延长了承运人的责任期间;(2

变更了承运人的赔偿责任基础,实行“完全过失责任制”;(3)提高了承 运人的

赔偿限额;(4)增设了承运人迟延交付的规定;(5)明确了保函的效力;(6)增

加了活动物与舱面货条款;(7)扩大了管辖权范围,货物责任; (8)延长了诉

讼时效。《汉堡规则》从总体来讲对货方有利,但同时加重了承运人的责任,也

使羽翼未丰的非航运发达的发展中国家船队面临困难,从而使这些国 家对《汉

堡规则》持迟疑态度而不愿加入该规则。十几年过去,随着赞比亚政府的签署批

准,满足了该公约生效的条件,《汉堡规则》于 1992 11 1 日起生 效。到现

在该规则共有 25 个成员国,其中绝大多数是航运不发达国家和内陆国,其商船

吨位总数仅占世界商船吨位总数的 3%左右。

我国没有参加该规 则,但其中一些比较成熟和合理的内容为《海商法》所

采纳。

正文:

本公约各缔约国,认识到需要通过协议确定关于海上货物运输若干规 则,为此

目的决定缔结一个公约,协议如下:

第一部分

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第一条 定义

在本公约内:

1.“承运人”是指其本人或以其名 义与托运人定立海上货物运输合同的任何人。

2.“实际承运人”是指受承运人委托执行货物运输或部分货物运输的任何人,包

括受委托执行这项运输的其 他任何人。

3.“托运人”是指其本人或以其名义或代其与承运人订立海上货物运输合同的任

何人或指其本人或以其名义或代其将货物实际交付给海上货物 运输合同有关的

承运人的任何人。

4.“收货人”是指有权提取货物的人。

5.“货物”包括活动物,凡货物拼装在集装箱、货盘或类似的运输器 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”包括它

们在内。

6.“海上运输合同”是指承运人收取运费,据以承担由 海上将货物从一港运至

另一港的任何合同;但是,一个既包括海上运输,又包括某些其他方式运输的合

同,则仅其有关海上运输的范围,才视为本公约所指的海上运 输合同。

7.“提单”是指一种用以证明海上运输合同和货物由承运人接管或装船,以及承

运人据以保证交付货物的单证。单证中关于货物应交付指定收货 人或按指示交

付,或交付提单持有人的规定,即构成了这一保证。

8.“书面”除其他方式外,包括电报和电传。

第二条 适用范围

1. 本公约的各项规定适用于两个不同国家间的所有海上运输合同,如果:

a)海上运输合同所规定的装货港位于一个缔约国内,或(b)海上运输合同所

定的卸货港位于一个缔约国内,或(c)海上运输合同所规定的备选卸货港之

一为实际卸货港,并且该港位于一个缔约国内,或(d)提单或证明海上运输合

同的其 他单证是在一个缔约国内签发的,或(e)提单或证明海上运输合同的其

他单证规定,本公约各项规定或实行本公约的任何国家的立法,应约束该合同。

2. 本公约各项规定的适用与船舶、承运人、实际承运人、托运人、收货人或任

何其他有关人的国籍无关。

3.本公约的各项规定不适用于租船合同。但是,如 果提单是依据租船合同签发

的,并绘制承运人和不是租船人的提单持有人之间的关系,则本公约的各项规定

适用于该提单。

4.如果合同规定,货物将在一 个议定的期限内分批运输,本公约的各项规定适

用于每批运输。但是,如果运输是按照租船合同进行的,则适用本条第 3 款的规

定。

第三条 对本公约的解释

在解释和应用本公约的各项规定时,应注意本公约的国际性和促进统一的需要。

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第二部分 承运人的责任

第四条 责任期间

1.按照本公约,承运人对货物的责任期间包括 在装货港,在运输途中以及在卸

货港,货物在承运人掌管的全部期间。

2.就本条第 1 款而言,在下述起迄期间,承运人应视为已掌管货物:

a) 自承运人从以下各方接管货物时起:

i)托运人或代其行事的人;或(ii)根据装货港适用的法律或规章,货物必

须交其装运的当局或其他第三方;

b) 至承运人将货物交付以下各方时止:

i)将货物交付收货人;或(ii)遇有收货人不向承运人提货时,则依照合同

或卸货港适用的法律或特定的贸易惯 例,将货物置于收货人支配之下;或(iii

根据在卸货港适用的法律或规章将货物交给必须交付的当局或其他第三方。

3.在本条第 1 和第 2 款内提到 的承运人或收货人,除指承运人和收货人外,还

分别指承运人或收货人的受雇人或代理人。

第五条 责任基础

1.除非承运人证明他本人其受雇 人或代理人为避免该事故发生及其后果已采取

了一切所能合理要求的措施,否则承运人应对因货物灭失或损坏或延迟交货所造

成的损失负赔偿责任,如果引起该项灭 失、损坏或延迟交付的事故,如同第四

条所述,是在承运人掌管期间发生的。

2.如果货物未能在明确议定的时间内,或虽无此项议定,但未能在考虑到实 际

情况对一个勤勉的承运人所能合理要求的时间内,在海上运输合同所规定的卸货

港交货,即为延迟交付。

3.如果货物在本条第 2 款规定的交货时间期满 后连续六十天内未能按第四条的

要求交付,有权对货物的灭失提出索赔的人可以视为货物已经灭失。

4.a)承运人对下列各项负赔偿责任:

i) 火灾所引起的货物的灭失、损坏或延迟交付,如果索赔人证明火灾是由承

运人、其受雇人或代理人的过失或疏忽引起的;

ii)经索赔人证明由于承运 人、其受雇人或代理人在采取可以合理要求的扑

灭火 灾和避免或减轻其后果的一切措施中的过失或疏忽所造成的货物的灭失、

损坏或延迟交付。

b)凡 船上的火灾影响到货物时,如果索赔人或承运人要求,必须按照海运惯

例,对火灾的起因和情况进行调查,并根据要求向承运人和索赔人提供一份调查

人的报告。

5. 关于活动物,承运人对此类运输固有的任何特殊风险所造成的灭失、损伤或

延迟交付不负赔偿责任。如果承运人证明他是按照托运人给他的关于动物的任何

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特别指示 行事的,并证明根据实际情况,灭失、损伤或延迟交付可以归之于这

种风险时,则应推定灭失、损伤或延迟交付就是这样引起的,除非证明灭失、损

伤或延迟交付的 全部或部分是由承运人、其受雇人或代理人的过失或疏忽所造

成的。

6.除分摊共同海损外,承运人对因在海上采取救助人命的措施或救助财产的合理

措施 而造成的灭失、损坏或延迟交付不负赔偿责任。

7.如果货物的灭失、损坏或延迟交付是由承运人、其受雇人或代理人的过失或疏

忽连同其他原因所引起 的,承运人仅在归于他们的过失或疏忽所引起的灭失、

损坏或延迟交付的范围内负赔偿责任,但承运人须证明不属于此种过失或疏忽所

造成的灭失、损坏或延迟交付 的数额。

第六条 责任限额

1.a)按照第五条规定,承运人对货物灭失或损坏造成的损失所负的赔偿责任,

以灭失或损坏的货物每件或每其 他货运单位相当于 835 记帐单位或毛重每公斤

2.5 记帐单位的数额为限,两者中以较高的数额为准。

b)按照第五条规定,承运人对延迟交付的赔偿 责任,以相当于该延迟交付货

物应支付运费的 2.5 倍的数额时为限,但不得超过海上货物运输合同规定的应付

运费总额。

c)根据本款(a)和(b) 项,承运人的总赔偿责任,在任何情况下都不得超

过根据本款(a)项对货物全部灭失引起的赔偿责任所规定的限额。

2.按照本条第一款(a)项规定, 在计算较高数额时,应遵照下列规则:

a)当使用集装箱、货盘或类似运输器具拼装货物时,如果签发了提单,在提

单中列明的,或在证明海上运输合同 的任何其他单证中列明的,装在这种运输

器具内的件数或其他货运单位数,即视为件数或货运单位数。除上述情况外,这

种运输器具内的货物视为一个货运单 位。(b)当运输器具本身遭到灭失或损坏

时,该运输器具如不属于承运人所有或提供,即视为一个单独的货运单位。

3.记帐单位是指第二十六条中所述 的记帐单位。

4.承运人和托运人可以通过协议确定超过第 1 款规定的赔偿责任限额。

第七条 对非合同索赔的适用

1.本公约规定的各 项抗辩和责任限额,适用于海上运输合同所涉及的货物的灭

失或 损坏,以及延迟交付对承运人提起的任何诉讼,不论这种诉讼是根据合同、

侵权行为或其他。

2. 如果这种诉讼是对承运人的受雇人或代理人提起的,而该受雇人或代理人能

证明他是在受雇职务范围内行事的,则有权利用承运人根据本公约有权援引的抗

辩和责任 限额。

3.除第八条规定的情况外,从承运人和本条第 2 款所指的任何人取得的赔偿金额

的总数,不得超过本公约所规定的责任限额。

第八条 责任限额权利的丧失

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1.如经证明灭失、损坏或延迟交付是由承运人有意造成这种灭失、损坏或延迟交

付作出的行为或不行为,或由承运人明知可能会产生 这种灭失、损坏或延迟交

付而仍不顾后果作出的行为或不行为产生的,则承运人无权享受第六条所规定的

责任限额的利益。

2.尽管有第七条第 2 款的规 定,如经证明灭失、损坏或延迟交付是由该受雇人

或代理人有意造成这种灭失、损坏或延迟交付作出的行为或不行为,或由该受雇

人或代理人明知可能会产生这种灭 失、损坏或延迟交付而仍不顾后果作出的行

为或不行为产生的,则承运人的受雇人或代理人无权享受第六条所规定的责任限

额的利益。

第九条 舱面货

1. 承运人只有按照同托运人的协议或符合特定的贸易惯例,或依据法规的规章

的要求,才有权在舱面上载运货物。

2.如果承运人和托运人议定,货物应该或 可以在舱面上载运,承运人必须在提

单或证明海上运输合同的其他单证上载列相应说明。如无此项说明,承运人有责

任证明,曾经达成在舱面上载运的协议。但承运 人无权援引这种协议对抗包括

收货人在内的,相信并持有提单的第三方。

3.如违反本条第 1 款的规定将货物载运在舱面上,或承运人不能按照本条第 2

援引在舱面上载运的协议,尽管有第五条第 1 款的规定,承运人仍须对仅由

于在舱面上载运而造成的货物灭失或损坏以及延迟交付负赔偿责任,而其赔偿责

任的限 额,视情况分别按照本公约第六条或第八条的规定确定。

4.违反将货物装载在舱内的明文协议而将货物装载在舱面,应视为第八条含义内

的承运人的一种 行为或不行为。

第十条 承运人和实际承运人的赔偿责任

1.如果将运输或部分运输委托给实际承运人执行时,不管根据海上运输合同是否

有权这 样做,承运人仍须按照本公约的规定对全部运输负责。关于实际承运人

所履行的运输,承运人应对实际承运人及其受雇人和代理人在他们的受雇范围内

行事的行为或 不行为负责。

2.本公约对承运人责任的所有规定也适用于实际承运人对其所履行的运输的责

任。如果对实际承运人的受雇人或代理人提起诉讼,应适用第 七条第 2 款、第

3 款和第八条第 2 款的规定。

3.承运人据以承担本公约所未规定的义务或放弃本公约所赋予的权利的任何特

别协议,只有在实际承运人书 面明确表示同意时,才能对他发生影响。不论实

际承运人是否已经同意,承运人仍受这种特别协议所导致的义务或弃权的约束。

4.如果承运人和实际承运 人都有责任,则在此责任范围内,他们应负连带责任。

5.从承运人、实际承运人和他们的受雇人和代理人取得的赔偿金额总数,不得超

过本公约所规定的 责任限额。

6.本条规定不妨碍承运人和实际承运人之间的任何追索权。

第十一条 联运

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1.尽管有第十条第 1 款的规定,如海上运输合 同明确规定,该合同包括的某一

特定部分的运输由承运人以外的某一指定人履行,该合同也可以同时规定,承运

人对这一部分运输期间货物在实际承运人掌管之下,因发生事故而造成的灭失、

损坏或延迟交付不负责任。但是,如果不能按照第二十一条第 1 款或第 2 款规定

在有管辖权的法院对实际承运人提起法律诉讼,则任何限 制或豁免这种赔偿责

任的规定均属无效。承运人应负举证责任,证明任何灭失、损坏或延迟交付是由

上述这种事故造成的。

2.按照第十条第 2 款的规定, 实际承运人须对货物在他掌管期间因发生事故而

造成的灭失、损坏或延迟交付负责。

第三部分 托运人的责任

第十二条 一般规则

托运人对承运人或实际承运人所遭受的损失或 船舶所遭受的损坏不负赔偿责

任,除非这种损失或损坏是由托运人、其受雇人或代理人的过失或疏忽所造成。

托运人的任何受雇人或代理人对这种损失或损坏也不负 责任,除非这种损失或

损坏是由他自己的过失或疏忽所造成。

第十三条 关于危险货物的特殊规则

1.托运人必须以适当的方式在危险货物上加上 危险的标志或标签。

2.当托运人将危险货物交给承运人或实际承运人时,托运人必须告知货物的危险

性,必要时并告知应采取的预防措施。如果托运人没 有这样做,而且该承运人

或实际承运人又未从其他方面得知货物的危险特性,则:

a)托运人对承运人和任何实际承运人因载运这种货物而造成的损失负 赔偿责

任。并且(b)根据情况需要,可以随时将货物卸下,销毁或使之无害,而不予

赔偿;

3.任何人如在运输期间,明知货物的危险特性而加以接管, 则不得援引本条第

2 款的规定。

4.如果本条第 2 款(b)项的规定不适用或不能援引,而危险货物对生命或财产

造成实际危险时,可视情况需要,将货物 卸下、销毁或使之无害,而不予赔偿,

但共同海损分摊的义务或按照第五条规定承运人应负的赔偿责任除外。

第四部分 运输单证

十四条 提单的签发

1.当承运人或实际承运人接管货物时,应托运人要求,承运人必须给托运人签发

提单。

2.提单可以由承运人授权的人签 字。提单由载运货物船舶的船长签字应视为代

表承运人签字。

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3.提单上的签字可以用手写、印摹、打孔、盖章、符号或如不违反提单签发地所

在国国家的 法律,用任何其他机械的或电子的方法。

第十五条 提单的内容

1.除其他事项外,提单必须包括下列项目:

a)货物的品类,辨认货 物必需的主要标志,如属危险品,对货物的危险特性

所作的明确说明,包数或件数及货物的重量或以其他方式表示的数量等,所有这

些项目均由托运人提供;

b) 货物的外表状况;

c)承运人的名称和主要营业所;

d)托运人的名称;

e)如托运人指定收货人时,收货人的名称;

f) 海上运输合同规定的装货港及承运人在装货港接管货物的日期;

g)海上运输合同规定的卸货港;

h)如提单正本超过一份,列明提单正本的 份数;

i)提单的签发地点;

j)承运人或其代表的签字;

k)收货人应付运费金额或由收货人支付运费的其他说明;

l) 第二十三条第 3 款所提到的声明;

m)如属舱面货,货物应该或可以装在舱面上运输的声明;

n)如经双方明确协议,应列明货物在卸货港交 付的日期或期限;和(o)按

照第六条第 4 款规定,协议的任何增加的赔偿责任限额。

2.货物装船后,如果托运人这样要求,承运人必须给托运人签发 “已装船”提

单。除本条第 1 款所规定的项目外,该提单还必须说明货物已装上一艘或数艘指

定的船舶,以及一个或数个装货日期。如果承运人先前已向托运人签发 过关于

该批货物的任何部分的提单或其他物权单证,经承运人要求,托运人必须交回这

种单证以换取“已装船”提单。承运人为了满足托运人对“已装船”提单的要 求,

可以修改任何先前签发的单证,但经修改后的单证应包括“已装船”提单所需载

有的全部项目。

3.提单缺少本条所规定的一项或多项,不影响该单证 作为提单的法律性质,但

该单证必须符合第一条第 7 款规定的要求。

第十六条 提单:保留和证据效力

1.如果承运人或代其签发提单的其他人确 知或有合理的根据怀疑提单所载有关

货物的品类、主要标志,包数或件数、重量或数量等项目没有准确地表示实际接

管的货物,或在签发“已装船”提单的情况下, 没有准确地表示已实际装船的

货物,或者他无适当的方法来核对这些项目,则承运人或该其他人必须在提单上作出保留,注明不符之处、怀疑根据、或无适当的核对 方法。

2.如果承运人或代他签发提单的其他人未在提单上批注货物的外表状况,则应视

为他已在提单上注明货物的外表状况良好。

3.除按本条 第 1 款规定就有关项目和其范围作出许可在保留以外:

a)提单是承运人接管,或如签发“已装船”提单时,装载提单所述货物的初

步证据;

b)如果提单已转让给相信提单上有关货物的描述而照此行事的包括收货人在

内的第三方,则承运人提出与此相反的证据不予接受。

4.如果提单未按照第十五 条第 1 款(k)项的规定载明运费或以其他方式说明运

费由收货人支付或未载明在装货港发生的滞期费由收货人支付,则该提单是收货

人不支付运费或滞期费的初步 证据。如果提单已转让给相信提单上无任何此种

说明而照此行事的包括收货人在内的第三方,则承运人提出的与此相反的证据不

予接受。

第十七条 托运人的保证

1.托运人应视为已向承运人保证,由他提供列入提单的有关货物的品类、标志、

件数、重量和数量等项目正确无误。托运人必须赔偿承运人 因为这些项目的不

正确而导致的损失。托运人即使已将提单转让,仍须负赔偿责任。承运人取得的

这种赔偿权利,绝不减轻他按照海上运输合同对托运人以外的任何 人所负的赔

偿责任。

2.任何保函或协议,据此托运人保证赔偿承运人由于承运人或其代表未就托运人

提供列入提单的项目或货物的外表状况批注保留而签 发提单所引起的损失,对

包括收货人在内的受让提单的任何第三方,均属无效。

3.这种保函或协议对托运人有效,除非承运人或其代表不批注本条第 2 款 所指

的保留是有意诈骗,相信提单上对货物的描述而行事的包括收货人在内的第三

方,在后面这种情况下,如未批注的保留与由托运人提供列入提单的项目有关,

运人就无权按照本条第 1 款规定,要求托运人给予赔偿。

4.如属本条第 3 款所指的有意诈骗,承运人不得享受本公约所规定的责任限额的

利益,并且对由 于相信提单上所载货物的描述而行事的包括收货人在内的第三

方所遭受的损失负赔偿责任。

第十八条 提单以外的单证

如果承运人签发提单以外的 单证以证明收到待运的货物,该单证就是订立海上

运输合同和承运人接管该单证中所述货物的初步证据。

第五部分 索赔和诉讼

第十九条 灭失、损坏或延迟交付的通知

1.除非收货人在不迟于货 物移交给他之日后第一个工作日内将灭失或损坏的书

面通知送交承运人,叙明灭失或损坏的一般性质,否则此种移交应作为承运人交

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付运输单证上所述货物的初步证 据或如未签发这种单证,则应作为完好无损地

交付货物的初步证据。

2.遇有不明显的灭失或损坏:在货物交付收货人之日后连续十五天内未送交书面

知,则本条第 1 款的规定相应地适用。

3.如货物的状况在交付收货人时,已经由当事各方联合检查或检验,即无需就检

查或检验中所查明的灭失或损坏送 交书面通知。

4.遇有任何实际的或意料到的灭失或损失时,承运人和收货人必须为检验和清点

货物相互提供一切合理的便利。

5.除非在货物交 给收货人之日后连续六十天之内书面通知承运人,否则对延迟

交付造成的损失不予赔偿。

6.如果货物由实际承运人交付,根据本条送给他的任何通知具有 如同送交承运

人的同等效力,同样,送交承运人的任何通知具有如同送交实际承运人的同等效

力。

7.除非承运人或实际承运人不迟于灭失或损坏事故发生 后或依照第四条第 2

在货物交付后连续九十天之内,以较后发生日期为准,将灭失或损坏的书面通知

送交托运人,叙明此种灭失或损坏的一般性质,否则,未提交 这种通知即为承

运人或实际承运人没有因为托运人或其受雇人或代理人的过失或疏忽而遭受灭

失或损坏的初步证据。

8.就本条而言,通知送交给代表承运 人或实际承运人行事的人,包括船长或主

管船舶的高级船员,或送交代表托运人行事的人,即应分别视为已经送交承运人、

实际承运人或托运人。

第二十条 诉讼时效

1.按照本公约有关货物运输的任何诉讼,如果在两年内没有提出司法或仲裁程

序,即失去时效。

2.时效期限自承运人交付货物或部 分货物之日开始,如未交付货物,则自货物

应该交付的最后一日开始。

3.时效期限开始之日不计算在期限内。

4.被要求赔偿的人,可以在时效 期限内的任何时间,向索赔人提出书面说明,

延长时效期限。该期限还可以用另一次或多次声明再度延长。

5.如果诉讼是在起诉地所有国国家法律许可的 时间内提起,负有赔偿责任的人

即使在以上各款规定的时效期限届满后,仍可以提起追赔的诉讼。但是,所许可

的时间不得小于从提起索赔讼诉的人已解决了对他的 赔偿或从他本人提起的传

票送达之日起九十天。

第二十一条 管辖权

1.按本公约规定在有关货物运输的司法程序中,原告可以选择在这样的法院 提

起诉讼,按照该法院所在国法律该法院有权管辖,并且下列地点之一位于该法院

管辖范围:

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a)被告的主要营业所,或如无主要营业所时,其通常住 所;或(b)合同订

立地,但该合同须是通过被告在该地的营业所、分支机构或代理机构订立的;或

c)装货港或卸货港;或(d)海上运输合同中为此目的指定 的任何其他地点。

2.a)尽管有本条上述各项规定,如果载货船舶或属于同一船舶所有人的任何

其他船舶,在一个缔约国的任何一个港口或地点,按照 该国适用的法律规则和

国际法规则被扣留,就可在该港口或该地点的法院提起诉讼。但是,在这种情况

下,一经被告请求,原告必须将诉讼转移到由原告选择的本条 1 款所指的管

辖法院之一,以对索赔作出判决。但在诉讼转移之前,被告必须提供足够的保证

金,以确保支付在诉讼中可能最后判给原告的金额。

b) 一切有关保证金是否足够的问题,应由扣留港口或地点的法院裁定。

3.按照本公约有关货物运输的一切法律诉讼,不得在本条第 1 或第 2 款没有规定

的地 点提起。本款的规定不妨碍缔约国采取临时性或保护性措施的管辖权。

4.a)如已在按本条第 1 或第 2 款规定有管辖权的法院提起诉讼,或已由这样

法院作出判决,相同当事方之间不得基于相同理由,提起新的诉讼,除非受

理第一次诉讼的法院的判决在提起新诉讼地的国家不能执行;

b)就本条而 言,为执行判决而采取措施,不应视为提起新的诉讼;

c)就本条而言,按照本条第 2 款(a)项将诉讼转移到同一个国家的另一法院,

或转移到另一个 国家的法院,不应视为提起新的诉讼。

5.尽管有以上各款的规定,在按照海上运输合同提出索赔之后,当事各方达成的

指定索赔人可以提起诉讼的地点的 协议应属有效。

第二十二条 仲裁

1.按照本条各项规定,当事各方可以用书面证明的协议规定,按照本公约可能发

生的有关货物运输的任何争端 应提交仲裁。

2.如租船合同载有该合同引起的争端应提交促裁的条款,而依据租船合同签发的

提单并未特别注明此条款对提单持有人具有约束力,则承运 人不得对相信提单

的提单持有人援引该条款。

3.原告可以选择在下列地点之一,提起仲裁程序:(a)一国的某一地点,该国领

土内应有:

i) 被告的主要营业所,或无主要营业所时,其通常住所;或(ii)签订合同

地,但该合同须是通过被告在该地的营业所、分支机构或代理机构订立的;或

iii) 装货港或卸货港;或(b)仲裁条款或协议中为此目的而指定的任何地

点。

4.仲裁员或仲裁庭应当应用本公约的各项规则。

5.本条第 3 和第 4 款规定应视为每一仲裁条款或协议的一部分,仲裁条款或协

议中与此两款不符的任何规定,均属无效。

6.本条各款不影响按照海上运输合同提出索赔之 后,当事各方所订立的有关仲

裁协议的效力。

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第六部分 补充规定

第二十三条 合同条款

1.海上运输合同、提单或证明海上运输合同的任何其他单证中的任何条款,在其

直接或间接违 背本公约规定的范围内,均属无效。这种条款的无效不影响作为

该合同或单证的其他部分规定的效力。将货物的保险利益让给承运人的条款,或

任何类似条款,均属 无效。

2.尽管有本条第 1 款的规定,承运人可以增加本公约中规定的他的责任和义务。

3.在签发提单或证明海上运输合同的任何其他单证时,其中必须载有一项声明,

说明该项运输遵守本公约的各项规定,任何背离本公约而有害于托运人或收货人

的条款,均属无效。

4.如有关货物的索赔人由于 本条款使某项合同条款成为无效或由于漏载本条第

3 款所指的声明而遭受损失时,为了给予索赔人赔偿,承运人必须按照本公约规

定对货物的任何灭失或损坏以及延 迟交付支付所要求的限额内的赔偿金。此外,

承运人必须赔偿索赔人为行使其权利而产生的费用,但在援引上述规定的诉讼中

所发生的费用,应按照起诉地国家法律 确定。

第二十四条 共同海损

1.本公约各条规定不妨碍海上运输合同或国家法律中关于共同海损理算的规定

的适用。

2.除第二十条 外,本公约关于承运人对货物灭失或损坏的赔偿责任的规定,也

决定收货人是否可以拒绝共同海损分摊和承运人对收货人已交付的任何此种分

摊额或已支付的任何救 助费的赔偿责任。

第二十五条 其他公约

1.本公约不改变有关海运船舶所有人责任限额的国际公约或国家法律中规定的

承运人、实际承运人和他 们的受雇人和代理人的权利或义务。

2.本公约第二十一条和第二十二条的各项规定不妨碍在本公约缔结之日已生效

的有关该两条所处理事项的任何其他多 边公约的强制性规定的适用,但须争端

完全发生在其主要营业所位于这种其他公约的缔约国内的当事方之间。但是,本

款不影响本公约第二十二条第 4 款的适用。

3. 对核事故造成的损害,按本公约规定不发生赔偿责任,如果核装置操作人根

据下列规定对该损害负赔偿责任:

a)根据经一九六四年一月二十八日补充议 定书修订的一九六○年七月二十九

日关于在核能领域中第三方赔偿责任的巴黎公约或者根据一九六三年五月二十

一日关于核损害的民事赔偿责任的维也纳公约, b)根据规定对这种损

害赔偿的国家法律,但此种法律须在各方面都同巴黎公约或维也纳公约那样有利

于可能遭受损害的人。

4.如按照有关 海上运送旅客及其行李的任何国际公约或国家法律,承运人对行

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李的任何灭失、损坏或延迟交付负赔偿责任,则根据本公约规定不发生赔偿责任。

5.本公 约各项规定不妨碍缔约国应用在本公约缔结之日已经生效的任何其他国

际公约,而该公约是强制性地适用于主要运输方式不是海上运输的货物运输合

同。本规定也适 用于此种国际公约以后的任何修订或修改。

第二十六条 记帐单位

1.本公约第六条所指的记帐单位是国际货币基金组织所规定的特别提款权。第

六条所述的数额应按在判决日或当事各方议定之日该国货币的价值换算为该国

货币。凡属国际货币基金组织成员的本公约缔约国,以特别提款权表示的本国货

币价值 应按国际货物基金组织中上述日期进行营业和交易中应用的定值办法计

算。非国际货币基金组织成员的本公约缔约国,以特别提款权表示的本国货币价

值,应按该国 决定的办法计算。

2.但是,非国际货币基金组织成员国而且其法律又不允许应用本条款第 1 款规定

的国家,可以在签字时,或在批准、接受、认可或加入 时,或在其后的任何时

候,声明本公约规定的责任限额在该国领土内适用时,应确定为:

货物每件或其他货运单位 12500 货币单位,或货物毛重每公斤 37.5 货币单位。

3.本条第 2 款所指的货币单位等于纯度为千分之九百的六十五点五毫克黄金。将

2 款所指的数额换算成国家货币时,应按该国法律 规定办理。

4.本条第 1 款最后一句所述的计算及本条第三款所述的换算应这样进行,即尽可

能使以缔约国货币表示的数额与在第六条内以记帐单位表示的 数额的实际价值

相同。缔约国在签字时或在交存其批准书、接受书、认可书和加入书时,或在利

用本条第 2 款所规定的选择时,以及在计算方法或换算结果有改变 时,必须视

情况,将依照本条第 1 款决定计算的方法或本条第 3 款所述的换算结果,通知公

约保管人。

第七部分 最后条款

第二十七条 保管人

兹指定联合国秘书长为本公约保管人。

第二十八条 签字、批准、接受、认可、加入

1. 本公约于一九七九年四月三十日以前在纽约联合国总部对所有国家开放,以

供签字。

2.本公约须经签字国批准、接受或认可。

3.一九七九年四 月三十日以后,本公约对所有不是签字国的国家开放,以便加

入。

4.批准书、接受书、认可书和加入书应由联合国秘书长保管。

第二十九条 保留

对本公约不得作任何保留。

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第三十条 生效

1.本公约自第二十份批准书、接受书、认可书或加入书交存之日起满一年后的次

月第一 日生效。

2.对于在第二十份批准书、接受书、认可书或加入书交存之日后成为本公约缔约

国的每一个国家,本公约自该国交存相应文件之日起满一年后的 次月第一日生

效。

3.每一缔约国应将本公约的各项规定适用于在本公约对该国生效之日或其后签

订的海上运输合同。

第三十一条 退出其他公约

1. 在成为本公约缔约国时,凡是一九二四年八月二十五日在布鲁塞尔签订的关

于统一提单若干规则的国际公约(一九二四年公约)的缔约国,都必须通知作为

一九二四 年公约保管人的比利时政府退出该公约,并声明该退出自本公约对该

国生效之日起生效。

2.按照第三十条第 1 款规定,本公约生效时,本公约的保管人必 须将生效日期

和本公约对其生效的缔约国国名,通知一九二四年公约的保管人比利时政府。

3.本条第 1 款和第 2 款的规定,对一九六八年二月二十三日签 订的修改一九二

四年八月二十五日在布鲁塞尔签订的关于统一提单若干规则的国际公约的议定

书的缔约国相应适用。

4.尽管有本公约第二条规定,就本条 第 1 款而言,缔约国如果认为需要,可以

推迟退出一九二四年公约和经过一九六八年议定书修改的一九二四年公约,推迟

的最长期限为自本公约生效之日起五年,在 这种情况下,它应把自己的意图通

知比利时政府。在此过渡期间,该缔约国必须对其他缔约国应用本公约,而不应

用任何其他公约。

第三十二条 修订和修改

1.经不少于三分之一的本公约缔约国的要求,保管人应召开缔约国会议,以修订

或者修改本公约。

2.在本公约 修订案生效后交存的任何批准书、接受书、认可书或加入书,应视

为适用于经修改后的本公约。

第三十三条 对限额和记帐单位或货币单位的修订

1. 尽管有第三十二条的规定,保管人应按照本条第 2 款规定,召开专为修改第

六条和第二十六条第2款所定的数额或者用其他单位代替第二十六条第1款和第

3 款所定 的两个单位或其中的一个单位为目的的会议。数额中只有在其实际价

值发生重大变化时,才得加以修改。

2.经不少于四分之一缔约国要求,保管人即应召 开修订会议。

3.会议的任何决定必须由与会国家三分之二的多数作出。修订案由保管人送交所

有缔约国以便接受,并通报所有该公约的签字国。

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4. 所通过的任何修订案自获得三分之二缔约国接受之日起,在满一年后的次月

第一日生效。接受修订案时,应将表示接受的正式文件交存保管人。

5.修订案 生效后,接受修订案的缔约国,在同修订案通过后六个月内没有通知

保管人不受该修订案约束的缔约国的关系上,有权应用经修订的公约。

6.在本公约修 订案生效后交存在任何批准书、接受书、认可书或加入书,应视

为适用经修订的公约。

第三十四条 退出

1.缔约国可以在任何时候书面通知保管 人退出本公约。

2.退出本公约自保管人收到通知书之日起,在满一年后的次月第一日生效。如在

通知中规定了较长的期限,则退出本公约自保管人收到通 知后在该较长期限届

满时生效。

一九七八年三月三十一日订于汉堡,正本一份。其阿拉伯文、中文、英文、法文、

俄和西班牙文本具有同等效力。下列全权 代表,经其政府正式授权,已在本公

约上签字,以资证明

摘自:http://www.chinalawedu.com/news/2003_9 /5/2054392248.htm

《海商法》 司玉琢主编 法律出版社 2003 年版 第 160

《国际海事立法趋势及对策研究》司玉琢 主编 法律出版社 2002 年版 第 287

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15 页 共 34

UNITED NATIONS CONVENTION ON THE CARRIAGE OF GOODS BY SEA ("HAMBURG

RULES")

(Hamburg, 31 March 1978)

PREAMBLE

THE STATES PARTIES TO THIS CONVENTION,

HAVING RECOGNIZED the desirability of determining by agreement certain

rules relating to the carriage of goods by sea,

HAVING DECIDED to conclude a convention for this purpose and have thereto

agreed as follows:

PART I. GENERAL PROVISIONS

Article 1. Definitions

In this Convention:

1. "Carrier" means any person by whom or in whose name a contract of

carriage of goods by sea has been concluded with a shipper.

2. "Actual carrier" means any person to whom the performance of the

carriage of the goods, or of part of the carriage, has been entrusted by

the carrier, and includes any other person to whom such performance has

been entrusted.

3. "Shipper" means any person by whom or in whose name or on whose behalf

a contract of carriage of goods by sea has been concluded with a carrier,

or any person by whom or in whose name or on whose behalf the goods are

actually delivered to the carrier in relation to the contract of carriage

by sea.

4. "Consignee" means the person entitled to take delivery of the goods.

5. "Goods" includes live animals; where the goods are consolidated in a

container, pallet or similar article of transport or where they are packed,

goods includes such article of transport or packaging if supplied by the

shipper.

6. "Contract of carriage by sea" means any contract whereby the carrier

undertakes against payment of freight to carry goods by sea from one port

to another; however, a contract which involves carriage by sea and also

carriage by some other means is deemed to be a contract of carriage by

sea for the purposes of this Convention only in so far as it relates to

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the carriage by sea.

7. "Bill of lading" means a document which evidences a contract of carriage

by sea and the taking over or loading of the goods by the carrier, and

by which the carrier undertakes to deliver the goods against surrender

of the document. A provision in the document that the goods are to be

delivered to the order of a named person, or to order, or to bearer,

constitutes such an undertaking.

8. "Writing" includes, inter alia, telegram and telex.

Article 2. Scope of application

1. The provisions of this Convention are applicable to all contracts of

carriage by sea between two different States, if:

(a) the port of loading as provided for in the contract of carriage by

sea is located in a Contracting State, or

(b) the port of discharge as provided for in the contract of carriage by

sea is located in a Contracting State, or

(c) one of the optional ports of discharge provided for in the contract

of carriage by sea is the actual port of discharge and such port is located

in a Contracting State, or

(d) the bill of lading or other document evidencing the contract of

carriage by sea is issued in a Contracting State, or

(e) the bill of lading or other document evidencing the contract of

carriage by sea provides that the provisions of this Convention or the

legislation of any State giving effect to them are to govern the contract.

2. The provisions of this Convention are applicable without regard to the

nationality of the ship, the carrier, the actual carrier, the shipper,

the consignee or any other interested person.

3. The provisions of this Convention are not applicable to charter-parties.

However, where a bill of lading is issued pursuant to a charter-party,

the provisions of the Convention apply to such a bill of lading if it

governs the relation between the carrier and the holder of the bill of

lading, not being the charterer.

4. If a contract provides for future carriage of goods in a series of

shipments during an agreed period, the provisions of this Convention apply

to each shipment. However, where a shipment is made under a charter-party,

the provisions of paragraph 3 of this article apply.

Article 3. Interpretation of the Convention

In the interpretation and application of the provisions of this Convention

regard shall be had to its international character and to the need to

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promote uniformity.

PART II. LIABILITY OF THE CARRIER

Article 4. Period of responsibility

1. The responsibility of the carrier for the goods under this Convention

covers the period during which the carrier is in charge of the goods at

the port of loading, during the carriage and at the port of discharge.

2. For the purpose of paragraph 1 of this article, the carrier is deemed

to be in charge of the goods

(a) from the time he has taken over the goods from:

(i) the shipper, or a person acting on his behalf; or

(ii) an authority or other third party to whom, pursuant to law or

regulations applicable at the port of loading, the goods must be handed

over for shipment;

(b) until the time he has delivered the goods:

(i) by handing over the goods to the consignee; or

(ii) in cases where the consignee does not receive the goods from the

carrier, by placing them at the disposal of the consignee in accordance

with the contract or with the law or with the usage of the particular trade,

applicable at the port of discharge; or

(iii) by handing over the goods to an authority or other third party to

whom, pursuant to law or regulations applicable at the port of discharge,

the goods must be handed over.

3. In paragraphs 1 and 2 of this article, reference to the carrier or to

the consignee means, in addition to the carrier or the consignee, the

servants or agents, respectively of the carrier or the consignee.

Article 5. Basis of liability

1. The carrier is liable for loss resulting from loss of or damage to the

goods, as well as from delay in delivery, if the occurrence which caused

the loss, damage or delay took place while the goods were in his charge

as defined in article 4, unless the carrier proves that he, his servants

or agents took all measures that could reasonably be required to avoid

the occurrence and its consequences.

2. Delay in delivery occurs when the goods have not been delivered at the

port of discharge provided for in the contract of carriage by sea within

the time expressly agreed upon or, in the absence of such agreement, within

the time which it would be reasonable to require of a diligent carrier,

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having regard to the circumstances of the case.

3. The person entitled to make a claim for the loss of goods may treat

the goods as lost if they have not been delivered as required by article

4 within 60 consecutive days following the expiry of the time for delivery

according to paragraph 2 of this article.

4. (a) The carrier is liable

(i) for loss of or damage to the goods or delay in delivery caused by fire,

if the claimant proves that the fire arose from fault or neglect on the

part of the carrier, his servants or agents;

(ii) for such loss, damage or delay in delivery which is proved by the

claimant to have resulted from the fault or neglect of the carrier, his

servants or agents in taking all measures that could reasonably be

required to put out the fire and avoid or mitigate its consequences.

(b) In case of fire on board the ship affecting the goods, if the claimant

or the carrier so desires, a survey in accordance with shipping practices

must be held into the cause and circumstances of the fire, and a copy of

the surveyors report shall be made available on demand to the carrier and

the claimant.

5. With respect to live animals, the carrier is not liable for loss, damage

or delay in delivery resulting from any special risks inherent in that

kind of carriage. If the carrier proves that he has complied with any

special instructions given to him by the shipper respecting the animals

and that, in the circumstances of the case, the loss, damage or delay in

delivery could be attributed to such risks, it is presumed that the loss,

damage or delay in delivery was so caused, unless there is proof that all

or a part of the loss, damage or delay in delivery resulted from fault

or neglect on the part of the carrier, his servants or agents.

6. The carrier is not liable, except in general average, where loss, damage

or delay in delivery resulted from measures to save life or from reasonable

measures to save property at sea.

7. Where fault or neglect on the part of the carrier, his servants or agents

combines with another cause to produce loss, damage or delay in delivery,

the carrier is liable only to the extent that the loss, damage or delay

in delivery is attributable to such fault or neglect, provided that the

carrier proves the amount of the loss, damage or delay in delivery not

attributable thereto.

Article 6. Limits of liability

1. (a) The liability of the carrier for loss resulting from loss of or

damage to goods according to the provisions of article 5 is limited to

an amount equivalent to 835 units of account per package or other shipping

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unit or 2.5 units of account per kilogram of gross weight of the goods

lost or damaged, whichever is the higher.

(b) The liability of the carrier for delay in delivery according to the

provisions of article 5 is limited to an amount equivalent to two and a

half times the freight payable for the goods delayed, but not exceeding

the total freight payable under the contract of carriage of goods by sea.

(c) In no case shall the aggregate liability of the carrier, under both

subparagraphs (a) and (b) of this paragraph, exceed the limitation which

would be established under subparagraph (a) of this paragraph for total

loss of the goods with respect to which such liability was incurred.

2. For the purpose of calculating which amount is the higher in accordance

with paragraph 1 (a) of this article, the following rules apply:

(a) Where a container, pallet or similar article of transport is used to

consolidate goods, the package or other shipping units enumerated in the

bill of lading, if issued, or otherwise in any other document evidencing

the contract of carriage by sea, as packed in such article of transport

are deemed packages or shipping units. Except as aforesaid the goods in

such article of transport are deemed one shipping unit.

(b) In cases where the article of transport itself has been lost or damaged,

that article of transport, if not owned or otherwise supplied by the

carrier, is considered one separate shipping unit.

3. Unit of account means the unit of account mentioned in article 26.

4. By agreement between the carrier and the shipper, limits of liability

exceeding those provided for in paragraph 1 may be fixed.

Article 7. Application to non-contractual claims

1. The defences and limits of liability provided for in this Convention

apply in any action against the carrier in respect of loss of or damage

to the goods covered by the contract of carriage by sea, as well as of

delay in delivery whether the action is founded in contract, in tort or

otherwise.

2. If such an action is brought against a servant or agent of the carrier,

such servant or agent, if he proves that he acted within the scope of his

employment, is entitled to avail himself of the defences and limits of

liability which the carrier is entitled to invoke under this Convention.

3. Except as provided in article 8, the aggregate of the amounts

recoverable from the carrier and from any persons referred to in paragraph

2 of this article shall not exceed the limits of liability provided for

in this Convention.

Article 8. Loss of right to limit responsibility

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1. The carrier is not entitled to the benefit of the limitation of

liability provided for in article 6 if it is proved that the loss, damage

or delay in delivery resulted from an act or omission of the carrier done

with the intent to cause such loss, damage or delay, or recklessly and

with knowledge that such loss, damage or delay would probably result.

2. Notwithstanding the provisions of paragraph 2 of article 7, a servant

or agent of the carrier is not entitled to the benefit of the limitation

of liability provided for in article 6 if it is proved that the loss, damage

or delay in delivery resulted from an act or omission of such servant or

agent, done with the intent to cause such loss, damage or delay, or

recklessly and with knowledge that such loss, damage or delay would

probably result.

Article 9. Deck cargo

1. The carrier is entitled to carry the goods on deck only if such carriage

is in accordance with an agreement with the shipper or with the usage of

the particular trade or is required by statutory rules or regulations.

2. If the carrier and the shipper have agreed that the goods shall or may

be carried on deck, the carrier must insert in the bill of lading or other

document evidencing the contract of carriage by sea a statement to that

effect. In the absence of such a statement the carrier has the burden of

proving that an agreement for carriage on deck has been entered into;

however, the carrier is not entitled to invoke such an agreement against

a third party, including a consignee, who has acquired the bill of lading

in good faith.

3. Where the goods have been carried on deck contrary to the provisions

of paragraph 1 of this article or where the carrier may not under paragraph

2 of this article invoke an agreement for carriage on deck, the carrier,

notwithstanding the provisions of paragraph 1 of article 5, is liable for

loss of or damage to the goods, as well as for delay in delivery, resulting

solely from the carriage on deck, and the extent of his liability is to

be determined in accordance with the provisions of article 6 or article

8 of this Convention, as the case may be.

4. Carriage of goods on deck contrary to express agreement for carriage

under deck is deemed to be an act or omission of the carrier within the

meaning of article 8.

Article 10. Liability of the carrier and actual carrier

1. Where the performance of the carriage or part thereof has been entrusted

to an actual carrier, whether or not in pursuance of a liberty under the

contract of carriage by sea to do so, the carrier nevertheless remains

responsible for the entire carriage according to the provisions of this

Convention. The carrier is responsible, in relation to the carriage

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performed by the actual carrier, for the acts and omissions of the actual

carrier and of his servants and agents acting within the scope of their

employment.

2. All the provisions of this Convention governing the responsibility of

the carrier also apply to the responsibility of the actual carrier for

the carriage performed by him. The provisions of paragraphs 2 and 3 of

article 7 and of paragraph 2 of article 8 apply if an action is brought

against a servant or agent of the actual carrier.

3. Any special agreement under which the carrier assumes obligations not

imposed by this Convention or waives rights conferred by this Convention

affects the actual carrier only if agreed to by him expressly and in

writing. Whether or not the actual carrier has so agreed, the carrier

nevertheless remains bound by the obligations or waivers resulting from

such special agreement.

4. Where and to the extent that both the carrier and the actual carrier

are liable, their liability is joint and several.

5. The aggregate of the amounts recoverable from the carrier, the actual

carrier and their servants and agents shall not exceed the limits of

liability provided for in this Convention.

6. Nothing in this article shall prejudice any right of recourse as between

the carrier and the actual carrier.

Article 11. Through carriage

1. Notwithstanding the provisions of paragraph 1 of article 10, where a

contract of carriage by sea provides explicitly that a specified part of

the carriage covered by the said contract is to be performed by a named

person other than the carrier, the contract may also provide that the

carrier is not liable for loss, damage or delay in delivery caused by an

occurrence which takes place while the goods are in the charge of the

actual carrier during such part of the carriage. Nevertheless, any

stipulation limiting or excluding such liability is without effect if no

judicial proceedings can be instituted against the actual carrier in a

court competent under paragraph 1 or 2 of article 21. The burden of proving

that any loss, damage or delay in delivery has been caused by such an

occurrence rests upon the carrier.

2. The actual carrier is responsible in accordance with the provisions

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of paragraph 2 of article 10 for loss, damage or delay in delivery caused

by an occurrence which takes place while the goods are in his charge.

PART III. LIABILITY OF THE SHIPPERS

Article 12. General rule

The shipper is not liable for loss sustained by the carrier or the actual

carrier, or for damage sustained by the ship, unless such loss or damage

was caused by the fault or neglect of the shipper, his servants or agents.

Nor is any servant or agent of the shipper liable for such loss or damage

unless the loss or damage was caused by fault or neglect on his part.

Article 13. Special rules on dangerous goods

1. The shipper must mark or label in a suitable manner dangerous goods

as dangerous.

2. Where the shipper hands over dangerous goods to the carrier or an actual

carrier, as the case may be, the shipper must inform him of the dangerous

character of the goods and, if necessary, of the precautions to be taken.

If the shipper fails to do so and such carrier or actual carrier does not

otherwise have knowledge of their dangerous character:

(a) the shipper is liable to the carrier and any actual carrier for the

loss resulting from the shipment of such goods, and

(b) the goods may at any time be unloaded, destroyed or rendered innocuous,

as the circumstances may require, without payment of compensation.

3. The provisions of paragraph 2 of this article may not be invoked by

any person if during the carriage he has taken the goods in his charge

with knowledge of their dangerous character.

4. If, in cases where the provisions of paragraph 2, subparagraph (b),

of this article do not apply or may not be invoked, dangerous goods become

an actual danger to life or property, they may be unloaded, destroyed or

rendered innocuous, as the circumstances may require, without payment of

compensation except where there is an obligation to contribute in general

average or where the carrier is liable in accordance with the provisions

of article

PART IV. TRANSPORT DOCUMENTS

Article 14. Issue of bill of lading

1. When the carrier or the actual carrier takes the goods in his charge,

the carrier must, on demand of the shipper, issue to the shipper a bill

of lading.

2. The bill of lading may be signed by a person having authority from the

carrier. A bill of lading signed by the master of the ship carrying the

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goods is deemed to have been signed on behalf of the carrier.

3. The signature on the bill of lading may be in handwriting, printed in

facsimile, perforated, stamped, in symbols, or made by any other

mechanical or electronic means, if not inconsistent with the law of the

country where the bill of lading is issued.

Article 15. Contents of bill of lading

1. The bill of lading must include, inter alia, the following particulars:

(a) the general nature of the goods, the leading marks necessary for

identification of the goods, an express statement, if applicable, as to

the dangerous character of the goods, the number of packages or pieces,

and the weight of the goods or their quantity otherwise expressed, all

such particulars as furnished by the shipper;

(b) the apparent condition of the goods;

(c) the name and principal place of business of the carrier;

(d) the name of the shipper;

(e) the consignee if named by the shipper;

(f) the port of loading under the contract of carriage by sea and the date

on which the goods were taken over by the carrier at the port of loading;

(g) the port of discharge under the contract of carriage by sea;

(h) the number of originals of the bill of lading, if more than one;

(i) the place of issuance of the bill of lading;

(j) the signature of the carrier or a person acting on his behalf;

(k) the freight to the extent payable by the consignee or other indication

that freight is payable by him;

(l) the statement referred to in paragraph 3 of article 23;

(m) the statement, if applicable, that the goods shall or may be carried

on deck;

(n) the date or the period of delivery of the goods at the port of discharge

if expressly agreed upon between the parties; and

(o) any increased limit or limits of liability where agreed in accordance

with paragraph 4 of article 6.

2. After the goods have been loaded on board, if the shipper so demands,

the carrier must issue to the shipper a "shipped" bill of lading which,

in addition to the particulars required under paragraph 1 of this article,

must state that the goods are on board a named ship or ships, and the date

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or dates of loading. If the carrier has previously issued to the shipper

a bill of lading or other document of title with respect to any of such

goods, on request of the carrier the shipper must surrender such document

in exchange for a "shipped" bill of lading. The carrier may amend any

previously issued document in order to meet the shippers demand for a

"shipped" bill of lading if, as amended, such document includes all the

information required to be contained in a "shipped" bill of lading.

3. The absence in the bill of lading of one or more particulars referred

to in this article does not affect the legal character of the document

as a bill of lading provided that it nevertheless meets the requirements

set out in paragraph 7 of article 1.

Article 16. Bills of lading: reservations and evidentiary effect

1. If the bill of lading contains particulars concerning the general

nature, leading marks, number of packages of pieces, weight or quantity

of the goods which the carrier or other person issuing the bill of lading

on his behalf knows or has reasonable grounds to suspect do not accurately

represent the goods actually taken over or, where a "shipped" bill of

lading is issued, loaded, or if he had no reasonable means of checking

such particulars, the carrier or such other person must insert in the bill

of lading a reservation specifying these inaccuracies, grounds of

suspicion or the absence of reasonable means of checking.

2. If the carrier or other person issuing the bill of lading on his behalf

fails to note on the bill of lading the apparent condition of the goods,

he is deemed to have noted on the bill of lading that the goods were in

apparent good condition.

3. Except for particulars in respect of which and to the extent to which

a reservation permitted under paragraph 1 of this article has been

entered:

(a) the bill of lading is prima facie evidence of the taking over or, where

a "shipped" bill of lading is issued, loading, by the carrier of the goods

as described in the bill of lading; and

(b) proof to the contrary by the carrier is not admissible if the bill

of lading has been transferred to a third party, including a consignee,

who in good faith has acted in reliance on the description of the goods

therein.

4. A bill of lading which does not, as provided in paragraph 1,

subparagraph (k), of article 15, set forth the freight or otherwise

indicate that freight is payable by the consignee or does not set forth

demurrage incurred at the port of loading payable by the consignee, is

prima facie evidence that no freight or such demurrage is payable by him.

However, proof to the contrary by the carrier is not admissible when the

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bill of lading has been transferred to a third party, including a consignee,

who in good faith has acted in reliance on the absence in the bill of lading

of any such indication.

Article 17. Guarantees by the shipper

1. The shipper is deemed to have guaranteed to the carrier the accuracy

of particulars relating to the general nature of the goods, their marks,

number, weight and quantity as furnished by him for insertion in the bill

of lading. The shipper must indemnify the carrier against the loss

resulting from inaccuracies in such particulars. The shipper remains

liable even if the bill of lading has been transferred by him. The right

of the carrier to such indemnity in no way limits his liability under the

contract of carriage by sea to any person other than the shipper.

2. Any letter of guarantee or agreement by which the shipper undertakes

to indemnify the carrier against loss resulting from the issuance of the

bill of lading by the carrier, or by a person acting on his behalf, without

entering a reservation relating to particulars furnished by the shipper

for insertion in the bill of lading, or to the apparent condition of the

goods, is void and of no effect as against any third party, including a

consignee, to whom the bill of lading has been transferred.

3. Such a letter of guarantee or agreement is valid as against the shipper

unless the carrier or the person acting on his behalf, by omitting the

reservation referred to in paragraph 2 of this article, intends to defraud

a third party, including a consignee, who acts in reliance on the

description of the goods in the bill of lading. In the latter case, if

the reservation omitted relates to particulars furnished by the shipper

for insertion in the bill of lading, the carrier has no right of indemnity

from the shipper pursuant to paragraph 1 of this article.

4. In the case of intended fraud referred to in paragraph 3 of this article,

the carrier is liable, without the benefit of the limitation of liability

provided for in this Convention, for the loss incurred by a third party,

including a consignee, because he has acted in reliance on the description

of the goods in the bill of lading.

Article 18. Documents other than bills of lading

Where a carrier issues a document other than a bill of lading to evidence

the receipt of the goods to be carried, such a document is prima facie

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evidence of the conclusion of the contract of carriage by sea and the

taking over by the carrier of the goods as therein described.

PART V. CLAIMS AND ACTIONS

Article 19. Notice of loss, damage or delay

1. Unless notice of loss or damage, specifying the general nature of such

loss or damage, is given in writing by the consignee to the carrier not

later than the working day after the day when the goods were handed over

to the consignee, such handing over is prima facie evidence of the delivery

by the carrier of the goods as described in the document of transport or,

if no such document has been issued, in good condition.

2. Where the loss or damage is not apparent, the provisions of paragraph

1 of this article apply correspondingly if notice in writing is not given

within 15 consecutive days after the day when the goods were handed over

to the consignee.

3. If the state of the goods at the time they were handed over to the

consignee has been the subject of a joint survey or inspection by the

parties, notice in writing need not be given of loss or damage ascertained

during such survey or inspection.

4. In the case of any actual or apprehended loss or damage, the carrier

and the consignee must give all reasonable facilities to each other for

inspecting and tallying the goods.

5. No compensation shall be payable for loss resulting from delay in

delivery unless a notice has been given in writing to the carrier within

60 consecutive days after the day when the goods were handed over to the

consignee.

6. If the goods have been delivered by an actual carrier, any notice given

under this article to him shall have the same effect as if it had been

given to the carrier; and any notice given to the carrier shall have effect

as if given to such actual carrier.

7. Unless notice of loss or damage, specifying the general nature of the

loss or damage, is given in writing by the carrier or actual carrier to

the shipper not later than 90 consecutive days after the occurrence of

such loss or damage or after the delivery of the goods in accordance with

paragraph 2 of article 4, whichever is later, the failure to give such

notice is prima facie evidence that the carrier or the actual carrier has

sustained no loss or damage due to the fault or neglect of the shipper,

his servants or agents.

8. For the purpose of this article, notice given to a person acting on

the carriers or the actual carriers behalf, including the master or the

officer in charge of the ship, or to a person acting on the shippers behalf

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is deemed to have been given to the carrier, to the actual carrier or to

the shipper, respectively.

Article 20. Limitation of actions

1. Any action relating to carriage of goods under this Convention is

time-barred if judicial or arbitral proceedings have not been instituted

within a period of two years.

2. The limitation period commences on the day on which the carrier has

delivered the goods or part thereof or, in cases where no goods have been

delivered, on the last day on which the goods should have been delivered.

3. The day on which the limitation period commences is not included in

the period.

4. The person against whom a claim is made may at any time during the

running of the limitation period extend that period by a declaration in

writing to the claimant. This period may be further extended by another

declaration or declarations.

5. An action for indemnity by a person held liable may be instituted even

after the expiration of the limitation period provided for in the

preceding paragraphs if instituted within the time allowed by the law of

the State where proceedings are instituted. However, the time allowed

shall not be less than 90 days commencing from the day when the person

instituting such action for indemnity has settled the claim or has been

served with process in the action against himself.

Article 21. Jurisdiction

1. In judicial proceedings relating to carriage of goods under this

Convention the plaintiff, at his option, may institute an action in a court

which according to the law of the State where the court is situated, is

competent and within the jurisdiction of which is situated one of the

following places:

(a) the principal place of business or, in the absence thereof, the

habitual residence of the defendant; or

(b) the place where the contract was made, provided that the defendant

has there a place of business, branch or agency through which the contract

was made; or

(c) the port of loading or the port of discharge; or

(d) any additional place designated for that purpose in the contract of

carriage by sea.

2. (a) Notwithstanding the preceding provisions of this article, an action

may be instituted in the courts of any port or place in a Contracting State

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at which the carrying vessel or any other vessel of the same ownership

may have been arrested in accordance with applicable rules of the law of

that State and of international law. However, in such a case, at the

petition of the defendant, the claimant must remove the action, at his

choice, to one of the jurisdictions referred to in paragraph 1 of this

article for the determination of the claim, but before such removal the

defendant must furnish security sufficient to ensure payment of any

judgement that may subsequently be awarded to the claimant in the action.

(b) All questions relating to the sufficiency or otherwise of the security

shall be determined by the court of the port or place of the arrest.

3. No judicial proceedings relating to carriage of goods under this

Convention may be instituted in a place not specified in paragraph 1 or

2 of this article. The provisions of this paragraph do not constitute an

obstacle to the jurisdiction of the Contracting States for provisional

or protective measures.

4. (a) Where an action has been instituted in a court competent under

paragraphs 1 or 2 of this article or where judgement has been delivered

by such a court, no new action may be started between the same parties

on the same grounds unless the judgement of the court before which the

first action was instituted is not enforceable in the country in which

the new proceedings are instituted;

(b) For the purpose of this article, the institution of measures with a

view to obtaining enforcement of a judgement is not to be considered as

the starting of a new action;

(c) For the purpose of this article, the removal of an action to a different

court within the same country, or to a court in another country, in

accordance with paragraph 2 (a) of this article, is not to be considered

as the starting of a new action.

5. Notwithstanding the provisions of the preceding paragraphs, an

agreement made by the parties, after a claim under the contract of carriage

by sea has arisen, which designates the place where the claimant may

institute an actions, is effective.

Article 22. Arbitration

1. Subject to the provisions of this article, parties may provide by

agreement evidenced in writing that any dispute that may arise relating

to carriage of goods under this Convention shall be referred to

arbitration.

2. Where a charter-party contains a provision that disputes arising

thereunder shall be referred to arbitration and a bill of lading issued

pursuant to the charter-party does not contain special annotation

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providing that such provision shall be binding upon the holder of the bill

of lading, the carrier may not invoke such provision as against a holder

having acquired the bill of lading in good faith.

3. The arbitration proceedings shall, at the option of the claimant, be

instituted at one of the following places:

(a) a place in a State within whose territory is situated:

(i) the principal place of business of the defendant or, in the absence

thereof, the habitual residence of the defendant; or

(ii) the place where the contract was made, provided that the defendant

has there a place of business, branch or agency through which the contract

was made; or

(iii) the port of loading or the port of discharge; or

(b) any place designated for that purpose in the arbitration clause or

agreement.

4. The arbitrator or arbitration tribunal shall apply the rules of this

Convention.

5. The provisions of paragraphs 2 and 4 of this article are deemed to be

part of every arbitration clause or agreement, and any term of such clause

or agreement which is inconsistent therewith is null and void.

6. Nothing in this article affects the validity of an agreement relating

to arbitration made by the parties after the claim under the contract of

carriage by sea has arisen.

PART VI. SUPPLEMENTARY PROVISIONS

Article 23. Contractual stipulations

1. Any stipulation in a contract of carriage by sea, in a bill of lading,

or in any other document evidencing the contract of carriage by sea is

null and void to the extent that it derogates, directly or indirectly,

from the provisions of this Convention. The nullity of such a stipulation

does not affect the validity of the other provisions of the contract or

document of which it forms a part. A clause assigning benefit of insurance

of goods in favour of the carrier, or any similar clause, is null and void.

2. Notwithstanding the provisions of paragraph 1 of this article, a

carrier may increase his responsibilities and obligations under this

Convention.

3. Where a bill of lading or any other document evidencing the contract

of carriage by sea is issued, it must contain a statement that the car,

riage is subject to the provisions of this Convention which nullify any

stipulation derogating therefrom to the detriment of the shipper or the

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consignee.

4. Where the claimant in respect of the goods has incurred loss as a result

of a stipulation which is null and void by virtue of the present article,

or as a result of the omission of the statement referred to in paragraph

3 of this article, the carrier must pay compensation to the extent required

in order to give the claimant compensation in accordance with the

provisions of this Convention for any loss of or damage to the goods as

well as for delay in delivery. The carrier must, in addition, pay

compensation for costs incurred by the claimant for the purpose of

exercising his right, provided that costs incurred in the action where

the foregoing provision is invoked are to be determined in accordance with

the law of the State where proceedings are instituted.

Article 24. General average

1. Nothing in this Convention shall prevent the application of provisions

in the contract of carriage by sea or national law regarding the adjustment

of general average.

2. With the exception of article 20, the provisions of this Convention

relating to the liability of the carrier for loss of or damage to the goods

also determine whether the consignee may refuse contribution in general

average and the liability of the carrier to indemnify the consignee in

respect of any such contribution made or any salvage paid.

Article 25. Other conventions

1. This Convention does not modify the rights or duties of the carrier,

the actual carrier and their servants and agents provided for in

international conventions or national law relating to the limitation of

liability of owners of seagoing ships.

2. The provisions of articles 21 and 22 of this Convention do not prevent

the application of the mandatory provisions of any other multilateral

convention already in force at the date of this Convention relating to

matters dealt with in the said articles, provided that the dispute arises

exclusively between parties having their principal place of business in

States members of such other convention. However, this paragraph does not

affect the application of paragraph 4 of article 22 of this Convention.

3. No liability shall arise under the provisions of this Convention for

damage caused by a nuclear incident if the operator of a nuclear

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installation is liable for such damage:

(a) under either the Paris Convention of 29 July 1960 on Third Party

Liability in the Field of Nuclear Energy as amended by the Additional

Protocol of 28 January 1964, or the Vienna Convention of 21 May 1963 on

Civil Liability for Nuclear Damage, or

(b) by virtue of national law governing the liability for such damage,

provided that such law is in all respects as favourable to persons who

may suffer damage as is either the Paris Convention or the Vienna

Convention.

4. No liability shall arise under the provisions of this Convention for

any loss of or damage to or delay in delivery of luggage for which the

carrier is responsible under any international convention or national law

relating to the carriage of passengers and their luggage by sea.

5. Nothing contained in this Convention prevents a Contracting State from

applying any other international convention which is already in force at

the date of this Convention and which applies mandatorily to contracts

of carriage of goods primarily by a mode of transport other than transport

by sea. This provision also applies to any subsequent revision or

amendment of such international convention.

Article 26. Unit of account

1. The unit of account referred to in article 6 of this Convention is the

special drawing right as defined by the International Monetary Fund. The

amounts mentioned in article 6 are to be converted into the national

currency of a State according to the value of such currency at the date

of judgement or the date agreed upon by the parties. The value of a national

currency, in terms of the special drawing right, of a Contracting State

which is a member of the International Monetary Fund is to be calculated

in accordance with the method of valuation applied by the International

Monetary Fund in effect at the date in question for its operations and

transactions. The value of a national currency, in terms of the special

drawing right, of a Contracting State which is not a member of the

International Monetary Fund is to be calculated in a manner determined

by that State.

2. Nevertheless, those States which are not members of the International

Monetary Fund and whose law does not permit the application of the

provisions of paragraph 1 of this article may, at the time of signature,

or at the time of ratification, acceptance, approval or accession or at

any time thereafter, declare that the limits of liability provided for

in this Convention to be applied in their territories shall be fixed as

12,500 monetary units per package or other shipping unit or 37.5 monetary

units per kilogram of gross weight of the goods.

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3. The monetary unit referred to in paragraph 2 of this article corresponds

to sixty-five and a half milligrams of gold of millesimal fineness nine

hundred. The conversion of the amounts referred to in paragraph 2 into

the national currency is to be made according to the law of the State

concerned.

4. The calculation mentioned in the last sentence of paragraph 1 and the

conversion mentioned in paragraph 3 of this article is to be made in such

a manner as to express in the national currency of the Contracting State

as far as possible the same real value for the amounts in article 6 as

is expressed there in units of account. Contracting States must

communicate to the depositary the manner of calculation pursuant to

paragraph 1 of this article, or the result of the conversion mentioned

in paragraph 3 of this article, as the case may be, at the time of signature

or when depositing their instruments of ratification, acceptance,

approval or accession, or when availing themselves of the option provided

for in paragraph 2 of this article and whenever there is a change in the

manner of such calculation or in the result of such conversion.

PART VII. FINAL CLAUSES

Article 27. Depositary

The Secretary-General of the United Nations is hereby designated as the

depositary of this Convention.

Article 28. Signature, Ratification, Acceptance, Approval, Accession

1. This Convention is open for signature by all States until 30 April 1979

at the Headquarters of the United Nations, New York.

2. This Convention is subject to ratification, acceptance or approval by

the signatory States.

3. After 30 April 1979, this Convention will be open for accession by all

States which are not signatory States.

4. Instruments of ratification, acceptance, approval and accession are

to be deposited with the Secretary-General of the United Nations.

Article 29. Reservations

No reservations may be made to this Convention.

Article 30. Entry into force

1. This Convention enters into force on the first day of the month

following the expiration of one year from the date of deposit of the

twentieth instrument of ratification, acceptance, approval or accession.

2. For each State which becomes a Contracting State to this Convention

after the date of the deposit of the twentieth instrument of ratification,

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acceptance, approval or accession, this Convention enters into force on

the first day of the month following the expiration of one year after the

deposit of the appropriate instrument on behalf of that State.

3. Each Contracting State shall apply the provisions of this Convention

to contracts of carriage by sea concluded on or after the date of the entry

into force of this Convention in respect of that State.

Article 31. Denunciation of other conventions

1. Upon becoming a Contracting State to this Convention, any State Party

to the International Convention for the Unification of certain Rules

relating to Bills of Lading signed at Brussels on 25 August 1924 (1924

Convention) must notify the Government of Belgium as the depositary of

the 1924 Convention of its denunciation of the said Convention with a

declaration that the denunciation is to take effect as from the date when

this Convention enters into force in respect of that State.

2. Upon the entry into force of this Convention under paragraph 1 of

article 30, the depositary of this Convention must notify the Government

of Belgium as the depositary of the 1924 Convention of the date of such

entry into force, and of the names of the Contracting States in respect

of which the Convention has entered into force.

3. The provisions of paragraphs 1 and 2 of this article apply

correspondingly in respect of States Parties to the Protocol signed on

23 February 1968 to amend the International Convention for the Unification

of certain Rules relating to Bills of Lading signed at Brussels on 25

August 1924.

4. Notwithstanding article 2 of this Convention, for the purposes of

paragraph 1 of this article, a Contracting State may, if it deems it

desirable, defer the denunciation of the 1924 Convention and of the 1924

Convention as modified by the 1968 Protocol for a maximum period of five

years from the entry into force of this Convention. It will then notify

the Government of Belgium of its intention. During this transitory period,

it must apply to the Contracting States this Convention to the exclusion

of any other one.

Article 32. Revision and amendment

1. At the request of not less than one third of the Contracting States

to this Convention, the depositary shall convene a conference of the

Contracting States for revising or amending it.

2. Any instrument of ratification, acceptance, approval or accession

deposited after the entry into force of an amendment to this Convention

is deemed to apply to the Convention as amended.

Article 33. Revision of the limitation amounts and unit of account or

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monetary unit

1. Notwithstanding the provisions of article 32, a conference only for

the purpose of altering the amount specified in article 6 and paragraph

2 of article 26, or of substituting either or both of the units defined

in paragraphs 1 and 3 of article 26 by other units is to be convened by

the depositary in accordance with paragraph 2 of this article. An

alteration of the amounts shall be made only because of a significant

change in their real value.

2. A revision conference is to be convened by the depositary when not less

than one fourth of the Contracting States so request.

3. Any decision by the conference must be taken by a two-thirds majority

of the participating States. The amendment is communicated by the

depositary to all the Contracting States for acceptance and to all the

States signatories of the Convention for information.

4. Any amendment adopted enters into force on the first day of the month

following one year after its acceptance by two thirds of the Contracting

States. Acceptance is to be effected by the deposit of a formal instrument

to that effect with the depositary.

5. After entry into force of an amendment a Contracting State which has

accepted the amendment is entitled to apply the Convention as amended in

its relations with Contracting States which have not within six months

after the adoption of the amendment notified the depositary that they are

not bound by the amendment.

6. Any instrument of ratification, acceptance, approval or accession

deposited after the entry into force of an amendment to this Convention

is deemed to apply to the Convention as amended.

Article 34. Denunciation

1. A Contracting State may denounce this Convention at any time by means

of a notification in writing addressed to the depositary.

2. The denunciation takes effect on the first day of the month following

the expiration of one year after the notification is received by the

depositary. Where a longer period is specified in the notification, the

denunciation takes effect upon the expiration of such longer period after

the notification is received by the depositary.

Done at Hamburg, this thirty-first day of March, one thousand nine hundred

and seventy-eight, in a single original, of which the Arabic, Chinese,

English, French, Russian and Spanish texts are equally authentic.

 

第一章  总则....................................................................................................................................................1

第一条 定义................................................................................................................................................1

第二条 本公约的解释................................................................................................................................3

第三条 形式要求........................................................................................................................................3

第四条 抗辩和赔偿责任限制的适用........................................................................................................3

第二章  适用范围............................................................................................................................................4

第五条 一般适用范围................................................................................................................................4

第六条 特定除外情形................................................................................................................................4

第七条 对某些当事人的适用....................................................................................................................4

第三章  电子运输记录....................................................................................................................................4

第八条 电子运输记录的使用和效力........................................................................................................4

第九条 可转让电子运输记录的使用程序................................................................................................5

第十条 可转让运输单证或可转让电子运输记录的替换........................................................................5

第四章  承运人的义务....................................................................................................................................5

第十一条 货物的运输和交付....................................................................................................................5

第十二条 承运人的责任期........................................................................................................................5

第十三条 特定义务....................................................................................................................................6

第十四条 适用于海上航程的特定义务....................................................................................................6

第十五条 可能形成危险的货物................................................................................................................6

第十六条 海上航程期间牺牲货物............................................................................................................6

第五章  承运人对灭失、损坏或迟延所负的赔偿责任................................................................................7

第十七条 赔偿责任基础............................................................................................................................7

第十八条 承运人为其他人负赔偿责任....................................................................................................8

第十九条 海运履约方的赔偿责任............................................................................................................8

第二十条 连带赔偿责任............................................................................................................................8

第二十一条 迟延........................................................................................................................................9

第二十二条 赔偿额的计算........................................................................................................................9

第二十三条 发生灭失、损坏或迟延时的通知........................................................................................9

第六章  有关特定运输阶段的补充条款........................................................................................................9

第二十四条 绕航........................................................................................................................................9

第二十五条 船舶上的舱面货..................................................................................................................10

第二十六条 海上运输之前或之后的运输..............................................................................................10

第七章  托运人对承运人的义务..................................................................................................................10

第二十七条 交付运输..............................................................................................................................10

第二十八条 托运人与承运人在提供信息和指示方面的合作..............................................................11

第二十九条 托运人提供信息、指示和文件的义务..............................................................................11

第三十条 托运人对承运人赔偿责任的基础..........................................................................................11

第三十一条 拟定合同事项所需要的信息..............................................................................................11

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第三十二条 危险货物特别规则..............................................................................................................11

第三十三条 单证托运人享有托运人的权利并承担其义务..................................................................12

第三十四条 托运人为其他人负赔偿责任..............................................................................................12

第八章  运输单证和电子运输记录..............................................................................................................12

第三十五条 运输单证或电子运输记录的签发......................................................................................12

第三十六条 合同事项..............................................................................................................................12

第三十七条 承运人的识别......................................................................................................................13

第三十八条 签名......................................................................................................................................13

第三十九条 合同事项不完备..................................................................................................................13

第四十条 对合同事项中货物相关信息作出保留..................................................................................14

第四十一条 合同事项的证据效力..........................................................................................................14

第四十二条 “预付运费”......................................................................................................................15

第九章  货物交付..........................................................................................................................................15

第四十三条 接受交货的义务..................................................................................................................15

第四十四条 确认收到的义务..................................................................................................................15

第四十五条 未签发可转让运输单证或 可转让电子运输记录时的交付............................................15

第四十六条 签发必须提交的不可转让运输单证时的交付..................................................................16

第四十七条 签发可转让运输单证或 可转让电子运输记录时的交付................................................16

第四十八条 货物仍未交付......................................................................................................................17

第四十九条 货物留置..............................................................................................................................18

第十章  控制方的权利..................................................................................................................................18

第五十条 控制权的行使和范围..............................................................................................................18

第五十一条 控制方的识别和控制权的转让..........................................................................................18

第五十二条 承运人执行指示..................................................................................................................19

第五十三条 视为交货..............................................................................................................................19

第五十四条 运输合同的变更..................................................................................................................19

第五十五条 向承运人提供补充信息、指示或文件..............................................................................20

第五十六条 协议变更..............................................................................................................................20

第十一章  权利转让......................................................................................................................................20

第五十七条 签发可转让运输单证或可转让电子运输记录..................................................................20

第五十八条 持有人的赔偿责任..............................................................................................................20

第十二章  赔偿责任限额..............................................................................................................................21

第五十九条 赔偿责任限额......................................................................................................................21

第六十条 迟延造成损失的赔偿责任限额..............................................................................................21

第六十一条 赔偿责任限制权的丧失......................................................................................................21

第十三章  时效..............................................................................................................................................21

第六十二条 时效期..................................................................................................................................21

第六十三条 时效的延长..........................................................................................................................22

第六十四条 追偿诉讼..............................................................................................................................22

第六十五条 对被识别为承运人的人的诉讼..........................................................................................22

第十四章  管辖权..........................................................................................................................................22

第六十六条 对承运人的诉讼..................................................................................................................22

第六十七条 法院选择协议......................................................................................................................23

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第六十八条 对海运履约方的诉讼..........................................................................................................23

第六十九条 不另增管辖权地..................................................................................................................23

第七十条 扣留以及临时措施或保全措施..............................................................................................23

第七十一条 诉讼合并和移转..................................................................................................................23

第七十二条 争议产生后的协议和被告应诉时的管辖权......................................................................24

第七十三条 承认和执行..........................................................................................................................24

第七十四条 第十四章的适用..................................................................................................................24

第十五章  仲裁..............................................................................................................................................24

第七十五条 仲裁协议..............................................................................................................................24

第七十六条 非班轮运输中的仲裁协议..................................................................................................25

第七十七条 争议产生后的仲裁协议......................................................................................................25

第七十八条 第十五章的适用..................................................................................................................25

第十六章  合同条款的有效性......................................................................................................................25

第七十九条 一般规定..............................................................................................................................25

第八十条 批量合同特别规则..................................................................................................................26

第八十一条 活动物和某些其他货物特别规则......................................................................................26

第十七章  本公约不管辖的事项..................................................................................................................27

第八十二条 管辖其他运输方式货物运输的国际公约..........................................................................27

第八十三条 赔偿责任总限制..................................................................................................................27

第八十四条 共同海损..............................................................................................................................27

第八十五条 旅客和行李..........................................................................................................................27

第八十六条 核事故造成的损害..............................................................................................................27

第十八章  最后条款......................................................................................................................................28

第八十七条 保存人..................................................................................................................................28

第八十八条 签署、批准、接受、核准或加入......................................................................................28

第八十九条 退出其他公约......................................................................................................................28

第九十条 保留..........................................................................................................................................28

第九十一条 声明的程序和效力..............................................................................................................28

第九十二条 对本国领土单位的效力......................................................................................................29

第九十三条 区域经济一体化组织的参与..............................................................................................29

第九十四条 生效......................................................................................................................................29

第九十五条 修订和修正..........................................................................................................................30

第九十六条 退出本公约..........................................................................................................................30

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联合国全程或部分海上国际货物运输合同公约 7 页 共 36

联合国全程或部分海上国际货物运输合同公约

本公约缔约国,

重申相信在平等互利基础上发展国际贸易是促进各国之间友好关系的一个重要因素,

深信通过逐步协调统一国际贸易法,减少、消除国际贸易流通法律障碍,将大大促进所有

国家在平等、公平和共同利益基础上的普遍经济合作,造福于各国人民,

承认1924825日在布鲁塞尔签署的《统一提单若干法律规则国际公约》及其各项议定书

以及1978331日在汉堡签署的《联合国海上货物运输公约》对协调海上货物运输法律的显著

贡献,

考虑到自这两项公约通过以来的技术和商业发展以及整合和更新这两项公约进行的必要

性,

注意到托运人和承运人无法利用一个有约束力的普遍性制度支持涉及其他运输方式的海上

运输合同的运作,

相信采用统一规则,对全程或部分海上国际运输合同进行规范,将促进法律确定性,提高

国际货物运输效率,便利过去相距遥远的当事人和市场获得新的准入机会,从而对促进国内、

国际贸易和经济发展发挥极其重要的作用,

兹商定如下:

第一章  总则

第一条  定义

在本公约中:

一、“运输合同”是指承运人收取运费,承诺将货物从一地运至另一地的合同。此种合同

应对海上运输作出规定,且可以对海上运输以外的其他运输方式作出规定。

二、“批量合同”是指在约定期间内分批装运特定数量货物的运输合同。货物数量可以是

最低数量、最高数量或一定范围的数量。

三、“班轮运输”是指通过公告或类似方式向公众提供、按照公布船期表使用船舶在特定

港口之间定期运营的运输服务。

四、“非班轮运输”是指不属于班轮运输的任何运输。

五、“承运人”是指与托运人订立运输合同的人。

六、㈠ “履约方”是指承运人以外的,履行或承诺履行承运人在运输合同下有关货物接收、

装载、操作、积载、运输、照料、卸载或交付的任何义务的人,以该人直接或间接在承运人的

要求、监督或控制下行事为限。

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联合国全程或部分海上国际货物运输合同公约 8 页 共 36

“履约方”不包括不由承运人而由托运人、单证托运人、控制方或收货人直接或间接委

托的任何人。

七、“海运履约方”是指凡在货物到达船舶装货港至货物离开船舶卸货港期间履行或承诺

履行承运人任何义务的履约方。内陆承运人仅在履行或承诺履行其完全在港区范围内的服务时

方为海运履约方。

八、“托运人”是指与承运人订立运输合同的人。

九、“单证托运人”是指托运人以外的,同意在运输单证或电子运输记录中记名为“托运

”的人。

十、“持有人”:

指持有可转让运输单证的人;以及1. 若单证为指示单证,指该单证所载明的托运人或

收货人,或该妥善背书的单证所指明的人;或2. 若单证为空白背书的指示单证或不记名单证,

指该单证的持单人;或

指根据第九条第一款述及的程序可转让电子运输记录的接收人或受让人。

十一、“收货人”是指根据运输合同或根据运输单证或电子运输记录有提货权的人。

十二、货物“控制权”是指根据第十章按运输合同向承运人发出有关货物的指示的权利。

十三、“控制方”是指根据第五十一条有权行使控制权的人。

十四、“运输单证”是指承运人按运输合同签发的单证,该单证:

证明承运人或履约方已按运输合同收到货物;并且

证明或包含一项运输合同。

十五、“可转让运输单证”是指一种运输单证,通过“凭指示”或“可转让”之类的措词,

或通过该单证所适用的法律承认具有同等效力的其他适当措词,表明货物按照托运人的指示或

收货人的指示交付,或已交付给持单人,且未明示注明其为“不可转让”或“不得转让”。

十六、“不可转让运输单证”是指不是可转让运输单证的运输单证。

十七、“电子通信”是指以电子、光学、数码或类似方式生成、发送、接收或存储的信息,

通信内容可供调阅,随后可参考取用。

十八、“电子运输记录”是指承运人按运输合同以电子通信方式发出的一条或数条电文中

的信息,包括作为附件与电子运输记录有着逻辑联系的信息,或在承运人签发电子运输记录的

同时或之后以其他方式与之有联系从而成为电子运输记录一部分的信息,该信息:

证明承运人或履约方已按运输合同收到货物;并且

证明或包含一项运输合同。

十九、“可转让电子运输记录”是指一种电子运输记录:

其中通过“凭指示”或“可转让”之类的措词,或通过该记录所适用的法律承认具有同

等效力的其他适当措词,表明货物已按照托运人的指示或收货人的指示交付,且未明示注明其

“不可转让”或“不得转让”,并且

其使用符合第九条第一款要求。

二十、“不可转让电子运输记录”是指不是可转让电子运输记录的电子运输记录。

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联合国全程或部分海上国际货物运输合同公约 9 页 共 36

二十一、“签发”可转让电子运输记录,是指按照确保该记录自生成至失去效力处于排他

性控制之下的程序签发记录。

二十二、“转让”可转让电子运输记录,是指转让对该记录的排他性控制。

二十三、“合同事项”是指运输单证或电子运输记录中载明的与运输合同或与货物有关的

任何信息(包括条款、批注、签名和背书)

二十四、“货物”是指承运人根据运输合同承运的任何种类的制品、商品和物件,包括不

是由承运人或不是以承运人名义提供的包装以及任何设备和集装箱。

二十五、“船舶”是指用于海上货物运输的任何船只。

二十六、“集装箱”是指任何型号的集装箱、运输罐柜或板架、交换式车厢、或拼装货物

的任何类似货载单元及其附加设备。

二十七、“车辆”是指公路或铁路货运车辆。

二十八、“运费”是指应向承运人支付根据运输合同运输货物的报酬。

二十九、“住所”是指㈠ 公司、其他法人、自然人社团或法人社团的下列所在地:1.

定处所或组建地,或注册的中心办事处,以适用者为准,2. 中心行政管理机构,或3. 主要营

业地;及㈡ 自然人的惯常居住地。

三十、“管辖法院”是指一缔约国内,根据本国法院之间管辖权内部划分规则可以对某一

争议行使管辖权的法院。

第二条  本公约的解释

在解释本公约时,应当考虑到本公约的国际性,考虑到促进在国际贸易中统一适用本公约

和遵守诚信的需要。

第三条  形式要求

第十九条第二款、第二十三条第一款至第四款、第三十六条第一款第二项、第三项和第四

项、第四十条第四款第二项、第四十四条、第四十八条第三款、第五十一条第一款第二项、第

五十九条第一款、第六十三条、第六十六条、第六十七条第二款、第七十五条第四款以及第八

十条第二款和第五款述及的通知、确认、同意、约定、声明和其他通信应当采用书面形式。经

收发人同意的,可以为此目的使用电子通信。

第四条  抗辩和赔偿责任限制的适用

一、本公约的规定,凡可为承运人提供抗辩或限制其赔偿责任的,适用于以合同、侵权行

为或其他理由为依据就运输合同所涉货物的灭失、损坏或迟延交付或就违反本公约规定的其他

任何义务对下列人提起的任何司法程序或仲裁程序:

承运人或海运履约方;

船长、船员或在船上履行服务的其他任何人;或

承运人或海运履约方的受雇人。

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联合国全程或部分海上国际货物运输合同公约 10 页 共 36

二、本公约的规定,凡可为托运人或单证托运人提供抗辩的,适用于以合同、侵权行为或

其他理由为依据对托运人、单证托运人或其分合同人、代理人或受雇人提起的任何司法程序或

仲裁程序。

第二章  适用范围

第五条  一般适用范围

一、除须遵循第六条的规定外,本公约适用于收货地和交货地位于不同国家且海上运输装

货港和同一海上运输卸货港位于不同国家的运输合同,条件是运输合同约定以下地点之一位于

一缔约国:

收货地;

装货港;

交货地;或

卸货港。

二、本公约的适用不考虑船舶、承运人、履约方、托运人、收货人或其他任何有关方的国

籍。

第六条  特定除外情形

一、本公约不适用于班轮运输中的下列合同:

租船合同;和

使用船舶或其中任何舱位的其他合同。

二、本公约不适用于非班轮运输中的运输合同,但下列情形除外:

当事人之间不存在使用船舶或其中任何舱位的租船合同或其他合同;并且

运输单证或电子运输记录已签发。

第七条  对某些当事人的适用

虽有第六条的规定,如果收货人、控制方或持有人不是被排除在本公约适用范围之外的租

船合同或其他运输合同的原始当事人,本公约仍然在承运人与此等当事人之间适用。但是,如

果当事人是根据第六条被排除在外的运输合同的原始当事人,本公约在此等原始当事人之间不

适用。

第三章  电子运输记录

第八条  电子运输记录的使用和效力

在不违反本公约所述要求的情况下:

凡根据本公约应在运输单证上载明的内容,均可在电子运输记录中加以记载,但电子运

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联合国全程或部分海上国际货物运输合同公约 11 页 共 36

输记录的签发和随后的使用须得到承运人和托运人的同意;并且

电子运输记录的签发、排他性控制或转让,与运输单证的签发、占有或转让具有同等效

力。

第九条  可转让电子运输记录的使用程序

一、使用可转让电子运输记录,应当遵守包含以下内容的程序:

向预期持有人签发和转让可转让电子运输记录的方法;

可转让电子运输记录保持完整性的保证;

持有人能够证明其持有人身份的方式;和

已向持有人交付货物的确认方式,或根据第十条第二款或第四十七条第一款第一项第2

目和第三项,可转让电子运输记录已失去效力的确认方式。

二、本条第一款中的程序应当在合同事项中载明且易于查核。

第十条  可转让运输单证或可转让电子运输记录的替换

一、如果可转让运输单证已签发,且承运人与持有人约定以可转让电子运输记录替换该运

输单证:

持有人应向承运人移交该可转让运输单证,若签发的单证不止一份,应移交所有单证;

承运人应向持有人签发可转让电子运输纪录,其中应包括一项替换该运输单证的声明;

并且

该运输单证随即失去效力。

二、如果可转让电子运输记录已签发,且承运人与持有人约定以可转让运输单证替换该电

子运输记录:

承运人应向持有人签发替换该电子运输记录的可转让运输单证,其中应包括一项替换该

电子运输记录的声明;并且

该电子运输记录随即失去效力。

第四章  承运人的义务

第十一条  货物的运输和交付

承运人应根据本公约,按照运输合同的条款将货物运至目的地并交给收货人。

第十二条  承运人的责任期

一、承运人根据本公约对货物的责任期,自承运人或履约方为运输而接收货物时开始,至

货物交付时终止。

二、㈠ 收货地的法律或条例要求将货物交给某当局或其他第三方,承运人可以从该当局或

该其他第三方提取货物的,承运人的责任期自承运人从该当局或从该其他第三方提取货物时开

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联合国全程或部分海上国际货物运输合同公约 12 页 共 36

始。

交货地的法律或条例要求将货物交给某当局或其他第三方,收货人可以从该当局或该其

他第三方提取货物的,承运人的责任期至承运人将货物交给该当局或该其他第三方时终止。

三、为确定承运人的责任期,各当事人可以约定接收和交付货物的时间和地点,但运输合

同条款作下述规定的即为无效:

接收货物的时间是在根据运输合同开始最初装货之后;或

交付货物的时间是在根据运输合同完成最后卸货之前。

第十三条  特定义务

一、在第十二条规定的责任期内,除须遵循第二十六条的规定外,承运人应妥善而谨慎地

接收、装载、操作、积载、运输、保管、照料、卸载并交付货物。

二、虽有本条第一款规定,在不影响第四章其他规定以及第五章至第七章规定的情况下,

承运人与托运人可以约定由托运人、单证托运人或收货人装载、操作、积载或卸载货物。此种

约定应在合同事项中载明。

第十四条  适用于海上航程的特定义务

承运人必须在开航前、开航当时和海上航程中恪尽职守:

使船舶处于且保持适航状态;

妥善配备船员、装备船舶和补给供应品,且在整个航程中保持此种配备、装备和补给;

并且

使货舱、船舶所有其他载货处所和由承运人提供的载货集装箱适于且能安全接收、运输

和保管货物,且保持此种状态。

第十五条  可能形成危险的货物

虽有第十一条和第十三条规定,如果在承运人责任期内货物可能或有理由认为似乎可能对

人身、财产或环境形成实际危险,承运人或履约方可以拒绝接收或装载货物,且可以采取包括

将货物卸下、销毁或使之不能致害等其他合理措施。

第十六条  海上航程期间牺牲货物

虽有第十一条、第十三条和第十四条规定,承运人或履约方仍可以在海上牺牲货物,但应

是为了共同安全,或是为了保全同一航程中人命或其他财产,使之免遭危险而合理作出此种牺

牲。

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联合国全程或部分海上国际货物运输合同公约 13 页 共 36

第五章  承运人对灭失、损坏或迟延所负的赔偿责任

第十七条  赔偿责任基础

一、如果索赔人证明,货物灭失、损坏或迟延交付,或造成、促成了灭失、损坏或迟延交

付的事件或情形是在第四章规定的承运人责任期内发生的,承运人应对货物灭失、损坏和迟延

交付负赔偿责任。

二、如果承运人证明,灭失、损坏或迟延交付的原因或原因之一不能归责于承运人本人的

过失或第十八条述及的任何人的过失,可免除承运人根据本条第一款所负的全部或部分赔偿责

任。

三、除证明不存在本条第二款所述的过失之外,如果承运人证明下列一种或数种事件或情

形造成、促成了灭失、损坏或迟延交付,也可免除承运人根据本条第一款规定所负的全部或部

分赔偿责任:

天灾;

海上或其他通航水域的风险、危险和事故;

战争、敌对行动、武装冲突、海盗、恐怖活动、暴乱和内乱;

检疫限制;政府、公共当局、统治者或民众的干涉或造成的障碍,包括非由承运人或第

十八条述及的任何人所造成的滞留、扣留或扣押;

罢工、关厂、停工或劳动受限;

船上发生火灾;

虽恪尽职守仍无法发现的潜在缺陷;

托运人、单证托运人、控制方或根据第三十三条或第三十四条托运人或单证托运人对其

作为承担责任的其他任何人的作为或不作为;

按照第十三条第二款所述及的约定进行的货物装载、操作、积载或卸载,除非承运人或

履约方代表托运人、单证托运人或收货人实施此项活动;

由于货物固有缺陷、品质或瑕疵而造成的数量或重量损耗或其他任何灭失或损坏;

(十一) 非由承运人或代其行事的人所做包装不良或标志欠缺、不清;

(十二) 海上救助或试图救助人命;

(十三) 海上救助或试图救助财产的合理措施;

(十四) 避免或试图避免对环境造成危害的合理措施;或

(十五) 承运人根据第十五条和第十六条所赋权利的作为。

四、虽有本条第三款规定,有下列情形之一的,承运人仍应对灭失、损坏或迟延交付的全

部或部分负赔偿责任:

索赔人证明,承运人或第十八条述及的人的过失造成、促成了承运人所依据的事件或情

形;或

索赔人证明,本条第三款所列事件或情形以外的事件或情形促成了灭失、损坏或迟延交

付,且承运人无法证明,该事件或情形既不能归责于其本人的过失,也不能归责于第十八条述

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联合国全程或部分海上国际货物运输合同公约 14 页 共 36

及的任何人的过失。

五、虽有本条第三款规定,在下列情况下,承运人还应对灭失、损坏或迟延交付的全部或

部分负赔偿责任:

索赔人证明,造成或可能造成或促成灭失、损坏或迟延交付的原因是:1. 船舶不适航;

2. 配备船员、装备船舶和补给供应品不当;或3.货舱、船舶其他载货处所或由承运人提供的载

货集装箱不适于且不能安全接收、运输和保管货物;并且

承运人无法证明:1. 本条第五款第一项述及的任何事件或情形未造成灭失、损坏或迟

延交付;或2. 承运人已遵守第十四条规定的恪尽职守的义务。

六、承运人根据本条规定被免除部分赔偿责任的,承运人仅对根据本条应由其负赔偿责任

的事件或情形所造成的那部分灭失、损坏或迟延交付负赔偿责任。

第十八条  承运人为其他人负赔偿责任

如果下列人的作为或不作为违反本公约对承运人规定的义务,承运人应负赔偿责任:

任何履约方;

船长或船员;

承运人的受雇人或履约方的受雇人;或

履行或承诺履行运输合同规定的承运人义务的其他任何人,以该人按照承运人的要求,

或在承运人的监督或控制下直接或间接作为为限。

第十九条  海运履约方的赔偿责任

一、符合下列条件的,海运履约方必须承担本公约对承运人规定的义务和赔偿责任,且有

权享有本公约对承运人规定的抗辩和赔偿责任限制:

海运履约方在一缔约国为运输而接收了货物或在一缔约国交付了货物,或在一缔约国某

一港口履行了与货物有关的各种活动;并且

造成灭失、损坏或迟延交付的事件发生在:1. 货物到达船舶装货港至货物离开船舶卸

货港的期间内;2. 货物在海运履约方掌管期间;或3. 海运履约方参与履行运输合同所载列任

何活动的其他任何时间内。

二、承运人约定在本公约对其规定的义务范围之外承担义务的,或约定其赔偿责任限额高

于本公约所规定的限额的,海运履约方不受该约定的约束,除非海运履约方明示约定接受该义

务或该更高限额。

三、符合本条第一款所列条件的,对于受海运履约方委托履行运输合同约定的承运人义务

的人违反本公约对海运履约方规定的义务的作为或不作为,海运履约方负赔偿责任。

四、本公约规定概不要求船长或船员、承运人的受雇人或海运履约方的受雇人负赔偿责任。

第二十条  连带赔偿责任

一、对于货物灭失、损坏或迟延交付,承运人和一个或数个海运履约方均负有赔偿责任的,

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联合国全程或部分海上国际货物运输合同公约 15 页 共 36

其赔偿责任为连带责任,但仅限于本公约所规定的限额。

二、在不影响第六十一条的情况下,上述所有人的累计赔偿责任不得超过本公约所规定的

赔偿责任总限额。

第二十一条  迟延

未在约定时间内在运输合同约定的目的地交付货物,为迟延交付。

第二十二条  赔偿额的计算

一、除须遵循第五十九条的规定外,承运人对货物灭失或损坏应支付的赔偿额,参照货物

在根据第四十三条确定的交货地和交货时间的价值计算。

二、货物的价值根据商品交易价格确定,无此种价格的,根据其市场价格确定,既无商品

交易价格又无市场价格的,参照交货地同种类和同品质货物的通常价值确定。

三、货物发生灭失或损坏的,承运人对超出本条第一款和第二款所规定的赔偿额不负任何

赔偿责任,除非承运人与托运人在第十六章的限度内约定了赔偿额的不同计算方法。

第二十三条  发生灭失、损坏或迟延时的通知

一、除非已在交货前或交货时,或在灭失或损坏不明显的情况下,在交货后交货地的七个

工作日内向承运人或向实际交付货物的履约方提交了表明此种灭失或损坏一般性质的货物灭失

或损坏通知,否则,在无相反证据的情况下,推定承运人已按照合同事项中有关货物的记载交

付了货物。

二、未向承运人或履约方提交本条述及的通知,不得影响根据本公约对货物灭失或损坏索

赔的权利,也不得影响第十七条所规定的举证责任分担。

三、被交付货物的人与承运人或与当时被要求承担赔偿责任的海运履约方对货物进行了联

合检验的,无须就联合检验所查明的灭失或损坏提交本条述及的通知。

四、除非在交货后二十一个连续日内向承运人提交了迟延造成损失的通知,否则无须就迟

延支付任何赔偿金。

五、向实际交付货物的履约方提交本条述及的通知,与向承运人提交该通知具有同等效力;

向承运人提交通知,与向海运履约方提交通知具有同等效力。

六、对于任何实际发生的或预想发生的灭失或损坏,争议各方当事人应为检验和清点货物

相互提供一切合理便利,且应为查询有关货物运输的记录和单证提供机会。

第六章  有关特定运输阶段的补充条款

第二十四条  绕航

如果绕航根据适用的法律构成违反承运人义务,承运人或海运履约方不得因此被剥夺本公

约为其提供的任何抗辩或赔偿责任限制,但第六十一条规定的情形除外。

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第二十五条  船舶上的舱面货

一、在船舶舱面上载运货物,只能限于下列情形:

根据法律的要求进行此种运输;

货物载于适合舱面运输的集装箱内或车辆内,而舱面专门适于载运此类集装箱或车辆;

舱面运输符合运输合同或相关行业的习惯、惯例或做法。

二、本公约有关承运人赔偿责任的规定,适用于根据本条第一款在舱面上载运的货物的灭

失、损坏或迟延交付,但根据本条第一款第一项或第三项载运货物的,对于舱面载运货物涉及

的特殊风险所造成的货物灭失、损坏或迟延交付,承运人不负赔偿责任。

三、在舱面上载运货物,不是本条第一款所准许的情形的,对于完全由于舱面载运货物所

造成的货物灭失、损坏或迟延交付,承运人负赔偿责任,且无权享有第十七条规定的抗辩。

四、第三方已善意取得可转让运输单证或可转让电子运输记录的,承运人无权对其援用本

条第一款第三项的规定,除非合同事项载明可以在舱面上载运货物。

五、承运人与托运人明确约定货物将载于舱内的,如果货物载于舱面造成任何灭失、损坏

或迟延交付,对于此种灭失、损坏或迟延交付,承运人无权享有限制赔偿责任的利益。

第二十六条  海上运输之前或之后的运输

如果货物灭失、损坏或造成迟延交付的事件或情形发生在承运人的责任期内,但发生的时

间仅在货物装上船舶之前或仅在货物卸离船舶之后,本公约的规定不得优先于另一国际文书的

下述条文,在此种灭失、损坏或造成迟延交付的事件或情形发生时:

根据该国际文书的规定,如果托运人已就发生货物灭失、损坏或造成货物迟延交付的事

件或情形的特定运输阶段与承运人订有单独和直接的合同,本应适用于承运人全部活动或任何

活动的条文;

就承运人的赔偿责任、赔偿责任限制或时效作了具体规定的条文;和

根据该文书,完全不能通过订立合同加以背离的条文,或不能在损害托运人利益的情况

下通过订立合同加以背离的条文。

第七章  托运人对承运人的义务

第二十七条  交付运输

一、除非运输合同另有约定,否则托运人应交付备妥待运的货物。在任何情况下,托运人

交付的货物应处于能够承受住预定运输的状态,包括货物的装载、操作、积载、绑扎、加固和

卸载,且不会对人身或财产造成损害。

二、根据第十三条第二款订有约定的,托运人应妥善而谨慎地履行根据该约定承担的任何

义务。

三、集装箱或车辆由托运人装载的,托运人应妥善而谨慎地积载、绑扎和加固集装箱内或

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车辆内的货物,使之不会对人身或财产造成损害。

第二十八条  托运人与承运人在提供信息和指示方面的合作

如果有关货物正确操作和运输的信息处于被请求方的占有之下,或有关货物正确操作和运

输的指示是在被请求方能够合理提供的范围之内,且请求方无法以其他合理方式获取此种信息

和指示,承运人和托运人应就对方提出的提供此种信息和指示的请求作出响应。

第二十九条  托运人提供信息、指示和文件的义务

一、托运人应及时向承运人提供承运人无法以其他合理方式获取,且是为下述目的而合理

需要的有关货物的信息、指示和文件:

为了正确操作和运输货物,包括由承运人或履约方采取预防措施;并且

为了使承运人遵守公共当局有关预定运输的法律、条例或其他要求,但承运人须及时将

其需要信息、指示和文件事宜通知托运人。

二、本条规定概不影响根据公共当局有关预定运输的法律、条例或其他要求,提供有关货

物的某些信息、指示和文件的任何特定义务。

第三十条  托运人对承运人赔偿责任的基础

一、对于承运人遭受的灭失或损坏,如果承运人证明,此种灭失或损坏是由于违反本公约

规定的托运人义务而造成的,托运人应负赔偿责任。

二、灭失或损坏的原因或原因之一不能归责于托运人本人的过失或第三十四条述及的任何

人的过失的,免除托运人的全部或部分赔偿责任,但托运人违反第三十一条第二款和第三十二

条对其规定的义务所造成的灭失或损坏,不在此列。

三、托运人根据本条被免除部分赔偿责任的,托运人仅对因其本人的过失或第三十四条述

及的任何人的过失所造成的那部分灭失或损坏负赔偿责任。

第三十一条  拟定合同事项所需要的信息

一、托运人应及时向承运人提供拟定合同事项以及签发运输单证或电子运输记录所需要的

准确信息,包括第三十六条第一款所述及的事项;合同事项中拟载明为托运人的当事人名称;

有收货人的,收货人名称;须凭指示签发运输单证或电子运输记录的,指示人名称。

二、承运人收到根据本条第一款提供的信息时,理当认为托运人已对信息的准确性给予保

证。托运人应就此种信息不准确所导致的灭失或损坏向承运人作出赔偿。

第三十二条  危险货物特别规则

当货物因本身性质或特性而已对人身、财产或环境形成危险,或适度显现有可能形成此种

危险时:

托运人应在货物交付给承运人或履约方之前,及时将货物的危险性质或特性通知承运

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人。托运人未履行此项义务,且承运人或履约方无法以其他方式知道货物危险性质或特性的,

托运人应就未发通知所导致的灭失或损坏向承运人负赔偿责任;

托运人应根据货物预定运输任何阶段所适用的公共当局的法律、条例或其他要求,对危

险货物加标志或标签。托运人未履行此项义务的,托运人应就由此导致的灭失或损坏向承运人

负赔偿责任。

第三十三条  单证托运人享有托运人的权利并承担其义务

一、单证托运人必须承担本章和第五十五条对托运人规定的义务和赔偿责任,且有权享有

本章和第13章为托运人提供的权利和抗辩。

二、本条第一款规定不影响托运人的义务、赔偿责任、权利或抗辩。

第三十四条  托运人为其他人负赔偿责任

托运人委托包括受雇人、代理人和分合同人在内的任何人履行托运人任何义务的,对于此

等人的作为或不作为造成违反本公约规定的托运人义务,托运人负赔偿责任,但托运人委托承

运人或代表承运人行事的履约方履行托运人义务的,对于此等人的作为或不作为,托运人不负

赔偿责任。

第八章  运输单证和电子运输记录

第三十五条  运输单证或电子运输记录的签发

除非托运人与承运人已约定不使用运输单证或电子运输记录,或不使用运输单证或电子运

输记录是行业习惯、惯例或做法,否则,货物一经向承运人或履约方交付运输,托运人,或经

托运人同意的单证托运人,有权按照托运人的选择,从承运人处获得:

不可转让运输单证,或,符合第八条第一项规定的,不可转让电子运输记录;或

适当的可转让运输单证,或,符合第八条第一项规定的,可转让电子运输记录,除非托

运人与承运人已约定不使用可转让运输单证或可转让电子运输记录,或不使用可转让运输单证

或可转让电子运输记录是行业习惯、惯例或做法。

第三十六条  合同事项

一、第三十五条述及的运输单证或电子运输记录中的合同事项应包括由托运人提供的下列

信息:

适合于运输的货名;

识别货物所必需的主标志;

货物包数、件数或数量;和

货物重量(如果已由托运人提供)

二、第三十五条述及的运输单证或电子运输记录中的合同事项还应包括:

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承运人或履约方收到待运货物时货物表面状况的说明;

承运人名称和地址;

承运人或履约方收到货物日期、货物装船日期或运输单证或电子运输记录签发日期;和

运输单证可转让,且签发一份以上正本的,可转让运输单证的正本份数。

三、第三十五条述及的运输单证或电子运输记录中的合同事项还应包括:

收货人的名称和地址(如果收货人已由托运人指定)

船舶名称(如果已在运输合同中指明)

收货地和交货地(如果承运人已知道交货地);和

装货港和卸货港(如果已在运输合同中指明)

4. 就本条而言,本条第二款第一项中“货物表面状况”一词是指在下述基础上确定的货物

状况:

货物由托运人交付给承运人或履约方时对所装载货物进行的合理外部检验;和

承运人或履约方在签发运输单证或电子运输记录之前实际进行的任何进一步检验。

第三十七条  承运人的识别

一、合同事项中载明承运人名称的,运输单证或电子运输记录中凡是与此不一致的有关承

运人身份的其他信息一概无效。

二、合同事项中未按第三十六条第二款第二项载明任何人为承运人,但合同事项载明货物

已装上指定船舶的,推定该船舶的登记所有人为承运人,除非该登记所有人能够证明运输货物

时该船舶处于光船租用之中,且能够指出该光船承租人及其地址,在这种情况下,推定该光船

承租人为承运人。或,船舶登记所有人可以通过指出承运人及其地址,推翻将其当作承运人的

推定。光船承租人可以按照同样方式推翻将其当作承运人的任何推定。

三、本条规定概不妨碍索赔人证明,承运人是合同事项所载明的人以外的人,或是根据本

条第二款所识别的人以外的人。

第三十八条  签名

一、运输单证应由承运人或代其行事的人签名。

二、电子运输记录应包含承运人或代其行事的人的电子签名。凭借此种电子签名,应能够

识别与该电子运输记录有关的签名人,且表明承运人对该电子运输记录的授权。

第三十九条  合同事项不完备

一、合同事项中缺少第三十六条第一款、第二款或第三款述及的一项或数项内容,或这些

内容不准确,本身不影响运输单证或电子运输记录的法律性质或法律效力。

二、合同事项包含日期而未载明其含义的:

如果合同事项载明货物已装船,该日期视为运输单证或电子运输记录中载明的全部货物

的装船日期;或

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如果合同事项未载明货物已装船,该日期视为承运人或履约方收到货物的日期。

三、合同事项未载明承运人或履约方收到货物时货物表面状况的,该合同事项视为已载明

承运人或履约方收到货物时货物表面状况良好。

第四十条  对合同事项中货物相关信息作出保留

一、在下列条件下,承运人应对第三十六条第一款中述及的信息作出保留,指出承运人对

于托运人所提供信息的准确性不负责任:

承运人实际知道运输单证或电子运输记录中的任何重要声明有虚假或误导内容;或

承运人有合理的理由认为运输单证或电子运输记录中的任何重要声明有虚假或误导内

容。

二、在不影响本条第一款的情况下,承运人可以按照本条第三款和第四款规定的情形和方

式,对第三十六条第一款中述及的信息作出保留,指出承运人对于托运人所提供信息的准确性

不负责任。

三、货物不放在封闭集装箱内或封闭车辆内交付给承运人或履约方运输,或货物放在封闭

集装箱内或封闭车辆内交付且承运人或履约方实际检验了货物的,在下述条件下,承运人可以

对第三十六条第一款中述及的信息作出保留:

承运人无实际可行或商业上合理的方式核对托运人提供的信息,在这种情况下,承运人

可以注明其无法核对的信息;或

承运人有合理的理由认为托运人所提供的信息不准确,在这种情况下,承运人可以列入

一个条款,提供其合理认为准确的信息。

四、货物放在封闭集装箱内或封闭车辆内交付给承运人或履约方运输的,承运人可以就下

列条款中述及的信息作出保留:

第三十六条第一款第一项、第二项或第三项,条件是:

1. 集装箱内或车辆内货物未经过承运人或履约方实际检验;并且

2. 无论承运人还是履约方均未在签发运输单证或电子运输记录之前以其他方式实际知道

集装箱内或车辆内货物的情况;和

第三十六条第一款第四项,条件是:

1. 无论承运人还是履约方均未对集装箱或车辆称重,且托运人和承运人均未在装运货物之

前约定对集装箱或车辆称重并将其重量记载在合同事项中;或

2. 无实际可行或商业上合理的方式核对集装箱或车辆重量。

第四十一条  合同事项的证据效力

除合同事项已按照第四十条规定的情形和方式作了保留外:

运输单证或电子运输记录是承运人收到合同事项中所记载货物的初步证据;

在下列情况下,承运人就任何合同事项提出的相反证据不予接受:

1. 此种合同事项载于已转让给善意行事第三方的可转让运输单证或可转让电子运输记录;

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2. 此种合同事项载于载明必须交单提货,且已转让给善意行事收货人的不可转让运输单

证。

承运人提出的针对善意行事收货人的相反证据,在该收货人依赖载于不可转让运输单证

或不可转让电子运输记录中的下述任何合同事项时,不予接受:

1. 第三十六条第一款中述及的合同事项,此种合同事项由承运人提供;

2. 集装箱的号码、型号和识别号,而非集装箱封条的识别号;和

3. 第三十六条第二款中述及的合同事项。

第四十二条  “ 预付运费 ”

合同事项载有“预付运费”声明或类似性质声明的,承运人不能以运费尚未支付这一主张

对抗持有人或收货人。持有人或收货人也是托运人的,本条不适用。

第九章  货物交付

第四十三条  接受交货的义务

当货物到达目的地时,要求交付货物的收货人应在运输合同约定的时间或期限内,在运输

合同约定的地点接受交货,无此种约定的,应在考虑到合同条款和行业习惯、惯例或做法以及

运输情形,能够合理预期的交货时间和地点接受交货。

第四十四条  确认收到的义务

收货人应按照交付货物的承运人或履约方的要求,以交货地的习惯方式确认从承运人或履

约方收到了货物。收货人拒绝确认收到货物的,承运人可以拒绝交付。

第四十五条 未签发可转让运输单证或  可转让电子运输记录时的交付

未签发可转让运输单证或可转让电子运输记录的:

承运人应在第四十三条述及的时间和地点将货物交付给收货人。声称是收货人的人未按

照承运人的要求适当表明其为收货人的,承运人可以拒绝交付;

收货人的名称和地址未在合同事项中载明的,控制方应在货物到达目的地前或在货物到

达目的地时,将收货人的名称和地址告知承运人;

在不影响第四十八条第一款的情况下,如果货物未能交付是因为1. 收货人接到了到货

通知而未在第四十三条述及的时间或期限内在货物到达目的地后向承运人主张提取货物,2.

运人因声称是收货人的人未适当表明其为收货人而拒绝交货,或3. 承运人经合理努力无法确定

收货人,请求就货物的交付发出指示,则承运人可以通知控制方,请求就货物的交付发出指示。

承运人经合理努力无法确定控制方的,承运人可以通知托运人,请求就货物的交付发出指示。

承运人经合理努力无法确定控制方或托运人的,承运人可以通知单证托运人,请求就货物的交

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付发出指示;

承运人根据本条第三项按照控制方、托运人或单证托运人的指示交付货物的,解除承运

人在运输合同下交付货物的义务。

第四十六条  签发必须提交的不可转让运输单证时的交付

签发不可转让运输单证,其中载明必须交单提货的:

承运人应在收货人按照承运人的要求适当表明其为收货人并提交不可转让单证时,在第

四十三条述及的时间和地点将货物交付给收货人。声称是收货人的人不能按照承运人的要求适

当表明其为收货人的,承运人可以拒绝交付,未提交不可转让单证的,承运人应拒绝交付。所

签发不可转让单证有一份以上正本的,提交一份正本单证即可,其余正本单证随即失去效力;

在不影响第四十八条第一款的情况下,如果货物未能交付是因为1. 收货人接到了到货

通知而未在第四十三条述及的时间或期限内在货物到达目的地后向承运人主张提取货物,2.

运人因声称是收货人的人未适当表明其为收货人或未提交单证而拒绝交货,或3. 承运人经合理

努力无法确定收货人,请求就货物的交付发出指示,则承运人可以通知托运人,请求就货物的

交付发出指示。承运人经合理努力无法确定托运人的,承运人应通知单证托运人,请求就货物

的交付发出指示;

承运人根据本条第二项按照托运人或单证托运人的指示交付货物的,解除承运人在运输

合同下交付货物的义务,而不考虑是否已向承运人提交不可转让运输单证。

第四十七条 签发可转让运输单证或  可转让电子运输记录时的交付

一、签发可转让运输单证或可转让电子运输记录的:

可转让运输单证或可转让电子运输记录的持有人有权在货物到达目的地后向承运人主

张提取货物,在这种情况下,下列要求之一得到满足时,承运人即应在第四十三条述及的时间

和地点将货物交付给该持有人:

1. 该持有人提交了可转让运输单证,该持有人为第一条第十款第一项第1目述及的人的,

还适当表明了其身份;或

2. 该持有人按照第九条第一款述及的程序证明其为可转让电子运输记录的持有人。

本款第一项第1目或第三项第2目所列要求未得到满足的,承运人应拒绝交付;

所签发可转让运输单证有一份以上正本,且该单证中注明正本份数的,提交一份正本单

证即可,其余正本单证随即失去效力。使用可转让电子运输记录的,按照第九条第一款规定的

程序一经向持有人交付货物,该电子运输记录随即失去效力;

二、在不影响第四十八条第一款的情况下,可转让运输单证或可转让电子运输记录明确规

定可以不提交运输单证或电子运输记录交付货物的,适用下列规则:

如果货物未能交付是因为1. 持有人接到了到货通知而未在第四十三条述及的时间或期

限内在货物到达目的地后向承运人主张提取货物,2. 承运人因声称是持有人的人未适当表明其

为第一条第十款第一项第1目所述及的人之一而拒绝交货,或3. 承运人经合理努力无法确定持

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有人,请求就货物的交付发出指示,则承运人可以通知托运人,请求就货物的交付发出指示。

承运人经合理努力无法确定托运人的,承运人应通知单证托运人,请求就货物的交付发出指示;

承运人根据本条第二款第一项按照托运人或单证托运人的指示交付货物的,解除承运人

在运输合同下向持有人交付货物的义务,而不考虑是否已向承运人提交可转让运输单证,也不

考虑凭可转让电子运输记录主张提货的人是否已按照第九条第一款述及的程序证明其为持有

人;

承运人根据本条第二款第五项对持有人负赔偿责任的,根据本条第二款第一项发出指示

的人应补偿承运人由此遭受的损失。该人未能按照承运人的合理要求提供适当担保的,承运人

可以拒绝遵守这些指示;

一人在承运人已根据本条第二款第二项交付货物后成为可转让运输单证或可转让电子

运输记录的持有人,仍根据此项交货前的合同安排或其他安排取得对承运人除主张提货权以外

的运输合同下的权利;

虽有本条第二款第二项和第二款第四项的规定,一持有人在此项交货后成为持有人,在

其成为持有人时不知道且理应不可能知道此项交货的,取得可转让运输单证或可转让电子运输

记录所包含的权利。合同事项载明预计到货时间,或载明如何获取有关货物是否已交付的信息

的,推定该持有人在其成为持有人时已知道或理应能够知道货物的交付。

第四十八条  货物仍未交付

一、在本条中,只有在下列情形下,货物到达目的地后应被视为仍未交付:

收货人未根据本章的规定,在第四十三条述及的时间和地点接受交货;

控制方、持有人、托运人或单证托运人无法被找到,或未根据第四十五条、第四十六条

和第四十七条向承运人发出适当指示;

根据第四十四条、第四十五条、第四十六条和第四十七条,承运人有权或必须拒绝交付

货物;

根据请求交货地的法律条例,不允许承运人向收货人交付货物;或

承运人无法交付货物的其他情形。

二、在不影响承运人可以向托运人、控制方或收货人主张其他任何权利的情况下,货物仍

未交付的,由有权提取货物的人承担风险和费用,承运人可以根据情况的合理要求就货物采取

行动,其中包括:

将货物存放在任何合适地方;

货物载于集装箱内或车辆内的,打开包装,或就货物采取其他行动,包括转移货物;并

按照惯例,或根据货物当时所在地的法律条例,将货物出售或销毁。

三、只有在承运人已就本条第二款所设想的行动,向合同事项中载明的货物到达目的地时

可能存在的任何被通知人,并向承运人知道的收货人、控制方或托运人这三种人之一,按照所

列顺序发出合理通知之后,承运人方可行使本条第二款规定的权利。

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联合国全程或部分海上国际货物运输合同公约 24 页 共 36

四、货物根据本条第二款第三项出售的,承运人应为有权提取货物的人的利益代为保管出

售货物的价款,但可从中扣除承运人承担的任何费用和应付给承运人的与运输这些货物有关的

其他任何款项。

五、对于在本条所规定的货物仍未交付期间内发生的货物灭失或损坏,承运人不负赔偿责

任,除非索赔人证明,此种灭失或损坏是由于承运人未能在当时的情况下采取应有的合理步骤

保存货物所致,且承运人已知道或本应知道不采取此种步骤将给货物造成的灭失或损坏。

第四十九条  货物留置

本公约的规定概不影响承运人或履约方可以根据运输合同或准据法留置货物,为应付款的

偿付获得担保的权利。

第十章  控制方的权利

第五十条  控制权的行使和范围

一、控制权只能由控制方行使,且仅限于:

就货物发出指示或修改指示的权利,此种指示不构成对运输合同的变更;

在计划挂靠港,或在内陆运输情况下在运输途中的任何地点提取货物的权利;和

由包括控制方在内的其他任何人取代收货人的权利。

二、控制权存在于第十二条规定的整个承运人责任期间,该责任期届满时即告终止。

第五十一条  控制方的识别和控制权的转让

一、除本条第二款、第三款和第四款述及的情形外,

托运人为控制方,除非托运人在订立运输合同时指定收货人、单证托运人或其他人为控

制方;

控制方有权将控制权转让给其他人。此种转让在转让人向承运人发出转让通知时对承运

人产生效力,受让人于是成为控制方;并且

控制方行使控制权时,应适当表明其身份。

二、已签发不可转让运输单证,其中载明必须交单提货的:

托运人为控制方,且可以将控制权转让给运输单证中指定的收货人,该运输单证可不经

背书转让给该人。所签发单证有一份以上正本的,应转让所有正本单证,方可实现控制权的转

让;并且

为了行使控制权,控制方应提交单证且适当表明其身份。所签发单证有一份以上正本的,

应提交所有正本单证,否则不能行使控制权。

三、签发可转让运输单证的:

持有人为控制方,所签发可转让运输单证有一份以上正本的,持有人得到所有正本单证,

方可成为控制方;

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持有人可以根据第五十七条,通过将可转让运输单证转让给其他人而转让控制权。所签

发单证有一份以上正本的,应向该人转让所有正本单证,方可实现控制权的转让;并且

为了行使控制权,持有人应向承运人提交可转让运输单证,持有人是第一条第十款第一

项第1目述及的其中一种人的,应适当表明其身份。所签发单证有一份以上正本的,应提交所有

正本单证,否则不能行使控制权。

四、 签发可转让电子运输记录的:

持有人为控制方;

持有人可以按照第九条第一款述及的程序,通过转让可转让电子运输记录,将控制权转

让给其他人;并且

为了行使控制权,持有人应按照第九条第一款述及的程序证明其为持有人。

第五十二条  承运人执行指示

一、除须遵循本条第二款和第三款的规定外,在下列条件下,承运人应执行第五十条述及

的指示:

发出此种指示的人有权行使控制权;

该指示送达承运人时即能按照其中的条件合理地执行;并且

该指示不会干扰承运人的正常营运,包括其交付作业。

二、在任何情况下,控制方均应偿还承运人根据本条勤勉执行任何指示而可能承担的合理

的额外费用,且应补偿承运人可能由于此种执行而遭受的灭失或损坏,包括为承运人可能赔付

其他所载运货物的灭失或损坏而作出赔偿。

三、按照承运人的合理预计,根据本条执行指示将产生额外费用、灭失或损坏的,承运人

有权从控制方处获得与之数额相当的担保。未提供此种担保的,承运人可以拒绝执行指示。

四、承运人违反本条第一款对其规定的义务,未遵守控制方指示而造成货物灭失、损坏或

迟延交付的,承运人所负的赔偿责任应根据第十七条至第二十三条确定,承运人应付的赔偿额

应根据第五十九条至第六十一条确定。

第五十三条  视为交货

根据第五十二条第一款按照指示交付货物,视为在目的地交货,第九章中有关此种交货的

规定适用于此种货物。

第五十四条  运输合同的变更

一、控制方是唯一可以与承运人约定对运输合同的变更的人,但第五十条第一款第二项和

第三项述及的内容除外。

二、对运输合同的变更,包括第五十条第一款第二项和第三项述及的内容,应在可转让运

输单证或必须提交的不可转让运输单证上记载或并入可转让电子运输记录,或在控制方提出要

求时,应在不可转让运输单证上记载或并入不可转让电子运输记录。凡作此种记载或并入的变

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联合国全程或部分海上国际货物运输合同公约 26 页 共 36

更,均应根据第三十八条签名。

第五十五条  向承运人提供补充信息、指示或文件

一、控制方应按照承运人或履约方的要求,及时提供承运人履行其在运输合同下义务而可

能合理需要的有关货物的信息、指示或文件,此种信息、指示或文件尚未由托运人提供,且承

运人无法以其他方式合理获得。

二、承运人经合理努力无法确定控制方,或控制方无法向承运人提供适当信息、指示或文

件的,应由托运人提供此种信息、指示或文件。承运人经合理努力无法确定托运人的,应由单

证托运人提供此种信息、指示或文件。

第五十六条  协议变更

运输合同当事人可以协议变更第五十条第一款第二项和第三项、第五十条第二款和第五十

二条的效力。当事人还可以限制或排除第五十一条第一款第二项所述及的控制权的可转让性。

第十一章  权利转让

第五十七条  签发可转让运输单证或可转让电子运输记录

一、签发可转让运输单证的,其持有人可以通过向其他人转让该运输单证而转让其中包含

的各项权利:

是指示单证的,须妥善背书给该其他人,或须空白背书;或

1. 不记名单证或空白背书单证的,或是2. 凭记名人指示开出的单证,且转让发生在

第一持有人与该记名人之间的,无须背书。

二、签发可转让电子运输记录的,不论该电子运输记录是凭指示开出还是凭记名人指示开

出,其持有人均可以按照第九条第一款述及的程序,通过转让该电子运输记录,转让其中包含

的各项权利。

第五十八条  持有人的赔偿责任

一、在不影响第五十五条的情况下,非托运人的持有人,未行使运输合同下任何权利的,

不能只因为是持有人而负有运输合同下的任何赔偿责任。

二、非托运人的持有人,行使运输合同下任何权利的,负有运输合同对其规定的任何赔偿

责任,但此种赔偿责任须载入可转让运输单证或可转让电子运输记录,或可以从其中查明。

三、就本条第一款和第二款而言,非托运人的持有人不能只因为下列作为而被视为行使运

输合同下的任何权利:

该持有人根据第十条与承运人约定,以可转让电子运输记录替换可转让运输单证,或以

可转让运输单证替换可转让电子运输记录;或

该持有人根据第五十七条转让其权利。

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第十二章  赔偿责任限额

第五十九条  赔偿责任限额

一、除须遵循第六十条以及第六十一条第一款的规定外,承运人对于违反本公约对其规定

的义务所负赔偿责任的限额,按照索赔或争议所涉货物的件数或其他货运单位计算,每件或每

个其他货运单位875个计算单位,或按照索赔或争议所涉货物的毛重计算,每公斤3个计算单位,

以两者中较高限额为准,但货物价值已由托运人申报且在合同事项中载明的,或承运人与托运

人已另行约定高于本条所规定的赔偿责任限额的,不在此列。

二、货物载于集装箱、货盘或拼装货物的类似装运器具内,或载于车辆内运输的,合同事

项中载列的载于此种装运器具内或车辆内的货物件数或货运单位数,视为货物件数或货运单位

数。未载列的,载于此种装运器具内或车辆内的货物视为一个货运单位。

三、本条述及的计算单位,是国际货币基金组织定义的特别提款权。本条述及的限额,须

按照一国国家货币在判决日或裁决日,或在当事人约定日的币值折算成该国货币。一缔约国是

国际货币基金组织成员国的,该国货币对特别提款权的比价,须按照国际货币基金组织当日对

其业务和交易实行的计价换算方法计算。一缔约国不是国际货币基金组织成员国的,该国货币

对特别提款权的比价,须按照该国确定的方式计算。

第六十条  迟延造成损失的赔偿责任限额

除须遵循第六十一条第二款的规定外,对迟延造成货物灭失或损坏的赔偿额,应按照第二

十二条计算,对迟延造成经济损失的赔偿责任限额,是相当于迟交货物应付运费两倍半的数额。

根据本条以及第五十九条第一款确定的赔付总额,不得超过所涉货物全损时根据第五十九条第

一款确定的限额。

第六十一条  赔偿责任限制权的丧失

一、如果索赔人证明,违反本公约规定的承运人义务所造成的损失,是由于声称有权限制

赔偿责任的人本人故意造成此种损失的作为或不作为所导致的,或是明知可能产生此种损失而

轻率地作为或不作为所导致的,则承运人或第十八条述及的任何人,无权根据第五十九条的规

定或按照运输合同的约定享有限制赔偿责任的利益。

二、如果索赔人证明,迟延交付是由于声称有权限制赔偿责任的人本人故意造成迟延损失

的作为或不作为所导致的,或是明知可能产生此种损失而轻率地作为或不作为所导致的,则承

运人或第十八条述及的任何人,无权根据第六十条的规定享有限制赔偿责任的利益。

第十三章  时效

第六十二条  时效期

一、两年时效期满后,不得就违反本公约下的一项义务所产生的索赔或争议提起司法程序

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或仲裁程序。

二、本条第一款述及的时效期,自承运人交付货物之日起算,未交付货物或只交付了部分

货物的,自本应交付货物最后之日起算。时效期间的起算日不包括在该期间内。

三、即使本条第一款规定的时效期满,一方当事人仍然可以提出索赔作为抗辩,或以此抵

消对方当事人提出的索赔。

第六十三条  时效的延长

第六十二条规定的时效期不得中止或中断,但被索赔人可以在时效期内的任何时间,通过

向索赔人声明而延长该时效期。该时效期可以经再次声明或多次声明进一步延长。

第六十四条  追偿诉讼

被认定负有责任的人,可以在第六十二条规定的时效期满后提起追偿诉讼,提起该追偿诉

讼的时效期以下列较晚者为准:

提起程序的管辖地准据法所允许的时效期内;或

自追偿诉讼提起人解决原索赔之日起,或自收到向其本人送达的起诉文书之日(以较早

者为准)起九十日内。

第六十五条  对被识别为承运人的人的诉讼

对光船承租人或对根据第三十七条第二款被识别为承运人的人的诉讼,可以在第六十二条

规定的时效期满后提起,提起该诉讼的时效期以下列较晚者为准:

提起程序的管辖地准据法所允许的时效期内;或

自识别承运人之日起,或自船舶登记所有人或光船承租人根据第三十七条第二款推翻其

为承运人的推定之日起九十日内。

第十四章  管辖权

第六十六条  对承运人的诉讼

除非运输合同载有一项符合第六十七条或第七十二条的排他性法院选择协议,否则原告有

权根据本公约在下列管辖法院之一对承运人提起司法程序:

对下列地点之一拥有管辖权的一管辖法院:

1. 承运人的住所;

2. 运输合同约定的收货地;

3. 运输合同约定的交货地;或

4. 货物的最初装船港或货物的最终卸船港;或

为裁定本公约下可能产生的向承运人索赔事项,托运人与承运人在协议中指定的一个或

数个管辖法院。

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第六十七条  法院选择协议

一、根据第六十六条第二项选择的法院,只有经合同当事人协议约定,且只有授予管辖权

协议满足下列各项条件,方能对合同当事人之间的争议具有排他性管辖权:

该协议载于清楚载明各方当事人名称和地址的批量合同,此种批量合同或1. 是单独协

商订立,或2. 载有一则存在一项排他性法院选择协议的明确声明,且指出批量合同中载有该协

议的部分;并且

该协议清楚指定某一缔约国的数个法院或某一缔约国的一个或数个特定法院。

二、根据本条第一款订立的排他性法院选择协议,只有满足下列各项条件,方能对不是批

量合同当事人的人具有约束力:

该法院位于第六十六条第一项所指定的地点之一;

该协议载于运输单证或电子运输记录;

关于诉讼提起地法院以及该法院拥有排他性管辖权的通知已及时、正确地发给该人;并

受案法院的法律承认该排他性法院选择协议对该人具有约束力。

第六十八条  对海运履约方的诉讼

原告有权在对下列地点之一拥有管辖权的管辖法院,根据本公约对海运履约方提起司法程

序:

海运履约方的住所;或

海运履约方接收货物的港口或海运履约方交付货物的港口,或海运履约方执行与货物有

关的各种活动的港口。

第六十九条  不另增管辖权地

除须遵循第七十一条和第七十二条的规定外,不得在不是根据第六十六条或第六十八条指

定的法院,根据本公约对承运人或海运履约方提起司法程序。

第七十条  扣留以及临时措施或保全措施

本公约的规定概不影响对临时措施或保全措施,包括对扣留的管辖权。除非符合下列条件,

否则临时措施或保全措施执行地所在国的法院不享有裁定案件实体的管辖权:

符合本章的要求;或

一项国际公约在该国适用的,该国际公约作此规定。

第七十一条  诉讼合并和移转

一、除非根据第六十七条或第七十二条存在一项具有约束力的排他性法院选择协议,就同

一事件同时对承运人和海运履约方提起一项共同诉讼的,只能在同时根据第六十六条和第六十

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八条指定的一法院提起该诉讼。无上述这类法院的,可以在根据第六十八条第二项指定的一法

院,在其存在的情况下提起该诉讼。

二、除非根据第六十七条或第七十二条存在一项具有约束力的排他性法院选择协议,承运

人或海运履约方提起的诉讼寻求一项不承担赔偿责任声明的,或提起的其他任何诉讼将剥夺一

人根据第六十六条或第六十八条选择诉讼地的权利的,该承运人或海运履约方应在被告已选择

根据第六十六条或第六十八条(两者以适用者为准)所指定的法院的情况下,根据被告的要求撤

回该诉讼,然后可以在该法院重新提起诉讼。

第七十二条  争议产生后的协议和被告应诉时的管辖权

一、争议产生后,争议各方当事人可以协议约定在任何管辖法院解决争议。

二、被告在一管辖法院应诉,未根据该法院的规则提出管辖权异议的,该法院拥有管辖权。

第七十三条  承认和执行

一、根据本公约拥有管辖权的一法院在一缔约国作出的裁决,应在另一缔约国根据该另一

缔约国的法律得到承认和执行,但两国须已根据第七十四条作出声明。

二、一法院可以以其法律所提供的拒绝承认和执行的理由为根据,拒绝给予承认和执行。

三、本章不得影响加入本公约的区域经济一体化组织对其成员国彼此承认或执行判决适用

本组织的规则,不论这些规则的通过时间是在本公约之前还是之后。

第七十四条  第十四章的适用

本章的规定只能对根据第九十一条声明其将受本章规定约束的缔约国具有约束力。

第十五章  仲裁

第七十五条  仲裁协议

一、除须遵循本章的规定外,当事人可以协议约定,任何根据本公约运输货物可能产生的

争议均应提交仲裁。

二、仲裁程序应按照对承运人提起索赔的人的选择:

在仲裁协议为此目的指定的任何地点进行;或

在一国的其他任何地点进行,下列任何地点位于该国即可:

1. 承运人的住所;

2. 运输合同约定的收货地;

3. 运输合同约定的交货地;或

4. 货物的最初装船港或货物的最终卸船港。

三、仲裁协议指定的仲裁地对仲裁协议当事人之间的争议具有约束力,条件是,载有该仲

裁协议的批量合同清楚载明各方当事人的名称和地址,且该批量合同属于下列情况之一:

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是单独协商订立的;或

载有一则存在一项仲裁协议的明确声明,且指出批量合同中载有该仲裁协议的部分。

四、仲裁协议已根据本条第三款订立的,该协议指定的仲裁地,只有满足下列条件,方能

对不是批量合同当事人的人具有约束力:

该协议指定的仲裁地位于本条第二款第二项述及的地点之一;

该协议载于运输单证或电子运输记录;

仲裁地通知已及时、正确地发给受仲裁协议约束的人;并且

准据法准许该人受该仲裁协议的约束。

五、本条第一款、第二款、第三款和第四款的规定,视为每一仲裁条款或仲裁协议的一部

分,此种条款或协议的规定,凡与其不一致的,一概无效。

第七十六条  非班轮运输中的仲裁协议

一、非班轮运输的运输合同由于下列原因而适用本公约或本公约规定的,本公约的规定概

不影响该运输合同中仲裁协议的可执行性:

适用第七条;或

各方当事人自愿在本来不受本公约管辖的运输合同中纳入本公约。

二、虽有本条第一款规定,运输单证或电子运输记录由于适用第七条而适用本公约的,其

中的仲裁协议仍受本章的管辖,除非此种运输单证或电子运输记录:

载明了因适用第六条而被排除在本公约适用范围之外的租船合同或其他合同的各方当

事人和日期;并且

以具体提及方式纳入了租船合同或其他合同中载有仲裁协议规定的条款。

第七十七条  争议产生后的仲裁协议

虽有本章和第十四章的规定,争议产生后,争议各方当事人仍可以协议约定在任何地点以

仲裁方式解决争议。

第七十八条  第十五章的适用

本章的规定只能对根据第九十一条声明其将受本章规定约束的缔约国具有约束力。

第十六章  合同条款的有效性

第七十九条  一般规定

一、除非本公约另有规定,运输合同中的条款,凡有下列情形之一的,一概无效:

直接或间接,排除或限制承运人或海运履约方在本公约下所承担的义务;

直接或间接,排除或限制承运人或海运履约方对违反本公约下的义务所负的赔偿责任;

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将货物的保险利益转让给承运人或第十八条述及的人。

二、除非本公约另有规定,运输合同中的条款,凡有下列情形之一的,一概无效:

直接或间接,排除、限制或增加托运人、收货人、控制方、持有人或单证托运人在本公

约下所承担的义务;或

直接或间接,排除、限制或增加托运人、收货人、控制方、持有人或单证托运人对违反

本公约下任何义务所负的赔偿责任。

第八十条  批量合同特别规则

一、虽有第七十九条的规定,在承运人与托运人之间,本公约所适用的批量合同可以约定

增加或减少本公约中规定的权利、义务和赔偿责任。

二、根据本条第一款作出的背离,仅在下列情况下具有约束力:

批量合同载有一则该批量合同背离本公约的明确声明;

批量合同1. 是单独协商订立的,或2. 明确指出批量合同中载有背离内容的部分;

给予了托运人按照符合本公约的条款和条件订立运输合同,而不根据本条作出任何背离

的机会,且向托运人通知了此种机会;并且

背离既不是1. 以提及方式从另一文件并入,也不是2. 包含在不经协商的附合合同中。

三、承运人的公开运价表和服务表、运输单证、电子运输记录或类似文件不是本条第一款

所指的批量合同,但批量合同可以通过提及方式并入此类文件,将其作为合同条款。

四、本条第一款既不适用于第十四条第一项和第二项、第二十九条和第三十二条中规定的

权利和义务或因违反这些规定而产生的赔偿责任,也不适用于因第六十一条述及的作为或不作

为而产生的任何赔偿责任。

五、批量合同满足本条第二款要求的,其中背离本公约的条款,须满足下列条件,方能在

承运人与非托运人的其他任何人之间适用:

该人已收到明确记载该批量合同背离本公约的信息,且已明确同意受此种背离的约束;

并且

此种同意不单在承运人的公开运价表和服务表、运输单证或电子运输记录上载明。

六、一方当事人对背离本公约主张利益的,负有证明背离本公约的各项条件已得到满足的

举证责任。

第八十一条  活动物和某些其他货物特别规则

虽有第七十九条的规定,在不影响第八十条的情况下,运输合同可以排除或限制承运人和

海运履约方的义务或赔偿责任,条件是:

货物是活动物,但如果索赔人证明,货物灭失、损坏或迟延交付,是由于承运人或第十

八条述及的人故意造成此种货物灭失、损坏或此种迟延损失的作为或不作为所导致的,或是明

知可能产生此种灭失、损坏或此种迟延损失而轻率地作为或不作为所导致的,则任何此种排除

或限制均属无效;或

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联合国全程或部分海上国际货物运输合同公约 33 页 共 36

货物的性质或状况,或进行运输的情况和条件,使得有合理的理由达成一项特别协议,

但此种运输合同不能涉及正常贸易过程中所进行的正常商业货运,且此种货物运输未签发可转

让运输单证或可转让电子运输记录。

第十七章  本公约不管辖的事项

第八十二条  管辖其他运输方式货物运输的国际公约

本公约的规定概不影响适用在本公约生效时已生效的,规范承运人对货物灭失或损坏的赔

偿责任的下列国际公约,包括今后对此种公约的任何修正:

任何管辖航空货物运输的公约,此种公约根据其规定适用于运输合同的任何部分;

任何管辖公路货物运输的公约,此种公约根据其规定适用于船载车辆不卸货的货物运

输;

任何管辖铁路货物运输的公约,此种公约根据其规定适用于补充铁路运输的海上货物运

输;或

任何管辖内河航道货物运输的公约,此种公约根据其规定适用于不在内河航道和海上转

船的货物运输。

第八十三条  赔偿责任总限制

本公约的规定概不影响适用任何规范船舶所有人赔偿责任总限制的国际公约或国内法。

第八十四条  共同海损

本公约的规定概不影响适用有关共同海损理算的运输合同条款或国内法规定。

第八十五条  旅客和行李

本公约不适用于旅客及其行李的运输合同。

第八十六条  核事故造成的损害

对于核事故造成的损害,根据下列文书应由核设施经营人负赔偿责任的,不产生本公约下

的任何赔偿责任:

1964128日附加议定书以及19821116日和2004212日议定书修正的1960

729日《关于核能领域第三方责任巴黎公约》、经1988921日《关于适用维也纳公约和

巴黎公约的联合议定书》修正并经1997912日《修正1963年核损害民事责任维也纳公约的议

定书》修正的1963521日《核损害民事责任维也纳公约》、或1997912日《关于核损害

补充赔偿公约》,包括就核设施经营人对核事故造成损害的赔偿责任对这些公约的任何修正以

及这方面的任何新公约;或

适用于此类损害赔偿责任的国内法,条件是此种国内法在各方面同《巴黎公约》、《维

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联合国全程或部分海上国际货物运输合同公约 34 页 共 36

也纳公约》或《关于核损害补充赔偿公约》一样有利于可能遭受损害的人。

第十八章  最后条款

第八十七条  保存人

兹指定联合国秘书长为本公约保存人。

第八十八条  签署、批准、接受、核准或加入

一、本公约自[][][]日至[]日在[荷兰鹿特丹]开放供各国签署,随后自[]

[][]日至[]日在纽约联合国总部开放供各国签署。

二、本公约须经签署国批准、接受或核准。

三、本公约自开放供签署之日起对所有未签署国开放供加入。

四、批准书、接受书、核准书和加入书应交存联合国秘书长。

第八十九条  退出其他公约

一、1924825日在布鲁塞尔签署的《统一提单若干法律规则国际公约》、1968223

日签署的修正1924825日在布鲁塞尔签署的《统一提单若干法律规则国际公约》的议定书、

19791221日在布鲁塞尔签署的修正经由1968223日修正议定书修正的《统一提单若干

法律规则国际公约》的议定书的缔约国,应在批准、接受、核准或加入本公约的同时,通过向

比利时政府提供相应的通知,退出已是其缔约国的该公约及其议定书,同时声明退约自本公约

对该国生效之日起生效。

二、1978331日在汉堡缔结的《联合国海上货物运输公约》的缔约国,应在批准、接受、

核准或加入本公约的同时,通过向联合国秘书长提供相应的通知,退出该公约,同时声明退约

自本公约对该国生效之日起生效。

三、就本条而言,本条第一款和第二款所列文书的缔约国对本公约的批准、接受、核准和

加入,凡在本公约生效之后通知保存人的,只有在这些国家按照要求对这些文书的退出生效之

后方可生效。本公约保存人应与作为本条第一款所列文书保存人的比利时政府协商,确保这方

面的必要协调。

第九十条  保留

不准许对本公约作出保留。

第九十一条  声明的程序和效力

一、第七十四条和第七十八条所准许的声明,可以在任何时间作出。第九十二条第一款和

第九十三条第二款所准许的初步声明,应在签署、批准、接受、核准或加入时作出。其他声明,

本公约一概不予准许。

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联合国全程或部分海上国际货物运输合同公约 35 页 共 36

二、在签署时作出的声明,必须在批准、接受或核准时加以确认。

三、声明及其确认,应以书面形式作出,且应正式通知保存人。

四、声明在本公约对有关国家生效时同时生效。但是,保存人于本公约生效后收到正式通

知的声明,应于保存人收到该声明之日起六个月期满后的下一个月第一日生效。

五、根据本公约作出声明的任何国家,可以在任何时间以书面形式正式通知保存人撤回该

声明。声明的撤回,或在本公约准许情况下对声明的更改,于保存人收到该通知之日起六个月

期满后的下一个月第一日生效。

第九十二条  对本国领土单位的效力

一、一缔约国拥有两个或多个领土单位,各领土单位对本公约所涉事项适用不同法律制度

的,可以在签署、批准、接受、核准或加入时声明本公约适用于本国的全部领土单位或仅适用

于其中的一个或数个领土单位,且可以在任何时间通过提出另一声明修改其所作的声明。

二、此种声明应通知保存人,且明确指出适用本公约的领土单位。

三、一缔约国根据本条声明本公约适用于该国的一个或数个领土单位而不是全部领土单位

的,一地点位于不适用本公约的领土单位,为本公约之目的,视为不在缔约国内。

四、一缔约国未根据本条第一款提出声明的,本公约适用于该国的全部领土单位。

第九十三条  区域经济一体化组织的参与

一、由主权国家组成,且对本公约管辖的某些事项拥有管辖权的区域经济一体化组织同样

可以签署、批准、接受、核准或加入本公约。在这种情况下,区域经济一体化组织享有的权利

和承担的义务应与缔约国相同,但仅限于该组织对本公约所管辖事项拥有管辖权的范围。当涉

及本公约下缔约国数目时,区域经济一体化组织内的成员国为本公约缔约国的,该区域经济一

体化组织不能算作一个缔约国。

二、区域经济一体化组织应在签署、批准、接受、核准或加入时向保存人提出声明,指出

对本公约所管辖的哪些事项的管辖权已由其成员国转移给该组织。根据本款提出声明后,如果

管辖权分配发生任何变化,包括管辖权新的转移,区域经济一体化组织应迅速通知保存人。

三、本公约中,对“一缔约国”或“缔约国”的任何提及,必要时同等适用于区域经济一

体化组织。

第九十四条  生效

一、本公约于第二十份批准书、接受书、核准书或加入书交存之日起一年期满后的下一个

月第一日生效。

二、一国在第二十份批准书、接受书、核准书或加入书交存日之后成为本公约缔约国的,

本公约于交存该国的相应文书一年期满后的下一个月第一日对该国生效。

三、运输合同于本公约对一缔约国生效之日或生效之后订立的,该缔约国应对其适用本公

约。

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联合国全程或部分海上国际货物运输合同公约 36 页 共 36

第九十五条  修订和修正

一、在不少于三分之一本公约缔约国的请求下,联合国秘书长应召开缔约国会议修订或修

正本公约。

二、本公约修正案生效后交存的任何批准书、接受书、核准书或加入书,视为适用于经修

正的公约。

第九十六条  退出本公约

一、缔约国可以通过向保存人发出书面通知,于任何时间退出本公约。

二、退约于保存人收到通知一年期满后的下一个月第一日生效。通知中指明更长期限的,

退约于保存人收到通知后该更长期限期满时生效。

[][][]日订于[荷兰鹿特丹],正本一份,阿拉伯文、中文、英文、法文、俄文

和西班牙文文本同为作准文本。

兹由经各国政府正式授权的下列署名全权代表签署本公约,以昭信守。

关键词:船舶管理 冷藏船运 远洋散货

技术支持:恒汇科技