联合国贸易和发展会议／国际商会

 多式联运单证规则 (1991年)

UNCTAD / ICC Rules for Multimodal Transport Documents

 

 

　　1. Applicability规则的适用

　　１．１ 本规则不论以书面、口头或其它方式将“贸发会议／国际商会多式联运单证规则”纳入运输合同，不论是否订有涉及一种运输方式或者多种运输方式的合同，也不论是否签发了单证，本规则将予以适用。

1.1 These Rules apply when they are incorporated, however this is made, in writing, orally or otherwise, into a contract of carriage by reference to the "UNCTAD/ICC Rules for multimodal transport documents", irrespective of whether there is a unimodal or a multimodal transport 　　contract involving one or several modes of transport or whether a document has been issued or not.

 

　　１．２ 在作出１．１款的这种纳入后，当事各方同意，本规则应当超越任何与本规则抵触的多式联运合同附加条款，除非这些条款增加多式联运经营人的责任或义务。

1.2 Whenever such a reference is made, the parties agree that these Rules shall supersede any additional terms of the multimodal transport contract which are in conflict with these Rules, except insofar as they increase the responsibility or obligations of the multimodal transport 　　operator.

 

２．定义 Definitions

　　２．１ “多式联运合同”，是指以至少通过两种不同的运输方式运送货物的合同。

　　２．２ “多式联运经营人”（ＭＴＯ）是指签订一项多式联运合同并以承运人身份承担完成此项合同责任的任何人。

　　２．３ “承运人”是指实际完成或承担完成此项运输或部分运输的人，不管他是否与多式联运经营人属于同一人。

　　２．４ “托运人”是指与多式联运经营人签订多式联运合同的人。

　　２．５ “收货人”是指有权从多式联运经营人接收货物的人。

　　2.1 Multimodal transport contract (multimodal transport contract) means a single contract for the carriage of goods by at least two different modes of transport.

　　2.2 Multimodal transport operator (MTO) means any person who concludes a multimodal transport contract and assumes responsibility for the performance thereof as a carrier.

　　2.3 Carrier means the person who actually performs or undertakes to perform the carriage, or part thereof, whether he is identical with the multimodal transport operator or not.

　　2.4 Consignor means the person who concludes the multimodal transport contract with the multimodal transport operator.

　　2.5 Consignee means the person entitled to receive the goods from the multimodal transport operator.

 

２．６ “多式联运单证”是指证明多式联运合同的单证，该单证可以在适用法律的允许下，以电子数据交换信息取代，而且（ａ）以可转让方式签发，或者（ｂ）表明记名收货人，以不可转让方式签发。

　2.6 Multimodal transport document (MT document) means a document evidencing a multimodal transport contract and which can be replaced by electronic data interchange messages insofar as permitted by applicable law and be, 　(a) issued in a negotiable form or, 　(b) issued in a non-negotiable form indicating a named consignee.

 

　　２．７ “接管”是指货物已提交给多式联运经营人运送并由其接受。

　　２．８ “交付”是指：（ａ）将货物交给收货人，或者，（ｂ）按照多式联运合同或者交付地适用的法律或特殊贸易习惯，将货物置于收货人的支配之下，或者（ｃ）根据交付地适用的法律或规定，将货物交给必须交给的当局或第三方。

　　２．９ “特别提款权”（ＳＤＲ）是指国际货币基金的记帐单位。

　　２．１０ “货物”是指任何财产，包括活动物，也包括非由多式联运经营人提供的集装箱、货盘或类似的装载或包装工具，不论它们将要或已经装在舱面或舱内。

2.7 Taken in charge means that the goods have been handed over to and accepted for carriage by the MTO.

　　2.8 Delivery means

　　(a) the handing over of the goods to the consignee, or

　　(b) the placing of the goods at the disposal of the consignee in accordance with the multimodal transport contract or with the law or usage of the particular trade applicable at the place of delivery, or

　　(c) the handing over of the goods to an authority or other third party to whom, pursuant to the law or regulations applicable at the place of delivery, the goods must be handed over.

　　2.9 Special Drawing Right (SDR) means the unit of account as defined by the International Monetary Fund.

2.10 Goods means any property including live animals as well as containers, pallets or similar articles of transport or packaging not supplied by the MTO, irrespective of whether such property is to be or is carried on or under deck.

 

３．载入多式联运单证的资料的证据效力载入多式联运单证的资料应当是多式联运经营人按照此种资料接管货物的初步证据，除非已有相反的注明，例如“托运人的重量、装载和计数”、“托运人装载的集装箱”或类似表述已在单证上以印就文本或批注作出。在多式联运单证已经转让或者等同的电子数据交换信息已经传输给收货人并经其接受，收货人又是善意信赖并据以行动的情况下，多式联运经营人提出的反证不予接受。

　3. Evidentiary effect of the information contained in the multi-modal transport document 　The information in the MT document shall be prima facie evidence of the taking in charge by the MTO of the goods as described by such information unless a contrary indication, such as "shipper's weight, load and count", "shipper-packed container" or similar expressions, has been made in the printed text or superimposed on the document. Proof to the contrary shall not be admissible when the MT document has been transferred, or the equivalent electronic data interchange message has been transmitted to and acknowledged by the consignee who in good faith has relied and acted thereon.

 

４．多式联运经营人的责任 Responsibilities of the multimodal transport operator

　　４．１ 责任期间按照本规则，多式联运经营人对于货物的责任期间自其接管货物之时起到交付货物之时为止。

　　４．２ 多式联运经营人为其受雇人、代理人和其它人负担的赔偿责任多式联运经营人应当对其受雇人或代理人在其受雇范围内行事时的行为或不为负赔偿责任，或对其为履行多式联运合同而使用其服务的任何其它人的行为或不为负赔偿责任，一如其自己的行为或不为一样。

　　　4.1 Period of responsibility

　　The responsibility of the MTO for the goods under these Rules covers the period from the time the MTO has taken the goods in his charge to the time of their delivery.

4.2 The liability of the MTO for his servants, agents and other persons The multimodal transport operator shall be responsible for the acts and omissions of his servants or agents, when any such servant or agent is acting within the scope of his employment, or of any other person of 　whose services he makes use for the performance of the contract, as if such acts and omissions were his own.

 

　　４．３ 向收货人交付货物多式联运经营人为保证货物的交付，负责履行或安排履行下列必要的事项：（ａ）如多式联运单证是以可转让方式“向持单人交付”签发的，则应向提交一份正本单证的人交付货物；（ｂ）如多式联运单证是以可转让方式“按指示交付”签发的，则应向提交一份经背书的单证的人交付货物；（ｃ）如多式联运单证是以可转让方式“向记名人交付”签发的，则应向提交一份正本单证和本人身份证明的人交付货物；如果此种单证已以“按指示交付”或空白背书转让的，（ｂ）项规定应予适用；（ｄ）如多式联运单证以不可转让方式签发的，向单证上记名的收货人凭其身份证明交付货物；（ｅ）没有签发单证的，应向托运人所指示的人交付，或者向按多式联运合同已获得托运人或收货人的权利的人所作出的此种指示的人交付货物。

4.3 Delivery of the goods to the consignee The MTO undertakes to perform or to procure the performance of all acts necessary to ensure delivery of the goods:

　　(a) when the MT document has been issued in a negotiable form "to bearer", to the person surrendering one original of the document, or

　　(b) when the MT document has been issued in a negotiable form "to order", to the person surrendering one original of the document duly endorsed, or

　　(c) when the MT document has been issued in a negotiable form to a named person, to that person upon proof of his identity and surrender of one original document; if such document has been transferred "to order" or in blank the provisions of (b) above apply, or

　　(d) when the MT document has been issued in a non-negotiable form, to the person named as consignee in the document upon proof of his identity, or

(e) when no document has been issued, to a person as instructed by the consignor or by a person who has acquired the consignor's or the consignee's rights under the multimodal transport contract to give such  nstructions.

 

５．多式联运经营人的赔偿责任 Liability of the multimodal transport operator

５．１ 赔偿责任基础除规则５．４和规则６所规定的免责事项外，多式联运经营人应当对货物的灭失，损坏和延迟交付负赔偿责任，如果造成货物的灭失、损坏或延迟交付的事故发生在规则４．１所规定的货物由其掌管的期间，除非多式联运经营人证明，其本人、受雇人、代理人或规则４所规定的任何其它人对造成此种灭失或损坏或延迟交付没有过失或疏忽。但是，多式联运经营人不应当对货物延迟交付所造成的损失负赔偿责任，除非托运人对如期交付的利益作出声明，并经多式联运经营人接受。

5.1 Basis of Liability Subject to the defences set forth in Rule 5.4 and Rule 6, MTO shall be 　　liable for loss of or damage to the goods, as well as for delay in delivery, if the occurrence which caused the loss, damage or delay in delivery took place while the goods were in his charge as defined in Rule 4.1, unless the MTO proves that no fault or neglect of his own, his servants or agents or any other person referred to in Rule 4 has caused or contributed to the loss, damage or delay in delivery. However, the MTO shall not be liable for loss following from delay in delivery unless the consignor has made　a declaration of interest in timely delivery which has been accepted by the MTO.

 

　　５．２ 延迟交付货物未在明确协议的时间内交付的，或者虽无此种协议，但未在按照具体情况，对一个勤勉的多式联运经营人所能合理要求的时间内交付的，即为延迟交付。

５．３ 延迟交付转为灭失如果货物未在按照规则５．２确定交付日期届满后连续九十日内交付，在无相反证据的情况下，索赔人即可认为该货物已经灭失。

5.2 Delay in delivery

　　Delay in delivery occurs when the goods have not been delivered 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 MTO, having regard to the circumstances of the case.

5.3 Conversion of delay into final loss If the goods have not been delivered within ninety consecutive days following the date of delivery determined according to Rule 5.2, the 　　claimant may, in the absence of evidence to the contrary, treat the goods as lost.

 

　　５．４ 海上或内河运输的免责条款尽管有规则５．１的规定，多式联运经营人对在海上或内河运输中由于下列原因造成的货物灭失或损坏以及延迟交付不负赔偿责任：承运人的船长、船员、引航员或受雇人在驾驶和管理船舶中的行为、疏忽或过失，火灾，除非由于承运人的实际过失或私谋所造成。但是，只要货物的灭失或损坏是由于船舶不适航所造成的，多式联运经营人就要证明，他已经谨慎处理使船舶在航次开始时适航。

　5.4 Defences for carriage by sea or inland waterways Notwithstanding the provisions of Rule 5.1. the MTO shall not be responsible for loss, damage or delay in delivery with respect to goods 　　carried by sea or inland waterways when such loss, damage or delay during such carriage has been caused by:  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,  fire, unless caused by the actual fault or privity of the carrier, however, always provided that whenever loss or damage has resulted from unseaworthiness of the ship, the MTO can prove that due diligence has been exercised to make the ship seaworthy at the commencement of the voyage.

 

　　５．５ 赔偿额的估算 Assessment of compensation

　　５．５．１ 货物灭失或损坏的赔偿额应按交付给收货人的地点和时间或者按照多式联运合同应当交付的地点和时间的货物价值估算。

　　５．５．２ 货物的价值应按当时商品交换价格计算，或者无此价格时，按照当时市场价格，或者上述两种价格都没有时，则按同类和同质量的货物正常价格计算。

　　5.5.1 Assessment of compensation for loss of or damage to the goods shall be made by reference to the value of such goods at the place and time they are delivered to the consignee or at the place and time when, in accordance with the multimodal transport contract, they should have been so delivered.

5.5.2 The value of the goods shall be determined according to the current commodity exchange price or, if there is no such price, according to the current market price or, if there is no commodity exchange price or current market price, by reference to the normal value of goods of the same kind and quality.

 

６．多式联运经营人的赔偿责任限制Limitation of liability of the multimodal transport operator

　　６．１ 除非在多式联运经营人接管货物之前，已由托运人对货物的性质和价值作出声明并已在单证上注明，多式联运经营人在任何情况下对货物灭失或损坏的赔偿额不得超过每件或每单位６６６．６７ＳＤＲ或者毛重每公斤２ＳＤＲ，以其高者为准。

6.1 Unless the nature and value of the goods have been declared by the consignor before the goods have been taken in charge by the MTO and inserted in the MT document, the MTO shall in no event be or become liable for any loss of or damage to the goods in an amount exceeding the 　　equivalent of 666.67 SDR per package or unit or 2 SDR per kilogramme of gross weight of the goods lost or damaged, whichever is the higher.

 

　　６．２ 如果一个集装箱、货盘或类似运载工具载有一件或一个单位以上的货物，则在单证上列明的装载在此类运载工具中的件数或货运单位数即视为计算限额的件数或货运单位数。未按上述要求列明者，此种运载工具应作为该件或单位。

6.2 Where a container, pallet or similar article of transport is loaded with more than one package or unit, the packages or other shipping units enumerated in the MT document as packed in such article of transport are deemed packages or shipping units. Except as aforesaid, such article of transport shall be considered the package or unit.

 

　　６．３ 尽管有上述规则，如果按照多式联运合同，多式联运不涉及海上或内河运输的，多式联运经营人的赔偿责任以不超过灭失或损坏货物毛重每公斤８．３３ＳＤＲ为限。

　6.3 Notwithstanding the above-mentioned provisions, if the multimodal transport does not, according to the contract, include carriage of goods by sea or by inland waterways, the liability of the MTO shall be limited to an amount not exceeding 8.33 SDR per kilogramme of gross weight of the goods lost or damaged.

 

　　６．４ 如果货物的灭失或损坏发生在多式联运中的某一特定区段，而适用于该区段的国际公约或强制性的国家法律规定了另一项责任限额，如同对这一特定区段订有单独的运输合同一样，则多式联运经营人对此种灭失或损坏的赔偿责任限制应当按照此种公约或强制性国家法律的规定计算。

　6.4 When the loss of or damage to the goods occurred during one particular stage of the multimodal transport, in respect of which an applicable international convention or mandatory national law would have provided another limit of liability if a separate contract of carriage had 　　been made for that particular stage of transport, then the limit of the MTO's liability for such loss or damage shall be determined by reference to the provisions of such convention or mandatory national law.

 

６．５ 如果多式联运经营人对于延迟交付引起的损失或者非属货物灭失或损坏的间接损失，负有赔偿责任，则其赔偿责任应当以不超过根据多式联运合同计收的多式联运运费为限。

　６．６ 多式联运经营人的赔偿责任总额，不超过货物全部灭失的责任限额。

　6.5 If the MTO is liable in respect of loss following from delay in delivery, or consequential loss or damage other than loss of or damage to the goods, the liability of the MTO shall be limited to an amount not exceeding the equivalent of the freight under the multimodal transport 　　contract for the multimodal transport.

6.6 The aggregate liability of the MTO shall not exceed the limits of liability for total loss of the goods.

 

７．多式联运经营人责任限制权利的丧失 如经证明货物的灭失或损坏或延迟交付是由于多式联运经营人本人故意造成，或者知道可能造成而毫不在意的行为或不为所引起的，则多式联运经营人就无权享受赔偿责任限制的利益。

7. Loss of the right of the multimodal transport operator to limitliability  The MTO is not entitled to the benefit of the limitation of liability if it is proved that the loss, damage or delay in delivery resulted from a personal act or omission of the MTO 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.

 

８．托运人的赔偿责任　 Liability of the consignor

　　８．１ 多式联运经营人接管货物时，托运人应当视为已向多式联运经营人保证，他或以他的名义在多式联运单证中所提供的货物品类、标志、件数、重量、体积和数量，以及货物的危险特性（如果适用的话），概属正确。

　　８．２ 托运人应当向多式联运经营人赔偿因上述事项的不正确或不适当而引起的任何损失。

８．３ 即使托运人已将多式联运单证转让，托运人仍应负赔偿责任。

８．４ 多式联运经营人取得这种赔偿的权利丝毫也不限制他按照多式联运合同对托运人以外的任何人应负的赔偿责任。

　　8.1 The consignor shall be deemed to have guaranteed to the MTO the accuracy, at the time the goods were taken in charge by the MTO, of all particulars relating to the general nature of the goods, their marks, number, weight, volume and quantity and, if applicable, to the dangerous 　　character of the goods, as furnished by him or on his behalf for insertion in the MT document.

　　8.2 The consignor shall indemnify the MTO against any loss resulting from inaccuracies in or inadequacies of the particulars referred to above.

　　8.3 The Consignor shall remain liable even if the MT document has been transferred by him.

8.4 The right of the MTO to such indemnity shall in no way limit his liability under the multimodal transport contract to any person other than the consignor.

 

９．货物灭失或损坏的通知　 Notice of loss or damage to the goods

　　９．１ 除非收货人在货物交付给他时，将说明灭失或损坏的一般性质的货物灭失或损坏书面通知送交多式联运经营人，否则，此种货物的交付即为多式联运经营人已将多式联运单证所载明的货物交付给收货人的初步证据。

　　９．２ 在货物的灭失或损坏不明显时，如果在货物交付收货人之日后连续六日内未送交书面通知，则应当适用上述初步证据的效力。

　　　9.1 Unless notice of loss of or damage to the goods, specifying the general nature of such loss or damage, is given in writing by the consignee to the MTO when the goods are handed over to the consignee, such handing over is prima facie evidence of the delivery by the MTO of the 　　goods as described in the MT document.

　　9.2 Where the loss or damage is not apparent, the same prima facie effect shall apply if notice in writing is not given within 6 consecutive days after the day when the goods were handed over to the consignee.

 

１０．诉讼时效除另有明确协议外，除非在九个月内提起诉讼，多式联运经营人应当被解除按本规则规定的赔偿责任。上述时限从货物交付之日或货物应当交付之日起算，或者按照规则５．３规定，由于未交付货物，收货人有权视为货物灭失之日起算。

The MTO shall, unless otherwise expressly agreed, be discharged of all liability under these Rules unless suit is brought within 9 month after the delivery of the goods, or the date when the goods should have been delivered, or the date when in accordance with Rule 5.3, failure to deliver the goods would give the consignee the right to treat the goods as lost.

 

１１．本规则对侵权行为的适用本规则。适用于对多式联运经营人提出的有关履行多式联运合同的所有索赔，不论其索赔基于合同还是侵权行为。

11. Applicability of the rules to actions in tort

These Rules apply to all claims against the MTO relating to the performance of the multimodal transport contract, whether the claim be founded in contract or in tort.

 

１２．本规则适用于多式联运经营人的受雇人，代理人和受雇于他的其他人本规则适用于向多式联运经营人的受雇人、代理人或者为了履行多式联运合同所使用为其服务的其他人提出的有关履行多式联运合同的索赔，不论索赔基于合同还是侵权行为。多式联运经营人，其受雇人、代理人以及其他人的赔偿责任总额，不得超过规则６所规定的赔偿责任限额。

12. Applicability of the rules to the multimodal transport operator's servants, agents and other persons employed by him The Rules apply whenever claims relating to the performance of the 　　multimodal transport contract are made against any servant, agent or other person whose services the MTO has used in order to perform the multimodal transport contract, whether such claims are founded in contract or in tort, and the aggregate liability of the MTO of such servants, agents or 　　other persons shall not exceed the limits in Rule 6.

 

１３．强制性法律  本规则只在不违犯适用于多式联运合同的国际公约或国家法律的强制性规定的范围内生效。

　13. Mandatory law

　　These Rules shall take effect to the extent that they are not contrary to the mandatory provisions of international conventio