1978年联合国海上货物运输公约（一）

1978年联合国海上货物运输公约
UNITED NATIONS CONVENTION ON THE CARRIAGE OF GOODS BY SEA， 1978

颁布日期：19780331 　实施日期：19921101 　颁布单位：汉堡

Preamble

THE STATES PARTIES TO THIS CONVENTION，

HAVING RECOGNIZED the desirability of determining by agreement certainrules relating to the carriage of goods by sea，

HAVE DECIDED to conclude a Convention for this purpose and havethereto 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 ofcarriage of goods by sea has been concluded with a shipper.

2. “Actual carrier” means any person to whom the performance of thecarriage of the goods， or of part of the carriage， has been entrusted bythe carrier， and includes any other person to whom such performance hasbeen entrusted.

3. “Shipper” means any person by whom or in whose name or on whosebehalf a contract of carriage of goods by sea has been concluded with acarrier， or any person by whom or in whose name or on whose behalf thegoods are actually delivered to the carrier in relation to the contract ofcarriage by sea.

4. “Consignee” means the person entitled to take delivery of thegoods.

5. “Goods” includes live animals； where the goods are consolidated ina container， pallet or similar article of transport or where they arepacked， “goods” includes such article of transport or packaging ifsupplied by the shipper.

6. “Contract of carriage by sea” means any contract whereby thecarrier undertakes against payment of freight to carry goods by sea fromone port to another； however， a contract which involves carriage by seaand also carriage by some other means is deemed to be a contract ofcarriage by sea for the purposes of this Convention only in so far as itrelates to the carriage by sea.

7. “Bill of Lading” means a document which evidences a contract ofcarriage by sea and the taking over or loading of the goods by thecarrier， and by which the carrier undertakes to deliver the goods againstsurrender of the document. A provision in the document that the goods areto 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 contractsof carriage by sea between two different States， if：

（a） the port of loading as provided for in the contract ofcarriage by sea is located in a Contracting State， or

（b） the port of discharge as provided for in the contract ofcarriage by sea is located in a Contracting State， or

（c） one of the optional ports of discharge provided for in thecontract of carriage by sea is the actual port of discharge and such portis located in a Contracting State， or

（d） the Bill of Lading or other document evidencing the contractof carriage by sea is issued in a Contracting State， or

（e） the Bill of Lading or other document evidencing the contractof carriage by sea provides that the provisions of this Convention or thelegislation of any State giving effect to them are to govern the contract.

2. The provisions of this Convention are applicable without regard tothe 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 tocharter-parties. However， where a Bill of Lading is issued pursuant to acharter-party， the provisions of the Convention apply to such a Bill ofLading if it governs the relation between the carrier and the holder ofthe Bill of Lading， not being the charterer.

4. If a contract provides for future carriage of goods in a series ofshipments during an agreed period， the provisions of this Convention applyto each shipment. However， where a shipment is made under a charter-party，the provisions of para. 3 of this Article apply.

Article 3. Interpretation of the Convention

In the interpretation and application of the provisions of thisConvention regard shall be had to its international character and to theneed to promote uniformity.

PART II. LIABILITY OF THE CARRIER

Article 4. Period of responsibility

1. The responsibility of the carrier for the goods under thisConvention covers the period during which the carrier is in charge of thegoods at the port of loading， during the carriage and at the port ofdischarge.

2. For the purpose of para. 1 of this Article， the carrier is deemedto 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 tolaw or regulations applicable at the port of loading， the goods must behanded 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 goodsfrom the carrier， by placing them at the disposal of the consignee inaccordance with the contract or with the law or with the usage of theparticular trade， applicable at the port of discharge； or

（iii） by handing over the goods to an authority or other thirdparty to whom， pursuant to law or regulations applicable at the port ofdischarge， the goods must be handed over.

3. In paras. 1 and 2 of this Article， reference to the carrier or tothe consignee means， in addition to the carrier or the consignee， theservants 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 tothe goods， as well as from delay in delivery， if the occurrence whichcaused the loss， damage or delay took place while the goods were in hischarge as defined in Art. 4， unless the carrier proves that he， hisservants or agents took all measures that could reasonably be required toavoid the occurrence and its consequences.

2. Delay in delivery occurs when the goods have not been delivered atthe port of discharge provided for in the contract of carriage by seawithin the time expressly agreed upon or， in the absence of suchagreement， within the time which it would be reasonable to require of adiligent carrier， having regard to the circumstances of the case.

3. The person entitled to make a claim for the loss of goods may treatthe goods as lost if they have not been delivered as required by Art. 4within 60 consecutive days following the expiry of the time for deliveryaccording to para. 2 of this Article.

4. （a） The carrier is liable

（i） for loss of or damage to the goods or delay in deliverycaused by fire， if t claimant proves that the fire arose from fault orneglect on the part of the carrier， his servants or agents；

（ii） for such loss， damage or delay in delivery which isproved by the claimant have resulted from the fault or neglect of thecarrier， his servants or agent in taking all measures that couldreasonably be required to put out the fire a avoid or mitigate itsconsequences.

（b） In case of fire on board the ship affecting the goods， if theclaimant or the carrier so desires， a survey in accordance with shippingpractices must be held into the cause and circumstances of the fire， and acopy of the surveyor's report shall be made available on demand to thecarrier 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 inthat kind of carriage. If the carrier proves that he has complied with anyspecial instructions given to him by the shipper respecting the animalsand that， in the circumstances of the case， the loss， damage or delay indelivery 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 allor a part of the loss， damage or delay in delivery resulted from fault orneglect 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 fromreasonable measures to save property at sea.

7. Where fault or neglect on the part of the carrier， his servants oragents combines with another cause to produce loss， damage or delay indelivery the carrier is liable only to the extent that the loss， damage ordelay in delivery is attributable to such fault or neglect， provided thatthe carrier proves the amount of the loss， damage or delay in delivery notattributable thereto.

Article 6. Limits of liability

1. （a） The liability of the carries for loss resulting from loss of ordamage to goods according to the provisions of Art. 5 is limited to anamount equivalent to 835 units of account per package or other shippingunit or 2.5 units of account per kilogramme of gross weight of the goodslost or damaged， whichever is the higher.

（b） The liability of the carrier for delay in delivery accordingto the provisions of Art. 5 is limited to an amount equivalent to two anda half times the freight payable for the goods delayed， but not exceedingthe total freight payable under the contract of carriage of goods by sea.

（c） In no case shall the aggregate liability of the carrier， underboth subparas. （a） and （b） of this paragraph， exceed the limitation whichwould be established under subpara. （a） of this paragraph for total lossof the goods with respect to which such liability was incurred.

2. For the purpose of calculating which amount is the higher inaccordance with para. 1 （a） of this Article， the following rules apply：

（a） Where a container， pallet or similar article of transport isused to consolidate goods， the package or other shipping units enumeratedin the Bill of Lading， if issued， or otherwise in any other documentevidencing the contract of carriage by sea， as packed in such article oftransport are deemed packages or shipping units. Except as aforesaid thegoods in such article of transport are deemed one shipping unit.

（b） In cases where the article of transport itself has been lostor damaged， that article of transport， if not owned or otherwise suppliedby the carrier， is considered one separate shipping unit.

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

4. By agreement between the carrier and the shipper， limits ofliability exceeding those provided for in para. 1 may be fixed.

Article 7. Application to non-contractual claims

1. The defences and limits of liability provided for in thisConvention apply in any action against the carrier in respect of loss ordamage to the goods covered by the contract of carriage by sea， as well asof delay in delivery whether the action is founded in contract， in tort orotherwise.

2. If such an action is brought against a servant or agent of thecarrier， such servant or agent， if he proves that he acted within thescope of his employment， is entitled to avail himself of the defences andlimits of liability which the carrier is entitled to invoke under thisConvention.

3. Except as provided in Art. 8， the aggregate of the amountsrecoverable from the carrier and from any persons referred to in para. 2of this Article shall not exceed the limits of liability provided for inthis Convention.

Article 8. Loss of right to limit responsibility

1. The carrier is not entitled to the benefit of the limitation ofliability provided for in Art. 6 if it is proved that the loss， damage ordelay in delivery resulted from an act or omission of the carrier donewith the intent to cause such loss， damage or delay， or recklessly andwith knowledge that such loss， damage or delay would probably result.

2. Notwithstanding the provisions of para. 2 of Art. 7， a servant oragent of the carrier is not entitled to the benefit of the limitation ofliability provided for in Art. 6 if it is proved that the loss， damage ordelay in delivery resulted from an act or omission of such servant oragent， done with the intent to cause such loss， damage or delay， orrecklessly and with knowledge that such loss， damage or delay wouldprobably result.

Article 9. Deck cargo

1. The carrier is entitled to carry the goods on deck only if suchcarriage is in accordance with an agreement with the shipper or with theusage of the particular trade or is required by statutory rules orregulations.

2. If the carrier and the shipper have agreed that the goods shall ormay be carried on deck， the carrier must insert in the Bill of Lading orother document evidencing the contract of carriage by sea a statement tothat effect. In the absence of such a statement the carrier has the burdenof proving that an agreement for carriage on deck has been entered into；however， the carrier is not entitled to invoke such an agreement against athird party， including a consignee， who has acquired the Bill of Ladingin good faith.

3. Where the goods have been carried on deck contrary to theprovisions of para. 1 of this Article or where the carrier may not underpara. 2 of this Article invoke an agreement for carriage on deck， thecarrier， notwithstanding the provisions of para. 1 of Art. 5， is liablefor 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 hisliability is to be determined in accordance with the provisions of Art. 6or Art. 8 of this Convention， as the case may be.

4. Carriage of goods on deck contrary to express agreement forcarriage under deck is deemed to be an act or omission of the carrierwithin the meaning of Art. 8.

Article 10. Liability of the carrier and actual carrier

1. Where the performance of the carriage or part thereof has beenentrusted to an actual carrier， whether or not in pursuance of a libertyunder the contract of carriage by sea to do so， the carrier neverthelessremains responsible for the entire carriage according to the provisions ofthis Convention. The carrier is responsible， in relation to the carriageperformed by the actual carrier， for the acts and omissions of the actualcarrier and of his servants and agents acting within the scope of theiremployment.

2. All the provisions of this Convention governing the responsibilityof the carrier also apply to the responsibility of the actual carrier forthe carriage performed by him. The provisions of paras. 2 and 3 of Art. 7and of para. 2 of Art. 8 apply if an action is brought against a servantor agent of the actual carrier.

3. Any special agreement under which the carrier assumes obligationsnot imposed by this Convention or waives rights conferred by thisConvention affects the actual carrier only if agreed to by him expresslyand in writing. Whether or not the actual carrier has so agreed， thecarrier nevertheless remains bound by the obligations or waivers resultingfrom such special agreement.

4. Where and to the extent that both the carrier and the actualcarrier are liable， their liability is joint and several.

5. The aggregate of the amounts recoverable from the carrier， theactual carrier and their servants and agents shall not exceed the limitsof liability provided for in this Convention.

6. Nothing in this Article shall prejudice any right of recourse asbetween the carrier and the actual carrier.

Article 11. Through carriage

1. Notwithstanding the provisions of para. 1 of Art. 10， where acontract of carriage by sea provides explicitly that a specified part ofthe carriage covered by the said contract is to be performed by a namedperson other than the carrier， the contract may also provide that thecarrier is not liable for loss， damage or delay in delivery caused by anoccurrence which takes place while the goods are in the charge of theactual carrier during such part of the carriage. Nevertheless， anystipulation limiting or excluding such liability is without effect if nojudicial proceedings can be instituted against the actual carrier in acourt competent under paras. 1 or 2 of Art. 21. The burden of proving thatany loss， damage or delay in delivery has been caused by such anoccurrence rests upon the carrier.

2. The actual carrier is responsible in accordance with the provisionsof para. 2 of Art. 10 for loss， damage or delay in delivery caused by anoccurrence which takes place while the goods are in his charge.

PART III. LIABILITY OF THE SHIPPER

Article 12. General rule

The shipper is not liable for loss sustained by the carrier or theactual carrier， or for damage sustained by the ship， unless such loss ordamage was caused by the fault or neglect of the shipper， his servants oragents. Nor is any servant or agent of the shipper liable for such loss ordamage unless the loss or damage was caused by fault or neglect on hispart.

Article 13. Special rules on dangerous goods

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

2. Where the shipper hands over dangerous goods to the carrier or anactual carrier， as the case may be， the shipper must inform him of thedangerous character of the goods and， if necessary， of the precautions tobe taken. If the shipper fails to do so and such carrier or actual carrierdoes not otherwise have knowledge of their dangerous character：

（a） the shipper is liable to the carrier and any actual carrierfor the loss resulting from the shipment of such goods， and

（b） the goods may at any time be unloaded， destroyed or renderedinnocuous， as the circumstances may require， without payment ofcompensation.

3. The provisions of para. 2 of this Article may not be invoked by anyperson if during the carriage he has taken the goods in his charge withknowledge of their dangerous character.

4. If， in cases where the provisions of para. 2， subpara. （b）， of thisArticle do not apply or may not be invoked， dangerous goods become anactual danger to life or property， they may be unloaded， destroyed orrendered innocuous， as the circumstances may require， without payment ofcompensation except where there is an obligation to contribute in generalaverage or where the carrier is liable in accordance with the provisionsof Art. 5.

PART IV. TRANSPORT DOCUMENTS

Article 14. Issue of Bill of Lading

1. When the carrier or the actual carrier takes the goods in hischarge， the carrier must， on demand of the shipper， issue to the shippera Bill of Lading.

2. The Bill of Lading may be signed by a person having authority fromthe carrier. A Bill of Lading signed by the master of the ship carryingthe goods is deemed to have been signed on behalf of the carrier.

3. The signature on the Bill of Lading may be in handwriting， printedin facsimile， perforated， stamped， in symbols， or made by any othermechanical or electronic means， if not inconsistent with the law of thecountry where the Bill of Lading is issued.

Article 15. Contents of Bill of Lading

1. The Bill of Lading must include， inter alia， the followingparticulars：

（a） the general nature of the goods， the leading marks necessaryfor identification of the goods， an express statement， if applicable， asto the dangerous character of the goods， the number of packages or pieces，and the weight of the goods or their quantity otherwise expressed， allsuch 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 andthe date on which the goods were taken over by the carrier at the port ofloading；

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

（h） the number of originals of the Bill of Lading， if more thanone；

（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 otherindication that freight is payable by him；

（l） the statement referred to in para. 3 of Art. 23；

（m） the statement， if applicable， that the goods shall or may becarried on deck；

（n） the date or the period of delivery of the goods at the port ofdischarge if expressly agreed upon between the parties； and

（o） any increased limit or limits of liability where agreed inaccordance with para. 4 of Art. 6.

2. After the goods have been loaded on board， if the shipper sodemands， the carrier must issue to the shipper a “shipped” Bill of Ladingwhich， in addition to the particulars required under para. 1 of thisArticle， must state that the goods are on board a named ship or ships， andthe date or dates or loading. If the carrier has previously issued to theshipper a Bill of Lading or other document of title with respect to any ofsuch goods， on request of the carrier， the shipper must surrender suchdocument in exchange for a “shipped” Bill of Lading. The carrier may amendany previously issued document in order to meet the shipper's demand for a“shipped” Bill of Lading if， as amended， such document includes all theinformation required to be contained in a “shipped” Bill of Lading.

3. The absence in the Bill of Lading of one or more particularsreferred to in this Article does not affect the legal character of thedocument as a Bill of Lading provided that it nevertheless meets therequirements set out in para. 7 of Art. 1.

Article 16. Bills of Lading： reservations and evidentiary effect

1. If the Bill of Lading contains particulars concerning the generalnature， leading marks， number of packages or pieces， weight or quantityof the goods which the carrier or other person issuing the Bill of Ladingon his behalf knows or has reasonable grounds to suspect do not accuratelyrepresent the goods actually taken over or， where a “shipped” Bill ofLading is issued， loaded， or if he had no reasonable means of checkingsuch particulars， the carrier or such other person must insert in the Billof Lading a reservation specifying these inaccuracies， grounds ofsuspicion or the absence of reasonable means of checking.

2. If the carrier or other person issuing the Bill of Lading on hisbehalf fails to note on the Bill of Lading the apparent condition of thegoods， he is deemed to have noted on the Bill of Lading that the goodswere in apparent good condition.

3. Except for particulars in respect of which and to the extent towhich a reservation permitted under para. 1 of this Article has beenentered：

（a） the Bill of Lading is prima facie evidence of the taking overor， where a “shipped” Bill of Lading is issued， loading， by the carrier ofthe goods as described in the Bill of Lading； and

（b） proof to the contrary by the carrier is not admissible if theBill of Lading has been transferred to a third party， including aconsignee， who in good faith has acted in reliance on the description ofthe goods therein.

4. A Bill of Lading which does not， as provided in para. 1， subpara.（k） of Art. 15， set forth the freight or otherwise indicate that freightis payable by the consignee or does not set forth demurrage incurred atthe port of loading payable by the consignee， is prima facie evidence thatno freight or such demurrage is payable by him. However， proof to thecontrary by the carrier is not admissible when the Bill of Lading has beentransferred to a third party， including a consignee， who in good faith hasacted in reliance on the absence in the Bill of Lading of any suchindication