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| 1973年多式联运单证统一规则 |
发布日期：1973-01-01
生效日期：1975-01-01
简介
本规则系民间规则，于１９７３年由国际商会制定，后于１９７５年进行修订，供当事人自愿采纳。在国际货物多式联运的国际公约产生和实施之前，本规则对于国际货物多式联运的发展，具有一定的影响。
引 言
单一方式的运输传统
传统的单一方式的货物运输，产生了与每一种运输方式相适应的运输单证。这种单证只适用于该种方式的运输。它是在该种运输方式的起运地，由实际提供该种运输的人签发，并且根据仅适用于该种运输方式的国际公约或国内法律，规定了他在其接管货物期间对货物的灭失或损害的赔偿责任。
每一种“单一方式”的运输单证，都为货物的运输提供了必要的资料，并且，它作为货物的收据、运输合同，以及当以可转让的方式签发时，作为货物的物权凭证，满足了商业和金融上的需要。
多式联运经营人
过去十年运输的发展，致使货物联运的大量增加。它通常以“成组”形式，通过连续采取一种以上的运输方式，从起运地到达最后目的地。
这种“多式联运”（在美国被称为“ｉｎｔｅｒ－ｍｏｄａｌ ｔｒａｎｓｐｏｒｔ”，在世界其他地方被称为“ｍｕｌｔｉ－ｍｏｄａｌ ｔｒａｎｓｐｏｒｔ”）意味着需要签发一系列单一运输方式的运输单证（用国际贸易的观点来看，这种运输单证效率不高），或者是用一种新的“从起点到终点”的全程运输单证加以替代。
这种新的运输单证，即多式联运单证（简称“ＣＴ ｄｏｃｕｍｅｎｔ”）必须由可能实际提供运输（或至少部分运输）的人签发，或者由可能只是安排其他人提供全部运输或部分运输的人签发。
但是，不论是实际提供运输的人，还是运输的安排人，对托运人来说，签发多式联运单证的人（即多式联运经营人，Ｃｏｍｂｉｎｅｄ Ｔｒａｎｓｐｏｒｔ Ｏｐｅｒａｔｏｒ，简称ＣＴＯ），都是以当事人的身份出现。作为当事人，他应当妥善地完成货物运输，并且，作为当事人，负责赔偿在整个联合运输过程中任何地方所发生的货物灭失或损害。
多式联运单证统一规则
在现有的国际公约都适用于不同的单一运输方式，在缺少一个新的专门适用于多式联运国际公约的情况下，为了防止不同的多式联运单证向多样性发展的这种商业性退步，作为一项主要措施，国际商会（ＩＣＣ）起草了一套最低限度的统一规则，用以规范一种可被接受并易于辨认的多式联运单证。本规则并入民间合同就具有了法律效力，该民间合同是指由联运单证所证明的联运合同。 |||
适用范围
国际商会制订的本规则通过多式联运单证的签发而得以适用。并且，通过此种单证的签发，多式联运经营人承担在整个多式联运过程中完成多式联运的全部责任和义务。
但是，由于本规则通过民间合同而得以适用，因而，
（ａ）对货物的灭失或损害的责任：
（ｉ）当灭失或损害归因于运输的某一特定阶段时，必须受相应的单一方式的规则的制约（参照规则１３），或者，
（ｉｉ）当灭失或损害是“隐蔽的”，即不能归因于运输的某一特定阶段时，必须受国际商会制定的本规则的制约（参照规则１１和规则１２）。
（ｂ）当存在适用于发生迟延的运输阶段的单一运输方式规则时，迟货的责任，在任何情况下，必须受此种单一运输方式规则有关迟延交货的规定的制约。但是，本规则并不排除多式联运经营人自愿接受比上述规定更多的责任和义务。
预言
本规则也有预言，因为它们预见到这样一个发展趋势，即在目的地交货前必须提交的可转让的物权凭证，将被无须提交任何单证可将货物交给该单证所载明的收货人的不可转让的单证所代替。并且规定，多式联运单证，既可以可转让的方式签发，也可以不可转让的方式签发。
但是，本规则没有，也实在不能在法律上对多式联运经营人在商业和金融上的地位作出规定。这个问题要根据商业上有没有把任何特定的多式联运经营人签发的多式联运单证视为有价值的单证。
经过了修订的本规则，作为便利国际贸易及其金融的一种手段，表明对简化国际贸易程序是一项重要的贡献。
总 则
规则１
（ａ）本规则适用于为履行和（或）实现履行货物多式联运而签订的、本规则中所定义的、被联运单证所证明的每一个合同。如果缔约方本意按本规则规定进行货物多式联运，则即使货物是采取单一方式运输而与缔约方本意相违背，本规则也仍然适用。
（ｂ）对于在多式联运单证上具有利益或以后将获得利益的所有关系而言，这种多式联运单证的签发，赋予所有当事方本规则所规定的权利和抗辩，并使其承担本规则所规定的义务。
３．除增加多式联运经营人的责任和义务以外，多式联运合同或证明这种合同的多式联运单证中的任何条款、或任何条款的任何部分，如果直接或间接地违背本规则，则在这些条款或其中的部分与本规则相抵触的范围内，概属无效。这些条款或其中的部分的无效，并不影响多式联运合同或多式联运单证上的其他规定的效力。
定 义
规则２
在本规则中： |||
（ａ）多式联运：是指至少以两种不同的运输方式，将货物在一国内接管的地点，运至另一国内指定交付的目的地的货物运输。
（ｂ）联运经营人：是指签发多式联运单证的人（包括任何法人、公司或法律实体）。如果国内法律规定，任何人须经授权或得到许可后才有权签发多式联运单证，则多式联运经营人仅指这种经授权或得到许可的人。
（ｃ）多式联运单证：是指证明履行货物多式联运和（或）实现履行货物联运合同的一种单证，并在正面载有这样的标题：“根据多式联运单证统一规则（国际商会第２９８号出版物）签发的可转让的多式联运单证”，或“根据联运单证统一规则（国际商会第２９８号出版物）签发的不可转让的多式联运单证”。
（ｄ）不同的运输方式：是指以两种或两种以上的运输方式，例如海上运输、内河运输、航空运输、铁路或公路运物，进行货物运输。
（ｅ）交付：是指将货物交给有权取货的一方或将货物置于其支配之下。
（ｆ）法郎：是指含有纯度为千分之九百的黄金６５．５毫克的单位。
可转让的单证
规则３
在以可转让的方式签发多式联运单证时：
（ａ）它应载明“凭指示”或“交于持有人”；
（ｂ）如果载明“凭指示”，则应通过背书转让；
（ｃ）如果载明“交于持有人”，则无需通过背书即可转让；
（ｄ）如果签发一套超过一份以上正本，应注明一套正本的份数；
（ｅ）如果签发副本，则每一副本应注明“不予转让的副本”的字样；
（ｆ）只能向多式联运经营人或其代理人要求交货，并且必要时，凭提交经过背书的多式联运单证要求交货。
（ｇ）当签发了一套一份以上正本的多式联运单证时，如果多式联运经营人或其代理人根据其中一份正本，已经善意地交付货物，则多式联运经营人即被解除其交货的义务。
不可转让的单证 |||
规则４
在以不可转让的方式签发多式联运单证时，
（ａ）它应指明记名的收货人；
（ｂ）如果多式联运经营人将货物交给此种不可转让的单证上指明的收货人，或者按收货人给多式联运经营人的通知交给经收货人授权接管货物的人，多式联运经营人即被解除其交货的义务。
多式联运经营人的义务和责任
规则５
通过签发多式联运单证，多式联运经营人：
（ａ）从接管货物时起到交付货物时止，负责履行和（或）以其自己名义设法履行货物多式联运，包括这种运输所必需的各种服务，并在本规则所规定的范围内，承担这种运输及服务义务；
（ｂ）对其代理人或雇佣人员在受雇范围内行事的作为或不作为，如同对其自己的作为或不作为一样，承担义务；
（ｃ）对其用来为履行多式联运单证所证明的合同提供服务的其他任何人的作为或不作为，承担义务；
（ｄ）负责履行或设法履行为确保交货所必需的一切事项；
（ｅ）在本规则规定的范围内，对在其接管货物至交付货物期间所发生的货物的灭失或损害，承担责任，并负责按本规则的规定对有关这种灭失或损害进行赔偿；
（ｆ）在规则１４所规定的范围内，承担迟延交货的责任，并负责按该条规则的规定进行赔偿。
当事人的权利和义务
规则６
在本规则特别要求的资料之外，当事人应在多式联运单证上载明其协议的商业上所需要的事项。
规则７
在多式联运经营人接管货物时，发货人应被视为已向多式联运经营人保证其提供的货物品名、标志、号数、数量、重量和（或）体积准确性，并应向多式联运经营人赔偿由于这些事项的不准确或不充分所引起或造成的一切灭失、损害和费用。多式联运经营人这种获得赔偿的权利，不得限制其根据多式联运单证对发货人以外的任何人所承担的责任和义务。
规则８
|||
发货人应遵守国内法律或国际公约中关于危险货物运输的强制性规定，并在任何情况下，在多式联运经营人接受危险货物之前，应书面将货物的确切危险性质通知多式联运经营人，并向多式联运经营人说明必要的、应采取的预防措施。如果发货人未能提供这些资料，并且，多式联运经营人也不知道货物的危险性质及应采取的必要的预防措施，以及在任何时候，此种货物被认为构成对人命或财产的危害，则可在任何地点，根据情况需要，被卸下、销毁或变为无害，而无需赔偿。由于这种货物的接管、运输或任何附带的服务所引起的一切灭失、损害、迟延交货或费用，发货人应负赔偿责任。
关于多式联运经营人知道运输该项货物的确切危险性质的举证责任，应由对货物享有权利的人承担。
规则９
多式联运经营人应在多式联运单证上至少将其所接管并承担义务的货物数量和（或）重量和（或）体积和（或）标志清楚地予以载明。
在本条规则第一款规定情况下，如果多式联运经营人有合理的根据怀疑多式联运单证上所记载的关于货物的品名、标志、件数、数量、重量和（或）体积的事项，并不能准确地表明实际接管的货物，或者，多式联运经营人对这些事项没有合理的条件加以核对，则多式联运经营人有权在多式联运单证上作出保留，但应指明这种保留所指的具体事项。
多式联运单证应是多式联运经营人按照其上记载情况接管货物的初步证据，当多式联运单证是以可转让的方式签发，且已被转移至善意行事的第三人时，与其相反的证据将不予承认。
规则１０
除按规则１５已将货物作灭失处理以外，如果根据多式联运单证有权提货的人在货物交其接管之时或之前，在交付地点，未将载明货物灭失或损害的一般性质的书面通知送交多式联运经营人或其代表，或者，如果货物灭失或损害不明显，未在交货后连续七天内，送交此种书面通知，则应视为多式联运经营人已按多式联运单证记载的状况交货的初步证据。
对灭失或损害的赔偿责任
Ａ．不知道发生灭失或损害的运输区段时应适用的规则
规则１１
根据规则５第（ｅ）项，多式联运经营人对货物的灭失或损害应负责赔偿，但不知道发生灭失或损害的运输区段时：
（ａ）此种赔偿的金额应参照此种货物在交付给收货人之时当地的价值，或者根据多式联运合同此种货物本应交付之时当地的价值，进行计算。
（ｂ）货物的价值应参照现时商品交易价格确定，或者，如果没有此种价格，参照现时市场价格规定，或者，如既没有商品交易价格，又没有现时市场价格，参照同种类和同质量货物的正常价值确定。 |||
（ｃ）每千克遭受灭失或损害的货物的赔偿金额不得超过３０法郎。除非经多式联运经营人同意，发货人已申报了较高的货物价值，并已在多式联运单证上注明，在这种情况下，赔偿限额为此种较高的价值。
但是，在任何情况下，多式联运经营人的赔偿金额不应超过有索赔权的人的实际损失。
规则１２
如果不知道发生灭失或损害的运输区段，则对下列原因造成的灭失或损害，多式联运经营人不承担规则５第（ｅ）项规定的赔偿责任：
（ａ）发货人或收货人，或者，除多式联运经营人以外的、代表发货人或收货人行事的人，或多式联运经营人从其接管货物的人的作为或不作为；
（ｂ）包装或标志不充分或有缺陷；
（ｃ）发货人或收货人，或者代表发货人或收货人行事的任何其他人对货物的操作、装载、积载或卸载；
（ｄ）货物的潜在缺陷；
（ｅ）罢工、关厂、停工或劳动受限制，并且在多式联运经营人采取合理谨慎的措施后，仍不能避免其后果；
（ｆ）多式联运经营人不能避免的任何原因或事件，并且多式联运经营人采取合理谨慎的措施后仍不能防止其后果；
（ｇ）根据所适用的国际公约或者制约有关核能的责任的国内法，核装置的经营人或代其行事人应对此种核事故损害负责。
证明货物的灭失或损害是由于上述一种或多种原因或事件所引起的举证责任，由多式联运经营人承担。
如果多式联运经营人根据事故的情况，证实货物的灭失或损害可归因于上述（ｂ）至（ｄ）项中载明的一种或多种原因或事件，则应推定货物的灭失或损害因此而造成。但是，索赔人有权利证明货物的灭失或损害事实上全部或部分地不是由于上述一种或多种原因或事件所造成。
Ｂ．知道确定货物灭失或损害发生的运输区段时应适用的规则
规则１３
根据规则５第（ｅ）项，多式联运经营人应对货物的灭失或损害负责赔偿，并且知道这种灭失或损害发生的运输区段时，多式联运经营人对这种灭失或损害的责任应取决于：
（ａ）任何国际公约或国内法律的规定，而且： |||
（ｉ）不能通过民间合同而背离这些规定，损害索赔人的利益，而且，
（ｉｉ）假如索赔人已与多式联运经营人就发生灭失或损害的特定运输区段单独签订直接的合同，并且收到为使这种国际公约或国内法律能够适用而必须签发的任何特定单证作为证明，这些规定本应适用；或者，
（ｂ）与发生灭失或损害时用于运输货物的运输方式所进行的运输有关的任何国际公约中的规定，条件是：
（ｉ）根据规则１３第（ａ）项中的规定，其他国际公约或国内法律将不适用，而且，
（ｉｉ）多式联运单证上明确规定，该公约中的所有规定，将制约此种运输方式所进行的货物运输；当此种运输方式是海上运输方式时，这些规定将适用于无论是在舱面还是在舱内装运的所有货物；或者，
（ｃ）联运经营人和任何分立合同的人签订的任何内河运输合同中的规定，条件是：
（ｉ）根据本条规则第（ａ）项，任何国际公约或国内法律均不适用；或者，不能根据本条规则第（ｂ）项，通过明文规定而适用或本可使之能适用，而且，
（ｉｉ）多式联运单证中明确规定应适用此种合同条款；或者，
（ｄ）规则１１和规则１２的规定，条件是上述第（ａ）、（ｂ）和（ｃ）项都不适用。
在不违背规则５第（ｂ）和（ｃ）项的条件下，如果根据前款规定，多式联运经营人的责任应根据国际公约或国内法律确定。其责任的确定应视同此种国际公约或国内法律中规定的承运人。但是，当货物的灭失或损害是由于或归因于多式联运经营人自身职责范围内的作为或不作为，或其受雇人员或代理人以此种身份行事，而不是在运输过程中的作为或不作为造成的，则不得免除多式联运经营人的责任。
迟延责任
规则１４
只有当知道迟延所发生的运输区段，并在国际公约或国内法律规定的赔偿责任范围内，多式联运经营人才有责任支付迟延赔偿。该国际公约或国内法律的规定：
（ｉ）不能通过民间合同而予以背离，使索赔人的利益受到损害；
（ｉｉ）假如索赔人已与作为该运输区段经营人的多式联运经营人单独签订直接的合同，并且收到为使这种国际公约或国内法律能够适用而必须签发的任何特定单证作为证据，便本应适用。
但是，这种赔偿金额不得超过该运输区段的运费金额，但这一限额不得与所适用的任何国际公约或国内法律的规定相抵触。
其他条款 |||
规则１５
如未在约定的、并在多式联运单证上载明的期限届满后９０天内交货，或者，如果没有此种约定并载明这种期限，未在允许勤勉地完成多式联运所需要的合理时间届满后９０天内交货，有权提取货物的人有权视该货物已经灭失，除非存在相反的证据。
规则１６
本规则所规定的抗辩和责任限制，应适用于因货物灭失、损害或迟延交货而对多式联运经营人提出的任何诉讼，而不论这种诉讼是以合同还是以侵权行为为根据。
规则１７
如经证明，货物的灭失或损害是由于多式联运经营人有意造成损害，或明知可能造成损害而轻率地作为或不作为所造成，多式联运经营人便无权享受规则１１规定的责任限制。
规则１８
本规则中的任何规定，不应妨碍多式联运经营人在多式联运单证中列入保护其代理人或受雇佣人，或是为其履行被联运单证证明的合同而提供服务的任何其他人的条款。但是，这种保护不得超过给予联运经营人本人的保护。
时 效
规则１９
如果诉讼未在下列时间后九个月内提出，多式联运经营人应被解除其根据本规则承担的一切责任：
（ｉ）货物交付之日，或者
（ｉｉ）货物本应交付之日，或者
（ｉｉｉ）按照规则１５的规定，在没有相反证据的情况下，因不能交付而赋予有权提取货物的人视货物已经灭失的权利之日。 |||
【名称】 UNIFORM RULES FOR A COMBINED TRANSPORT DOCUMENT, 1973
【题注】
Whole document
INTRODUCTION
The single mode tradition
The traditional carriage of goods by a single mode of transport
developed an appropriate transport document for each mode. This document
applies only to carriage by that mode. It is issued at the point of
departure by that mode by the actual provider of the transport, and it
establishes his liability for loss or damage to the goods whilst in his
charge by reference to an international convention, or to a national law,
applying only to that mode of transport.
Each of these "single mode" transport documents has served to pass the
information necessary for the movement of the goods, and also met
commercial and financial needs by acting as a receipt for identified
goods, as a contract of carriage, and also, when issued in negotiable
form, as a document of title to the goods.
Combined transport operators
The transport developments of the past decade have led to a greatly
increased through movement of goods, often in "unit load" form, from a
point of departure to a point of final destination by the successive use
of more than one mode of transport.
Such "combined transport" (also referred to in the USA as "inter-modal
transport" and in other parts of the world as "multi-modal transport")
means either the issue of a series of separate single mode transport
documents-which is inefficient from the international trade viewpoint-or
their replacement by a new, through, "start-to-finish" transport document.
Such new transport document, a "CT document" (combined transport
document), would of necessity be issued by someone who might be the actual
provider of the transport-or at least of part of it-or who might merely be
an arranger for the provision of all, or part of, the transport by others.
But whether as provider or as arranger of the transport, such person
issuing the CT document (the CTO-Combined Transport Operator) would be
acting as principal vis-a-vis the shipper and would be responsible, as a
principal, for the transport being properly carried out, and liable, as a
principal, for loss or damage wherever it occurred during the course of
the whole combined transport.
Uniform Rules for CT Documents
In the absence of a new international convention specially applicable
to multi-modal transport in the way that existing conventions apply to the
different single modal transport, and as an essential measure to avoid the
commercially retrograde step of the development of a multiplicity of
differing documents for combined transport operations, the ICC has drafted
a set of minimum uniform rules to govern an acceptable-and easily
recognisable-CT document. The Rules may be given legal effect by their
incorporation into a private contract, the combined transport contract
evidenced by the CT document.
Application
The ICC Rules are applied by the issue of the CT document, and by the
issue of this document the CTO accepts full responsibility for the
performance of the combined transport, as well as liability, throughout
the entire combined transport.
Because, however, the Rules are applied by private contract.
(a) The liability for loss or damage has to be governed:
(i) by the appropriate single mode rules when the loss or
damage can be attributed to a particular stage of transport (cf. Rule 13),
or
(ii) by the ICC Rules when the loss or damage is "concealed",
i. e. cannot be attributed to a particular stage of transport (cf. Rules
11 and 12).
(b) The liability for delay has to be governed in all cases by the
single mode rules regarding delay, where such single mode rules exist,
applying to the stage of transport where the delay occurred (cf. Rule 14).
Nevertheless, the Rules do not preclude the voluntary acceptance by the
CTO of a greater responsibility or obligation than that outlined above.
Forward Looking
The Rules are also forward looking, in that they take note of the
increasing tendency to replace negotiable documents of title, which must
be surrendered at destination before the goods may be delivered, by
non-negotiable documents, whereby delivery is made to a consignee named in
the document without the need to surrender any document, and provide for
the issue of the CT document in either negotiable form, or in
non-negotiable form.
They do not, however-and, indeed, they cannot-legislate for the
commercial and financial standing of the CTO. This will be resolved by
commercial willingness or by commercial unwillingness to regard a CT
document issued by any particular CTO as a worthwhile document.
In this revised form the Rules represent a major contribution towards
the simplification of international trade procedures as a means of
facilitating international trade and its finance.
GENERAL PROVISIONS
Rule 1
(a) These Rules apply to every contract concluded for the performance
and/or procurement of performance of combined transport of goods which is
evidenced by a combined transport document as defined herein. These Rules
shall nevertheless apply even if the goods are carried by a single mode of
transport contrary to the original intentions of the contracting parties
that there should be a combined transport of the goods as defined
hereafter.
(b) The issuance of such combined transport document confers and
imposes on all parties having or thereafter acquiring an interest in it
the rights, obligations and defences set out in these Rules.
(c) Except to the extent that it increases the responsibility or
obligation of the combined transport operator, any stipulation or any part
of any stipulation contained in a contract of combined transport or in a
combined transport document evidencing such contract, which would directly
or indirectly derogate from these Rules shall be null and void to the
extent of the conflict between such stipulation, or part thereof, and
these Rules. The nullity of such stipulation or part thereof shall not
affect the validity of the other provisions of the contract of combined
transport or combined transport document of which it forms a part.
DEFINITIONS
Rule 2
For the purpose of these Rules:
(a) Combined transport means the carriage of goods by at least two
different modes of transport, from a place at which the goods are taken in
charge situated in one country to a place designated for delivery situated
in a different country.
(b) Combined transport operator (CTO) means a person (including any
corporation, company or legal entity) issuing a combined transport
document. Where a national law requires a person to be authorised or
licensed before being entitled to issue a combined transport document,
then combined transport operator can only refer to a person so authorised
or licensed.
(c) Combined transport document (CT document) means a document
evidencing a contract for the performance and/or procurement of
performance of combined transport of goods and bearing on its face either
the heading "Negotiable combined transport document issued subject to
Uniform Rules for a Combined Transport Document (ICC publication No. 298)"
or the heading "Non-negotiable combined transport document issued subject
to Uniform Rules for a Combined Transport Document (ICC Publication No.
298)".
(d) Different modes of transport means the transport of goods by two
or more modes of transport, such as transport by sea, inland waterway,
air, rail or road.
(e) Delivery means delivering the goods to or placing the goods at the
disposal of the party entitled to receive them.
(f) Franc means a unit consisting of 65.6 milligrams of gold of
millesimal fineness 900.
NEGOTIABLE DOCUMENT
Rule 3
Where a CT document is issued in negotiable form:
(a) it shall be made out to order or to bearer;
(b) if made out to order it shall be transferable by endorsement;
(c) if made out to bearer it shall be transferable without
endorsement;
(d) if issued in a set of more than one original it shall indicate the
number of originals in the set;
(e) if any copies are issued each copy shall be marked "non-negotiable
copy";
(f) delivery of the goods may be demanded only from the CTO or his
representative, and against surrender of the CT document duly endorsed
where necessary;
(g) the CTO shall be discharged of his obligation to deliver the goods
if, where a CT document has been issued in a set of more than one
original, he, or his representative, has in good faith delivered the goods
against surrender of one of such originals.
NON-NEGOTIABLE DOCUMENT
Rule 4
Where a CT document is issued in non-negotiable form:
(a) it shall indicate a named consignee;
(b) the CTO shall be discharged of his obligation to deliver the goods
if he makes delivery thereof to the consignee named in such non-negotiable
document, or to the party advised to the CTO by such consignee as
authorised by him to accept delivery.
RESPONSIBILITIES AND LIABILITIES OF THE CTO
Rule 5
By the issuance of a CT document the CTO:
(a) undertakes to perform and/or in his own name to procure
performance of the combined transport-including all services which are
necessary to such transport-from the time of taking the goods in charge to
the time of delivery, and accepts responsibility for such transport and
such services to the extent set out in these Rules;
(b) accepts responsibility for the acts and omissions of his agents or
servants, when such agents or servants are acting within the scope of
their employment, as if such acts and omissions were his own;
(c) accepts responsibility for the acts and omissions of any other
person whose services he uses for the performance of the contract
evidenced by the CT document;
(d) undertakes to perform or to procure performance of all acts
necessary to ensure delivery;
(e) assumes liability to the extent set out in the Rules for loss of
or damage to the goods occurring between the time of taking them into his
charge and the time of delivery, and undertakes to pay compensation as set
out in these Rules in respect of such loss or damage;
(f) assumes liability to the extent set out in Rule 14 for delay in
delivery of the goods and undertakes to pay compensation as set out in
that Rule.
RIGHTS AND DUTIES OF THE PARTIES
Rule 6
In addition to the information specifically required by these Rules,
the parties shall insert in a CT document such particulars as they may
agree to be commercially desirable.
Rule 7
The consignor shall be deemed to have guaranteed to the CTO the
accuracy, at the time the goods were taken in charge by the CTO, of the
description, marks, number, quantity, weight and/or volume of the goods
as furnished him, and the consignor shall indemnify the CTO against all
loss, damage and expense arising or resulting from inaccuracies in or
inadequacy of such particulars. The right of the CTO to such indemnity
shall in no way limit his responsibility and liability under the CT
document to any person other than the consignor.
Rule 8
The consignor shall comply with rules which are mandatory according to
the national law or by reason of international convention, relating to the
carriage of goods of a dangerous nature, and shall in any case inform the
CTO in writing of the exact nature of the danger before goods of a
dangerous nature are taken in charge by the CTO and indicate to him, if
need be, the precautions to be taken. If the consignor fails to provide
such information and the CTO is unaware of the dangerous nature of the
goods and the necessary precautions to be taken and if, at any time, they
are deemed to be a hazard to life or property, they may at any place be
unloaded, destroyed or rendered harmless, as circumstances may require,
without compensation, and the consignor shall be liable for all loss,
damage, delay or expenses arising out of their being taken in charge, or
their carriage, or of any service incidental thereto.
The burden of proving the CTO knew the exact nature of the danger
constituted by the carriage of the said goods shall rest upon the person
entitled to the goods.
Rule 9
The CTO shall clearly indicate in the CT document, at least by
quantity and/or weight and/or volume and/or marks, the goods he has taken
in charge and for which he accepts responsibility.
Subject to paragraph 1 of this Rule, if the CTO has reasonable grounds
for suspecting that the CT document contains particulars concerning the
description, marks, number, quantity, weight and/or volume of the goods
which do not represent accurately the goods actually taken in charge, or
if he has no reasonable means of checking such particulars, the CTO shall
be entitled to enter his reservations in the CT document, provided he
indicates the particular information to which such reservations apply.
The CT document shall be prima facie evidence of the taking in charge
by the CTO of the goods as therein described. Proof to the contrary shall
not be admissible when the CT document is issued in negotiable form and
has been transferred to a third party acting in good faith.
Rule 10
Except in respect of goods treated as lost in accordance with Rule 15
hereof, the CTO shall be deemed prima facie to have delivered the goods as
described in the CT document unless notice of loss of, or damage to, the
goods, indicating the general nature of such loss or damage, shall have
been given in writing to the CTO or to his representative at the place of
delivery before or at the time of removal of the goods into the custody of
the person entitled to delivery thereof under the CT document, or, if the
loss or damage is not apparent, within seven consecutive days thereafter.
LIABILITY FOR LOSS OR DAMAGE
A. Rules applicable when the stage of transport where the loss ordamage occurred is not known
Rule 11
When in accordance with Rule 5(e) hereof the CTO is liable to pay
compensation in respect of loss of, or damage to, the goods and the stage
of transport where the loss or damage occurred is not known:
(a) such compensation shall be calculated 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 contract of combined
transport, they should have been so delivered;
(b) 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.
(c) compensation shall not exceed 30 francs per kilo of gross weight
of the goods lost or damaged, unless, with the consent of the CTO, the
consignor has declared a higher value for the goods and such higher value
has been stated in the CT document, in which case such higher value shall
be the limit.
However, the CTO shall not, in any case, be liable for an amount
greater than the actual loss to the person entitled to make the claim.
Rule 12
When the stage of transport where the loss or damage occurred is not
known the CTO shall not be liable to pay compensation in accordance with
Rule 5(e) hereof if the loss or damage was caused by:
(a) an act or omission of the consignor or consignee, or person other
than the CTO acting on behalf of the consignor or consignee, or from whom
the CTO took the goods in charge;
(b) insufficiency or defective condition of the packing or marks;
(c) handling, loading, stowage or unloading of the goods by the
consignor or the consignee or any person acting on behalf of the consignor
or the consignee;
(d) inherent vice of the goods;
(e) strike, lockout, stoppage or restraint of labour, the consequences
of which the CTO could not avoid by the exercise of reasonable diligence;
(f) any cause or event which the CTO could not avoid and the
consequences of which he could not prevent by the exercise of reasonable
diligence;
(g) a nuclear incident if the operator of a nuclear installation or a
person acting for him is liable for this damage under an applicable
international convention or national law governing liability in respect of
nuclear energy.
The burden of proving that the loss or damage was due to one or more
of the above causes or events shall rest upon the CTO.
When the CTO establishes that, in the circumstances of the case, the
loss or damage could be attributed to one or more of the causes or events
specified in (b) to (d) above, it shall be presumed that it was so caused.
The claimant shall, however, be entitled to prove that the loss or damage
was not, in fact, caused wholly or partly by one or more of these causes
or events.
B. Rules applicable when the stage of transport where the loss ordamage occurred is known
Rule 13
When in accordance with Rule 5(e) hereof the CTO is liable to pay
compensation in respect of loss or damage to the goods and the stage of
transport where the loss or damage occurred is known, the liability of the
CTO in respect of such loss or damage shall be determined.
(a) by the provisions contained in any international convention or
national law, which provisions:
(i) cannot be departed from by private contract, to the detriment
of the claimant, and
(ii) would have applied if the claimant had made a separate and
direct contract with the CTO in respect of the particular stage of
transport where the loss or damage occurred and received as evidence
thereof any particular document which must be issued in order to make such
international convention or national law applicable; or
(b) by the provisions contained in any international convention
relating to the carriage of goods by the mode of transport used to carry
the goods at the time when the loss or damage occurred, provided that:
(i) no other international convention or national law would apply
by virtue of the provisions contained in subparagraph (a) of this Rule,
and that
(ii) it is expressly stated in the CT document that all the
provisions contained in such convention shall govern the carriage of goods
by such mode of transport, where such mode of transport is by sea, such
provisions shall apply to all goods whether carried on deck or under deck;
or
(c) by the provisions contained in any contract of carriage by inland
waterways entered into between the CTO and any subcontractor, provided
that:
(i) no international convention or national law is applicable
under subparagraph (a) of this Rule, or is applicable, or could have been
made applicable, by express provision in accordance with subparagraph (b)
of this Rule and that
(ii) it is expressly stated in the CT document that such contract
provisions shall apply; or
(d) by the provisions of Rules 11 and 12 in cases where the provisions
of subparagraphs (a), (b) and (c) above do not apply.
Without prejudice to the provisions of Rule 5(b) and (c), when, under
the provisions of the preceding paragraph, the liability of the CTO shall
be determined by the provisions of any international convention or
national law, this liability shall be determined as though the CTO were
the carrier referred to in any such convention or national law. However,
the CTO shall not be exonerated from liability where the loss or damage is
caused or contributed to by the acts or omissions of the CTO in his
capacity as such, or his servants or agents when acting in such capacity
and not in the performance of the carriage.
LIABILITY FOR DELAY
Rule 14
The CTO is liable to pay compensation for delay only when the stage of
transport where a delay occurred is known, and to the extent that there is
liability under any international convention or national law, the
provisions of which:
(i) cannot be departed from by private contract to the detriment
of the claimant;
(ii) would have applied if the claimant had made a separate and
direct contract with the CTO as operator of that stage of transport and
received as evidence thereof any particular document which must be issued
in order to make such international convention or national law applicable.
However, the amount of such compensation shall not exceed the amount
of the freight for that stage of transport, provided that this limitation
is not contrary to any applicable international convention or national
law.
MISCELLANEOUS PROVISIONS
Rule 15
Failure to effect delivery within 90 days after the expiry of a time
limit agreed and expressed in a CT document or, where no time limit is
agreed and so expressed, failure to effect delivery within 90 days after
the time it would be reasonable to allow for diligent completion of the
combined transport operation shall, in the absence of evidence to the
contrary, give to the party entitled to receive delivery the right to
treat the goods as lost.
Rule 16
The defences and limits of liability provided for in these Rules shall
apply in any action against the CTO for loss of, damage, or delay to the
goods whether the action be founded in contract or in tort.
Rule 17
The CTO shall not be entitled to the benefit of the limitation of
liability provided for in Rule 11 hereof if it is proved that the loss or
damage resulted from an act or omission of the CTO done with intent to
cause damage or recklessly and with knowledge that damage would probably
result.
Rule 18
Nothing in these Rules shall prevent the CTO from including in the CT
document provisions for protection of his agents or servants or any other
person whose services he uses for the performance of the contract
evidenced by the CT document, provided such protection does not extend
beyond that granted to the CTO himself.
TIME-BAR
Rule 19
The CTO shall be discharged of all liability under these Rules unless
suit is brought within nine months after,
(i) the delivery of the goods, or
(ii) the date when the goods should have been delivered, or
(iii) the date, when in accordance with Rule 15, failure to
deliver the goods would, in the absence of evidence to the contrary, give
to the party entitled to receive delivery the right to treat the goods as
lost |
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