海牙规则释义.ppt

1、海牙规则释义及其与其他提单法律之比较,海牙规则制定之背景,普通法上船东的严格责任及订约自由 普通法上船东的三大默示义务： 保证船舶绝对适航(Absolute seaworthy) 不得不合理绕航(Unlawful deviation) 尽责速遣(Due despatch) 普通法上的免责事由： 天灾；火灾；公敌行为；货物缺陷或包装不良；货物遭受共同海损牺牲 船东的订约自由：提单上的免责条款 后果：动摇了贸易界对提单的信心,哈特法及其影响 对提单立法的呼声 Harter Act 1893 相对适航义务；航海过失免责；限制订约自由最低义务之限定。 哈特法的影响 1904年澳大利亚COGSA 190

2、8年新西兰航运及海员法 1910年加拿大水上运输法,海牙规则的产生 英国对制定提单法的态度： 国内立法？民间规则？国际公约？ 海牙规则的制定和通过 英国1924年COGSA,海牙规则释义 Article 1 In this convention the following words are employed with the meanings set out below: (a) “Carrier” includes the owner or the charterer who enters into a contract of carriage with a shipper.,1、承运人的

3、确定 船东自己作为承运人 船东将船舶出租： 承租人提单 船东提单 既非船东提单，也非租家提单，由船长签发 既非船东提单，也非租家提单，由代理人签发 Demise Clause 的效力 订约自由？ 减轻责任的条款？公共政策？,2、维斯比规则： 未作修改 3、汉堡规则、CMC： CMC Art.42 增加了实际承运人的规定 4、运输法草案： 承运人履约方 履约方的范围,(b) “Contract of carriage” applies only to contracts of carriage covered by a bill of lading or any similar document

4、 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 car

5、rier and a holder of the same.,1、海牙规则的适用范围（单证） 与Article 10联系起来一起解读 物权凭证（Document of Title）的含义 可转让性（Negotiability） 海运单等不可转让单证不适用于海牙规则 不适用于租船契约本身,2、汉堡规则 提单或作为海上运输契约证明的其他单证(Art.18) 不适用于租船契约本身（Art.2.2) 3、CMC 提单、其他运输单证(Art.80)、租船契约 4、运输法草案 所有货物运输合同，但不包括租约（尚未确定） 运输单证包括：可转让或不可转让的单证或电子记录,(c) “Goods” include

6、s goods, wares, merchandise, and articles of every kind whatsoever except live animals and cargo which by the contract of carriage is stated as being carried on deck and is so carried.,1、海牙规则不适用于活动物和舱面货 原因 舱面货（甲板货）的含义（条件） 实际装载在舱面上 合同（提单）明确注明装载在舱面上 对集装箱货物的处理 2、汉堡规则、CMC、运输法草案 适用于所有货物，包括由货方提供的装运工具 CMC对

7、舱面货的规定（Art.53）,(d) “Ship” means any vessel used for the carriage of goods by sea,只适用于从事货物运输的船舶 须为海船 包括与海相通的可航水域（Navigabel Waters）,(e) “Carriage of goods” covers the period from the time when the goods are loaded on to the time they are discharged from the ship.,1、承运人的责任期间 钩到钩原则（Tackle to Tackle），或舷到

8、舷原则（Rail to Rail） 对于原油、天然气等运输 驳管至驳管 对装前卸后的责任扩展：Article 7,2、汉堡规则 承运人掌管之下的全部期间（Art.4） 3、CMC 区分集装箱货物和非集装箱货物,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 discharg

9、e of such goods, shall be subject to the responsibilities and liabilities and entitled to the rights and immunities hereinafter set forth.,本条规定了公约的效力 应与Article 5、Article 6、Article 7、Article 8 一起理解,Article 3 1. The carrier shall be bound before and at the beginning of the voyage to exercise due dilig

10、ence to (a) Make the ship seaworthy. (b) Properly man, equip and supply the ship. (c) 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 reservation.,1、适航的分类 绝对适航 谨慎处理使船舶适航 无本人参予过失的适航 2、适航的标准谨慎处理

11、（克尽职责） 须克尽职责的人不限于承运人本人，还包括其代理人、雇佣人和其他就此向承运人负责的人。,3、适航的内容 船体结构安全 船舶证书 船员配备足够、适当 船员证书 妥善装备船舶及配备供应品 海图、燃料 船舱适货 4、谨慎处理使船舶适航的时间 开航前和开航当时,5、关于适航的举证责任 承运人需举证证明 在开航前和开航当时已做到谨慎处理，或 货损与不适航无关，而是 因其他免责事项引起,6、其他提单法律关于适航的规定 维斯比规则、CMC： 同海牙规则（CMC Art.47） 汉堡规则： 介于海牙规则与绝对适航之间 承运人承担举证责任,2. Subject to the provisions of

12、 Article 4, the carrier shall properly and carefully load, handle, stow, carry, keep, care for, and discharge the goods carried.,1、承运人的管货义务 何谓“妥善”？ 客观方法 何谓“谨慎”？ 主观态度 管货过失与管船过失的不同后果,2、其他提单法律对于承运人管货义务的规定 维斯比规则、CMC、运输法草案： 同海牙规则 汉堡规则： 较海牙规则严格（举证责任在承运人）,3. After receiving the goods into his charge the ca

13、rrier 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) The leading marksas the same are furnished in writing by the shipper (b) Either the number of packages or pieces, or the quantity, or weight, as the case

14、may be, as furnished in writing by the shipper. (c) The apparent order and condition of the goods.,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 a

15、ccurately to represent the goods actually received, or which he has had no reasonable means of checking.,1、承运人的签发提单的义务 签发提单的前提 谁有义务签发提单 2、提单的记载事项 货物标志 货物的件数或重量或体积 货物的外表状况,3、承运人拒绝在提单上作有关记载的条件 合理怀疑，或 无法测量,4. Such a bill of lading shall be prima facie evidence of the receipt by the carrier of the goods

16、 as therein described in accordance with paragraph 3(a), (b), and (c).,1、提单（记载事项）的证据效力 表面证据（初步证据） 承运人可提出反证 2、维斯比规则对提单证据效力的修改 转让后：绝对证据（conclusive evidence) 3、其他提单法律关于提单证据效力的规定 同维斯比规则,5. The shipper shall be deemed to have guaranteed to the carrier the accuracy at the time of shipment of the marks, nu

17、mber, quantity and weight, as furnished by him, and the shipper shall indemnify 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 c

18、ontract of carriage to any person other than the shipper.,1、提供信息的正确性托运人的保证义务 保证责任的承担者：托运人而非其他人 违反该保证义务的后果 承运人不能以此抗辩其他人 2、其他法律的规定 同海牙规则 CMC：Art.66 Hamburg Rules：Art.12 CMI 运输法：第7章,6. Unless notice of loss or damage and the general nature of such loss or damage be given in writing to the carrier or hi

19、s 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 t

20、he carrier of the goods as described in the bill of lading.,If the loss or damage is not apparent, the notice must be given within three days of the delivery of the goods. 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 s

21、urvey or inspection. In the case of an 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.,1、索赔通知的作用 证明在交货时即有损失 给予承运人及早准备的机会 2、索赔通知的期限 损坏明显：立即 损坏不明显：3天内 已经联合检验：无需递交,3、索赔通知的形式 必须为书面 4、未作出有效的索赔通知的后果

22、 承运人已按提单记载交货的初步证据 货方可以提出反证推翻,5、其他法律关于索赔通知的规定 维斯比规则：同海牙规则 Hamburg Rules：Art.19 增加了迟延交付下的索赔通知 扩大了递交通知的对象 增加了承运人向货方递交索赔通知的规定 CMC：Art.81 （参考了汉堡规则） CMI运输法：6.9,6. 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 yea

23、r after delivery of the goods or the date when the goods should have been delivered. ,1、诉讼时效 “在任何情况下”（in any event)如何解释？ 向承运人提出索赔可否中断时效？ 当事人可否协议延长诉讼时效？ 时效从何时起算？ 如何确定“货物应当交付之日”？,2、其他提单法律关于诉讼时效的规定 维斯比规则： 增加了当事方协议延长时效的规定 增加了追偿时效的规定 汉堡规则： 2年 被请求人可通过书面声明单方延长时效 CMC： 大原则同维斯比规则 增加了时效中止和中断的规定 CMI运输法： 大原则同维斯比

24、规则 被请求人可通过书面声明单方延长时效,7. 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 suc

25、h 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

26、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.,7、货物装船后，如托运人要求，承运人、船长或承运人的代理人应签发给托运人一份“已装船”提单。如果托运人已事先取得货物的其他物权凭证，他应将其交还以换取“已装船”提单。但承运人也可以

27、决定在装货港由承运人、船长或其代理人在上述物权凭证上加注装货船名及装船日期，经过加注的上述凭证，如果记载有第3条第3款中所指项目，即成为本条所指的“已装船”提单。,8. 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 duti

28、es 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.,海牙规则：

29、最低限度之责任和义务 与Art.5、Art.7、Art.8结合起来理解 常见的无效条款： 转移保险利益的条款 其他减轻责任或增加权利的条款 管辖权条款（和法律适用条款） 并不必然无效,Article 4 1. 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 se

30、aworthy, 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

31、 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 this article.,承运人需负适航义务 首要义务条款 享受本条所规定的免责权利之前提 承运人需负举证责任证明 已尽到谨慎处理使船舶适航 货损系免责事由引起,2. Neither the carrier nor

32、the ship shall be responsible for loss or damage arising or resulting from (a) Act, neglect, or default of the master, mariner, pilot, or the servants of the carrier in navigation or in the management of the ship.,1、驾驶和管理船舶的过失 “不完全过错责任制” 何谓“驾驶”和“管理”船舶？ 如何区分“管船过失”和“管货过失”？ 兼有管船过失与管货过失的情况 哪些人的过失？,其他提单法

33、律的规定 维斯比规则： 同海牙规则 汉堡规则： 无此免责事项 CMC： 同海牙规则 CMI运输法： 方案一：取消 方案二：保留,(b) Fire, unless caused by the actual fault or privity of the carrier.,2、火灾 火灾免责的原因： 事后无法判断原因 不能免责的火灾： 因船舶不适航引起 承运人的实际过失或私谋 举证责任： 索赔人需对承运人的实际过失或私谋负举证责任 因采取灭火措施造成的损失：共同海损,其他提单法律的规定 维斯比规则： 同海牙规则 汉堡规则： 不免责，但需索赔人证明火灾是由承运人或其代理人、受雇人的过失或疏忽引起 C

34、MC： 保留免责，但承运人本人的过失除外（较汉堡规则为宽） 需索赔人证明承运人本人有过失 CMI运输法： 方案一：取消 方案二：保留（同海牙规则）,(c) Perils, dangers and accidents of the sea or other navigable waters.,3、海上危险和意外事故 构成“海上危险”或“意外事故”的条件： 不可预见 足以构成危险,(d) Act of God.,4、天灾 构成要件与“海上危险”相同,(e) Act of war.,5、战争行为 战争行为的定义 国际法上的战争的要件,(f) Act of public enemies.,6、公敌行为

35、 公敌行为的定义（范围） 针对本国的战争行为 国内的武装冲突 海盗行为 恐怖袭击,(g) Arrest or restraint of pinces, rulers or people, or seizure under legal process.,7、扣押、限制和捕获 须有政治色彩 船东无法控制 不包括一般的船舶被扣押,(h) Quarantine restrictions.,8、检疫限制 含义,(i) Act of omission of the shipper or owner of the goods, his agent or representative.,9、托运人、货主及其代

36、理人的疏忽 含义 与固有缺陷的区分 CMI运输法对托运人义务的严格规定（第7章）,(j) Strikes or lockouts or stoppage or restraint of labour from whatever cause, whether partial or general.,10、罢工、停工或劳动受到限制 本船船员的罢工是否包括在内？ 一般认为不包括,(k) Riots and civil commotions.,11、暴动和民变,(l) Saving or attempting to save life or property at sea.,12、救助或企图救助人命或

37、财产 与本条第4款的区别,(m) Wastage in bulk or weight or any other loss or damage arising from inherent defect, quality or vice of the goods.,13、固有缺陷引起的容积、重量的减少或其他灭失或损坏 正常损耗 固有缺陷造成的其他损害,(n) Insufficiency of packing.,14、包装不良 “包装不良”与“外表状况良好”之间的关系,(o) Insufficiency or inadequacy of marks.,15、标志不清或不当,(p) Latent de

38、fects not discoverable by due diligence.,16、经谨慎处理仍不能发现的潜在缺陷 与适航的关系,(q) Any other cause arising without the actual fault or privity of the carrier, or without the 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 exc

39、eption to show that neither the actual fault or privity of the carrier not the fault or neglect of the agents or servants of the carrier contributed to the loss or damage.,17、其他非因承运人的实际过失或私谋或承运人的代理人、受雇人的过失或疏忽引起的损失 举证责任,3. The shipper shall not be responsible for loss or damage sustained by the carri

40、er or the ship arising or resulting from any cause without the act, fault or neglect of the shipper, his agents or his servants.,1、托运人的责任基础 过错责任制 第3条第5款：严格责任制 2、CMC： Art.66、67、68：严格责任制 其他：过错责任制（Art.70） 3、CMI运输法草案： 7.5：严格责任 7.6：过错责任,4. Any deviation in saving or attempting to save life or property at

41、 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.,1、绕航条款 区分合理绕航和不合理绕航的标准 是否是必需的 是否考虑了货方的利益 是否与货物运输的性质有严重抵触 合理绕航的情形 救助人命或财产 避险 其他合理绕航,提

42、单上的绕航条款的效力 是否足够明确 是否合理：是否有减轻承运人责任的嫌疑 不合理绕航的后果 根本违约：不适用海牙规则！ 不能免责，不能限制责任，不能享受短时效 一般违约 可能不能再依据免责事项,2、其他提单法律关于绕航的规定 维斯比规则： 未作修改 汉堡规则： 未作明确规定 相关规定：5.6 CMC： Art.49 不合理绕航的后果？,CMI运输法： 6.5,5. Neither the carrier nor the ship shall in any event be or become liable for any loss or damage to or in connexion wi

43、th 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.,This declaration if embodied in the bill of lading

44、shall be prima facie evidence, but shall not be binding or conclusive on the carrier.,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 noi be less than the figu

45、re above named.,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.,1、单位赔偿限额条款 “in any event”的限定 极少数的例外 对“英镑”的含义的不同理解 Art.9 何谓一个“货运单位” （

46、unit）？ 集装箱运输 大件货物运输 散货运输,不受该限额约束的情况 定值货物 托运人声明 记入提单 这种声明和记载仅是初步证据 故意谎报货物的性质和价值的后果 另定限额 不能低于公约的规定,2、其他提单法律关于单位赔偿限额的规定 维斯比规则： 增加了以货物重量计算限额的规定 改以金法郎为计算单位 提高了限额 增加了如何确定集装货物的件数的规定 增加了货损赔偿额计算方法的规定 增加了丧失限制赔偿责任权利的规定,汉堡规则： 改以特别提款权为计算单位 进一步提高了限额 增加了迟延交付赔偿限额的规定 增加了货物装运工具本身损失的规定,CMC： Art. 55，56，57，58，59，64 货损赔偿

47、额的计算方法不同（A.55） 对A.59的理解 承运人或其受雇人、代理人本人的故意或,6. 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 destroy

48、ed 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

49、 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.,1、危险货物条款 故意隐瞒危险货物性质的后果 承运人可任意处置 承运人不负赔偿责任 须赔偿因此造成的承运人或其他货物的损失,2、其他提单法律关于危险货物的规定 维斯比规则 同海牙规则 汉堡规则、CMC： 基本同海牙规则 CMI运

50、输法： 不再区分危险货物与普通货物，不作明确规定,Article 5 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 responsi-bilities and obligations under this convention, provided such surrender or increase shall be embodied in the bill of lading iss

51、ued to the shipper.,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

52、 of lading of any lawful provision regarding general average. back,第五条 承运人可以自由地全部或部分放弃本公约所规定的他的权利或豁免，或增加他的责任或义务。但这种放弃或增加，须在签发给托运人的提单上注明。 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，则它们应符合本公约的规定。本公约中的任何规定，都不影响在提单中加注有关共同海损的任何合法条款。 back,1、权利与豁免的放弃及责任与义务的增加 合法有效 实践中的情况：保险责任（责任保险）的范围 2、共同海损条款的地位 G/A法律的独立性 海上货物运输法律对G

53、/A分摊的影响 合法的G/A条款不受规则第3条第8款的影响,Article 6 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 carri

54、er 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,

55、 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.,Any agreement so entered into shall have f

56、ull legal effect. 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

57、performed are such as reasonably to justify a special agreement.,第六条 虽有前述各条规定,承运人、船长或承运人的代理人和托运人有权就任何特定的货物订立任何条件的协议，规定承运人对该货物的责任和义务，以及承运人对该货物享有的权利和豁免，或者承运人对船舶的适航义务，只要这种规定不违反公共政策，或者承运人的受雇人或代理人在海运货物的装船、搬运、积载、运输、保管、照料和卸载方面应尽的注意和谨慎。但是，在这种情况下，必须是未曾签发提单或将不签发提单，而且上述协议的条款应载入货物收据。该收据应是不可转让的单证，并须在收据上如此注明。,这样订

58、立的任何协议，都具有完全的法律效力。 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，而仅在拟装运的财产的性质或状况，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。 back,特殊货运条款 海牙规则适用于所有的“依照普通贸易程序成交的一般商业货运”。 不适用于海牙规则的货物运输 非“一般商业货运”，根据货物的性质等有订立特别协议的需要； 不签发提单，而是签发不可转让的收据； 订入特别协议的条款不违背公共政策及承运人应尽的注意和谨慎。,Article 7 Nothing herein contained shall prevent a carrier or a s

59、hipper 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 connection 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. Art.1 Art.2,第七条 本公约中的任何规定，都不影响承运人或托运人就承运人或船舶对海运船舶所载