Quy tắc giao thông vận tải đa phương thức - RULES OF MULTIMODAL TRANSPORT
The UNCTAD/ICC Rules are available to international trade for world-wide application and will be acceptable to the international banking community being fully compatible with the latest revision of the ICC Uniform Customs and Practice for Documentary Credits (UCP) which will become available in the near future.
However, the Rules only cover a part of the customary contents of an multimodal transport contract. Thus, an MTO wishing to use the Rules as a basis for his multimodal transport contract would have to add other clauses dealing with matters such as: optional stowage, routeing, freight and charges, liens, both-to-blame collision, general average,...
UNCTAD/ICC Rules for Multimodal Transport Documents
INTRODUCTION
2. The UNCTAD/ICC Rules are available to international trade for world-wide
application and will be acceptable to the international banking community being
fully compatible with the latest revision of the ICC Uniform Customs and Practice
for Documentary Credits (UCP) which will become available in the near future.
However, the Rules only cover a part of the customary contents of an multimodal
transport contract. Thus, an MTO wishing to use the Rules as a basis for his
multimodal transport contract would have to add other clauses dealing with
matters such as: optional stowage, routeing, freight and charges, liens, both-to-
blame collision, general average, jurisdiction and arbitration, and applicable law,
to satisfy his particular needs. Such additions could, of course, also be made with
respect to matters covered by the Rules, but only to the extent that they are not
contradictory thereto.
1. Applicability
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. 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. Definitions
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. 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. 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. Evidentiary effect of the information contained in the multimodal
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. Responsibilities of the multimodal transport operator
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. 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
instructions.
5. Liability of the multimodal transport operator
5.1. Basis of Liability
Subject to the defences set forth in Rule 5.4 and Rule 6, the 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. 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. 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. Assessment of compensation
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. Limitation of liability of the multimodal transport operator
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. 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. 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. 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. 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. Loss of the right of the multimodal transport operator to limit liability
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. Liability of the consignor
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. Notice of loss of or damage to the goods
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 the consignee.
10. Time-bar
The MTO shall, unless otherwise expressly agreed, be discharged of all liability
under these Rules unless suit is brought within 9 months 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. 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. Applicability of the rules to the multimodal transport operator's
servants, agents and other persons employed by him
These 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. Mandatory law
These Rules shall only take effect to the extent that they are not contrary to the
mandatory provisions of international conventions or national law applicable to the
multimodal transport contract.
Explanation of the Rules
Rule 1 - Applicability
The Rules do not apply when they are not referred to. It is possible to refer to the
Rules even for port to port traffic and when unimodal transport is intended.
Parties having referred to the Rules, and thereby incorporated the Rules into their
contract, must avoid inserting stipulations which derogate from the Rules and
which thus would be contradictory. It is stated in Rule 1.2 that the parties by
referring to the Rules agree that the Rules would supersede anything which has
been stated to the contrary.
Rule 2 - Definitions
It has been thought that definitions should not include "multimodal transport" but
rather focus on the "multimodal transport contract".
The definition of "carrier" is included in order to distinguish any performing carrier
- not identical to the MTO - from the MTO.
The definition of "MT document" includes negotiable, non-negotiable transport
documents as well as the case where the paper document has been replaced by
electronic data interchange messages.
The definition of "delivery" only deals with the situation at the place of destination.
Since the shipper controls the handing over of the goods for carriage, and
problems seldom occur in practice to determine the beginning of the carrier's
period of responsibility, it is sufficient to refer to the case when the goods are
delivered to the consignee and third parties subsequent to carriage.
Rule 3 - Evidentiary effect of the information contained in the multimodal
transport document
With respect to the responsibility for information in the MT document, the
expression in art. 3.4 of the Hague-Visby Rules, "third party", has not been used,
since the governing factor is whether or not the consignee has relied and acted
upon the information and not his position as a "party" or "third party" in relation to
the MTO. In particular, such an expression may be misleading where the seller
has handed over the goods to the carrier and the buyer under an FOB or an FCA
contract has concluded the contract of carriage. In such a case, the FOB/FCA-
buyer - although relying on the information in the MT document - could not be
considered a "third party".
Rule 4 - Responsibilities of the multimodal transport operator
The period of responsibility includes the whole time when the MTO is in charge of
the goods. The particular problem when the goods are delivered at destination is
covered by the definition of "delivery".
The words "within the scope of his employment" and "for the performance of the
contract" would limit the vicarious liability of the MTO. However, it should be
observed that these expressions may well be given a different interpretation in
different jurisdictions. In particular, it is uncertain under some laws whether the
MTO would be responsible for theft by his employees or other persons acting in
the performance of the contract.
The modalities of delivering the goods to the consignee have been clearly set
forth with reference to different types of negotiable MT documents and to non-
negotiable MT documents. It should be observed that the modalities of delivery
are different in these cases. A particular reference to the replacement of paper
documents by electronic data interchange messages has been made.
Rule 5 - Liability of the multimodal transport operator
The Hague and Hague-Visby Rules, in art. IV (4), contain a long list of defences
which apply to the benefit of the carrier. With the exception of the particular
defences of error in navigation and management of the vessel (nautical fault) as
well as of fire (art. IV (4) (a) and (b)), the Hague-Visby Rules imply for all practical
purposes a liability of the carrier for presumed fault or neglect. In any event, the
Rules would have to ensure that the vessel-operating MTO would benefit from the
same defences which would have applied to a contract for a unimodal sea
transport and that a non-vessel operating MTO (NVO-MTO) would have the
possibility of instituting recourse actions against the actual (performing) carrier
basically according to Rules which are compatible with the Rules determining his
own liability.
These objectives would - although not exactly, but still for all practical purposes -
be reached if the defences of nautical fault and of fire are clearly mentioned
combined with a liability based upon presumed fault or neglect. A complete
incorporation of the so-called network liability principle, taking all modes of
transport into consideration, would be far too complicated. In any event,
mandatory provisions applicable to unimodal transport would supersede the Rules
(cf. Rule 13).
In view of the fact that the carrier's liability is based upon the principle of
presumed fault - and not on the strict "common carrier" liability - it has been
deemed unnecessary to burden the text with specific exceptions from liability of
the kind mentioned in the Hague Rules (art. IV (4) (c-p)). However, should an
operator choose to list in his document some of the typical situations for non-
liability as appear from the Hague Rules this would not be contradictory in the
sense of Rule 1.2 provided the text of Rule 5.1 is maintained.
In order to make the basis of liability compatible with the Hague-Visby Rules, an
exemption from liability is expressed in Rule 5.4 under the heading "Defences for
carriage of goods by sea or inland waterways". Here, the two fundamental
defences for nautical fault and fire are mentioned. These defences are, as in the
Hague-Visby Rules, subject to the overriding requirement that, when the loss or
damage has resulted from unseaworthiness of the vessel, the multimodal
transport operator can prove that due diligence has been exercised to make the
vessel seaworthy at the commencement of the voyage.
The words "actual fault or privity of the carrier" imply that the MTO will only be
liable in case of acts or omissions occurring on the managerial level in his
company. However, the result would be the same in most jurisdictions according
to general principles of law which would render contractual provisions exempting
a party from liability invalid in cases of loss or damage caused by personal wilful
misconduct or gross negligence. The basis of liability expressed in the Hamburg
Rules art. 5.1 and the MT Convention art. 16 has been used to set forth the
general principle of a liability for presumed fault or neglect.
With respect to liability for delay it should be noted that such liability is not
expressly referred to in the Hague-Visby Rules and that, in various jurisdictions, it
is uncertain whether the Hague-Visby Rules cover such liability. In Rule 5.1 it is
stipulated that the MTO should be relieved from liability for loss following from
delay unless the consignor made a declaration of interest in timely delivery
accepted by the MTO. The problem of a possible conflict with mandatory law is
taken care of by Rule 13 containing a general provision dealing with that problem.
The Hamburg Rules art. 5.3 and the MT Convention art. 16.3 contain provisions
converting pending delay into a right for the claimant to treat the goods as lost.
The period has been set at 90 days in the MT Convention, while the period is only
60 days in the Hamburg Rules. The longer period of 90 days has been chosen for
the conversion in order to avoid that conversion occurs under the multimodal
transport contract before such a conversion has been possible under any
underlying unimodal transport contract. This will facilitate recourse actions by the
MTO against his subcontractors. It should be observed that conversion only takes
place in the absence of proof that the goods in fact have not been lost.
The stipulations in Rule 5.5 with respect to assessment of compensation reflect
the main principle of international conventions and national laws dealing with this
problem. The method to assess partial damage has not been dealt with. Individual
MTOs may choose to deal with this problem in additional stipulations in their MT
documents.
Rule 6 - Limitation of liability of the multimodal transport operator
Rule 6 has been based on the limitation provisions of the Hague-Visby Rules
including the so-called "container formula" meaning that the claimant could use
the units inside the container for limitation purposes provided they have been
mentioned in the transport document.
Since it is intended that the Rules should also cover multimodal transport not
including sea transport, the CMR limit of liability of 8.33 SDR per kilogramme has
in this case been used. It should be observed that this provision does not only
serve to increase the per kilogramme limitation but also to reduce the effect
which the "container formula" might lead to. The average weight of units in
containers in a number of trades is stated to be about 50 killogrammes and, if the
"container formula" applies, this would mean 100 SDR if the limitation amount
equals 2 SDR and 460.5 SDR if the limitation amount equals 8.33 SDR. These
amounts should be compared with the limitation of the Hague-Visby Rules which
amounts to 666.67 SDR.
It should be noted that the Rule provides limitation of liability not only for loss of or
damage to the goods and delay in delivery, but also for consequential loss.
Physical damage or loss may well result in various indirect losses which under
various jurisdictions may not be excluded by principles to limit the exposure of the
liable party and a monetary limitation of this type of liability is therefore
appropriate.
As has been said, the combined unit and per kilogramme limitation of the Hague-
Visby Rules applies together with the so-called "container formula" using the units
inside the container for limitation purposes when they have been mentioned in the
transport document. Also, the higher per kilogramme amount 8.33 SDR per
kilogramme applies where the multimodal transport does not involve sea
transport. However, another monetary limit may apply when loss or damage
could be localized to a particular stage of the transport, where according to an
applicable international convention or mandatory national law such other limit of
liability is stipulated. This serves to ensure that both parties will have access to
such higher or lower limit of liability as they would have had if they had concluded
a contract of carriage for the relevant segment of the transport.
Liability for delay in delivery or consequential loss is limited to an amount not
exceeding the equivalent of the freight charged under the multimodal transport
contract. Since it should not be possible for the claimant to get the "freight"
limitation in addition to the unit and per kilogramme limitation, Rule 6.6 provides
for an aggregation of the limits so that they may never exceed the limit of liability
for total loss of the goods.
Rule 7 - Loss of the right of the multimodal transport operator to limit
liability
The provision in Rule 7 on loss of the right to limit liability ensures that the right to
limit liability is preserved when the blameworthy behaviour has not occurred on
the managerial level but only on the part of the MTO's servants or agents. For this
purpose the word "personal" has been added before the words "act or omission".
Thus, a distinction is made between the MTO's own behaviour and the behaviour
of others, and the MTO does not lose his right to limit liability in cases where he is
only vicariously liable for acts or omissions of other persons.
Rule 8 - Liability of the consignor
This Rule makes the consignor liable under the principle that he is deemed to
have guaranteed to the MTO the accuracy of all information given with respect to
the goods and, in particular, their dangerous character. The consignor's duty to
indemnify the MTO against loss resulting from wrong information in these
respects is not limited to cases where inaccurate information is given but also
applies when the information is inadequate.
The consignor remains liable even if he has assigned his rights under the
multimodal transport contract to someone else by transferring the document. The
fact that the MTO may proceed against the consignor does not in any way prevent
him from holding other persons liable as well, for instance under the principle that
anyone who tenders goods of a dangerous nature to the MTO under the
applicable law could become liable in tort.
Rule 9 - Notice of loss of or damage to the goods
With respect to notice of loss of or damage to the goods a distinction has been
made between apparent and non-apparent loss or damage. In the former case,
notice should be given in writing to the MTO when the goods were handed over to
the consignee. In the latter case, notice should be given within six consecutive
days after the day when the goods were handed over to the consignee. In case of
late notice, the MTO would have established a prima facie case to the effect that
it is presumed that no loss or damage has occurred unless the contrary could be
proven by the claimant.
The Rule does not deal with actions by the MTO against the consignor and
therefore no period for notice of such claims has been provided for.
Rule 10 - Time-bar
The time-bar has been set at 9 months. The Hague-Visby Rules provide for a
one-year limit and the MT convention for a two-year limit. A time-bar of 9 months
had to be chosen in order to ensure that the MTO would have adequate
possibilities to institute recourse actions against the performing carrier. In the
absence of any legal provision protecting the MTO's recourse possibilities as
aforesaid, a shorter period has to be chosen than the period which applies under
mandatory law to the performing carrier.
Rule 11 - Applicability of the rules to actions in tort
The MTO would also need to be protected from claims when they relate to the
performance of the contract but nevertheless the claimant seeks to avoid the
Rules by founding his claim in tort. The Rule will not work when there is no
contractual relationship between the MTO and the claimant. However, it contains
an important protection for the MTO against a possible circumvention of the Rules
by the person who has agreed to be bound by the Rules.
Rule 12 - Applicability of the rules to the multimodal transport operator's
servants, agents and other persons employed by him
This Rule purports to protect the servants and agents and other persons
employed by the MTO, and thereby indirectly the MTO himself, by stipulating that
the same protection which applies to the MTO would also apply to the benefit of
"any servant, agent or other person whose services the multimodal transport
operator has used in order to perform the MT contract". Also in these cases it
does not matter whether such claims are founded in contract or in tort.
This Rule is of the same essence as the so-called Himalaya-clauses which are
usually to be found in the bills of lading and other transport documents. It should
be noted that the carrier is given the same protection under the Hague-Visby
Rules even in the absence of a clause.
But it is uncertain, at least in some jurisdictions, whether the protection also
applies to "independent contractors" as distinguished from "servants or agents". It
is particularly important that the protection in case of a multimodal transport
contract is not limited only to "servants or agents", since the MTO frequently
engages various sub-contractors in order to perform the contract.
In Anglo-American law, some difficulties may arise to make this particular Rule
effective in view of the difficulties in obtaining protection for third parties by
contractual arrangements. This might require particular techniques in order to
obtain the desired protection when English or United States law applies to the
carriage, e.g. to stipulate that the MTO, when agreeing with the consignor to apply
Rule 12, has done so as an agent or a trustee of the other persons concerned.
Rule 13 - Mandatory law
This Rule only serves as a reminder. Mandatory provisions of international
conventions or national law which may apply to the multimodal transport contract
will supersede the Rules. It could be argued that the multimodal transport contract
is a contract of its own type and that therefore no infringement of mandatory law
applicable to unimodal transport could occur. However, the "conversion" of a
unimodal carrier into an MTO may be considered an unacceptable way to avoid
mandatory law and that therefore mandatory law, in such a case, would defeat
some of the stipulations of these Rules. If it does, the Rules will become
ineffective but only to such extent.