第四章 提单相关法律

Chapter4LawsConcerningBillofLading2024/5/11NavigationalInstitute,JMU2BriefingObjectives（教学目的）Tograsp（掌握）InternationalconventionsconcerningB/L（有关提单的国际公约）CertainconceptsResponsibilitiesandobligationsofthepartiesLimitationoftheCarriers’liabilitiesCertainprovisionsinChineseMaritimeCode（中国海商法的部分条款）BackclauseofB/L（提单的背面条款）TofamiliarwithOtherprovisions2024/5/11NavigationalInstitute,JMU3BriefingDifficultpoints（难点）Responsibilities&obligationsoftheparties（当事人的责任）LimitationoftheCarriers’liabilities（承运人的责任限制）Primafacie&exclusiveevidence（初步证据和最终证据）2024/5/11NavigationalInstitute,JMU4ContentsInternationalconventions（国际公约）HagueRules（海牙规则）Hague-VisbyRules（海牙维斯比规则）HamburgRules（汉堡规则）RotterdamRules（鹿特丹规则）Domesticlaws（国内法）CMC（中国海商法）BackClausesofBillofLading（提单背面条款）HagueRulesDenHaag海牙Amsterdam阿姆斯特丹Rotterdam鹿特丹2024/5/11NavigationalInstitute,JMU6HagueRulesInternationalConventionfortheUnificationofCertainRulesofLawrelatingtoBillsofLading,1924

BackgroundCommonLaw(theUK)（英国普通法）CarriersimpliedguaranteeSeaworthiness(absolute)duedispatchNounreasonabledeviationCauseandeffectbetweenseaworthinessandlossordamagetogoods.（因果关系）2024/5/11NavigationalInstitute,JMU7BackgroundHartAct,1893(theU.S.)（美国哈特法）CarriersimplytoguaranteeSeaworthiness(relative)duedispatchNounreasonabledeviationHagueRulesNocauseandeffectbetweenseaworthinessandlossordamagetogoods.（不强调因果关系）2024/5/11NavigationalInstitute,JMU8TheOriginoftheRules1921,adoptionofthedraft10,1923,Brussels,completingthecodificationoftheRules1924,UKCOGSA25th.Aug.1924,Brussels,officialadoptionoftheInternationalConventionfortheUnificationofCertainRulesofLawrelatingtoBillsofLadingHagueRules16articlesinclude10substantialarticlesand6proceduralarticles（16条，其中10挑实质性条款）2024/5/11NavigationalInstitute,JMU9Art.1Definitions（定义条款）“carrier”（承运人）theowner（船舶所有人）thecharterer

（租船人）“contractofcarriage”appliesonlytobillofladinganysimilardocumentoftitle,includinganybillofladingoranysimilardocumentissuedunderorpursuanttoacharter-partyHagueRules2024/5/11NavigationalInstitute,JMU10HagueRulesArt.1Definitions“goods”（货物）includesgoods,wares,merchandiseandarticlesofeverykindwhatsoever,exceptLiveanimals（活动物）On-deckcargo（舱面货）“ship”meansanyvesselusedforthecarriageofgoodsbywater;“carriageofgoods”（货物运输）theperiodfromthetimewhenthegoodsareloadedontothetimetheyaredischargedfromtheship.（装上船到卸离船）2024/5/11NavigationalInstitute,JMU11Art.3Carriers’responsibilitiesandObligations（承运人的责任与义务）1.Thecarriershallbebound,beforeandatthebeginningofthevoyage,toexerciseduediligenceto

(a)maketheshipseaworthy;（使船舶适航）(b)properlyman,equipandsupplytheship;（配备船员、装备船舶、配备供应品）(c)maketheholds,refrigeratingandcoolchambers,andallotherpartsoftheshipinwhichgoodsarecarried,fitandsafefortheirreception,carriageandpreservation.（使货舱适货）HagueRules2024/5/11NavigationalInstitute,JMU122.SubjecttotheprovisionsofArticleIV,thecarriershallproperlyandcarefully（承运人应妥善而谨慎地）Load（装载）Handle（搬运）Stow（积载）Carry（运送）Keep（保管）carefor（照料）dischargethegoodscarried（卸载）

HagueRules2024/5/11NavigationalInstitute,JMU13HagueRules3.Afterreceivingthegoodsintohischarge,thecarrier,orthemasteroragentofthecarrier,shall,ondemandoftheshipper,issuetotheshipperabilloflading(a)Theleadingmarksnecessaryforidentificationofthegoods（货物标志）(b)Eitherthenumberofpackagesorpieces,orthequantity,orweight（包数或件数或数量或重量）(c)Theapparentorderandconditionofthegoods（货物的外表状况）2024/5/11NavigationalInstitute,JMU144.Suchabillofladingshallbeprimafacieevidence

ofthereceiptbythecarrierofthegoodsasthereindescribedinaccordancewithparagraph3(a),(b)and(c).（提单记载的表面证据）Exclusiveevidence?（最终证据）HagueRules2024/5/11NavigationalInstitute,JMU15HagueRulesArt.4RightsandImmunities（权利与豁免）1.Neitherthecarriernortheshipshallbeliableforlossordamagearisingorresultingfromunseaworthinessunlesscausedbywantofduediligenceonthepartofthecarriertomaketheshipseaworthy,andtosecurethattheshipisproperlymanned,equippedandsupplied,andtomaketheholds,refrigeratingandcoolchambersandallotherpartsoftheshipinwhichgoodsarecarriedfitandsafefortheirreception,carriageandpreservationinaccordancewiththeprovisionsofparagraph1ofArticleIII.不论承运人或船舶，对于因不适航所引起的灭失或损坏，都不负责，除非造成的原因是由于承运人未按第三条第1款的规定，克尽职责；使船舶适航；保证适当地配备船员、装备和供应该船，以及使货舱、冷藏舱和该船的其它装货处所能适宜并安全地收受、运送和保管货物。凡由于船舶不适航所引起的灭失和损害，对于已克尽职责的举证责任，应由根据本条规定要求免责的承运人或其他人承担。

HagueRules2024/5/11NavigationalInstitute,JMU17HagueRules2.Neitherthecarriernortheshipshallberesponsibleforlossordamagearisingorresultingfrom

(a)act,neglect,ordefaultofthemaster,mariner,pilotortheservantsofthecarrierinthenavigationorinthemanagementoftheship;（航行疏忽免责）(b)fire,unlesscausedbytheactualfaultorprivityofthecarrier;（火灾）(c)perils,dangersandaccidentsoftheseaorothernavigablewaters;（海难）(d)actofGod;（天灾）(e)actofwar;

（战争行为）2024/5/11NavigationalInstitute,JMU18HagueRules(f)actofpublicenemies;（公敌行为）(g)arrestorrestraintofprinces,rulersorpeople,orseizureunderlegalprocess;（君主、当权者或人民的扣留或管制，或依法扣押）(h)quarantinerestrictions;（检疫限制）(i)actoromissionoftheshipperorownerofthegoods,hisagentorrepresentative;（托运人或货主、其代理人或代表的行为或不行为）HagueRules(j)strikesorlock-outsorstoppageorrestraintoflabourfromwhatevercause,whetherpartialorgeneral;（不论由于任何原因所引起的局部或全面罢工、关厂停止或限制工作）(k)riotsandcivilcommotions;（暴动和骚乱）(l)savingorattemptingtosavelifeorpropertyatsea;（救助或企图救助海上人命或财产）(m)wastageinbulkorweightoranyotherlossordamagearisingfrominherentdefect,qualityorviceofthegoods;（由于货物的固有缺点、质量或缺陷引起的体积或重量亏损，或任何其它灭失或损坏）2024/5/11NavigationalInstitute,JMU20HagueRules(n)insufficiencyofpacking;（包装不充分）(o)insufficiencyorinadequacyofmarks;（标志不清或不当）(p)latentdefectsnotdiscoverablebyduediligence;（虽克尽职责亦不能发现的潜在缺点）(q)anyothercausearisingwithouttheactualfaultandprivityofthecarrier,orwithoutthefaultorneglectoftheagentsorservantsofthecarrier,buttheburdenofproofshallbeonthepersonclaimingthebenefitofthisexceptiontoshowthatneithertheactualfaultorprivityofthecarriernorthefaultorneglectoftheagentsorservantsofthecarriercontributedtothelossordamage.非由于承运人的实际过失或私谋，或者承运人的代理人，或雇佣人员的过失或疏忽所引起的其它任何原因；但是要求引用这条免责利益的人应负责举证，证明有关的灭失或损坏既非由于承运人的实际过失或私谋，亦非承运人的代理人或雇佣人员的过失或疏忽所造成；2024/5/11NavigationalInstitute,JMU22HagueRules4.AnydeviationinsavingorattemptingtosavelifeorpropertyatseaoranyreasonabledeviationshallnotbedeemedtobeaninfringementorbreachoftheseRulesorofthecontractofcarriage,andthecarriershallnotbeliableforanylossordamageresultingtherefrom.

Reasonabledeviation?FortheinterestsofboththecarriersandshippersUnreasonabledeviation?Forthecarriers’interestonly2024/5/11NavigationalInstitute,JMU23Limitationofcarriers’liability（责任限制）Art.4.5Neitherthecarriernortheshipshallinanyeventbeorbecomeliableforanylossordamagetoorinconnexionwithgoodsinanamountexceeding100poundssterlingperpackageorunit,ortheequivalentofthatsuminothercurrency

unlessthenatureandvalueofsuchgoodshavebeendeclaredbytheshipperbeforeshipmentandinsertedinthebilloflading.HagueRules承运人或是船舶，在任何情况下对货物或与货物有关的灭失或损害，每件或每计费单位超过一百英镑或与其等值的其他货币的部分，都不负责；但托运人于装货前已就该项货物的性质和价值提出声明，并已在提单中注明的，不在此限2024/5/11NavigationalInstitute,JMU25HagueRulesArt.4.6Dangerousgoods（危险货物）Goodsofaninflammable,explosiveordangerousnaturetotheshipmentwhereofthecarrier,masteroragentofthecarrierhasnotconsentedwithknowledgeoftheirnatureandcharacter,

mayatanytimebeforedischargebelandedatanyplace,ordestroyedorrenderedinnocuousbythecarrierwithoutcompensation2024/5/11NavigationalInstitute,JMU26HagueRulesthe

shipperofsuchgoodsshallbeliableforalldamageandexpensesdirectlyorindirectlyarisingoutoforresultingfromsuchshipment.Ifanysuchgoodsshippedwithsuchknowledgeandconsentshallbecomeadangertotheshiporcargo,theymayinlikemannerbelandedatanyplace,ordestroyedorrenderedinnocuousbythecarrierwithoutliabilityonthepartofthecarrierexcepttogeneralaverage,ifany.2024/5/11NavigationalInstitute,JMU27HagueRulesAnyclause,covenant,oragreementinacontractofcarriagerelievingthecarrierortheshipfromliabilityforlossordamageto,orinconnexionwith,goodsarisingfromnegligence,fault,orfailureinthedutiesandobligationsprovidedinthisArticleorlesseningsuchliabilityotherwisethanasprovidedinthisConvention,shallbenullandvoidandofnoeffect.Abenefitofinsuranceinfavourofthecarrierorsimilarclauseshallbedeemedtobeaclauserelievingthecarrierfromliability.2024/5/11NavigationalInstitute,JMU28Art.3.6TimebarUnlessnoticeoflossordamageandthegeneralnatureofsuchlossordamagebegiveninwritingtothecarrierorhisagentattheportofdischargebeforeoratthetimeoftheremovalofthegoodsintothecustodyofthepersonentitledtodeliverythereofunderthecontractofcarriage,or,ifthelossordamagebenotapparent,withinthreedays,suchremovalshallbeprimafacieevidenceofthedeliverybythecarrierofthegoodsasdescribedinthebilloflading.HagueRules2024/5/11NavigationalInstitute,JMU29HagueRulesThenoticeinwritingneednot

begivenifthestateofthegoodshas,atthetimeoftheirreceipt,beenthesubjectofjointsurveyorinspection.Inanyevent

thecarrierandtheshipshallbedischargedfromallliabilityinrespectoflossordamageunlesssuitisbroughtwithinoneyearafterdeliveryofthegoodsorthedatewhenthegoodsshouldhavebeendelivered.2024/5/11NavigationalInstitute,JMU30HagueRulesArt.10ApplicationoftheRulesTheprovisionsofthisConventionshallapplytoallbillsofladingissuedinanyofthecontractingStates.2024/5/11NavigationalInstitute,JMU31DisadvantagesoftheRulesMoreattentiontocarriers’interestUnbalancedallocationoftheriskUn-uniformofinterpretationNotapplicabletocontainercarriageLowlimitationofliabilityShorttimebarHagueRules2024/5/11NavigationalInstitute,JMU322024/5/11NavigationalInstitute,JMU33ProtocoltoAmendtheInternationalConventionfortheUnificationofCertainRulesofLawRelatingtoBillofLadingHague-VisbyRules2024/5/11NavigationalInstitute,JMU34Hague-VisbyRulesBackgroundTwoopinionsofmodification

Cargoowners’opinionTotalmodificationAbolishingvague,unreasonableclausesDevelopedshippingcountries’opinionCompromisebothparties’opinionPartialmodificationandamendment2024/5/11NavigationalInstitute,JMU35HistoryJune,1963draftofprotocolbyCMIofUNCTADtomaritimelawconference23rd,Feb.1968,Brussels,adoptionofRulesDuringtheconference,representativesvisitedthecityofVisby17articlesincluding6substantialclausesHague-VisbyRules2024/5/11NavigationalInstitute,JMU362024/5/11NavigationalInstitute,JMU372024/5/11NavigationalInstitute,JMU38AmendmenttoHagueRulesEffectofProofofBillofLadingPrimaFacieEvidenceSuchabillofladingshallbeprimafacieevidenceofthereceiptbythecarrierofthegoodsasthereindescribedinaccordancewithparagraph3(a),(b)and(c).

--Art.3.4,HagueRulesHague-VisbyRules2024/5/11NavigationalInstitute,JMU39AmendmenttoHagueRulesEffectofProofofBillofLadingExclusiveEvidenceHowever,prooftothecontraryshallnotbeadmissiblewhenthebillofladinghasbeentransferredtoathirdpartyactingingoodfaith.

--Art.3.4,Hague-VisbyRulesHague-VisbyRules2024/5/11NavigationalInstitute,JMU40Limitationofcarriers’liability(a)Unlessthenatureandvalue

ofsuchgoodshavebeendeclaredbytheshipperbeforeshipmentandinsertedinthebilloflading,neitherthecarriernortheshipshallinanyeventbeorbecomeliableforanylossordamagetoorinconnectionwiththegoodsinanamountexceeding10,000monetaryunits

perpackage

orunitor30monetaryunits

perkilogrammeofgrossweight

ofthegoodslostordamaged,whicheveristhehigher.Hague-VisbyRules2024/5/11NavigationalInstitute,JMU41(c)Whereacontainer,palletorsimilararticleoftransportisusedtoconsolidategoods,thenumberofpackagesorunitsenumeratedinthebillofladingaspackedinsucharticleoftransportshallbedeemedthenumberofpackagesorunitsforthepurposeofthisparagraphasfarasthesepackagesorunitsareconcerned.Exceptasaforesaidsucharticleoftransportshallbeconsideredthepackageorunit.Hague-VisbyRules2024/5/11NavigationalInstitute,JMU42Hague-VisbyRulesThemonetaryunitreferredtointheprecedingsentencecorrespondsto65.5milligrammesofgoldofmillesimalfineness900.(e)Neitherthecarriernortheshipshallbeentitledtothebenefitofthelimitationofliabilityprovidedforinthisparagraphifitisprovedthatthedamageresultedfromanactoromissionofthecarrierdonewithintenttocausedamage,orrecklesslyandwithknowledgethatdamagewouldprobablyresult.2024/5/11NavigationalInstitute,JMU43ApplicationofDefensesandLimitsofLiability(HymalayaClause)ThedefencesandlimitsofliabilityprovidedforintheseRulesshallapplyinanyactionagainstthecarrierinrespectoflossordamagetogoodscoveredbyacontractofcarriagewhethertheactionbefounded

incontractorintort.Hague-VisbyRules2024/5/11NavigationalInstitute,JMU44Applicationofdefencesandlimitsofliability(HymalayaClause)Ifsuchanactionisbroughtagainstaservantoragentofthecarrier(suchservantoragentnotbeinganindependentcontractor),suchservantoragentshallbeentitledtoavailhimselfofthedefencesandlimitsofliabilitywhichthecarrierisentitledtoinvokeundertheseRules.Hague-VisbyRules2024/5/11NavigationalInstitute,JMU45TimeBarSubjecttoparagraph6bisthecarrierandtheshipshallinanyeventbedischargedfromallliabilitywhatsoeverinrespectofthegoods,unlesssuitisbroughtwithinoneyearoftheirdeliveryorofthedatewhentheyshouldhavebeendelivered.Thisperiodmay,however,beextendedifthepartiessoagreeafterthecauseofactionhasarisen.Hague-VisbyRules2024/5/11NavigationalInstitute,JMU46AnactionforindemnityagainstathirdpersonmaybebroughtevenaftertheexpirationoftheyearprovidedforintheprecedingparagraphifbroughtwithinthetimeallowedbythelawoftheCourtseizedofthecase.However,thetimeallowedshallbenotlessthanthreemonths,commencingfromthedaywhenthepersonbringingsuchactionforindemnityhassettledtheclaimorhasbeenservedwithprocessintheactionagainsthimself.Hague-VisbyRules2024/5/11NavigationalInstitute,JMU47ApplicationoftheRulesTheprovisionsoftheseRulesshallapplytoeverybillofladingrelatingtothecarriageofgoodsbetweenportsintwodifferentStatesif:

(a)thebillofladingisissuedinaContractingState,or(b)thecarriageisfromaportinaContractingState,or(c)thecontractcontainedinorevidencedbythebillofladingprovidesthattheseRulesorlegislationofanyStategivingeffecttothemaretogovernthecontract,whatevermaybethenationalityoftheship,thecarrier,theshipper,theconsignee,oranyotherinterestedperson.Hague-VisbyRules2024/5/11NavigationalInstitute,JMU48HamburgRulesBackgroundChangesinpoliticalandeconomicaspects3rdWorld’sunsatisfactionwiththemodificationandamendmentofVisbyRulestoHagueRules 2024/5/11NavigationalInstitute,JMU49OriginoftheRulesUNCTAD&UNCITRALMay,1976,UNCITRALdraftedtheRulesMar.1978,Hamburg,adoptionoftheUnitedNationsConventionontheCarriageofGoodsbySea,1978HamburgRules2024/5/11NavigationalInstitute,JMU50CharacteristicsReservationofsomereasonablecontentsThoroughmodificationtoHagueRulesEnlargingthecarriers’responsibilitiesandliabilities“Completeliabilitysystembasedonfault”7chapterswith34articles。HamburgRules2024/5/11NavigationalInstitute,JMU51Definitions"Carrier"

anypersonbywhomorinwhosenameacontractofcarriageofgoodsbyseahasbeenconcludedwithashipper."Actualcarrier"

anypersontowhomtheperformanceofthecarriageofthegoods,orofpartofthecarriage,hasbeenentrustedbythecarrier,andincludesanyotherpersontowhomsuchperformancehasbeenentrusted.HamburgRules2024/5/11NavigationalInstitute,JMU52"Shipper"anypersonbywhomorinwhosenameoronwhosebehalfacontractofcarriageofgoodsbyseahasbeenconcludedwithacarrier,oranypersonbywhomorinwhosenameoronwhosebehalfthegoodsareactuallydeliveredtothecarrierinrelationtothecontractofcarriagebysea."Consignee"thepersonentitledtotakedeliveryofthegoods.

HamburgRules2024/5/11NavigationalInstitute,JMU53"Goods"liveanimalswherethegoodsareconsolidatedinacontainer,palletorsimilararticleoftransportorwheretheyarepacked,goodsincludessucharticleoftransportorpackagingifsuppliedbytheshipper.HamburgRules2024/5/11NavigationalInstitute,JMU54"Contractofcarriagebysea"

anycontractwherebythecarrierundertakesagainstpaymentoffreighttocarrygoodsbyseafromoneporttoanother;however,acontractwhichinvolvescarriagebyseaandalsocarriagebysomeothermeansisdeemedtobeacontractofcarriagebyseaforthepurposesofthisConventiononlyinsofarasitrelatestothecarriagebysea.HamburgRules2024/5/11NavigationalInstitute,JMU55案例一：

1996年4月12日，物资公司与E&B公司签订一份购买1000吨丙酮的买卖合同，约定CFR宁波每吨545美元，合同价款54.5万美元，允许短装5％。4月28日，丙酮装上“BowSky”轮，船长签发了OdfjellTankersKs公司的提单，收货人由通知方中国外运指示，起运港为南非德班港，目的港为中国宁波港。5月2日，英之杰公司出具检验报告，表明装入“BowSky”轮上所载货物驶往中国港口。6月3日，货物转船至韩国三富公司所属“奥林匹亚三富”轮运往目的港，经经验高锰酸钾反应试验的指标低于120。6月27日，“奥林匹亚三富”轮抵达宁波港。经宁波商检局检验，丙酮数量为931.054吨，高锰酸钾反应试验的指标仍低于120。物资公司收货后，赔付下家违约金2024/5/11NavigationalInstitute,JMU56

278110.75元并削价处理了该批货物。物资公司以合法的提单持有人的身份向宁波海事法院起诉，索赔货差损失、违约金损失、市场差价损失、储罐费及利息损失等。 被告辩称：原告所持正本提单是一程船“BowSky”轮船长签发的全程联运提单，被告是分段承运人，从未向货方签发过提单，其与原告之间没有法律关系。在中途港，货从“BowSky”卸下前相关指标就已经不合要求，货物少量短卸。被告对货物污损和短少不负责任。 本案经海事法院主持调解，双方自愿达成和解协议而结案。2024/5/11NavigationalInstitute,JMU57案例二：

1993年，中国出口商A以FOB价格向美国进口商B销售一批蔬菜。B公司向船公司C订舱后，通知A公司将货物装到C公司指定的船上。C公司又将货物转交给了船公司D。 货物装船后，C公司向A公司签发了提单。该提单载明托运人为A公司，运费到付。船公司D也向C公司签发了提单，载明托运人和收货人都是C公司，运费预付。但是实际上C公司并未向D公司支付运费。 货物抵达目的港后，发现已经变质，不能商销。美国进口商拒绝提货并拒绝支付运费。D公司不得不将货物全部销毁，并支付了巨额的费用。

D公司在中国起诉C公司，要求C公司支付未付的预付运费和在目的港销毁货物的费用。2024/5/11NavigationalInstitute,JMU58

C公司要求将A公司列为被告或第三人参加诉讼，并主张A公司应向D公司支付运费和销毁费用。其认为：（1）A公司是提单上记名的托运人，依法应付运费；（2）A公司依法应承担在目的港的销毁费用。

A公司抗辩：（1）货物以FOB成交，虽然提单载明A公司为托运人，但B公司也为托运人。（2）B公司作为收货人，有义务支付到付运费。（3）托运人对收货人拒绝提货造成的损失不承担责任。 法院判决B公司支付运费和销毁费用。2024/5/11NavigationalInstitute,JMU59Periodofresponsibility－Art.4.11.TheresponsibilityofthecarrierforthegoodsunderthisConventioncoverstheperiodduringwhichthecarrierisinchargeofthegoodsattheportofloading,duringthecarriageandattheportofdischarge.HamburgRules2024/5/11NavigationalInstitute,JMU60Periodofresponsibility－Art.4.12.Forthepurposeofparagraph1ofthisarticle,thecarrierisdeemedtobeinchargeofthegoods

(a)fromthetimehehastakenoverthegoodsfrom:

(i)theshipper,orapersonactingonhisbehalf;or(ii)anauthorityorotherthirdpartytowhom,pursuanttolaworregulationsapplicableattheportofloading,thegoodsmustbehandedoverforshipment;HamburgRules2024/5/11NavigationalInstitute,JMU61(b)untilthetimehehasdeliveredthegoods:

(i)byhandingoverthegoodstotheconsignee;or(ii)incaseswheretheconsigneedoesnotreceivethegoodsfromthecarrier,byplacingthematthedisposaloftheconsigneeinaccordancewiththecontractorwiththelaworwiththeusageoftheparticulartrade,applicableattheportofdischarge;or(iii)byhandingoverthegoodstoanauthorityorotherthirdpartytowhom,pursuanttolaworregulationsapplicableattheportofdischarge,thegoodsmustbehandedover.

HamburgRules2024/5/11NavigationalInstitute,JMU62Basisofliability－Art.5.1Thecarrierisliableforlossresultingfromlossofordamagetothegoods,aswellasfromdelayindelivery,iftheoccurrencewhichcausedtheloss,damageordelaytookplacewhilethegoodswereinhischargeasdefinedinarticle4,unlessthecarrierprovesthathe,hisservantsoragentstookallmeasuresthatcouldreasonablyberequiredtoavoidtheoccurrenceanditsconsequences.“CompleteLiabilitySystemBasedonFault”HamburgRules2024/5/11NavigationalInstitute,JMU63Delayindelivery－Art.5.2Delayindeliveryoccurswhenthegoodshavenotbeendeliveredattheportofdischargeprovidedforinthecontractofcarriagebyseawithinthetimeexpresslyagreeduponor,intheabsenceofsuchagreement,withinthetimewhichitwouldbereasonabletorequireofadiligentcarrier,havingregardtothecircumstancesofthecase.HamburgRules2024/5/11NavigationalInstitute,JMU64Thepersonentitledtomakeaclaimfor

thelossofgoodsmaytreatthegoodsaslost

iftheyhavenotbeendeliveredasrequiredbyarticle4within60consecutivedays

followingtheexpiryofthetimefordeliveryaccordingtoparagraph2ofthisarticle.HamburgRules2024/5/11NavigationalInstitute,JMU65货物未能在60天内交付，收货人可以：

1.接受货物，并向承运人提出延迟交付索赔 （1）市场差价 （2）利息损失 （3）停工停产的损失

2.拒绝接受货物，并向承运人提出全损索赔 此时索赔的并不是价格差额，而是按市场价格计算的货物的全部价值。HamburgRules2024/5/11NavigationalInstitute,JMU66案例：

1992年10月30日和1993年2月3日，我国某五矿公司与罗马尼亚A公司签订两份买卖合同，分别约定购买1万吨线材和1万吨角钢。

1993年1月16日五矿公司又与另一罗马尼亚公司签订不买2012吨不同规格扁钢的买卖合同。

1993年3月23日至4月12日，两罗马尼亚公司在罗马尼亚康斯坦萨港将货物装上“柯兹亚”轮。船长签发了1号和2号提单。 装货过程中，船东对其主机及其辅助设备和机舱的其他及其进行检修。4月12日装货完毕后，船舶多次移泊，并继续对其主机及其辅助设备和机舱的其他及其进行检修。2024/5/11NavigationalInstitute,JMU67

5月1日、4日和13日，多次适航均因机器故障未能成功。14日船舶移至港外锚地启航，期间多次发生主机故障。16日主要靠左主机航行。而后多次停机漂流。

18日8时驶抵土耳其伊斯坦布尔。同日船长电告公司，船舶无法继续航行。19日公司指示继续航行，前往塞得港修理。 此后至5月27日，在伊斯坦布尔港锚地修理主机，之后，以右主机单机航行。

31日抵达塞得港，至8月24日，一直在该港修理主机。24日，在引水和拖轮的协助下，使用左主机通过苏伊士运河。

28日驶抵吉大港，重新修理主机。

2024/5/11NavigationalInstitute,JMU68 9月1日驶抵亚丁港，主机制造工程人员登轮修理主机仍未能修复。之后，使用左主机继续航行。

10月6日驶抵新加坡锚地，至10月28日，停泊修理右主机。

11月10日，“柯兹亚”轮终于驶抵广州黄埔港，历时近6个月。

11月16日，五矿公司以“柯兹亚”轮不适航，以致货物延迟运到并发生严重货损为由，向广州海事法院申请扣押该轮，要求被申请人提供300万美元的担保。 因船东未在规定时间内提供担保，经五矿公司申请，法院与1994年5月18日强制拍卖了“柯兹亚”轮。2024/5/11NavigationalInstitute,JMU69Limitationofcarrier’sliability－Art.6(a)Theliabilityofthecarrierforlossresultingfromlossofordamagetogoodsaccordingtotheprovisionsofarticle5islimitedtoanamountequivalentto835unitsofaccountperpackage

orothershippingunitor2.5unitsofaccountperkilogramofgrossweightofthegoodslostordamaged,whicheveristhehigher.HamburgRules2024/5/11NavigationalInstitute,JMU70(b)Theliabilityofthecarrier

fordelay

indeliveryaccordingtotheprovisionsofarticle5islimitedtoanamountequivalenttotwoandahalftimesthefreightpayableforthegoodsdelayed,butnotexceedingthetotalfreightpayableunderthecontractofcarriageofgoodsbysea.HamburgRules2024/5/11NavigationalInstitute,JMU71(c)Innocaseshalltheaggregateliabilityofthecarrier,underbothsubparagraphs(a)and(b)ofthisparagraph,exceedthelimitationwhichwouldbeestablishedundersubparagraph(a)ofthisparagraphfortotallossofthegoodswithrespecttowhichsuchliabilitywasincurred.HamburgRules2024/5/11NavigationalInstitute,JMU72例：

一张提单项下的货物为1000吨，假设运费总额50000美元。其中有200吨货物延迟交付了。因此这批延迟交付货物的责任限制应为运费总额的2.5倍计算，即

50000×1/5×2.5＝25000美元

但如果延迟交付的货物为500吨，则责任限额应为：50000×1/2×2.5＝62500美元

则责任限额应为50000美元。2024/5/11NavigationalInstitute,JMU73CalculatingUnit(a)Whereacontainer,palletorsimilararticleoftransportisusedtoconsolidategoods,thepackageorothershippingunitsenumeratedinthebilloflading,ifissued,orotherwiseinanyotherdocumentevidencingthecontractofcarriagebysea,aspackedinsucharticleoftransportaredeemedpackagesorshippingunits.Exceptasaforesaidthegoodsinsucharticleoftransportaredeemedoneshippingunit.HamburgRules2024/5/11NavigationalInstitute,JMU74(b)Incaseswherethearticleoftransportitselfhasbeenlostordamaged,thatarticleoftransport,ifnotownedorotherwisesuppliedbythecarrier,isconsideredoneseparateshippingunit.HamburgRules2024/5/11NavigationalInstitute,JMU75Applicationtonon-contractualclaimsArt.7.1,7.2and7.3SameaswhichisstipulatedinHague-VisbyRulesHamburgRules2024/5/11NavigationalInstitute,JMU76Lossofrighttolimitresponsibility–Art.8Thecarrierisnotentitledtothebenefitofthelimitationofliabilityprovidedforinarticle6ifitisprovedthattheloss,damageordelayindeliveryresultedfromanactoromissionofthecarrierdonewiththeintenttocausesuchloss,damageordelay,or

recklesslyandwithknowledgethatsuchloss,damageordelaywouldprobablyresult.HamburgRules2024/5/11NavigationalInstitute,JMU77Notwithstandingtheprovisionsofparagraph2ofarticle7,aserva