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Reply of the Supreme People's Court on Request for Instructions on Whether the Contract for the Carriage of Goods by Sea Concluded between an Operator Unqualified as a Non-Vessel Operating Common Carrier and a Shipper or the Bill of Lading Issued by Such an Operator Is Valid | | 最高人民法院关于未取得无船承运业务经营资格的经营者与托运人订立的海上货物运输合同或签发的提单是否有效的请示的复函 |
| (No. 19 [2007] of the Supreme People's Court on November 28, 2007) | | （2007年11月28日 [2007]民四他字第19号） |
| The Higher People's Court of Tianjin Municipality: | | 天津市高级人民法院： |
| Your Request for Instructions on Whether the Contract for the Carriage of Goods by Sea Concluded between an Operator Unqualified as a Non-Vessel Operating Common Carrier and a Shipper or the Bill of Lading Issued by Such an Operator Is Valid has been received. | | 你院关于未取得无船承运业务经营资格的经营者与托运人订立的海上货物运输合同或签发的提单是否有效的请示收悉。 |
| In accordance with the provisions of the Regulations of the People's Republic of China on International Maritime Transportation (hereinafter referred to as the Maritime Transportation Regulations), those engaging in the non-vessel operating common carrier (“NVOCC”) business shall make the registration of a bill of lading with the department in charge of communications under the State Council and pay a security deposit. In this case, Shenzhen Longfeng International Transportation Agent Co. Ltd. which was not qualified as a NVOCC, in violation of the provisions of the Maritime Transportation Regulations, issued the bills of lading that had not been registered with the department in charge of communications, and therefore, the court accepting this case should offer judicial recommendations to the relevant department in charge of communications, suggesting that the department in charge of communications should impose penalties. However, for Shenzhen Longfeng International Transportation Agent Co. Ltd,, its act of issuing a bill of lading on the request of a shipper after receiving goods does not fall under the circumstances of violating the mandatory provisions of laws and administrative regulations as prescribed in Article 52, Item (5) of the Contract Law of the People's Republic of China, and the bills of lading should be deemed valid. | | 根据《中华人民共和国国际海运条例》（以下简称《海运条例》）的规定，经营无船承运业务，应当向国务院交通主管部门办理提单登记，并交纳保证金。本案中深圳龙峰国际货运代理公司在未取得无船承运业务经营资格的情况下签发了未在交通主管部门登记的提单，违反了《海运条例》的规定，受理案件的法院应当向有关交通主管部门发出司法建议，建议交通主管部门予以处罚。但深圳龙峰国际货运代理公司收到货物后应托运人的要求签发提单的行为，不属于《中华人民共和国合同法》第五十二条第（五）项规定的违反法律、行政法规的强制性规定的情形，该提单应认定为有效。 |
| Annex: | | 此复。 |
| | 附： |
| Request of the Higher People's Court of Tianjin Municipality for Instructions on Whether the Contract for the Carriage of Goods by Sea Concluded between an Operator Unqualified as a Non-Vessel Operating Common Carrier and a Shipper or the Bill of Lading Issued by Such an Operator Is Valid | | 天津市高级人民法院关于未取得无船承运业务经营资格的经营者与托运人订立的海上货物运输合同或签发的提单是否有效问题的请示报告 |
| (No. 145 [2007] of the Higher People's Court of Tianjin Municipality on August 24, 2007) | | （2007年8月24日 津高法[2007]145号） |
| The Supreme People's Court: | | 最高人民法院： |
| In the trial of disputes over the contract for carriage of goods by sea in the case of Tianjin Pureland Camping Equipment Co., Ltd. (hereinafter referred to as PurelandCompany) v. Shenzhen Longfeng International Transportation Agent Co. Ltd. (hereinafter referred to as Longfeng Company) as accepted on April 10, 2007, the Tianjin Maritime Court found that Longfeng Company which was not qualified as a non-vessel operating common carrier (“NVOCC”) issued the bills of lading for the goods involved in this case that failed to undergo the recordation procedure with the Ministry of Communications. For the issues regarding the validity of the contract for the carriage of goods by sea concluded between Longfeng Company and a shipper or the bills of lading issued by Longfeng Company in violation the relevant provisions of the Regulation of the People's Republic of China on International Maritime Transportation (hereinafter referred to as the Maritime Transportation Regulations), the Tianjin Maritime Court had different understandings and requested instructions from this Court. Upon examination, this Court holds that the said issues are related to the application of law, and hereby requests instructions from the Supreme People's Court. The relevant information is hereby reported as follows: | | 天津海事法院于2007年4月10日受理的原告天津普尔兰德旅游装备有限公司（以下简称普尔兰德公司）诉被告深圳龙峰国际货运代理有限公司（以下简称龙峰公司）海上货物运输合同无正本提单放货纠纷一案，在审理中查明，龙峰公司在未取得无船承运业务经营资格的情况下就涉案货物签发了未在交通部备案的提单。对于龙峰公司违反《中华人民共和国国际海运条例》（以下简称《海运条例》）的有关规定，与托运人订立的海上货物运输合同或所签发的提单的效力问题，该院存在不同认识，向我院进行请示。我院经审查认为上述问题涉及法律适用，特此向钧院请示。现将有关情况报告如下： |
| I. Basic facts | | 一、基本案情 |
| On June 5, 2006, PurelandCompanyentered intoa trade contract with a foreign buyer to sell goods worth 167,522.84 US dollars, in which the terms of delivery was FOB Xingang, the port of destination Wellington Harbour, New Zealand and the terms of payment T/T, and the buyer designated Longfeng Company as the carrier of the goods. After receiving the goods, Longfeng Company issued No. SZLF200609028 and SZLF200610025 Bills of Lading in its own name, indicating that the sailing dates separately were September 17, 2006 and October 22, 2006. Thereafter, PurelandCompany knew that the goods under the bills of lading had been withdrawn and it suffered losses because of failing to recover the payment for goods in full. Upon investigation, in accordance with the directory of NVOCCs as published by the Ministry of Communications, Longfeng Company was not qualified as a NVOCC. | | 2006年6月5日，普尔兰德公司与国外买方签订贸易合同，出售价值167522．84美元的货物，交货条件为FOB新港，目的港为新西兰惠灵顿港，付款条件为T／T，买方指定龙峰公司为货物的承运人。龙峰公司收取货物后，以自己的名义签发了编号为SZLF200609028和SZLF200610025的提单，开船日期分别为2006年9月17日和2006年10月22日。后普尔兰德公司得知提单项下货物已经被提取，因未收回全部货款受到损失。经查，根据交通部公布的无船承运业务经营者名录，龙峰公司并未取得无船承运业务经营资格。 |
| II. Existing issues | | 二、存在的问题 |
The Maritime Transportation Regulations officially came into force on January 1, 2002. In accordance with Article 7 of the Maritime Transportation Regulations, “Those operating the non-vessel shipping business shall make the registration of bill of lading with the department in charge of transportation under the State Council, and shall pay the security deposit.The ‘non-vessel shipping business' as used in the preceding paragraph refers to the international ocean shipping business operations of a non-vessel shipping operator to accept the cargo of the shipper as the carrier, take the freight charges from the shipper by issuing his own bills of lading or other transport documents, ship the international ocean goods through international shipping operators and bear the responsibilities of the carrier.” Article 26 of the Maritime Transportation Regulations also provided that, “Those that fail to make the registration of bill of lading and pay thesecurity deposit under the provisions of these Regulations may not engage in the businessof non-vessel shipping.” Therefore, whether a Chinese NVOCC or a foreign NVOCC, it must obtain the qualification for operatingthe NVOCC business in accordance with the provisions of the Regulations and the Detailed Rules for the Implementation of the Regulations of the People's Republic of China on International Maritime Transportation (hereinafter referred to as the Detailed Rules for Implementation) before engaging in the NVOCC business.
．．．．．． | | 2002年1月1日《海运条例》正式施行。根据《海运条例》第七条的规定，“经营无船承运业务，应当向国务院交通主管部门办理提单登记，并交纳相应的保证金。前款所称无船承运业务，是指无船承运业务经营者以承运人身份接受托运人的货载，签发自己的提单或者其他运输单证，向托运人收取运费，通过国际船舶运输经营者完成国际海上货物运输，承担承运人责任的国际海上运输经营活动。”《海运条例》第二十六条同时规定，“未依照本条例的规定办理提单登记并交纳保证金的，不得经营无船承运业务。”因此，无论是中国无船承运业务经营者还是外国无船承运业务经营者，均应当依照该条例及《中华人民共和国国际海运条例实施细则》（以下简称《实施细则》）的规定取得无船承运业务经营资格后，方可从事无船承运业务经营活动。
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