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Introduction
Les « Règles de transport maritime internationaux de la République populaire de Chine » ont été
mises en place depuis le 1 er janvier 2002. Cela signifie que le système législatif pour l'administration
de NVOCC a été installé à titre d'essai. A l’heur actuelle, il y a plus de mille entreprises qui ont
obtenu le certificat de qualification de gestion de NVOCC. Les affaires de NVOCC se développent
très vite en Chine. Cependant, il y a beaucoup d'insuffisances et des conflits sur certaines questions
détaillées comme : comment identifier son statut juridique ? Dans quelles circonstances l’expédition
de marchandise peut être considérée comme NVOCC et quelles lois doit être appliquées ? Le
NVOCC peut-il devenir une entité bénéficiant des limites de responsabilité de compensation dans
des affaires maritimes ? La nature du B/L de NVOCC etc... Au vue ce qui précède, ce texte fournit
en particulier quelques vues sur ces pratiques.
Mots clés :
Sommaire
INTRODUCTION 1
SOMMAIRE 2
2.1 LES EFFETS DE B/L ÉMIS PAR DES NVOCC NON QUALIFIES 17
2.2 L’IDENTIFICATION DE LA NATURE DE B/L DES NVOCC 21
BIBLIOGRAPHIES 38
ANNEXE 40
Table de matière 74
B/L Connaissement
CAE Conseil des Affaires d’Etat.
CAST China Association of Shipbuilding Trade.
CCPIT Chambre de Commerce Internationale de Chine.
CEP Commission d’État au Plan. .
CMAC Commission d’arbitrage maritime de Chine.
CMI Comité international de commerce maritime
CNUCED Conférence des Nations Unies sur le commerce et le
développement.
COSCO China Ocean Shipping Company.
COSCON COSCO Container Lines.
CPL Comité(s) permanent(s) de l’(des) Assemblée(s) populaire(s) locale(s).
CRTS China Road Transportation Co.
CSG China Shipping Group.
FMC Comité maritime fédéral
FCR Forwarder’s Cargo Receipt
CTB/L Combined Transport Bill of Lading.
GATT General Agreement on Tariffs and Trade.
IDEInvestissements directs étrangers.
MAC Municipalité(s) relevant directement de l’autorité centrale.
NCM Négociations Commerciales Multilatérales.
NVOCC Non-Vessel Owning Common Carrier
OMC Organisation Mondiale du Commerce.
OSRA Ocean Shipping Reform Act
PENAVICO China Ocean Shipping Agency.
SINOTRANS China National Foreign Trade Transportation.
UE Union Européenne.
UNCITRAL Commission des Nations Unies pour le droit commercial
international
En Chine, même si la définition propre de NVOCC n’existe pas, mais dans les
« Règles de transport maritime international », Article 7, on a défini les activités de
NVOCC :
« Être engagé dans des services non-vessel-operating, les formalités à enregistrer dans
le B/L seront subies avec le département de communications compétent du Conseil
d'état et la garantie de sécurité sera payée en conséquence.
1
Jean-Michel MORINIERE thèse Les NVOCC Du concept de transporteur maritime contractuel
mer contre le paiement du fret par le chargeur, et assume les responsabilités d'un
transporteur.
Être engagé dans des services non-vessel-operating dans le territoire chinois, une
entreprise en tant que personne juridique sera établie selon la loi dans le territoire
chinois. » (voir Annexe 1)
En raison des différences de définition des NVOCC, certains pensent que le NVOCC
est un transporteur commun sans vaisseaux, le domaine et le mode d’activité se
limitent dans le transport maritime de navire en ligne régulière ; certains pensent que
ses domaines d’activités peuvent s’étendre dans le transports maritimes irréguliers.
Ainsi, il est nécessaire de clarifier les relations entre NVOCC et transporteur
commun.
Les notions des NVOCC et transporteurs communs sont des concepts des systèmes
populaires anglo-saxons. Selon la réglementation, quoi que transport terrestre, fluviale
ou maritime, les transporteurs peuvent se distinguer en transporteurs communs et
transporteurs privés. Les transporteurs communs sont les personnes ou entités qui
transportent des marchandises commissionnées ou non par des personnes non fixées.
Ainsi, les transporteurs communs ont l’obligation de prendre les transports de toutes
les personnes, toutes les marchandises. Par contre, les transporteurs privés ne
transportent que des marchandises commissionnées ou non de certaines personnes, et
le transporteur a le choix de ses clients 2. Le transporteur commun a l’obligation
d’accepter des marchandises confiées par toutes personnes et il est responsable pour la
perte de ces marchandises, sauf quelques cas très rare. Pour le transporteur privé, il ne
fournit que des services à certains clients fixés, et au maximum, il est responsable
envers les clients que pour sa faute. Maintenant, la distinction entre NVOCC et
transporteur apparaît moins importante, car le transporteur commun peut limiter sa
responsabilité par des articles et termes contractuelles.
2
Yang, R., « Transporteur commun et transporteur privé » (Chinois), Hebdomadaire de navigation, 2001 (3), page
9.
les NVOCC. Dans les autres domaines législatifs, le droit ne distingue pas des
transporteurs communs et privés. Dans le « Code de commerce maritime » il n’y pas
non plus de notion de transporteur commun.
Ainsi, l’auteur considère qu’en raison que le terme « NVOCC » est apparu d’abord
dans les droits et le système de surveillance américaines, ainsi les lois concernent
seulement des transporteurs communs, et les transporteurs privés ne sont pas
concernés. Par conséquent, d’un point de vue des sujets de surveillance juridique, les
sujets concernés de NVOCC sont des transporteurs communs. Mais cela ne veut pas
dire que le transport des NVOCC ne se limite qu’au navire régulier, et que dans les
autres domaines, ils ne sont pas soumis à la surveillance de FMC. Les domaines
d’activités des NVOCC peuvent s’étendre aussi au navire irrégulier. De plus, dans le
projet de loi de UNCITRAL, le terme « NVOC » a été utilisé3, et ce n’est pas sans
souligner qu’il s’agit de transporteur sans navire commun. Ainsi, si on parle de la
tendance de l’homologation des droits de transports internationaux des marchandises,
il n’est pas nécessaire de limiter les NVOCC au seul transporteurs communs.
La condition requise pour être un NVOCC est d’exercer des transports maritimes des
marchandises sans posséder un navire. Il n’y pas de divergence concernant ce point.
Mais est-ce que toutes les personnes qui pratiquent le transport maritime de
marchandise sont NVOCC ? Ainsi, il faut d’abord définir « no vessel » (sans navire).
Mais, qu’est ce que les « gestionnaires » de navire ? Selon les règles des conventions
internationales, les gestionnaires de navire semblent avoir une notion d’extension. Par
exemple, l’Article 2 de la « Convention internationale des conditions d’
immatriculation des navires des Nations Unis », « gestionnaire » signifie les
propriétaires ou des affréteurs de coque nu, ou les personnes physiques ou morales qui
3
UNCITRAL 1.17: “ The difference between these two definitions is in the treatment of intermediate contractors.
A basic hypothetical example illustrates the distinction. Suppose that a non-vessel operating carrier (NVOC)
contracts to carry goods from a port in one country…”
En même temps, pour les personnes qui ne possèdent pas de navire mais pratiquent le
transport maritime, on peut considérer est ce que ils sont gestionnaire de navire.
Premièrement, on peut exclure l’affréteur de coque nu, car le contrat d’affrètement est
un contrat de location de bien. Pendant la durée d’affrètement, l’affrètement de coque
nu possède, utilise et gère le navire.
Cependant, après cette analyse de la notion de gestionnaire de navire, on peut dire que
le gestionnaire n’est pas le gestionnaire véritable, il ne peut pas assumer toutes les
responsabilités du propriétaire de navire. A partir de ce point, si le concessionnaire
pratique les activités de transports en louant un navire, quand il signe le contrat de
transport avec le chargeur, en ce cas, l’affréteur à temps peut être aussi NVOCC. Par
ailleurs, dans l’affrètement au voyage, l’affréteur loue une partie ou la totalité de la
place à bord du navire du fréteur, en transportant de marchandise depuis un port vers
4
Article 2, “Opertator” means the owner or bareboat charterer, or any other natural or juridical person to whom the
responsibility of the owner or bareboat charterer have been fomally assigned.
5
Article 1, paragraph 4, “Operator” means the person authorized by the licensing State to operate a nuclear ship, or
where a Contracting State operates a nuclear ship, that state.
6
Si, Y., Des recherches sur les tendances et politiques juridiques des affaires maritimes internationales(Chinois),
Presse populaire de Transport, Beijing, 2002, page 42.
un autre, c’est l’affréteur qui paie les frais contractuels de transport. Mais si l’affréteur
a signé le charte-partie au voyage, puis l’affermataire comme transporteur émet le
B/L, l’importateur est destinateur , dans ce cas précis, l’ affermataire devient
NVOCC .
louer des espaces, et NVOCC ne peuvent pas fournir un service de transport maritime
en louant des espaces des autres.
En Chine, les « Règles » ont défini les domaines d’activités du NVOCC, mais elles
n’ont pas défini sa nature. En théorie, le NVOCC doit être classé dans l’industrie de
transport maritime (soit transporteur), mais l’Article 5 qui concerne les conditions
requises d’exercer des transports maritimes internationaux, il stipule que pour exercer
ces transports, il faut équiper le navire pour réaliser de ces transports. Cette demande
ne correspond pas aux NVOCC. Mais si on classe les NVOCC dans la catégorie des
industries annexes du transport maritime, en théorie, ça n’a pas de sens. Car dans
l’article 2, paragraphe 2, en ce qui concerne les 5 grandes catégories des industries
annexes de transport maritime, il n’est pas mentionné de NVOCC. C’est-à-dire que
les activités des NVOCC ne sont classées dans aucune des deux activités de base.
Ainsi, l’auteur pense que le NVOCC doit être : Enregistré dans son pays d’origine,
qui est autorisé à pratiquer le transport maritime en tant que transporteur, et qu’il ne
possède ni ne gère de navire. Il peut toutefois accepter les marchandises du chargeur
en tant que transporteur en émettant son propre connaissement ou d’autres documents
de transport. Il paye des frais de transport du chargeur et faire réaliser le transport par
les gestionnaires de transport maritime, de plus il est responsable auprès du chargeur.
Par ailleurs, envers le vrai transporteur, il est devenu le chargeur et l’affermataire (en
cas de location de navire).
Le NVOCC comme transporteur contractuel doit, selon les règles, avoir des droits et
de obligations, mais n’ayant pas de navire il peut tout de même réaliser le transport
maritime. Ses droits sont limités d’une certaine manière, il est un transporteur limités.
8
Fu, C., « Analyses du système NVOCC en Chine » (Chinois), Presse de la Cour populaire, 2002 (2).
En pratique, le B/L d’un NVOCC est souvent en retard alors que le B/L Ocean.
NVOCC, très souvent accepte d’abord les marchandises du chargeur, puis il les
charge auprès du transporteur « réel ». Selon la procédure, le B/L du NVOCC et celui
du B/L Ocean doivent être émis en même temps, mais le fait que le NVOCC n’a pas
de capacité de contrôler le chargement de marchandise, il ne peut donc pas émettre
son B/L qu’après l’émission et la confirmation du B/L Ocean.
Selon le « Code de transport nautique » des Etats-Unis, les NVOCC ne peuvent pas
bénéficier des droits contractuels de service comme les « vrais » transporteurs. Selon
ce « Code » 1984, la définition du « Contrat de service » est que : le « « Contrat de
service » signifie un contrat écrit, autre qu'un connaissement ou un reçu - entre un ou
plusieurs chargers et un transporteur commun indépendant ou un accord entre ou
parmi les transporteurs communs en lesquels le chargeur ou les chargeurs font un
engagement pour fournir un certain volume ou partie de cargaison sur une période
indiquée, et le transporteur commun ou l'accord commet à un certain taux ou
programme de fret et un niveau de service défini, tel que l'espace assuré, le temps de
passage, la rotation de port, ou les dispositifs de service semblables. Le contrat peut
9
Gorpe, S., « Transportation System Studies », Analysis and Policy, 1988.
Ces dernières années, FMC a reçu sans cesse des demandes de grands NVOCC pour
ouvrir le marché du transport maritime. En juillet 2003, la société UPS qui pratique
des services en NVOCC a encore une fois déposé une demande auprès de FMC, en
réclamant les mêmes droits que les sociétés propriétaires de navires. Elles veulent
signer des contrats de service en direct avec les chargeurs. Cette demande a été
soutenue par 200 sénateurs américains ainsi que de nombreux homologues et
chargeurs du secteur. Le FMC a été obligé de reconsidérer la demande d’ UPS 11. Le
27 octobre 2004, FMC a décidé qu’à partir du 1 er janvier 2005, les NVOCC sont
autorisés à signer des contrats similaires de services avec des chargeurs comme les
sociétés propriétaires de navires (NVOCC Service Agreement¾NSA). Cela a crée un
espace d’ajustement des tarifs. En pratique, le FMC exige que les ajustements de
tarifs de NVOCC doivent être enregistrés de manière ponctuelle auprès FMC12.
En même temps, ces changements ont influencé les « Règles de transport maritime »
En Chine, selon les « Règles », les NVOCC ne peuvent pratiquer que des tarifs
déclarés et ils ne peuvent pas signer des conventions de tarifs avec les transporteurs.
La relation entre les NVOCC et les transporteurs communs est une nouvelle relation
de transport maritime entre chargeur et transporteur. Le contrat de transport maritime
a défini les obligations et les responsabilités des deux côtés. En même temps, les
NVOCC en tant que chargeurs sont soumis aux ajustements en ce qui concerne les
chargeurs par la « Code de transport maritime ». Selon l’Article 69 du « Code », les
NVOCC comme chargeur et destinataire, assument les obligations de payer les
« vrais » transporteurs maritimes, et selon le B/L émit et les clauses relatives au B/L, à
recevoir les marchandises à destination. Mais comme chargeur, les NVOCC sont
différents que les autres chargeurs ordinaires, propriétaires de marchandises :
10
L’original:“‘service contract’ means a written contract ,other than a bill of lading or a receipt, between one
or more shippers and an individual ocean common carrier or an agreement between or among ocean common
carriers in which the shipper or shippers makes a commitment to provide a certain volume or portion of cargo over
a fixed time period, and the ocean common carrier or the agreement commits to a certain rate or rate schedule and
a defined service level ,such as assured space ,transit time, port rotation, or similar service features. The contract
may also specify provisions in the event of nonperformance on the part of any party.”
11
“Key points of the proposed change”, Americian Shipper , December 2004.
12
Ling, C., « Les nouveaux règlements de la Comité fédérale des affaires maritimes en ce qui concerne les tarifs de
transport »(Chinois), Bulletin de transaction de transport nautique, 2004, page 49.
particuliers avec les gestionnaires de navires. Les deux ont un lien étroit. Les activités
du NVOCC sont, en fait, une branche des activités des transitaires internationaux. Au
début, les domaines d’activités du transitaire se limitaient uniquement aux formalités
selon les arrangement des propriétaires de marchandise, par exemple, réservation de
place, dédouanement, assurance, etc.,. Ils encaissent alors des commissions de
service. Mais avec le développement du transport international, les domaines
d’activités des transitaires se sont étendus en organisation sur tout le transport, comme
le groupage de container. Même en tant que « chargeur assimilé » ils acceptent la
concession du propriétaire de marchandise à établir ses propres B/L en gagnant la
différence des tarifs. C’est en raison de ce développement que naquit la notion de
« NVOCC ». Mais du fait que les NVOCC sont issus du milieu du transit, il était
parfois très difficile de distinguer ces deux entités. Il faut bien les distinguer pourtant.
On peut faire une distinction entre les deux par les aspects suivants :
Si le contrat signé est un contrat de transport, et le terme utilisé dans le contrat est
« transporter » (carry), son identité sera NVOCC, car il est considéré à agir en son
propre nom, et la relation entre lui et le chargeur est une relation entre transporteur
contractuel et chargeur. S’il s’agit d’un contrat de commission, dans lequel il agit en
tant qu’agent ou intermédiaire, le terme utilisé sera alors « transport arrangé »
(Arrange Transportation), son statut sera transitaire et la relation entre lui et le
chargeur est une relation entre le mandateur et le mandaté.
Par la suite le NVOCC a accepté les marchandises du chargeur, il va, en tant que
« transporteur » émettre son propre B/L et d’autres documents similaires. Il est
responsable pour toute la durée du transport de marchandise. Du fait qu’il ait la
compétence à émettre le B/L. La relation qui existe entre lui et le destinataire est celle
du transporteur et du porteur du B/L. Par contre, il peut avoir la « casquette » de
transitaire qui reçoit les marchandises du chargeur, il va faire un reçu (Forwarder’s
Cargo Receipt,FCR) ou d’autres documents similaires. Il est le transitaire ou agent
de chargeur, il n’a aucune relation avec le destinataire.
Le NVOCC agit en son propre nom, il encaisse le fret en tant que « transporteur »
auprès du chargeur, puis en tant que chargeur il signe un contrat de transport avec le
transporteur « réel » en lui réglant le fret. Il gagne une différence raisonnable sur le
prix du transport. Par contre, les revenus issus des activités de transit sont constitués
principalement de commissions émanant du transporteur « réel » et des frais de
services des chargeurs.
Le NVOCC peut recevoir des mandats des sociétés et NVOCC étrangers en pratiquant
des activités en NVOCC en Chine. Il peut émettre des B/L, réserver des espaces à
bord, signer des accords de tarifs et charger des frais de mandat. Dans l’article 3 de
l’Arrêt (N°5) des « Règles de transport maritime international de la R.P.C » : « Les
gestionnaires en NVOCC étrangers qui n’ont pas de filiale ou succursale à l’intérieur
de Chine, doivent mandater des gestionnaires locaux qui ont la qualification NVOCC
pour émettre des B/L. Les gestionnaires chinois NVOCC, quand ils pratiquent des
activités NVOCC dans les régions où il n’a pas de filiale ou de succursale et quand ils
ont besoin d’émettre des B/L alors le mandaté doit avoir la qualification NVOCC.
Sans cette qualification, les gestionnaires ne peuvent pas accepter des mandats des
autres NVOCC en émettant des B/L à leur place.
Ces cinq points sont les caractères principaux qui font la distinction entre les NVOCC
et les transitaires, mais il ne faut tout de même pas se limiter à un de ces cinq points.
indépendante
Du fait que les transitaires en tant que mandaté de chargeur peuvent agir comme
gestionnaire indépendant, ce statut leur permet de gagner des commissions des
sociétés de transport et aussi la différence de tarifs de fret. En cas de contentieux, ils
peuvent transférer les risques de NVOCC sur le transporteur « réel ». Ainsi, les
activités de transitaires ont causé pas mal de problème.
NVOCC
qualifies
Les NVOCC sont des acteurs principaux dans les activités de transports maritimes
internationaux. Ils n’ont pas ou ne gèrent pas leurs propres bateaux. Ils acceptent les
marchandises des clients comme transporteurs, en établissant leurs propres B/L ou des
autres documents de transport, ils chargent des frais de transport auprès de client, et
puis ils confient les marchandises aux « vrais » transporteurs (des transporteurs
internationaux). Ainsi les NVOCC peuvent exercer leurs activités sous des conditions
relativement simples, et leurs capacités d’assumer des responsabilités sont
relativement faibles. Par conséquent, il faut créer un système très sévère pour
surveiller les NVOCC, et ce système peut augmenter les capacités d’assumer leurs
responsabilités. Une des principales contributions des « Règles de transport maritime
internationale » est que, en apprenant des autres pays (principalement des Etats-Unis),
on a créé nos propres règles, et selon les caractères des NVOCC et les problèmes
existants en transport en Chine, on a établi des règles pour avoir la qualification d’être
NVOCC.
Deuxièmement, du fait que les NVOCC n’ont aucun bateau et ils ne les gèrent pas,
ainsi de nombreuses sociétés NVOCC sont des « sociétés de sac ». En cas de litige, ils
n’ont pas la capacité à assumer leurs responsabilités. Par conséquent, Article 7 des
« Règles de transport maritime internationales » demande : pour exercer des activités
en NVOCC, il faut déposer une somme de caution ou garantie auprès des autorités de
transport. Le montant pour des demandeurs en NVOCC est de 800 000 RMB ; de
plus, en installant chaque nouvelle structure, il faut ajouter 200 000 RMB. Cette
caution ou garantie a pour fonction principale de payer des amandes ou prendre en
charge des responsabilités civiles en cas de non respect des « Règles de transport
maritime internationales ».
des juristes dans le domaine de transport maritime à faire un modèle de B/L pour les
NVOCC en Chine.
En résumé, seules les entités qui ont fait les enregistrement des B/L auprès des
autorités de transport, qui ont déposés des cautions ou garanties, qui ont ensuite créé
des personnes morales en Chine, seulement ces entités qui ont réalisé toutes ces
démarches peuvent exercer des activités NVOCC en Chine en toute légalité, sinon ils
seront considérés comme des NVOCC non qualifiés.
2.1.2 Les contentieux des effets de B/L émis par des NVOCC
non qualifiés
Pour le moment, les NVOCC enregistrés sont principalement issus des agents de
transports, même si les « Règles de transport maritime internationales » ont définit
clairement la qualification d’exercer des activités en NVOCC, mais en Chine depuis
toujours, le marché de concession de transport est très chaotique. Et même avant
l’application des « Règles », de nombreux agents avait déjà exercé des activités
NVOCC. Et après l’application des « Règles », en raison de sa courte durée de mise-
en-effet, de nombreux agents n’ont pas encore changé leurs habitudes de travail ; et
des autres agents, pour éviter des contrôles administratives en matières de garantie
pour obtenir leur qualification. A cause de ces raisons, sur le marché, il reste encore
une quantité d’agents de transport, qui continuent encore d’exercer des activités en
NVOCC. Autrement, il y a encore des NVOCC non qualifiés sur le marché. Ces actes
ont, de manière claire et nette, entravé des règles obligatoires des « Règles de
transport maritime internationales », qui nuisent à l’ordre du marché. L’Article 43 des
« Règles » stipule que les autorités compétentes en matière de transport du conseil
d’Etat et des autres organismes gouvernementales, en cas de non respect de dépôt de
garantie, d’enregistrement des B/L en exerçant des activités NVOCC, peuvent être
sanctionnés par des amendes administratives. C’est une mesure administrative contre
un acte civil, de plus les « Règles » ont souligné la nature obligatoire, mais pas
définit, en direct, les résultats civils de non respect à ces règles. Par conséquent, en ce
qui concerne les effets des B/L émis par NVOCC, il reste toujours un débat ou
contentieux.
Dans ce domaine, il existe deux points rivalisant dans le sphère académique: une
école pense que les B/L émis par des NVOCC non qualifies doivent être considérés
comme sans valeur. Leurs arguments de l’Article 52 des « Droit des contrats » ont
réglementé « les contrats qui ne respectent pas des lois, des règles administratives sont
invalides », ainsi, les NVOCC qui ne respectent Article 26 des « Règles de transport
maritime internationales », les B/L des NVOCC qui n’ont pas été immatriculés sont
invalide ; une autre école pense que, même les « Règles de transport maritime
internationales » que pour exercer des activités en NVOCC, il faut faire les formalités
d’enregistrements des B/L, mais elles n’ont pas souligné cet enregistrement comme
une des conditions nécessaire pour la validation du contrat, ainsi les B/L émis par des
NVOCC non qualifiés ( des justificatifs de contrats de transport » doivent être valides.
Société en émettant B/L de NVOCC étranger non enregistré en Chine, n’a pas
influencé la validité du contrat entre les Sociétés A et D. Ainsi, la Société B, en tant
que’agent de la signature de contrat, ne doit pas assumer les responsabilités de
dédommager des pertes de marchandises. Ainsi le jugement a rejeté les demandes de
procès de Société A.
Selon le « Code de contrat » l’Article 52, les contrats qui ne respectent pas ces règles
obligatoires de lois ou des arrêts administratifs sont invalidés. Ainsi, cela constitue un
critère de mesure sur la validité d’un contrat. Par conséquent, pour voir si le B/L fait
par le NVOCC sont valide ou pas, il faut voir s’il respecte ou pas le « Code de
contrat » l’Article 52.
Selon le « Code de contrat » l’Article 52, seulement en cas de non respect des règles
obligatoires de lois ou des arrêts administratifs, les contrats sont invalides, et non les
contrats incomplets et défectueux. En chine, les règles juridiques peuvent se
distinguer en règles obligatoires et non obligatoires. Seulement en ne respectant pas
les règles obligatoires, les contrats sont invalides. En même temps, les règles
obligatoires peuvent se distinguer en règles d’ordonnance et d’interdiction. Le
premier réglemente ce que l’on doit faire et le second ce que l’on ne doit pas faire.
Les règles d’interdiction se classent en règles de suppression et d’efficacité. La
première va supprimer les actes ne respectant pas les règles en sanctionnant et
interdisant, mais ne niant pas la validité juridique de l’acte. Mais pour le moment le
« Code de contrat » l’Article 52, n’a pas bien définit le genre exacte de validité de
contrat.
Dans les « Règles », l’Article 7 a ordonné que pour exercer des activités NVOCC, il
faut passer des formalités d’enregistrement de B/L auprès du Conseil d’Etat, en
déposant une caution. L’Article 26 a ordonné qu’en cas de non respect
d’enregistrement de B/L et de dépôt de caution, la personne ne peut pas exercer des
activités NVOCC. Il s’agit d’ici une règle d’interdiction. Mais ce n’est pas défini
comme tel s’il s’agit d’une règle d’efficacité. Le but d’enregistrement de B/L et dépôt
de caution est de protéger des intérêts des personnes concernés et de surveiller et
régulariser le marché. Mais en tant que règle d’interdiction, la validité de contrat, par
contre, n’est pas bien définie.
transporteur
Quand une marchandise a expédié sous B/L d’un NVOCC et d’un véritable
transporteur, le procédé de circulation de ces deux B/L sont normalement le suivant :
1. Le NVOCC, après avoir reçu des marchandises, émet son propre B/L, House B/L
au chargeur ;
2. Le NVOCC, en tant que chargeur transfère les marchandises au « vrai »
transporteur maritime, ce dernier émet alors son B/L, Master B/L au NVOCC ;
En pratique, après que le NVOCC ait reçu les marchandise du chargeur, il émet son
B/L au chargeur en promettant de transporter les marchandises depuis port de départ
ver celui de destination. A ce moment, le B/L du NVCC sert comme preuve de
l’existence du contrat de transport entre les deux parties, de plus, il sert comme preuve
des articles et contenus du contrat de transport. Les articles du B/L, sauf des
définitions contraires, servent au contenu d’accord entre les deux parties. En même
temps, quand le NVOCC émet son B/L, il montre qu’il a déjà reçu les marchandises,
et qu’elles sont prêtes à être ou sont déjà chargés en navire, ainsi, le B/L du NVOCC a
la fonction de reçu de la marchandise. Si le chargeur transfert ce B/L à une tierce
personne, à ce moment-ci, entre le chargeur et le porteur du B/L, celui-ci n’est plus un
justificatif du contrat de transport, mais le contrat de transport lui-même. Le
transporteur ne peut pas être contre cette tierce personne en disant que ce n’est pas
conforme à ce qui est écrit sur le B/L, et à ce moment, les notes du B/L deviennent la
preuve finale (evidence conclusive) que le transporteur a déjà reçu les marchandises.
Ainsi, comme les autres documents de transport maritime, le B/L de NVOCC a les
fonctions de preuve du contrat de transport et de reçu de la marchandise.
Pour ceux qui considère que le B/L de NVOCC n’est pas une preuve de propriétés, ils
argumentent de la façon suivante :
13
Zhang, H., « Etudes sur le statut juridique des NVCC et la nature de son B/L(Chinois) », Transport maritime
mondial, 2003 (10).
14
Ibid.
En raison de ces trois points, le B/L n’est pas considéré comme preuve de propriété
pour certains chercheurs chinois.
Mais dans la pratique des NVOCC, quand le vrai transporteur charge les
marchandises du NVOCC sur le navire, et puis ensuite à la demande de NVOCC émet
le B/L. Ce B/L obtenu par le NVOCC sert souvent comme un B/L nominatif non
transférable. Il arrive parfois qu’il demande au transporteur commun d’envoyer le B/L
par télégramme même parfois en direct par B/L Ocean. La raison de ces pratiques,
c’est du à l’existence de deux B/L aux activités de NVOCC et quand il existe déjà un
B/L de NVOCC sur le marché, et quand on le fait comme un B/L transférable, cela va
engendrer certainement des confusions ou escroquerie. Par conséquent, le B/L obtenu
par le NVOCC, en règle générale, n’est pas transférable, il est plutôt un reçu certifiant
que le transporteur commun maritime a reçu les marchandises du NVOCC. Ainsi,
cette démarche a évité la fonction de preuve de propriété de B/L Ocean. Et par
conséquent, la fonction de preuve du B/L de NVOCC n’aura pas de contentieux.
Comme on a déjà discuté dans les parties précédentes, les NVOCC en tant que
transporteur contractuel sont soumis à des ajustements, des règles relatives au
transporteur du « Code du commerce maritime ». En principe, ils peuvent assumer les
responsabilités de transporteur en bénéficiant des privilèges de transporteur. Parmi les
principaux privilèges de transporteurs, le droit de disposition de la marchandise est la
meilleure garantie pour le règlement de ses frais de transport. En cas de non paiement
de ces frais de transport, les NVOCC peuvent-ils avoir le droit de disposer des
marchandises qu’ils ne possèdent pas et qui sont possédées par les gestionnaires de
navire de transport maritime international ?
15
Wang, L., Code civile (Chinois), Presse de l’Université de Peuple, Beijing, 2000.
ont une relations contractuelles de transport avec les sociétés de navire, les NVOCC,
par les B/L émis par ces sociétés de navire, peuvent avoir le droit de demander et
restituer les marchandises, ainsi ils ont la capacité indirecte de contrôle les
marchandises, ce qui constitue une possession indirecte des marchandises de
chargeur. Autrement dit, même si les NVOCC ne pratiquent pas en direct le transport
maritime de marchandises, ils ne perdent pas la possession de marchandises, c’est
seulement cette possession, en cas de NVOCC, se représente sous forme d’une
possession indirecte.
Dans le cas de Logistics Management v. One Pyramid Tent Arena aux Etats-Unis 41,
le juge du cour fédéral américain considère que : même le droit de disposition des
marchandises maritimes sont en générale réservé aux sociétés de navire et des
gestionnaires de navire, mais avec le développement du transport maritime, ce droit
peut être étendu à une « personne ayant droit temporaire » qui ne possède pas de
navire mais qui a un contrat de transport des marchandises contractuelles. Selon les
droits américains, un NVOCC a les mêmes obligations que les gestionnaires et
propriétaires de navire, ainsi, il doit avoir les mêmes droits de disposition que les
autres transporteurs. De plus, quoique l’article de disposition soit mentionné ou non
dans le B/L, ou les marchandises soient ou non sous le contrôle du NVOCC, quand le
chargeur ne respecte le contrat de transport et qu’il ne paye pas les frais de transports,
et que les marchandises ne sont pas encore délivrées ou prises, le NVOCC a le droit
de disposer des marchandises qu’il va transporter.
personne
transporteur il n’y pas une relation contractuelle, ainsi vient le problème du droit de
disposition de transporteur maritime envers les marchandises de la tierce personne.
Mais toutes ces règles n’ont pas bien définies si le transporteur maritime a un droit de
disposition sur les marchandises de la tierce personne.
Car, premièrement, l’émission du B/L du vrai transporteur est faite après le B/L de
NVOCC, le vrai transporteur peut demander auprès le NVOCC la copie du B/L du
NVOCC, afin de connaître si les frais de transports ont déjà été payé ou pas par le
chargeur au NVOCC. Et si le vrai transporteur peut agir selon cette vérification. Si le
NVOCC a fait un B/L « frais de transport payable à destination », et le vrai
transporteur a fait aussi un B/L « frais de transport payable à destination », en cas de
disparition ou faillite de NVOCC, le vrai transporteur peut disposer des marchandises
afin d’être assuré qu’il sera payé. Mais si le NVOCC a fait un B/L « frais de transport
prépayé », et ayant connue cette situation, si le vrai transporteur a fait encore B/L
« frais de transport payable à destination », cela reviendra à dire qu’il accepte, en en
cas de disparition ou faillite de NVOCC, de prendre des risques de ne pas recevoir ses
frais de transport.
Mais dans le cas de non paiement de frais de transport, quand le vrai transporteur ne
peut pas récupérer ses frais de transport auprès de chargeur, comment le vrai
transporteur peut-il protéger ses intérêts ? A ce moment, ce transporteur peut
demander aux autorités de transport à payer ses frais de transport par la garantie de
NVOCC. Et si la garantie n’est pas suffisante pour ces frais, le vrai transporteur peut
participer à la répartition des biens de NVOCC ?
De plus quand le vrai transporteur n’a pas de droit de disposition, et afin d’éviter des
risques, le vrai transporteur, au moment de conclusion du contrat de service et de prise
de marchandise, va vérifier si le NVOCC a déjà passé les formalités d’enregistrement
de B/L et s’il a déjà déposé la garantie auprès des autorités. Par contre, si le vrai
transporteur a le droit de disposition, il aura plus de chance que ce transporteur va
accepter les marchandises du NVOCC qui n’a pas passé les formalités
d’enregistrement de B/L et qui n’a pas déposé la garantie auprès des autorités, car
même si le NVOCC tarde ou ne paie pas les frais de transport, il peut toujours, par le
droit de disposition, obtenir ses frais.
transporteur
Mais du fait que le NVOCC ne gère pas de navire de transport maritime, « disposer de
manière sérieuse de navire à sorte qu’elle est adaptée à navigation avant et en
navigation », « administrer de manière sérieuse les marchandises » qui sont orientés
vers les gestionnaires de navire, vont rien dire pour les NVOCC. De plus, les fautes
d’exemption sont tous liées à la gestion de navire, par exemple, les fautes de
navigation, les fautes de maintenance de navire, etc., ainsi les NVOCC ne sont pas
concernés par ces fautes. Selon l’Article 60 du « Code », quand le NVCC confie la
totalité de marchandise durant toute ou une partie de transport, ou une partie de
marchandise durant toute ou une partie de transport, il est toujours responsable pour
totalité de la marchandise durant tout le transport. En ce qui concerne le transport
En outre, à part de ces responsabilités qui doivent être assumées par les NVOCC,
trouver un transporteur convenable est considéré comme une obligation naturelle de
NVOCC, car ils ne gèrent pas de navire.
transporteurs.
Les NVOCC utilisent toujours les vrais transporteurs pour réaliser le transport
maritime international de marchandise. En pratique, en cas de perte ou dommage aux
marchandises, quoique justifié ou non, le chargeur va souvent mettre au courant le
NVOCC et le vrai transporteur, même si parfois cela relève de la responsabilité du
NVOCC, enfin c’est souvent le vrai transporteur qui est responsable. En Chine, pour
ce genre d’affaire, la Cour va faire appel aux règles de l’Article 63 du « Code du
commerce maritime », soit « les transporteurs et les vrais transporteurs assument
toutes les responsabilités de dédommagement, dans ce domaine de responsabilités, ils
assument des responsabilités solidaires ». En Chine, dans le « Code du commerce
maritime », dans la définition de transporteur, les NVOCC sont inclus. Ainsi, on peut
dire, en Chine, quand le NVOCC et le vrai transporteur sont tous responsables, tous
les deux vont assumer les responsabilités solidaires dans ce domaine.
poids bruts de marchandise, chaque kilo est de 2 SDR, et parmi ces deux calculs, on
prend le montant le plus élevé comme référence. » Si le chargeur, avant
l’embarquement de la marchandises, a déjà déclaré la nature et les valeurs de celles-
ci, il fait marquer cela sur le B/L, ou le chargeur et transporteur a convenu que le
montant de dédommagement est calculé selon les vrais valeurs des marchandises et
selon des autres tarifs convenus, ce montant légal n’est plus valable. En ce qui
concerne le retard de livraison et non pas la disparition, le dommage des
marchandises, ce retard cause des pertes financières supplémentaires, les limites de
remboursement sont fixées au montant des frais de marchandises retardées ; en cas de
disparition ou dommage des marchandises et de retard en même temps, les limites de
remboursement sont fixées au mode de calcul légal, mais ce dédommagement a déjà
inclut les pertes supplémentaires de retard.
Selon le « Code du commerce maritime », l’Article 59, Paragraphe 1, s’il est prouvé
que la disparition, le dommage et le retard de la marchandise sont intentionnellement
causées, par négligence ou par non acte intentionnelle du transporteur, le transporteur
ne bénéficie plus des règles de limites de dédommagement. En ce qui concerne les
NVOCC, car il ne participe pas en pratique au transport de la marchandise, ainsi « la
disparition, le dommage et le retard de marchandise sont intentionnellement causés,
par négligence ou par non acte intentionnelle » ne s’appliquent pas aux NVOCC. La
possibilité est très rare, ainsi que le NVOCC n’a presque nulle chance de ne pas
bénéficier du système de limites de dédommagement. Mais comme on a déjà discuté
auparavant, les actes de NVOCC sont basés sur les actes des gestionnaires de navire
de transport maritime international, si le vrai transporteur a perdu ses droits de limites
de dédommagement, le NVOCC ne peut plus, lui-même, demander ce régime auprès
du destinataire, mais cela n’empêche pas qu’il peut poursuivre le vrai transporteur
après dédommagements faits envers le destinataire.
affaires maritimes
Les NVOCC, en tant que transporteur, peuvent bénéficier des droits de limites
unitaires du Chapitre 4 du « Code du commerce maritime », mais, n’ayant pas de
navire, étant entendu qu’avec le Chapitre 4, il ne peut plus bénéficier des systèmes des
autres chapitres du « Code ». En pratique, le problème le plus marquant est :est ce que
le NVOCC peut-il ou non bénéficier des droits de limites de dédommagement des
affaires maritime ?s.
Une opinion est que le NVOCC ne peut pas bénéficier des limites de
dédommagement dans les dossiers maritimes. Car selon les origines des limites de
dédommagement des affaires maritimes, ce système a pour but de protéger des entités
qui sont liées à la gestion du navire. Et le NVOCC ne possède pas et ne gère pas de
navire, en même temps, il fait de bénéfices dans le transport maritime en n’assumant
pas des risques spéciaux des gestionnaires de navire. En cas de naufrage, si on le
permet de bénéficier des limites de dédommagement des affaires maritimes, cela est
contre le principe de justice. Par conséquent, le NVOCC ne peut pas bénéficier des
limites de dédommagement des affaires maritimes.
Une autre opinion est que le NVOCC peut bénéficier des limites de dédommagement
des affaires maritimes. Selon cette opinion, avec le développement de l’industrie de
transport maritime, de nouvelles entités de transportant se naissent. Les NVOCC sont
le cas. Même ils possèdent pas et ne gèrent pas de navire, ils exercent des activités de
transport maritime, par exemple, la conclusion du contrat de transport, la réception et
la livraison de marchandises, l’émission de B/L, ainsi on peut pas dire que ils
n’assument pas des risques maritimes seulement par le fait qu’ils n’ont pas de navire.
Mais si les NVOCC n’ont pas de navire, ils gèrent quand même le transport, ainsi
c’est une gestion indirecte de navire. Par conséquent, si en cas de naufrage, on exclue
les NVOCC des limites de dédommagement des affaires maritimes, le chargeur peut
éviter le vrai transporteur en poursuivant le NVOCC afin de récupérer la totalité de
dédommagement. Cela va entraîner une « appel sélectif », qui est aussi contre le
principe de justice.
16
Liu, Z. et Wang, Z., « NVOCC peut-il devenir une entité bénéficiant des limites de responsabilités
maritime »s(Chinois), Bulletin de transaction de transport nautique, 2003 (7).
Premièrement, le NVOCC n’a pas des conditions requises pour les entités qui peuvent
bénéficier des limites de dédommagement des affaires maritimes. Selon le « Code du
commerce maritime », le NVOCC s’il voulait bénéficier des limites de
dédommagement des affaires maritimes, il doit être une des entités pour bénéficier
des limites de dédommagement des affaires maritimes, soit être le propriétaire du
navire, soit être le gestionnaire du navire ou le loueur du navire. C’est clair que le
NVOCC n’est pas le propriétaire ou ni le gestionnaire de navire, mais s’il est le
loueur de navire, il faut d’abord définir qu’est ce que le locataire du navire.
17
CONVENTION ON LIMITATION OF LIABILITY FOR MARITIME CLAIMS,1976,Article 1(2): “ The term
‘shipowner’ shall mean the owner, charterer, manager and operator of a seagoing ship.”
18
Zhang, Z., Des comparaisons des codes du commerce maritime de différents pays, (Chinois) Presse populaire de
transport, 1994, page 235.
Ces trois genres de locations sont appelés la location de navire, mais leurs natures
sont différentes. La location vide appartient à la location de bien, car pendant la
location vide, les locataires de navires possèdent, utilisent, et opèrent le navire, et ils
assument indépendamment toutes les responsabilités de propriétaires de navire, ainsi
ces locataires de navire vide correspondent aux conditions requises pour les entités
bénéficiant les limites de responsabilités maritimes. Mais en ce qui concerne la
19
[1982]A.M.C. 913: “As a general rule, one who is subjected to a shipowner's liability because of his exercise
of dominion over a vessel should be able to limit his liability to that of an owner.”
20
Patrick Griggs & Richard Williams, Limitation of liability for Maritime Claims,LLP, 1998,p.9: “The
person entitled to limit liability included any charterer and any person interested in or in possession of the
ship…”
location ponctuelle et la location par trajet, leurs natures sont des contrats de transport
maritime21, les locataires sont des intéressés du contrat de transports, mais ils ne sont
pas des intéressés du navires, qui ne correspondent pas aux principes d’identification
des entités bénéficiant des limites de responsabilités maritimes (soit basé sur la
relation de navire, et étant étroitement lié aux propriétés de navire).
De plus, les NVOCC ont bénéficié déjà les droits de transporteur du Chapitre 4 du
« Code du commerce maritime », c’est-à-dire, ils peuvent bénéficier des limites
unitaires en cas de disparition, de dommage ou de retard de marchandise. Ainsi, ils
sont protégés, ce qui peut supplémenter la situation désavantageuse qu’ils ne peuvent
pas bénéficier du système des limites de responsabilités maritimes.
En résumé, quoiqu’on regarde d’un point de vue des règles en vigueur ou des origines
d’établissement des règles, les NVOCC ne doivent pas être des entités bénéficiant des
limites de responsabilités maritimes.
du NVOCC
21
Si, Y., Nouvelle code du commerce maritime(Chinois), Presse de l’université des affaires maritimes de Dalian,
Dalian, 1998, page 278.
Pour pratiquer les activités de NVOCC, il n’est pas nécessaire de posséder ou de gérer
un navire. La capacité à assumer les responsabilités du NVOCC est très inférieure à
celles des transporteurs « réels ». De plus, les activités de NVOCC sont plus faciles à
cacher, ainsi cela va conduire, à des conduites ou des gestions incorrectes. Ainsi la
capacité d’assumer les responsabilités de NVOCC devient une question d’attention
universelle.
Afin de garantir que les NVOCC puissent assumer leurs responsabilités de transporter
et de protéger les autres personnes concernées, à l’heure actuelle, la méthode la plus
populaire au niveau international est le système de garantie financière, l’assurance de
responsabilités de NVOCC ou les garanties des autres personnes. Pour le moment, en
Chine, aucune société d’assurance ne veut assurer des NVOCC, ainsi la méthode
principale de garantie en Chine est le système de garantie financière selon les
« Règles de transport maritime ».
Il faut dire que ce système de garantie a ses points forts et ses points faibles. Sous un
angle favorable, ce système de garantie peut enlever, à un certain niveau, la capacité
de NVOCC à assumer ses responsabilités en protégeant les intérêts légaux de la
propriétaire de marchandise. Mais le montant de 800 000 RMB, pour certaine
réclamation apparaissent trop insuffisante. De plus, pour les NVOCC, cette somme est
importante, si on le laisse à l’abandon, ce n’est pas rentable pour les NVOCC.
De plus, en raison des risques naturels du transport maritime, les NVOCC ont besoin
de protection. Cela montre que la Chine a besoin des assureurs dans ce domaine.
L’établissement et le développement d’un système obligatoire d’assurance de
responsabilités des NVOCC, qui peut protéger les NVOCC, les propriétaires de
marchandises, et ce système peut aussi réduire les coûts de gestion de NVOCC, par
exemple, le système de garantie financière peut être remplacé..
Bibliographies
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Chine, Beijing, 2001.
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affaires maritimes de Dalian, Dalian, 1998, page 278.
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Annexe
ANNEXE 1
(Adopted at the 49th Executive Meeting of the State Council on December 5, 2001, promulgated by Decree
No. 335 of the State Council of the People’s Republic of China on December 11, 2001, and effective as of
Janurary1, 2002)
Article 1
These Regulations are formulated for the purposes of regulating international maritime transportation operations,
protecting fair competition, maintaining the order of international maritime transportation market and safeguarding
the lawful rights and interests of the relevant parties involved in international maritime transportation.
Article 2
These Regulations are applicable to international maritime transportation business operations to and from the ports
of the People’s Republic of China as well as the auxiliary business operations relating to international maritime
transportation.
Auxiliary business operations relating to international maritime transportation, as referred to in the preceding
paragraph, include the businesses relating to international shipping agency services, international ship
management, loading and unloading, storage and warehousing of international shipments and international
maritime container freight station and container yard services, etc.
Article 3
The principles of honesty and credibility shall be followed in international maritime transportation business
operations and auxiliary business operations relating to international maritime transportation, the operations shall
be conducted lawfully under fair competition.
Article 4
The competent communications department of the State Council and competent communications departments of
relevant local people’s governments shall, in accordance with the provisions of these Regulations, supervise and
administer international maritime transportation business operations, and shall exercise supervision and
administration over auxiliary business operations relating to international maritime transportation.
Article 5
To be engaged in international shipping services, the following conditions shall be met:
(1) having vessels suitable for employment in international shipping services, among which there must be vessels
of Chinese nationality;
(2) vessels under employment shall be in compliance with the technical standards for maritime traffic safety as
set forth by the State;
(3) having bills of lading, passenger tickets or multi-modal transportation documents;
(4) having senior executives with the professional qualifications as set forth by the competent communications
department of the State Council.
Article 6
To be engaged in international shipping services, an application shall be submitted to the competent
communications department of the State Council, and the relevant documents in compliance with the conditions
set forth in Article 5 of these Regulations shall be attached thereto. The competent communications department of
the State Council shall, within 30 days from the date of acceptance of the application, complete the examination
and verification and make a decision of granting or not granting permission. If the permission is granted, a Permit
for Operation of International Shipping Services shall be issued to the applicant, or, if no permission is granted, the
applicant shall be notified in writing and given the reasons therefor.
In examining and verifying the application for international shipping services, the competent communications
department of the State Council shall take into account the policies of the State for the development of
international shipping industry and the actual competition situations in international shipping market.
Anyone who applies for both international shipping services and international liner services shall concurrently
submit the relevant documents as provided for in Article 17 of these Regulations, which shall be examined,
verified and registered by the competent communications department of the State Council.
Article 7
To be engaged in non-vessel-operating services, the formalities for registering bill of lading shall be undergone
with the competent communications department of the State Council and surety bond shall be paid therewith.
Non-vessel-operating services, as referred to in the preceding paragraph, mean such international maritime
transportation business operations in which a non-vessel-operating common carrier accepts shipments from the
shipper as a carrier, issues its own bills of lading or other shipping documents, procures through the international
shipping operator the carriage of goods by sea against payment of freight by the shipper, and assumes the
responsibilities of a carrier.
To be engaged in non-vessel-operating services within Chinese territory, an enterprise as legal person shall be
established according to law within Chinese territory.
Article 8
A non-vessel-operating common carrier shall, at the time of making an application for the registration of bill of
lading to the competent communications department of the State Council, submit the relevant documents certifying
that the required surety bond has been paid in accordance with the provisions of these Regulations.
The surety bond as referred to in the preceding paragraph shall be in a sum of RMB 800,000 yuan 22, and an
additional sum of RMB 200,000 yuan is required for each subsequent branch. The surety bond shall be paid to a
designated bank account opened at a bank within Chinese territory.
The surety bond shall be used for the payment of debts incurred from non-performance or improper performance
of obligations by the non-vessel-operating common carrier or used for payment of fines. The surety bond and the
interests accrued thereon belong to the non-vessel-operating common carrier. The designated account shall be
subject to the supervision by the competent communications department of the State Council.
The competent communications department of the State Council shall complete examination and verification of the
application for bill of lading registration and the certifying documents for surety bond within 15 days from the date
of receipt thereof, and shall, if the application documents are authentic and complete, grant registration and notify
the applicant of the result thereof, or, if the application documents are inauthentic or incomplete, grant no
registration and notify the applicant in writing and give the reasons therefor. The competent communications
department of the State Council shall publish the names of the carriers of non-vessel-operating services who have
registered their bills of lading.
Article 9
To be engaged in international shipping agency services, the following conditions shall be met:
(1) having at least two of senior executives with no less than three years’ experience in international maritime
transportation business operations;
(2) having fixed places of business and necessary business facilities.
Article 10
To be engaged in international shipping agency services, an application shall be submitted to the competent
communications department of the State Council, and the relevant documents in compliance with the conditions
set forth in Article 9 of these Regulations shall be attached thereto. The competent communications department of
the State Council shall complete examination and verification within 15 days from the date of receipt of the
application. If the application documents are authentic and complete, registration shall be granted and the applicant
shall be notified of the result, or, if the application documents are inauthentic or incomplete, no registration shall
be granted and the applicant shall be notified in writing and given the reasons therefor.
Article 11
To be engaged in international ship management services, the following conditions shall be met:
(1) having at least two senior executives with no less than three years’ experience in international maritime
transportation business operations;
(2) having staff members in possession of Master’s credentials and chief engineer’s credentials appropriate to the
types of ships and trading zones under their management;
(3) having equipment and facilities appropriate to international ship management services.
Article 12
22
Unité monétaire chinoise, 1€=10 yuan.
To be engaged in international ship management services, an application shall be submitted to the competent
communications department of the people’s government of a province, an autonomous region or a municipality
directly under the Central Government where the proposed business is to be located, and the relevant documents in
compliance with the conditions set forth in Article 11 of these Regulations shall be attached thereto. The competent
communications department of the people’s government of a province, an autonomous region or a municipality
directly under the Central Government shall complete examination and verification within 15 days from the date of
receipt of the application. If the application documents are authentic and complete, registration shall be granted
and the applicant shall be notified of the result, or, if the application documents are inauthentic or incomplete, no
registration shall be granted and the applicant shall be notified in writing and given the reasons therefor.
Article 13
After being granted permission or registered as provided for in these Regulations, international shipping operators,
non-vessel-operating common carriers, international shipping agents or international ship management operators
shall, by presenting relevant certifying documents, go through registration formalities with enterprise registration
organs according to law.
Article 14
International shipping operators, non-vessel-operating common carriers, international shipping agents or
international ship management operators shall not provide others for using with their legally obtained business
operation qualifications.
Article 15
Where, after having obtained the qualifications for business operation in accordance with the provisions of these
Regulations, an international shipping operator, a non-vessel-operating common carrier, an international shipping
agent or an international ship management operator no longer meets the conditions set forth in these Regulations,
the competent communications department of the State Council, or the competent communications department of
the people’s government of a province, an autonomous region or a municipality directly under the Central
Government shall immediately cancel such operator of the qualifications for business operation.
Chapter III Business Operations of International Maritime Transportation and Auxiliary Businesses
Thereof
Article 16
An international shipping operator who intends to be engaged in international liner services to and from the ports
of the People’s Republic of China shall acquire the qualifications for operation of international liner services in
accordance with the provisions of these Regulations.
Those who have not acquired the qualifications for the operation of international liner services shall not be
engaged in international liner services, nor publish their liner shipping schedules, nor accept space booking.
Where the operation of international liner services is conducted through joint employment of vessels, slot
exchange of freight spaces or joint operation of services, the provisions in Paragraph one of this Article shall apply.
Article 17
To be engaged in international liner services, an application shall be submitted to the competent communications
department of the State Council, and the following documents shall be attached thereto:
(1) the name of the international liner service operator, its registered place of business, photocopy of its business
license, and the information of its main investor(s);
(2) the names and identification documents of the operator’s main management staff ;
(3) the particulars of the vessels under operation;
(4) the description of the intended shipping lines, shipping schedules and ports of call along the shipping lines;
(5) the freight tariff;
(6) the sample of its bill of lading, passage ticket or multi-modal transport documents.
The competent communications department of the State Council shall complete examination and verification
within 30 days from the date of receipt of the application for international liner services. If the application
documents are authentic and complete, registration shall be granted and the applicant shall be notified of the result,
or, if the application documents are inauthentic and incomplete, no registration shall be granted and the applicant
shall be notified in writing and given the reasons therefor.
Article 18
An international liner operator who has obtained the qualifications for international liner services shall start such
services within 180 days from the date of acquirement of its qualifications, and, subject to the approval of the
competent communications department of the State Council, such time limit may be extended for another 90 days
in case of force majeure. In case of failure to start the liner services within the time limit, the qualifications for
international liner services shall be invalid upon the expiration thereof.
Article 19
New international liner services, liner services under suspension, or change of carrying vessels or schedules for
international liner services shall be made known to the public 15 days in advance and shall be reported to the
competent communications department of the State Council for the filing within 15 days from the date of
occurrence.
Article 20
The freight rates of international shipping operators and non-vessel-operating common carriers engaged in the
business of international liner services shall be filed in specified format with the competent communications
department of the State Council. The competent communications department of the State Council shall designate a
special body for handling the filing of freight rates.
The freight rates submitted for the filing shall include tariff rates and negotiated rates. Tariff rates refer to the
freight rates shown in the tariff of international liner service operators and non-vessel-operating common carriers;
while negotiated rates refer to the freight rates agreed upon between international liner service operators and
shippers or non-vessel-operating common carriers.
The tariff rates shall come into effect 30 days after the day upon which the tariff rates have been accepted for the
filing by the competent communications department of the State Council. The negotiated rates shall come into
effect 24 hours after acceptance for the filing by the competent communications department of the State Council.
International liner service operators and non-vessel-operating common carriers shall implement the effective tariff
rates that have been submitted for the filing.
Article 21
When concluding agreements on negotiated rates with non-vessel-operating common carriers, international liner
service operators shall make sure that such non-vessel-operating common carriers have registered their bills of
lading and made the required surety bond in accordance with the provisions of these Regulations.
Article 22
Photocopies of liner conference agreements, service operation agreements and freight rate agreements concluded
between international shipping operators engaged in international liner services in which Chinese ports are
involved shall be submitted to the competent communications department of the State Council within 15 days from
the date of conclusion of such agreements.
Article 23
An international shipping service operator shall, within 15 days from the date of occurrence of any of the
following circumstances, make a report thereon to the competent communications department of the State Council
for the filing:
(1) termination of services;
(2) reduction of carrying capacity;
(3) changes in bills of lading, passenger tickets or multi-modal transport’s documents;
(4) establishment of overseas branches or subsidiaries for international shipping services;
(5) vessels under its ownership to be registered abroad, and flying foreign flags.
Where an international shipping operator makes any increase to its existing number of vessels, the added vessel(s)
shall meet the safety and technical standards set forth by the State, and the same shall be reported to the competent
communications department of the State Council for the filing 15 days prior to the operation of such vessel(s). The
competent communications department of the State Council shall issue a document certifying the filing within
three days from the date of receipt of the documents for the filing.
Other Chinese enterprises shall, under any of the circumstances specified in Subparagraphs (4) and (5) of
Paragraph 1 of this Article, undergo the formalities for filing in accordance with the provisions of Paragraph 1 of
this Article.
Article 24
In case of merger or acquisition among international shipping operators, the merger or acquisition agreement shall
be submitted to the competent communications department of the State Council for examination and approval.
The competent communications department of the State Council shall, within 60 days from the date of receipt of
the merger or acquisition agreement submitted by the international shipping operators, conduct examination and
verification, taking into consideration policies of the State for the development of international shipping industry
and the situation of competition prevailing in the international shipping market, and make a decision either
approving or disapproving such agreement, and shall notify the international shipping operators of the result in
writing.
Article 25
In case of collection of freight and other related fees, or collection of freight and other related fees on behalf of
others within Chinese territory, international shipping operators, non-vessel-operating common carriers and
international shipping agents shall produce to the payers the invoices uniformly prepared by Chinese taxation
authorities.
Article 26
No one shall be engaged in non-vessel-operating services without registering its bill of lading and paying required
surety bond in accordance with the provisions of these Regulations.
Article 27
None of the following acts may be committed in the operation of international shipping services or non-vessel-
operating services:
(1) providing service at lower freight rates than normal and reasonable ones, thereby prejudicing fair competition;
(2) offering secret rebates to shippers, not being reflected in the book-keeping, for the purpose of soliciting
cargoes;
(3) arbitrarily taking advantage of its dominant position to impose discriminatory freight rates or other restrictive
terms detrimental to the other party of the transaction; or
(4) committing any other acts detrimental to the other party of the transaction or the order of international
shipping market.
Article 28
A foreign operator of international shipping services who is engaged in international shipping operations as
referred to in this Chapter shall abide by the provisions of these Regulations.
Foreign operators of international shipping services shall not be engaged in the shipping service between ports of
the People’s Republic of China, nor operate between ports of the People’s Republic of China under disguise by
using chartered ships flying Chinese flags or cargo spaces thereof, or, by way of slot sharing of cargo spaces
thereof.
Article 29
An international shipping agent may, upon the commission of any shipowner, charterer or ship operator, be
engaged in the following businesses:
(1) undergoing formalities for ship’s entry into or departure from ports, arranging pilotage, berthing and loading
and unloading of vessels;
(2) signing bills of lading or carriage contracts and accepting freight space booking on behalf of the carrier;
(3) undergoing customs formalities for vessels, containers and shipments;
(4) canvassing cargoes, arranging shipments and attending to procedures for shipments and transshipment of
cargoes and containers;
(5) collecting freight and settling payment on behalf of the principal;
(6) arranging passenger transport and attending to procedures for transport of passengers by sea; and
(7) other pertinent businesses.
An international shipping agent shall, in accordance with the relevant provisions of the State, withhold or collect
tax payable by the foreign operator of international shipping services under his agency.
Article 30
An international ship management operator may, upon the commission of any shipowner, charterer or ship
operator, be engaged in the following businesses:
(1) sale and purchase of vessels, chartering of vessels and management of other assets relating to vessels;
(2) ship engineering, handling of navigational affairs and arrangement of ship repair and maintenance;
(3) recruitment, training and manning of seafarers; and
(4) other services purporting to maintain the technical standards of the vessels and ensure their proper navigation.
Article 31
The provisions of this Chapter are applicable to investment in and operation of international maritime
transportation businesses and auxiliary businesses relating to international maritime transportation within Chinese
territory by foreign business people, and, in the absence of any provisions in this Chapter relating thereto, the
relevant provisions in other chapters of these Regulations shall apply.
Article 32
Upon the approval of the competent communications department of the State Council, foreign business people
may, in accordance with the relevant laws, administrative regulations and other pertinent provisions of the State,
make investment to establish Chinese-foreign equity joint ventures or contractual joint ventures to be engaged in
international shipping services, international shipping agency services, international ship management services,
international maritime cargo warehousing, and international maritime container freight station and container yard
services, and may establish wholly foreign capital enterprises to be engaged in international maritime cargo
warehousing services.
The proportion of the investment made by foreign business people into Chinese-foreign equity joint ventures
engaged in international shipping services or international shipping agency services shall not exceed 49%.
The provisions in the preceding paragraph are mutatis mutandis applicable to the proportion of the investment
made by foreign business people into Chinese-foreign contractual joint ventures engaged in international shipping
services or international shipping agency services.
The chairperson of the board of directors and the general manager of a Chinese-foreign equity joint venture or
Chinese-foreign contractual joint venture engaged in international shipping services shall be appointed by the
Chinese side through consultation between the two sides.
Article 33
Upon the approval of the competent communications department of the State Council, foreign business people
may, in accordance with the relevant laws, administrative regulations and other pertinent provisions of the State,
make investment to establish Chinese-foreign equity joint ventures, Chinese-foreign contractual joint ventures or
wholly foreign capital enterprises to offer such routine services as canvassing of cargoes, issuance of bills of
lading, settlement of freight and signing of service contracts for their owned or operated vessels; if they have not
established any Chinese-foreign equity joint venture, Chinese-foreign contractual joint venture or wholly foreign
capital enterprise within Chinese territory, they must commission a Chinese international shipping agent to
undertake the above-mentioned businesses.
Article 34
Upon the approval of the competent communications department of the State Council, foreign operators of
international shipping services and foreign enterprises engaged in auxiliary businesses relating to international
maritime transportation may establish representative offices within Chinese territory according to law.
The representative offices established by foreign operators of international shipping services and foreign
enterprises engaged in auxiliary businesses relating to international maritime transportation shall not be engaged in
profit-making business activities.
Article 35
The competent communications department of the State Council may, upon the request of the interested parties or
at its own discretion, conduct investigations into the following cases:
(1) liner conference agreements, operational agreements or freight rate agreements concluded among
international shipping operators engaged in international liner services in which Chinese ports are involved
and which can be detrimental to fair competition;
(2) service activities of the consortium set up by international shipping operators engaged in international liner
services through agreements that involve a shipping volume exceeding 30% of the aggregate shipping volume
for one consecutive year on one particular shipping line to and from Chinese ports and which can be
detrimental to fair competition;
(3) any act as specified in Article 27 of these Regulations; and
(4) any other act detrimental to fair competition in international shipping market.
Article 36
The investigations by the competent communications department of the State Council shall be conducted jointly
with the administrative department for commerce and industry of the State Council and the pricing department of
the State Council (hereinafter referred to as the investigatory organ).
Article 37
The investigatory organ shall, for conducting investigations, set up an investigation group composed of at least
three members. The investigation group may, where necessary, invite the experts concerned to take part in the
investigations.
The investigation group shall, prior to investigations, notify the person under investigation of the purpose, reason
and time limit for the investigations. The time limit for the investigations shall not exceed one year, but can be
extended for half a year where necessary and upon the approval of the investigatory organ.
Article 38
In conducting investigations, the investigators may inquire the person under investigation and enterprises or
individuals having business relationships with him, and may consult and make copies of the relevant documents,
agreements, contracts, account books, business faxes, electronic data and other pertinent data.
In conducting investigations, the investigators shall keep business secrets for the person under investigation and
the enterprises or individuals having business relations with him.
Article 39
Persons under investigation shall accept investigations and truthfully provide relevant information and materials,
and shall not refuse investigations or conceal truthful information or give false information.
Article 40
The investigatory organ shall, upon completion of the investigations, make a conclusion and notify the person
under investigation and the interested parties thereof in writing.
Where any damage may be caused to fair competition, the investigatory organ may take certain prohibitive or
restrictive measures such as ordering to amend relevant agreements, limiting the frequency of liner services,
suspending freight rates, or stopping for the time being the filing of freight rates, or ordering to regularly submit
relevant materials.
Article 41
The investigatory organ shall, prior to making decisions for taking prohibitive or restrictive measures, inform the
party concerned of his right to a hearing and hold a hearing when the party concerned so requires.
Article 42
Those who are engaged in international shipping services without acquiring the Permit for International Shipping
Service Operation shall be ordered to terminate the operation by the competent communications department of the
State Council or its authorized communications department of local people’s government; the illegal income, if
any, shall be confiscated; if the illegal income is not less than 500,000 yuan, a fine of not less than two times but
not more than five times the illegal income shall be imposed; if there is no any illegal income or the illegal income
is less than 500,000 yuan, a fine of not less than 200,000 yuan but not more than 1,000,000 yuan shall be imposed.
Article 43
Those who are engaged in non-vessel-operating services without registering their bills of lading or paying the
required surety bond shall be ordered to terminate the operation by the competent communications department of
the State Council or its authorized communications department of local people’s government; the illegal income, if
any, shall be confiscated; if the illegal income is not less than 100,000 yuan, a fine of not less than two times but
not more than five times the illegal income shall be imposed; if there is no any illegal income or the illegal income
is less than 100,000 yuan, a fine of not less than 50,000 yuan but not more than 200,000 yuan shall be imposed.
Article 44
Those who are engage in international shipping agency services or international ship management services without
undergoing registration formalities shall be ordered to terminate the operation by the competent communications
department of the State Council or its authorized communications department of local people’s government; the
illegal income, if any, shall be confiscated; if the illegal income is not less than 50,000 yuan, a fine of not less than
two times but not more than five times the illegal income shall be imposed; if there is no illegal income or the
illegal income is less than 50,000 yuan, a fine of not less than 20,000 yuan but not more than 100,000 yuan shall
be imposed.
Article 45
Foreign operators of international shipping services trading between ports of the People’s Republic of China, or
operating between ports of the People’s Republic of China by using chartered ships flying Chinese flag or freight
spaces thereof, or by way of slot exchange of freight spaces, shall be ordered to terminate the operation by the
competent communications department of the State Council or its authorized communications department of local
people’s government; the illegal income, if any, shall be confiscated; if the illegal income is not less than 500,000
yuan, a fine of not less than two times but not more than five times the illegal income shall be imposed; if there is
no illegal income or the illegal income is less than 500,000 yuan, a fine of not less than 200,000 yuan but not more
than 1,000,000 yuan shall be imposed. If the order for termination of operation is not complied with, the vessels in
question shall be prohibited from entering Chinese ports; if the circumstances are serious, the offenders?ˉ
qualifications for operation of international liner services shall be revoked.
Article 46
Those who are engaged in international liner services without acquiring the qualifications therefor shall be ordered
to terminate the operation by the competent communications department of the State Council or its authorized
communications department of local people’s government; the illegal income, if any, shall be confiscated; if the
illegal income is not less than 500,000 yuan, a fine of not less than two times but not more than five times the
illegal income shall be imposed; if there is no illegal income or the illegal income is less than 500,000 yuan, a fine
of not less than 200,000 yuan but not more than 1,000,000 yuan shall be imposed. If the order for termination of
operation is not complied with, the vessels in question shall be prohibited from entering Chinese ports.
Article 47
International shipping operators, non-vessel-operating common carriers, international shipping agents or
international ship management operators who provide others for using with their legally obtained qualifications for
such services shall be ordered to make corrections within a specified time limit by the competent communications
department of the State Council or its authorized communications department of local people’s government; if no
corrections are made within the specified time limit, their qualifications for operation shall be revoked.
Article 48
Those who fail to undergo the formalities for filing, as provided for in these Regulations, shall be ordered to make
up the formalities within a specified time limit by the competent communications department of the State Council
or its authorized communications department of local people’s government; if they fail to make up the formalities
within the specified time limit, a fine of not less than 10,000 yuan but not more than 50,000 yuan shall be imposed,
and their corresponding qualifications may also be revoked.
Article 49
Those who fail to undergo the formalities for submitting the freight rates for the filing, as provided for in these
Regulations, or fail to implement the freight rates which have been submitted for the filing shall be ordered to
make corrections with the time limit by the competent communications department of the State Council or its
authorized communications department of local people’s government, and a fine of not less than20,000 yuan but
not more than 100,000 yuan shall be imposed concurrently.
Article 50
Where, based on the conclusion of investigation, an administrative penalty shall be imposed, or where any of the
illegal acts listed in Article 27 of these Regulations has been committed, the competent communications
department, the competent pricing department and the administrative department for industry and commerce shall
impose a penalty in accordance with the provisions of relevant laws and administrative regulations.
Article 51
International shipping operators who conclude negotiable freight rate agreements with non-vessel-operating
common carriers failing to register their bills of lading and pay surety bond shall be given a warning and fined not
less than 20,000 yuan but not more than 100,000 yuan by the competent communications department of the State
Council or its authorized communications department of local people’s government.
Article 52
Foreign operators of international shipping services and foreign enterprises engaged in auxiliary businesses
relating to international maritime transportation, if establishing permanent representative offices without the
approval of the competent communications department of the State Council, shall be ordered to make corrections
within a specified time limit and fined not less than 20,000 yuan but not more than 100,000 yuan by the competent
communications department of the State Council or its authorized communications department of local people’s
government.
The permanent representative offices established by foreign operators of international shipping services or foreign
enterprises engaged in auxiliary businesses relating to international maritime transportation, if engaging in profit-
making business operations, shall be ordered to terminate their business operations and be punished according to
law by the administrative departments for commerce and industry.
Article 53
Those who refuse the investigations legally conducted by the investigatory organ and its staff members, or conceal
truthful information or give false information, shall be ordered to make corrections and fined not less than 20,000
yuan but not more than 100,000 yuan by the competent communications department of the State Council or its
authorized communications department of local people’s government.
Article 54
Those who are illegally engaged in international maritime transportation business operations to and from ports of
China and auxiliary business operations relating to international maritime transportation, thus disturbing the order
of international maritime transportation market, shall be investigated for criminal responsibilities in accordance
with the provisions of the Criminal Law on the crime of illegal business operations.
Article 55
Any staff members of the competent communications department of the State Council or competent
communications departments of local people’s governments, if breaking criminal laws by committing any acts as
follows which result in grave consequences, shall be investigated for criminal responsibilities in accordance with
the provisions of the Criminal Law on the crime of abusing powers, the crime of neglect of duties or other crimes;
if the circumstances are not serious enough to constitute a crime, administrative sanctions shall be imposed
according to law:
(1) failing to grant approval, permission, registration or filing to applicants who meet the conditions provided for
in these Regulations, or granting approval, permission, registration or filing to applicants who do not meet the
conditions provided for in these Regulations;
(2) failing to exercise supervision and administration as provided for in these Regulations over international
shipping operators, non-vessel-operating common carriers, international shipping agents or international ship
management operators who have obtained the approval, permission, registration and filing, or failing to
deprive the operators no longer meeting the conditions provided for in these Regulations of their
qualifications for business operations, or failing to investigate and deal with their illegal acts with the
knowledge relating thereto; or
(3) failing to promptly ban the international maritime transportation business operations or auxiliary business
operations relating to international maritime transportation carried out by any unit or individual without
undergoing the formalities for approval, permission, registration or filing according to law, while these cases
have been discovered during the course of supervision and inspection, or failing to handle such cases
according to law after their being reported.
Article 56
These Provisions are mutatis mutandis applicable to the investment into and operation of international shipping
businesses and auxiliary businesses relating to international maritime transport in China mainland by investors
from Hong Kong Special Administrative Region, Macao Special Administrative Region or Taiwan region.
Article 57
No foreign operators of international shipping service, without being approved by the competent communications
department of the State Council, shall be allowed to engage in the shipping services between Chinese mainland
and Hong Kong Special Administrative Region or Macao Special Administrative Region, nor engage in two-way
direct sailings or shipping services via a third place between Chinese mainland and Taiwan region.
Article 58
The measures for administration of maritime transportation between Chinese mainland and Hong Kong Special
Administrative Region or Macao Special Administrative Region shall be formulated in accordance with these
Regulations by the competent communications department of the State Council.
The maritime transportation between Chinese mainland and Taiwan shall be governed by the relevant provisions of
the State.
Article 59
Where any country or region has taken any prohibitive, restrictive or other similar measures discriminating against
any international maritime transportation operator, ship or seaman of the People’s Republic of China, the
Government of the People’s Republic of China shall, on the basis of reciprocity, take appropriate counter
measures.
Article 60
Those who have been engaging in international maritime transportation business operations or auxiliary business
operations relating to international maritime transportation before these Regulations take effect shall make up the
formalities as provided for in these Regulations within 60 days after the effective date of these Regulations.
Article 61
These Regulations shall take effect as of January 1, 2002. The Provisions of the People’s Republic of China on
Administration of International Maritime Container Transport promulgated by the State Council on December 5,
1990, and revised and promulgated by the State Council on April 18, 1998 shall be repealed simultaneously.
ANNEXE 2
Adopted at the 14th Ministerial Executive Meeting of the Ministry of Communications on December 25 th, 2002,
promulgated by Decree No. 1 of the Ministry of Communications on January 20 th, 2003, and effective as of March
1st, 2003)
of the cargo, taking delivery of cargo or delivering cargo, arranging the transshipment of cargo and the entry into
and departure from ports by vessels etc.
(2)Operators of international shipping services shall include the Chinese enterprise legal persons who have
acquired the Permits for Operation of International Shipping Services for operating the international shipping
services according to the Maritime Transportation Regulations, or foreign enterprises established in accordance
with foreign laws who operate the international shipping services to and from Chinese ports.
(3)International liner services shall mean the regular international maritime cargo/or passenger transportation
services provided between the fixed ports by means of using the owned or operated vessels or by means of the
cases specified in paragraph 3, Article 16 of the Maritime Transportation Regulations.
(4)Non-vessel-operating services shall mean the services provided in paragraph 2, Article 7 of the Maritime
Transportation Regulations, including the following activities conducted relating to the cargo transported for the
purpose of completing such services:
a. concluding international cargo transportation contracts with the shippers in the name of carriers;
b. taking delivery of cargo and delivering cargo in the name of carriers;
c. issuing bills of lading or other transportation documents;
d. collecting freight and other service charges;
e. booking space from operators of international shipping services or contracting with operators of other means of
transportation for cargo transportation;
f. paying the freight of port to port transportation or other transportation charges;
g. unstuffing and/or cargo container consolidation;
h. their related activities.
(5) A non-vessel-operating common carrier shall include a Chinese enterprise legal person who has acquired the
license for the non-vessel-operating services in accordance with the Maritime Transportation Regulations and these
Rules, and a foreign enterprise established in accordance with foreign laws or regulations who has acquired the
qualification in accordance with the Maritime Transportation Regulations and these Rules for non-vessel-operating
services for cargo to and from Chinese ports.
(6) An international shipping agent shall mean a Chinese enterprise legal person established in accordance with
Chinese laws who provides the services as specified in Article 29 of the Maritime Transportation Regulations.
(7) An international ship management operator shall mean a Chinese enterprise legal person established in
accordance with Chinese laws who provides the services as specified in Article 30 of the Maritime Transportation
Regulations.
(8) An operator of the business relating to storage and warehousing of international shipments shall mean a
Chinese enterprise legal person established in accordance with Chinese laws who provides the services of cargo
storage and custody in warehouses, cargo inventory management, as well as sorting and packing, repacking and
distributing of cargo etc.
(9) An operator of international maritime container freight station and container yard services shall mean a Chinese
enterprise legal person established in accordance with Chinese laws who provides the storage, custody, cleaning,
repairing of containers as well as the storage, consolidation, distribution of container cargo.
(10) A foreign-invested enterprise shall mean a Chinese-foreign equity joint venture, a Chinese-foreign contractual
joint venture or a wholly foreign capital enterprise established in accordance with Chinese laws.
(11) A foreign-invested representative office shall mean a non-commercial organization established according to
laws within Chinese territory by a foreign enterprise or another economic organization which conducts
introduction of business, sales promotion, business consultation and the liaison services for such a foreign
enterprise or economic organization.
(12) Business registration documents of an enterprise shall mean the business license or the documents certifying
the registration of an enterprise issued by the enterprises registration authority or the relevant authority of the
country where the enterprise was registered. Where the photocopies of such business registration documents are
submitted, a confirmation on such photocopies about the truthfulness of such photocopies by the registration
authority or notary documents certifying the identity between the photocopies and the originals shall be provided
at the same time.
(13) A special-purpose invoice shall mean the bills approved and uniformly printed by the State Administration of
Taxation. It is a receipt which certifies the payment of the freights or other related charges by the payer to the
operator of international shipping services or its agents, or to the non-vessel-operating carrier or its agents. Such an
invoice shall include the Special Invoice for International Shipping and the Special Invoice for International
Shipping Agency.
(14) An agreement of liner conference shall mean the kind of agreement concluded between members of a liner
conference or between liner conferences, which is defined in the UN Convention on A Code of Conduct for Liner
Conferences, 1974.
(15) An operational agreement shall mean an agreement relating to the increase or decrease of shipping capacity in
one or more shipping routes concluded between two or more than two international operators of international liner
services for the purpose of stabilizing or controlling the freight rates, or other agreement coordinating the joint
efforts of operators of international liner services. Such an agreement includes the agreed minutes with the natures
of the above-mentioned agreement. Such an agreement shall also mean the agreement relating to the joint
operation of the vessels, joint usage of the port facilities and other cooperative operation agreement and various
kinds of alliance or consortia agreements concluded between two or more than two operators of international liner
services for the purpose of improving the operational efficiency.
(16) A freight rate agreement shall mean an agreement relating to the kinds of charges to be collected, the rates
thereof, the freight rates or surcharges etc. which is concluded between two or more than two operators of
international liner services. Such an agreement shall also include the agreed minutes with the natures of the above-
mentioned agreement.
(17) Tariff rates refer to the freight rates provided in the tariff book of international liner services operators and
non-vessel-operating common carriers. Such rates include the freight rates, the rules related to the freight rates and
the rules which shall be complied with both by carriers and shippers.
(18) Negotiated rates refer to the freight rates agreed upon between international liner services operators and
shippers or non-vessel-operating common carriers. Such rates shall include the freight rates and the related
elements. Negotiated rates shall be concluded in the form of written contracts or agreements.
(19) Documents certifying the business experience refer to the curriculum vitae certifying that the person to be
certified has more than three years experience in the international shipping services and the auxiliary businesses
thereof. The curriculum vitae shall be notarized by a notary office.
The Ministry of Communications shall publish the policies of the State for the development of international
shipping industry and the actual competition situations in international shipping market at its official website and
the other appropriate media. Where the above-mentioned policies or situations fail to be published, they shall not
be used as the reasons for the refusal of applications.
Article 5
The applicant shall make an application and submit the relevant documents to the Ministry of Communications for
applying to set up an enterprise within the Chinese territory to operate international shipping services, or, for
applying to operate international shipping services when such an applicant is a Chinese enterprise legal person. A
duplicate of the same documents shall be sent to the competent communications department of the people’s
government of the province, autonomous region or municipality directly under the Central Government where the
enterprise is or is to be registered, as the case may be. The following application documents shall be included:
(1) the letter of application;
(2) the feasibility study report and the agreement of investment;
(3) the business registration document of the applicant (if applying to set up an enterprise, the main investor’s
business registration document or, as the case may be, the identity document);
(4) the duplicate or photocopy of the vessel’s ownership document, nationality document or inspection document;
(5) the sample of bill of lading, passage ticket or multimodal transport documents; and
(6) the documents certifying the business experience of the senior executives who satisfy the requirements of the
Ministry of Communications.
The competent communications department of the people’s government of the province, autonomous region or
municipality directly under the Central Government shall give its comments thereon upon the acceptance of the
documents and submit its comments to the Ministry of Communications within 10 working days from the date of
acceptance of the application.
The Ministry of Communications shall, within 30 working days from the date when the application documents are
complete and authentic, complete the examination and verification and make a decision of granting or not granting
permission in accordance with Article 5 and 6 of the Maritime Transportation Regulations. If the permission is
granted, a Permit for Operation of International Shipping Services shall be issued to the applicant, or, if no
permission is granted, the applicant shall be notified in writing and given the reasons therefor.
Article 6
If a Chinese operator of international shipping services applies to set up a branch within Chinese territory, the
provisions relating to the procedures as specified in Article 5 of these Rules shall apply. The following application
documents shall be included:
(1) the letter of application;
(2) the feasibility study report;
(3) the business registration document of the parent company;
(4) the photocopy of the Permit for Operation of International Shipping Services of the parent company;
(5) the letter of confirmation by the parent company of the business scope of the branch; and
(6) the documents certifying the business experience of the senior executives who satisfy the requirement of the
Ministry of Communications.
The branches of the Chinese operators of international shipping services may provide the services to the vessels of
the parent company with regard to port entry and departure, arranging for the port handling, accepting of space
booking, issuing of bill of lading and collecting of freight etc.
Article 7
If applying to set up of an enterprise legal person within Chinese territory to operate international shipping agency
services or to operate international shipping agency services, an application shall be submitted to the Ministry of
Communications, and the relevant documents shall be attached thereto. The same documents shall be submitted to
the competent communications department of the people’s government of the province, autonomous region or
municipality directly under the Central Government where the enterprise is or is to be registered, as the case may
be. The application documents shall include the following:
(1) the letter of application;
(2) the feasibility study report and the agreement of investment;
(3) the business registration document of the applicant (if applying to set up an enterprise, the main investor’s
business registration document or, as the case may be, the identity document);
(4) the document certifying that there is a fixed place of business;
(5) the documents certifying the business experience of the senior executives as specified in subparagraph 1 of
Article 9 of the Maritime Transportation Regulations; and
(6) the agreement of having EDI with the ports and customs etc. If there is no such EDI arrangement, the certifying
document issued by the relevant port or customs shall be provided.
The competent communications department of the people’s government of the province, autonomous region or
municipality directly under the Central Government shall give its comments thereon upon the acceptance of the
documents and submit its comments to the Ministry of Communications within 7 working days from the date of
acceptance of the application.
The Ministry of Communications shall, within 15 working days from the date when the application documents are
complete and authentic, complete the examination and verification in accordance with Article 9 of the Maritime
Transportation Regulations. If the application documents are examined and verified as qualified, the registration
shall be granted and a Registration for Operation of International Shipping Agency Services shall be issued to the
applicant. If the application documents are examined and verified as unqualified, the applicant shall be notified in
writing and given the reasons therefor. The applicant shall, go through the enterprise registration procedures at the
enterprise registration authority by holding the Registration for Operation of International Shipping Agency
Services issued by the Ministry of Communications and the relevant procedures at the customs, taxation and
foreign exchange administration authorities.
Article 8
If a Chinese enterprise legal person applies to operate international ship management services or to set up an
enterprise within Chinese territory to operate international ship management services, an application shall be
submitted to the competent communications department of the people’ s government of the province, autonomous
region or municipality directly under the Central Government. The following application documents shall be
included:
(1) the letter of application;
(2) the feasibility study report and the agreement of investment;
(3) the business registration document of the applicant (in case of applying to set up an enterprise, the main
investor’s business registration document or, as the case may be, the identity document);
(4) the document certifying that there is a fixed place of business;
(5) the documents certifying the business experience of the senior executives as specified in subparagraph 1 of
Article 11 of the Maritime Transportation Regulations; and
(6) the photocopies of the master, the chief engineer’s documents of competence as specified in subparagraph 2 of
Article 11 of the Maritime Transportation Regulations.
The competent communications department of the people’s government of the province, autonomous region or
municipality directly under the Central Government shall, within 15 working days from the date when the
application documents are complete and authentic, complete the examination and verification. If the application
documents are examined as authentic and satisfy the provisions in Article 11 of the Maritime Transportation
Regulations, the registration shall be granted and a Registration for Operation of Auxiliary Businesses Relating to
International Maritime Transportation shall be issued to the applicant. If the application documents are examined
and verified as inauthentic or if the application fails to satisfy the conditions specified in Article 11 of the Maritime
Transportation Regulations, no registration shall be granted and the applicant shall be notified in writing and given
the reasons therefor. The applicant shall, go through the enterprise registration procedure at the enterprise
registration authority, the relevant procedures at the taxation authority and the banks designated by the foreign
exchange administration authority with the Registration for Operation of Auxiliary Businesses Relating to
International Maritime Transportation.
Article 9
If the branches set up by the operators of international shipping agency services and international ship management
services within Chinese territory to operate the relevant services, the criteria specified in Article 9 and 11 of the
Maritime Transportation Regulations shall be satisfied and registration shall be conducted in accordance with the
provisions in Article 10 and 12 of the Maritime Transportation Regulations, Article 7 and 8 of these Rules. The
following documents for registration shall be included:
(1) the letter of application;
(2) the feasibility study report;
(3) the business registration document of the parent company;
(4) the photocopies of Registration for Operation of International Shipping Agency Services or Registration for
Operation of Auxiliary Businesses Relating to International Maritime Transportation of the parent company;
(5) the letter of confirmation by the parent company of the business scope of the branch;
(6) the document certifying that there is a fixed place of business;
(7) the documents certifying the business experience of staff as specified Article 9 and 11 of the Maritime
Transportation Regulations; and
(8) the EDI agreement with the port and the customs authorities in case of setting up branches by an operator of
international shipping agency services. If there is no EDI capability, the relevant certifying document issued by the
port or the customs authority shall be submitted.
Article 10
An application and the documents specified in Article 17 of the Maritime Transportation Regulations shall be
submitted to the Ministry of Communications when an operator of international shipping services applies to
engage in the international liner services to and from Chinese ports. The Ministry of Communications shall carry
out the examination and verification as specified in Article 17 of the Maritime Transportation Regulations. If a
registration is granted, a Registration of International Liner Services Qualification shall be issued. If no registration
is granted when the application documents are inauthentic and incomplete, the applicant shall be notified in writing
and given the reasons therefor.
The Ministry of Communications will list the name of the operator of the international liner services and the bill of
lading thereof at its official website after the operator of international shipping services has acquired the
qualification for engagement of the international liner services to and from Chinese ports.
Article 11
An application and the relevant documents shall be submitted to the Ministry of Communications in case of
applying for the registration of a non-vessel-operating common carrier’s bill of lading. A duplicate of the above-
mentioned documents shall be submitted at the same time to the competent communications department of the
people’s government of the province, autonomous region, municipality directly under the Central Government
where the non-vessel-operating common carrier is registered, or, in case of application for registration of a bill of
lading by a foreign non-vessel-operating common carrier, to the competent communications department of the
people’s government of the province, autonomous region or municipality directly under the Central Government
where the liaison office appointed by such non-vessel-operating common carrier is registered. The following
application documents shall be included:
(1) the letter of application;
(2) the feasibility study report;
(3) the business registration document;
(4) the sample of bill of lading;
(5) the photocopy of the receipt certifying that the surety bond has been deposited at the bank.
If the applicant is a foreign non-vessel-operating common carrier, the relevant documents specified in Article 25 of
these Rules which relate to its appointed liaison office shall be submitted as well.
The competent communications department of the people’s government of the province, autonomous region or
municipality directly under the Central Government shall complete the examination, verification and give its
comments on the application documents after the acceptance of the above-mentioned duplicate. Such
communications department shall report its comments to the Ministry of Communications within 7 working days
after the acceptance of the application documents.
The Ministry of Communications shall complete the examination and verification specified in Article 7 and 8 in
the Maritime Transportation Regulations within 15 working days after the acceptance of the complete application
documents. If the application documents are authentic and complete, the registration of the bill of lading shall be
granted and a Registration of Non-Vessel-Operating Services Qualification shall be issued. If the application
documents are inauthentic and incomplete, the applicant shall be notified in writing that no registration is granted
and the reasons therefor shall be given.
After acquiring a Registration of Non-Vessel-Operating Services Qualification, a Chinese applicant shall go
through the registration procedure at the enterprise registration authority where it is registered before starting the
non-vessel-operating services.
Article 12
If a foreign non-vessel-operating common carrier has acquired the qualification for the non-vessel-operating
services in accordance with foreign laws and has obtained a legal financial liability guaranty, it does not need to
deposit the surety bond at the bank within Chinese territory when it applies to engage in the non-vessel-operating
services to and from Chinese ports in accordance with the Maritime Transportation Regulations and these Rules.
However, in order to ensure that the debt to be paid which is incurred from the foreign non-vessel-operating
common carrier’s non-performance or improper performance of the carrier’s responsibility, or, in order to ensure
that the fine to be paid which is incurred from such non-vessel-operating common carrier’s non-performance or
improper performance satisfy the provisions in paragraph 3 of Article 8 of the Maritime Transportation
Regulations, the competent authority of such a foreign non-vessel-operating common carrier shall sign an
agreement relating to the ways or means of realizing the financial liability guaranty with the Chinese governmental
transport authority.
Article 13
When the cargo is solicited, the bill of lading or other transport document is issued, or the freight is collected
within Chinese territory, although there is no direct international liner services to and from Chinese ports, the
qualification of the non-vessel-operating services shall be obtained in accordance with the relevant provisions of
these Rules if the international cargo transportation services to and from Chinese ports is provided by way of
chartering space from vessels of operators of international liner services, or, if cargo is shipped at Chinese ports for
transshipment at foreign ports by using the feeder service provided by operators of international liner services,
with the exception of the cases specified in paragraph 3 of Article 16 of the Maritime Transportation Regulations.
Article 14
If a Chinese non-vessel-operating common carrier applies to set up a branch within Chinese territory, the surety
bond shall be deposited in accordance with paragraph 2 of Article 8 of the Maritime Transportation Regulations
and the registration shall be obtained in accordance with Article 11 of these Rules by acquiring the Registration of
Non-Vessel-Operating Services Qualification. The following documents shall be submitted for applying for the
registration:
(1) the letter of application;
(2) the business registration document of the parent company;
(3) the photocopy of the Registration of Non-Vessel-Operating Services Qualification of the parent company;
(4) the document confirming the business scope of the branch by the parent company;
(5) the photocopy of the receipt certifying that the surety bond has be deposited at the bank.
Article 15
When the non-vessel-operating common carrier applies for the registration of the bill of lading, the name listed at
the title of the bill of lading shall be the same as that of the applicant.
If the name listed in the title of the bill of lading is different from that of the applicant, the applicant shall provide
the documents certifying that such a bill of lading is printed and used by itself as well as a declaration in writing
that it will bear the carrier’s responsibility of issuing such a bill of lading.
Article 16
If a non-vessel-operating common carrier has two or more bills of lading, each of the bills of lading shall be
registered.
If the bill of lading registered by an operator of international liner services or non-vessel-operating common carrier
is changed, the sample of the new bill of lading shall be filed with the Ministry of Communications 15 days before
the date of usage of such a new bill of lading.
Article 17
After the non-vessel-operating common carrier acquires according to law the qualification for the non-vessel-
operating services by depositing the surety bond and registering the bill of lading, the Ministry of Communications
shall list the name of the non-vessel-operating common carrier and the sample of its bill of lading at its official
website.
Article 18
A non-vessel-operating common carrier shall deposit according to law the surety bond at the non-vessel-operating
common carrier’s bank account at the commercial bank designated by the Ministry of Communications. The
interest of the surety bond shall be calculated on the basis of the interest rate of the current deposit published by
the People’s Bank of China.
Article 19
The surety bond deposited by the non-vessel-operating common carrier is protected by the State laws. The surety
bond shall not be used unless for the following cases:
(1) bearing the liability for compensation due to the non-vessel-operating common carrier’s non-performance or
improper performance of carrier’s responsibility according to a judgment in force by a judicial organ or an
arbitration institution’s arbitration award ruled by a judicial organ to be enforced;
(2) being fined by the communications authorities.
If the surety bond shall be transferred due to the cases referred to in subparagraph 1 and 2 of the previous
paragraph, it shall be carried out according to laws.
If the amount of surety bond of the non-vessel-operating common carrier falls short of the amount specified in the
Maritime Transportation Regulations, the Ministry of Communication shall inform the non-vessel-operating
common carrier to make up the amount in short. If the non-vessel-operating common carrier fails to make up the
amount in short within 30 days from the date of service of the notice in writing from the Ministry of
Communications, the Ministry of Communication shall revoke its qualification of the non-vessel-operating
services in accordance with Article 15 of the Maritime Transportation Regulations.
Article 20
The non-vessel-operating common carrier may apply for the refund of the surety bond from the Ministry of
Communications if its qualification for the non-vessel-operating services is revoked, applies for the termination of
the services or terminates the services for other reasons. The Ministry of Communications shall publish such a
matter of application in a notice at its official website for 30 days.
Within the notice period, if the interested party considers it as necessary to take a measure for legal custody of the
surety bond under the circumstances specified in subparagraph 1 of Article 19 of these Rules which are related to
the non-vessel-operating common carrier, the judgment of exercising the legal custody shall be obtained within the
above-mentioned period. From the date of legal custody, the supervision over the account of surety bond of such a
non-vessel-operating common carrier by the Ministry of Communications in accordance with the Maritime
Transportation Regulations shall be terminated. The relevant dispute shall be settled by the interested parties
through judiciary procedures.
If there are cases specified in the previous paragraph within the notice period, the Ministry of Communications
shall inform the bank where the account of surety bond is opened to return the surety bond as well as the interest
thereof of the non-vessel-operating common carrier and withdraw the Registration of Non-Vessel-Operating
Services Qualification of such carrier.
Article 21
If the Chinese operators of international shipping services, the Chinese non-vessel-operating common carrier, the
Chinese operators of international shipping agency services, the Chinese operators of international ship
management services have the following case(s), they shall have them filed with the authority who issued the
permission or registration:
(1) the change of the enterprise’s name;
(2) the change of the place of registration;
(3) the change of the investors;
(4) the suspension or termination of operation.
If there is a change of the enterprise’s name, a new permission or registration shall be issued by the authority who
issued the permission or registration. If the operation is terminated, the relevant permission or registration shall be
returned to the original authority for permission or registration.
Article 22
Except the foreign-invested enterprises specified in the Maritime Transportation Regulations and Chapter Four of
these Rules, the operators of the business relating to storage and warehousing of international shipments
international, the operators of international maritime container freight station and container yard services shall,
within 30 days of from the time of starting the above-mentioned services file the case with the competent
communications department of the people’s government of the province, autonomous region or municipality
directly under the Central Government where the enterprises are registered.
Article 23
If operators of international liner services start new liner services, suspend liner services, change the carrying
vessels or schedule for international liner services, such issues shall be made known to public at the mess media
designated by the Ministry of Communications in accordance with the provisions of Article 19 of the Maritime
Transportation Regulations and such issues shall be filed as provided.
Article 24
If a Chinese international shipping service operator increases shipping capacity including increasing shipping
capacity through bare boat chartering, such issue shall be filed with the Ministry of Communications 15 days prior
to the operation of such vessel(s) and the document certifying the filing shall be acquired. The filing documents
shall include the name of the company, the place of registration, the name(s) of the vessel(s), the nationality(ies) of
the vessel(s), type(s) of vessel(s), vessel(s)’s tonnage and the shipping route(s) planned.
The Ministry of Communications shall, within 3 working days after acceptance of the filing documents, issue the
document certifying the filing.
Article 25
A foreign international shipping service operator who operates international liner services to and from Chinese
ports and a foreign non-vessel-operating common carrier who provides international cargo transportation services
to and from Chinese ports by entrusting their agents to provide the services on behalf of them in China shall
appoint their points of contact within Chinese territory. Such points of contact are responsible for the contact
between such foreign enterprises and the relevant competent authorities of the Chinese government on
administration and legal issues as specified in the Maritime Transportation Regulations and these Rules. The points
of contact can be the foreign-invested enterprises or the foreign-invested representative offices set up within
Chinese territory as well as other Chinese enterprise legal persons or other economic organizations who have fixed
places of business. The appointment of the points of contact shall be filed with the Ministry of Communications
and the following documents shall be submitted for filing:
(1)the introduction of such points of contact with the information of the names, the places of business, the means
of contact and the persons of contact of such points of contact;
(2)the duplicate or photocopy of the letter of entrustment;
(3)the duplicate of the agreements concluded between the entrusting parties and the points of contact;
(4)the photocopies of the business registration documents of the points of contact.
If the points of contact are foreign-invested enterprises or foreign-invested representative offices of within Chinese
territory, the documents referred to in subparagraph 2 and 3 can be exempted.
If the points of contact or the information listed in the introduction of the points of contact, such changes shall be
filed with the Ministry of Communications within 15 days from the date of such changes.
Article 26
No enterprise or individual may, without authorization, uses the bill of lading which has been registered by an
operator of international liner services or a non-vessel-operating common carrier.
Article 27
If a non-vessel-operating common carrier needs to entrust an agent with issuance of the bill of lading or the related
document on its behalf, it shall entrust a qualified operator of international shipping services, a qualified non-
vessel-operating common carrier or a qualified operator of auxiliary business operations relating to international
maritime transportation to provide the above-mentioned services on its behalf.
The qualified operator referred to in the previous paragraph shall not accept the entrustment to issue the bill of
lading of a non-vessel-operating common carrier who fails to register its bill(s) of lading and deposit the surety
bond.
Article 28
If an operator of international liner services has an agreement of negotiated rates with a shipper or a non-vessel-
operating common carrier, such an agreement shall be in writing. The series number of such an agreement shall be
listed in the bill of lading or the related document.
Article 29
An operator of international shipping services shall not accept cargo or containers from a non-vessel-operating
common carrier who fails to register its bill(s) of lading and deposit the surety bond.
Article 30
If an operator of international liner services entrusts an agent with the businesses including accepting space-
booking, issuing bill of lading and collecting freight on its behalf, the agent entrusted shall be an qualified operator
of international shipping agency services.
Article 31
The operators of international liner services and the non-vessel-operating common carriers shall publish the
information relating to their shipping agencies, agents for issuing bill of lading on their behalf within Chinese
territory at the mass media designated by the Ministry of Communications. The information to be published
includes the name, the place of registration, the place of business and the means of contact of such agents. If there
is a change of agents, the new information shall be published 7 days prior to the coming into effect of the agency
agreement.
The operator of international liner services and the non-vessel-operating common carriers shall file timely the
name lists of the media where they publish the information relating to their agents with the Ministry of
Communications.
Article 32
The liner conference agreements, service operation agreements and freight rate agreements which involve the
services to and from Chinese ports and are concluded between operators of international shipping services shall be
filed with the Ministry of Communications within 15 days after the date of concluding the agreements in
accordance with the following provisions:
(1) the liner conference agreements shall be filed by the liner conference representing all its members who operate
the maritime transportation to and from Chinese ports. When the liner conference files the agreement, the name list
of the members of the conference shall be attached thereto.
(2) the service operation agreements and freight rate agreements shall be filed by the operators of international
shipping services who are contracting parties to such agreements.
Article 33
If there is a merger or acquisition among Chinese operators of international shipping services, or a merger or
acquisition between Chinese operators of international shipping services and foreign operators of international
shipping services, such agreements shall be submitted by the merging or acquiring party in accordance with the
provisions in Article 24 of the Maritime Transportation Regulations to the Ministry of Communications for
examination and approval.
Article 34
The following operators shall issue special-purpose invoices to the payers when they collect freight and other
related charges for themselves or on behalf of others:
(1) the Chinese operators of international shipping services and their branches;
(2) the Chinese non-vessel-operating common carriers;
(3) the operators of international shipping agency and their branches;
(4) the enterprises specified in Article 33 of the Maritime Transportation Regulations.
After the operators referred to in the preceding paragraph obtain the document certifying the usage of special-
purpose invoices which are issued from the competent communications department of the people’s government of
the people’s government of the province, the autonomous region and the municipality directly under the Central
Government, they shall apply for the special-purpose invoices from the taxation authority where the company are
registered, unless it is provided by the State Administration of Taxation otherwise.
Article 35
The operators of international ship management services shall fulfill the obligations of safety of vessels and anti-
pollution in accordance with the provisions of the contracts and the relevant provisions of the State.
Article 36
The international liner services operators who operate the international liner services to and from Chinese ports
shall fill out the Form on International Maritime Transportation Information of the People’s Republic of China
(Basic Information of Shipping Companies), the Form on International Maritime Transportation Information of the
People’s Republic of China (Export Full-loaded Container Volume of Shipping Companies), the Form on
International Maritime Transportation Information of the People’s Republic of China (Import Full-loaded
Container Volume of Shipping Companies) and send the forms to the Ministry of Communications before March
31st every year.
Foreign operators of international shipping services shall have the above-mentioned forms sent by their entrusted
liaison office.
Article 37
Chinese operators of international shipping services, Chinese operators of international shipping agency service
and operators of international container ports shall fill out respectively the Form on International Maritime
Transportation Information of the People’s Republic of China (Basic Information of Shipping Companies), the
Form on International Maritime Transportation of the People’s Republic of China (International Shipping
Agencies), the Form on International Maritime Transportation of the People’s Republic of China (Container
Throughput of Ports) before March 15 th every year to the competent communications department of the people’s
government of the province, autonomous region or municipality directly under the Central Government where the
companies are registered.
The relevant competent communications department of the people’s government of the province, the autonomous
region and the municipality directly under the Central Government shall file the above-mentioned forms and the
summary of the forms before March 31st every year with the Ministry of Communications.
Article 38
The operators of international shipping agency services, operators of international ship management services,
operators of the business relating to storage and warehousing of international shipments and operators of
international maritime container freight station and container yard services shall not have following acts:
(1) providing services at an abnormal and unreasonable charge level, thereby prejudicing fair competition;
(2) offering secret rebates to customers, not being reflected in the account books, for the purpose of soliciting
cargoes;
(3) arbitrarily taking advantage of its dominant position to restrict the other transacting party to choose freely
operators of auxiliary business operations relating to international maritime transportation, or to attract the other
transaction party by using the monopoly position in the industry for the purpose of repelling other competitors in
the same industry;
(4) other unfair competition acts.
Article 39
The representative offices of foreign operators of international shipping services and foreign operators of auxiliary
business operations relating to international maritime transportation shall not engage in commercial operations,
including but not limited to the following:
(1) accepting space-booking on behalf of their parent companies overseas, issuing bills of lading or the related
documents of the parent companies;
(2) settling the payment, collecting freight and other related charges for their parent companies;
(3) issuing bills of their parent companies overseas or the enterprises set up by their parent companies within
Chinese territory as specified in Article 33 of the Maritime Transportation Regulations;
(4) shipping cargoes to international liner services operators in the name of shippers; or
(5) concluding service contracts with customers in the name of foreign-invested representative offices.
autonomous region or municipality directly under the Central Government with the approval documents from the
relevant authorities in accordance with the procedures provided in Article 8 of these Rules.
Article 44
If one engages in the business relating to storage and warehousing of international shipments, the following
conditions shall be met:
(1) having a fixed place of business;
(2) having the warehouse facilities compatible to the scope of business;
(3) having at least two senior executives with no less than three years?ˉ experience in the relevant business; and
(4) other conditions provided for in the laws and regulations.
Article 45
If one engages in international maritime container freight station and container yard services, the following
conditions shall be met:
(1) having a fixed place of business;
(2) having the vehicles, handling facilities, container yards and container checking equipment or facilities
compatible to the scope of business;
(3) having at least two senior executives with no less than three years?ˉ experience in the relevant business; and
(4) other conditions provided in the laws and regulations.
Article 46
If one sets up a foreign-invested enterprise to engage in the business relating to storage and warehousing of
international shipments, or sets up a Chinese-foreign equity joint venture or a Chinese foreign contractual joint
venture to engage in international maritime container freight station and container yard services, an application
shall be submitted to the Ministry of Communications via the competent communications department of the
people’s government of the province, autonomous region or municipality directly under the Central Government,
and the following documents shall be attached thereto:
(1) the letter of application;
(2) the feasibility study report;
(3) the agreement of setting up a Chinese-foreign equity joint venture or a Chinese-foreign contractual joint
venture; and
(4) the business registration documents of the investors, in case of investment by natural persons, the identity
documents.
The competent communications department of the people’s government of the province, autonomous region or
municipality directly under the Central Government shall, within 10 working days after the acceptance of the
above-mentioned complete documents, submit the documents together with the comments to the Ministry of
Communications.
The Ministry of Communications shall, within 30 working days after the acceptance of the above-mentioned
documents and comments, complete the examination, verification in accordance with the provisions in Article 44
and 45 of the these Rules and give a decision of granting or not granting an approval. If an approval is granted, an
approval document shall be issued. If no approval is granted, the applicant shall be notified in writing and given
the reason therefor.
The applicant who is granted the approval shall go through the approval procedures for setting up a foreign-
invested enterprise at relevant authorities in accordance with the laws and regulations on the setting up of a
foreign-invested enterprise of the State with the approval document issued by the Ministry of Communications.
The applicant shall, after the acquiring the relevant approvals, apply for the registration of the services with the
Registration for Operation of Auxiliary Businesses Relating to International Maritime Transportation to Ministry
of Communications.
Article 47
The relevant registration procedures shall be gone through with the registration document issued by the Ministry of
Communications at the customs authority at the place where the cargoes or containers stored are to be supervised
before the cargoes or containers to be supervised by the customs can be stored.
Article 48
In case of setting up a representative office within the Chinese territory by a foreign operator of international
shipping services or a operator of the auxiliary business operations relating to international maritime
transportation, the following documents shall be submitted to the Ministry of Communications via the competent
communications department of the people’s government of the province, autonomous region or municipality
directly under the Central Government where the representative office is to be registered:
(1) the letter of application, in which the name, the place of registration, the duration of service and the main scope
of business of the representative office to be set up shall be specified;
(2) the business registration document of such operator;
(3) the introduction of the business of such operator including the time of registration, the main scope of business,
the business achievement of recent years, the number of employees, the introduction of overseas branches of such
operator;
(4) the letter of authorization for the chief representative signed by the director of board or the general manager of
the operator;
(5) the name, the nationality and curriculum vitae and the identity document of the chief representative.
The competent communications department of the people’s government of the province, autonomous region or
municipality directly under the Central Government shall, within 7 working days after the acceptance of the above-
mentioned complete documents, submit the documents together with the comments to the Ministry of
Communications.
The Ministry of Communications shall, within 15 working days after the acceptance of the above-mentioned
documents and comments, give a decision of granting or not granting an approval. If an approval is granted, a
Approval for the Setting up of A Representative Office by a Foreign (Overseas) Enterprise for Waterborne
Transportation within Chinese Territory (hereinafter referred to as the Approval) shall be issued by the Ministry of
Communications. If the application documents are incomplete and inauthentic, no approval shall be granted and
the applicant shall be notified in writing and given the reasons therefor.
The applicant who is granted an approval shall, within 30 days after the date of granting the approval, go through
the procedures for registration at the enterprise registration authority. If the applicant fails to go through the
registration procedures within the above-mentioned time limit, the Approval expires automatically.
The approved duration of service of the representative office shall be three years.
Article 49
If there is a change in the name of the representative office or a change of the chief representative, such a change
shall be filed with the Ministry of Communications within 15 days after the date of such a change.
If there is a change in the chief representative, the curriculum vitae, the photocopy of the new chief representative
and the letter of authorization for the chief representative signed by the director of the board or the general
manager of foreign (overseas) enterprise shall be attached at the time of filing.
If there is a change in the name of the representative office, an explanation on the relationship between the old
name and the new name of the representative office shall be attached at the time of filing. If the change of name of
the representative office arises from the merging, acquisition or separation of enterprises, the relevant legal
certifying document shall be attached as well.
The Ministry of Communications shall complete the filing procedures timely after the acceptance of the filing
documents.
Article 50
If the duration of service of the representative office needs to be extended, an application shall be submitted to the
Ministry of Communications 60 days before the date of expiration of the duration. The following application
documents shall be included:
(1) the letter of application;
(2) the photocopy of the Approval issued by the Ministry of Communications; and
(3) the photocopy of the business registration document of the representative office.
The Ministry of Communications shall, within 15 working days after the acceptance of the complete and authentic
documents from the applicant, complete the procedures relating to the registration of the change and issue the
certifying document.
Article 51
If a representative office terminates its operation, such an issue shall be reported to the Ministry of
Communications within 10 days after the date of termination. The Ministry of Communications shall cancel the
qualification of service of the representative office at the request.
If a representative office fails to apply for the extension of duration of service when the duration expires, the
qualification of the service of the representative office expires automatically at the time of expiration of the
duration.
If a representative office terminates its operation, loses its qualification of service or is cancelled with its
qualification of service, the Ministry of Communications shall issue a Notice on Cancellation of the Qualification
of Service of the Representative Office by a Foreign (Overseas) Enterprise for Waterborne Transportation within
Chinese Territory and notify the competent communications department of the people’s government of the
province, autonomous region or municipality directly under the Central Government and the enterprise registration
authority concerned.
The investigations shall be conducted by an investigation group jointly composed by the Ministry of
Communications, the administrative department of commerce and industry of the State Council and the pricing
department of the State Council (hereinafter referred to as the investigatory authority).
The investigatory authority shall notify the person under investigation of the composition of the investigation
group, the reason for investigation and the time limit for the investigation etc. The person under investigation shall,
within 30 days after the service of the notice of investigation, reply to the investigations.
If the person under investigation considers that the members of the investigation group have related interests with
the investigation applicant, the person under investigation or the issues under investigations, he can request a
refusal of such member(s). If the investigatory authority considers the application for refusal tenable, it shall adjust
the composition of the investigation group.
Article 54
When the person under investigation is investigated, he shall provide the relevant statistics, documents or papers at
the request of the investigation group. If such statistics, documents or papers are commercial secrets, the
investigation group shall be made known. The investigation group shall record in writing the confidentiality of
such statistics, documents or papers.
The investigatory authority and the members of the investigation group shall keep the commercial secrets of the
person under investigation confidential.
If the person under investigation finds the members of the investigation group disclose such commercial secrets
and has sufficient evidence to support his assertion, he has the right to make a complaint to the investigatory
authority.
Article 55
The following elements shall be considered before the investigatory authority decides that the person under
investigation provides service at lower freight rates than normal and reasonable ones:
(1) the freight rates level of most of the operators within the industry who have the same scale of business as the
person under investigation;
(2) the reason of the freight rate level fixed by the person under investigation, including the composition of costs,
the level of management and the level of profit and loss etc.; or
(3) whether there is a focus on certain competitors for the purpose of repelling the competitors in the same
industry.
Article 56
The following elements shall be considered before the investigatory authority decides that there is any act
detrimental to fair competition or any act detrimental to the other party of the transaction:
(1) to constitute obstacles to the free choice of carriers by the shippers;
(2) to affect the normal shipment of cargo; or
(3) to solicit cargo by offering secret rebate not being reflected by the bookkeeping, which seriously distorts the
market competition rules.
Article 57
Before the investigatory authority makes a conclusion on the investigation, a meeting for consulting the experts
shall be held to evaluate the degree of detriment to fair competition or detriment to the other party of the
transaction.
The experts invited in the consultative meeting shall not have related interests with the investigation applicant or
the person under investigation.
Article 58
When the investigations are completed, the investigatory authority shall make a conclusion on the investigations
and notify the investigation applicant and the person under investigation in writing:
(1) if the basic facts are not tenable, the investigatory authority shall decide to terminate the investigations;
(2) if the basic facts are tenable but not in substance detrimental to fair market competition, the investigatory
authority shall decide not to take prohibitive or restrictive measures against the person under investigation;
(3) if the basic facts are clear and in substance detrimental to fair market competition, the investigatory authority
shall, in accordance with the provisions in the Maritime Transportation Regulations, take prohibitive and
restrictive measures against the person under investigation.
Article 59
The party shall be informed of its right to have a hearing before the investigatory authority make a decision to take
prohibitive and restrictive measures. If the party asks for the hearing, it shall apply in writing to the investigatory
authority within 10 days after the service of the notice of the investigatory authority. If the party fails to make an
application within the time limit, it is considered to have waived its right to have a hearing.
Article 60
If an investigation is conducted on the cases specified in Article 38 of these Rules, the persons from the competent
communications department of the people’s government of the province, autonomous region or municipality
directly under the Central Government where the person under investigation registers his qualification of services
shall be included in the investigation group.
If there are unlawful practices as specified in subparagraph 3 of Article 38 of these Rules which are in substance
detrimental to the other party of the transaction or the competitors in the industry, the investigatory authority can
take the restrictive measures of restricting the person under investigation to develop his business within a certain
period of time.
ANNEXE 3
Table de matière
INTRODUCTION 1
SOMMAIRE 2
2.1 LES EFFETS DE B/L ÉMIS PAR DES NVOCC NON QUALIFIES 17
2.1.1 L’OBTENTION DE LA QUALIFICATION D’ACTIVITÉS DES NVOCC 17
2.1.2 LES CONTENTIEUX DES EFFETS DE B/L ÉMIS PAR DES NVOCC NON QUALIFIÉS 19
2.2 L’IDENTIFICATION DE LA NATURE DE B/L DES NVOCC 21
2.2.1 LA DISTINCTION DES B/L ENTRE NVOCC ET « VRAI » TRANSPORTEUR 21
2.2.2 LA NATURE DU B/L D’UN NVOCC 23
BIBLIOGRAPHIES 38
ANNEXE 40
ANNEXE 1 40
ANNEXE 2 53
ANNEXE 3 73
Table de matière 74