1974年班轮公会行动守则公约
CONVENTION ON A CODE OF CONDUCT FOR LINER CONFERENCES， 1974

颁布日期：19740311 　实施日期：19831006 　颁布单位：日内瓦

　　Objectives and Principles

　　The Contracting Parties to the present Convention，

　　Desiring to improve the liner conference system，

　　Recognizing the need for a universally acceptable code of conduct forliner conferences，

　　Taking into account the special needs and problems of the developingcountries with respect to the activities of liner conferences servingtheir foreign trade，

　　Agreeing to reflect in the Code the following fundamental objectivesand basic principles：

　　（a） The objective to facilitate the orderly expansion of worldsea-borne trade；

　　（b） The objective to stimulate¹ the development of regular andefficient liner services adequate to the requirements of the tradeconcerned；

　　（c） The objective to ensure a balance of interests between suppliersand users of liner shipping³ services；

　　（d） The principle that conference practices should not involve anydiscrimination against the shipowners， shippers or the foreign trade ofany country；

　　（e） The principle that conferences hold meaningful consultations⁵ withshippers' organizations， shippers' representatives and shippers onmatters of common interest， with， upon request， the participation⁶ ofappropriate authorities；

　　（f） The principle that conferences should make available to interestedparties pertinent⁷ information about their activities which are relevant tothose parties and should publish meaningful information on theiractivities.

　　Have agreed as follows：

　　PART ONE

　　CHAPTER I. DEFINITIONS

　　Liner conference or conference

　　A group of two or more vessel⁸-operating carriers which providesinternational liner services for the carriage of cargo⁹ on a particularroute or routes within specified¹⁰ geographical¹¹ limits and which has anagreement or arrangement， whatever its nature， within the framework ofwhich they operate under uniform or common freight rates and any otheragreed conditions with respect to the provision of liner services.

　　National shipping line

　　A national shipping line of any given country is a vessel-operatingcarrier which has its head office of management and its effective controlin that country and is recognized as such by an appropriate authority ofthat country or under the law of that country.

　　Lines belonging to and operated by a joint¹² venture involving two ormore countries and in whose equity¹³ the national interests， public and orprivate， of those countries have a substantial share and whose head officeof management and whose effective control is in one of those countries canbe recognized as a national line by the appropriate authorities of thosecountries.

　　Third-country shipping line

　　A vessel-operating carrier in its operations between two countries ofwhich it is not a national shipping line.

　　Shipper

　　A person or entity¹⁴ who has entered into， or who demonstrates anintention to enter into， a contractual or other arrangement with aconference or shipping line for the shipment of goods in which he has abeneficial interest.

　　Shippers' organization

　　An association or equivalent body which promotes， represents andprotects the interests of shippers and， if those authorities so desire， isrecognized in that capacity by the appropriate authority or authorities ofthe country whose shippers it represents.

　　Goods carried by the conference

　　Cargo transported by shipping lines members of a conference inaccordance with the conference agreement.

　　Appropriate authority

　　Either a government or a body designated by a government or bynational legislation to perform any of the functions ascribed to suchauthority by the provisions of this Code.

　　Promotional freight rate

　　A rate instituted for promoting the carriage of non-traditionalexports of the country concerned.

　　Special freight rate

　　A preferential freight rate， other than a promotional freight rate，which may be negotiated between the parties concerned.

　　CHAPTER II. RELATIONS AMONG MEMBER LINES

　　Article 1 Membership

　　1. Any national shipping line shall have the right to be a full memberof a conference which serves the foreign trade of its country， subject tothe criteria¹⁵ set out in Article 1， paragraph 2. Shipping lines which arenot national lines in any trade of a conference shall have the right tobecome full members of that conference， subject to the criteria set out inArticle 1， paragraphs 2 and 3， and to the provisions regarding the shareof trade as set out in Article 2 as regards third-country shipping lines.

　　2. A shipping line applying for membership of a conference shallfurnish evidence of its ability and intention， which may include the useof chartered tonnage， provided the criteria of this paragraph are met， tooperate a regular， adequate and efficient service on a long-term basis asdefined in the conference agreement within the framework of theconference， shall undertake to abide¹⁶ by all the terms and conditions ofthe conference agreement， and shall deposit a financial guarantee to coverany outstanding financial obligation in the event of subsequentwithdrawal， suspension or expulsion from membership， if so required underthe conference agreement.

　　3. In considering an application for membership by a shipping linewhich is not a national line in any trade of the conference concerned， inaddition to the provisions of Article 1， paragraph 2， the followingcriteria， inter² alia， should be taken into account：

　　（a） The existing volume of the trade on the route or routes served bythe conference and prospects¹⁸ for its growth；

　　（b） The adequacy of shipping space for the existing and prospectivevolume of trade on the route or routes served by the conference；

　　（c） The probable effect of admission of the shipping line to theconference on the efficiency and quality of the conference service；

　　（d） The current participation of the shipping line in trade on thesame route or routes outside the framework of a conference； and

　　（e） The current participation of the shipping line on the same routeor routes within the framework of another conference.

　　The above criteria shall not be applied¹⁹ so as to subvert²⁰ theimplementation of the provisions relating to participation in trade setout in Article 2.

　　4. An application for admission or readmission to membership shall bepromptly decided²² upon and the decision communicated by a conference to anapplicant promptly²¹， and in no case later than six months from the date ofapplication. When a shipping line is refused admission or readmission theconference shall， at the same time， give in writing the grounds for suchrefusal.

　　5. When considering applications for admission， a conference shalltake into account the views put forward by shippers and shippers'organizations of the countries whose trade is carried by the conference，as well as the views of appropriate authorities if they so request.

　　6. In addition to the criteria for admission set out in Article 1，paragraph 2， a shipping line applying for readmission shall also giveevidence of having fulfilled its obligations in accordance with Article 4，paragraphs 1 and 4. The conference may give special scrutiny²³ to thecircumstances under which the line left the conference.

　　Article 2 Participation in Trade

　　1. Any shipping line admitted to membership of a conference shall havesailing and loading rights in the trades covered by that conference.

　　2. When a conference operates a pool， all shipping lines members ofthe conference serving the trade covered by the pool shall have the rightto participate in the pool for that trade.

　　3. For the purpose of determining the share of trade which memberlines shall have the right to acquire， the national shipping lines of eachcountry， irrespective of the number of lines， shall be regarded as asingle group of shipping lines for that country.

　　4. When determining a share of trade within a pool of individualmember lines， and/or groups of national shipping lines in accordance withArticle 2， paragraph 2， the following principles regarding their right toparticipation in the trade carried by the conference shall be observed，unless otherwise mutually agreed：

　　（a） The group of national shipping lines of each of two countries theforeign trade between which is carried by the conference shall have equalrights to participate in the freight and volume of traffic generated bytheir mutual²⁴ foreign trade and carried by the conference；

　　（b） Third-country shipping lines， if any， shall have the right toacquire a significant part， such as 20 per cent， in the freight andvolume of traffic generated by that trade.

　　5. If， for any one of the countries whose trade is carried by aconference， there are no national shipping lines participating in thecarriage of that trade， the share of the trade to which national shippinglines of that country would be entitled under Article 2， paragraph 4 shallbe distributed among the individual member lines participating in thetrade in proportion to their respective share.

　　6. If the national shipping lines of one country decide not to carrytheir full share of the trade， that portion of their share of the tradewhich they do not carry shall be distributed among the individual memberlines participating in the trade in proportion to their respective shares.

　　7. If the national shipping lines of the countries concerned do notparticipate in the trade between those countries covered by a conference，the shares of trade carried by the conference between those countriesshall be allocated²⁵ between the participating member lines of thirdcountries by commercial negotiations²⁶ between those lines.

　　8. The national shipping lines of a region， members of a conference，at one end of the trade covered by the conference， may redistribute amongthemselves by mutual agreement the shares in trades allocated to them， inaccordance with Article 2， paragraphs 4 to 7 inclusive.

　　9. Subject to the provisions of Article 2， paragraphs 4 to 8 inclusiveregarding shares of trade among individual shipping lines or groups ofshipping lines， pooling or trade-sharing agreements shall be reviewed bythe conference periodically， at intervals²⁷ to be stipulated²⁸ in thoseagreements and in accordance with criteria to be specified in theconference agreement.

　　10. The application of the present Article shall commence as soon aspossible after entry into force of the present Convention and shall becompleted within a transition period which in no case shall be longer thantwo years， taking into account the specific situation in each of thetrades concerned.

　　11. Shipping lines members of a conference shall be entitled tooperate chartered ships to fulfil their conference obligations.

　　12. The criteria for sharing and the revision of shares as set out inArticle 2， paragraphs 1 to 11 inclusive shall apply when， in the absenceof a pool， there exists berthing²⁹， sailing and/ or any other form of cargoallocation agreement.

　　13. Where no pooling， berthing， sailing or other trade participationagreements exist in a conference， either group of national shipping lines，members of the conference， may require that pooling arrangements beintroduced， in respect of the trade between their countries carried by theconference， in conformity³⁰ with the provisions of Article 2， paragraph 4；or alternatively they may require that the sailing be so adjusted as toprovide an opportunity to these lines to enjoy substantially the samerights to participate in the trade between those two countries carried bythe conference as they would have enjoyed under the provisions of Article2， paragraph 4. Any such request shall be considered and decided by theconference. If there is no agreement to institute such a pool oradjustment of sailing among the members of the conference， the groups ofnational shipping lines of the countries at both ends of the trade shallhave a majority vote in deciding to establish such a pool or adjustment ofsailings. The matter shall be decided upon within a period not exceedingsix months from the receipt of the request.

　　14. In the event of a disagreement between the national shipping linesof the countries at either end whose trade is served by the conferencewith regard to whether or not pooling shall be introduced， they mayrequire that within the conference sailings be so adjusted as to providean opportunity to these lines to enjoy substantially the same rights toparticipate in the trade between those two countries carried by theconference as they would have enjoyed under the provisions of Article 2，paragraph 4. In the event that there are no national shipping lines in oneof the countries whose trade is served by the conference， the nationalshipping line or lines of the other country may make the same request. Theconference shall use its best endeavours to meet this request. If，however， this request is not met， the appropriate authorities of thecountries at both ends of the trade may take up the matter if they so wishand make their views known to the parties concerned for theirconsideration. If no agreement is reached， the dispute shall be dealt within accordance with the procedures established in this Code.

　　15. Other shipping lines， members of a conference， may also requestthat pooling or sailing agreements be introduced， and the request shall beconsidered by the conference in accordance with the relevant provisions ofthis Code.

　　16. A conference shall provide for appropriate measures in anyconference pooling agreement to cover cases where the cargo has been shutout by a member line for any reason excepting late presentation by theshipper. Such agreement shall provide that a vessel with unbooked space，capable of being used， be allowed to lift the cargo， even in excess of thepool share of the line in the trade， if otherwise the cargo would be shutout and delayed beyond a period set by the conference.

　　17. The provisions of Article 2， paragraphs 1 to 16 inclusive concernall goods regardless of their origin， their destination or the use forwhich they are intended， with the exception of military equipment fornational defence purposes.

　　Article 3 Decision-making Procedures

　　The decision-making procedures embodied³¹ in a conference agreementshall be based on the equality of all the full member lines； theseprocedures shall ensure that the voting rules do not hinder the properwork of the conference and the service of the trade and shall define thematters on which decisions will be made by unanimity³². However， a decisioncannot be taken in respect of matters defined in a conference agreementrelating to the trade between two countries without the consent of thenational shipping lines of those two countries.

　　Article 4 Sanctions

　　1. A shipping line member of a conference shall be entitled， subjectto the provisions regarding withdrawal¹⁷ which are embodied in pool schemes，and/or cargo-sharing arrangements， to secure its release， withoutpenalty， from the terms of the conference agreement after giving threemonths notice， unless the conference agreement provides for a differenttime period， although it shall be required to fulfil its obligations as amember of the conference up to the date of its release.

　　2. A conference may， upon notice to be specified in the conferenceagreement， suspend or expel a member for significant failure to abide bythe terms and conditions of the conference agreement.

　　3. No expulsion or suspension shall become effective until a statementin writing of the reasons therefor has been given and until any disputehas been settled as provided in chapter VI.

　　4. Upon withdrawal or expulsion， the line concerned shall be requiredto pay its share of the outstanding financial obligations of theconference， up to the date of its withdrawal or expulsion. In cases ofwithdrawal， suspension or expulsion， the line shall not be relieved of itsown financial obligations under the conference agreement or of any of itsobligations towards shippers.

　　Article 5 Self-policing

　　1. A conference shall adopt and keep up to date an illustrative list，which shall be as comprehensive as possible， of practices which areregarded as malpractices and/or breaches³³ of the conference agreement andshall provide effective self-policing machinery³⁴ to deal with them， withspecific provisions requiring：

　　（a） The fixing of penalties or a range of penalties for malpracticesor breaches， to be commensurate with their seriousness；

　　（b） The examination and impartial³⁵ review of an adjudication ofcomplaints， and/or decisions taken on complaints， against malpractices orbreaches， by a person or body unconnected with any of the shipping linesmembers of the conference or their affiliates³⁶， on request by theconference or any other party concerned；

　　（c） The reporting， on request， on the action taken in connexion withcomplaints against malpractices and/or breaches， and on a basis ofanonymity for the parties concerned， to the appropriate authorities of thecountries whose trade is served by the conference and of the countrieswhose shipping lines are members of the conference.

　　2. Shipping lines and conferences are entitled to the fullco-operation of shippers and shippers' organizations in the endeavour tocombat malpractices and breaches.

　　Article 6 Conference Agreements

　　All conference agreements， pooling， berthing and sailing rightsagreements and amendments³⁷ or other documents directly related to， andwhich affect， such agreements shall be made available on request to theappropriate authorities of the countries whose trade is served by theconference and of the countries whose shipping lines are members of theconference.

　　CHAPTER III. RELATIONS WITH SHIPPERS

　　Article 7 Loyalty³⁸ Arrangements

　　1. The shipping lines members of a conference are entitled toinstitute and maintain loyalty arrangements with shippers， the form andterms of which are matters for consultation⁴ between the conference andshippers' organizations or representatives of shippers. These loyaltyarrangements shall provide safeguards making explicit³⁹ the rights ofshippers and conference members. These arrangements shall be based on thecontract system or any other system which is also lawful⁴⁰.

　　2. Whatever loyalty arrangements are made， the freight rate applicableto loyal shippers shall be determined⁴¹ within a fixed⁴² range of percentagesof the freight rate applicable to other shippers. Where a change in thedifferential causes an increase in the rates charged to shippers， thechange can be implemented⁴³ only after 150 days' notice to those shippers oraccording to regional practice and/or agreement. Disputes in connexionwith a change of the differential shall be settled as provided in theloyalty agreement.

　　3. The terms of loyalty arrangements shall provide safeguards makingexplicit the rights and obligations of shippers and of shipping linesmembers of the conference in accordance with the following provisions，inter alia：

　　（a） The shipper shall be bound in respect of cargo whose shipment iscontrolled by him or his affiliated⁴⁴ or subsidiary company or hisforwarding agent in accordance with the contract of sale of the goodsconcerned， provided that the shipper shall not， by evasion⁴⁵， subterfuge⁴⁶， orintermediary， attempt to divert cargo in violation⁴⁷ of his loyaltycommitment；

　　（b） Where there is a loyalty contract， the extent of actual orliquidated damages and/or penalty shall be specified in the contract. Themember lines of the conference may， however， decide to assess lowerliquidated damages or to waive⁴⁹ the claim to liquidated⁴⁸ damages. In anyevent， the liquidated damages under the contract to be paid by the shippershall not exceed the freight charges on the particular shipment， computedat the rate provided under the contract；

　　（c） The shipper shall be entitled to resume full loyalty status，subject to the fulfilment of conditions established by the conferencewhich shall be specified in the loyalty arrangement；

　　（d） The loyalty arrangement shall set out：

　　（i） A list of cargo， which may include bulk cargo shipped withoutmark or count， which is specifically excluded from the scope of theloyalty arrangement；

　　（ii） A definition of the circumstances in which cargo other thancargo covered by （i） above is considered to be excluded from the scope ofthe loyalty arrangement；

　　（iii） The method of settlement of disputes arising under theloyalty arrangement；

　　（iv） Provision for termination of the loyalty arrangement onrequest by either a shipper or a conference without penalty， after expiryof a stipulated period of notice， such notice to be given in writing； and

　　（v） The terms for granting dispensation.

　　4. If there is a dispute between a conference and a shippers'organization， representatives of shippers and/or shippers about the formor terms of a proposed loyalty arrangement， either party may refer thematter for resolution under appropriate procedures as set out in thisCode.

　　Article 8 Dispensation

　　1. Conferences shall provide， within the terms of the loyaltyarrangements， that requests by shippers for dispensation shall be examinedand a decision given quickly and， if requested， the reasons given inwriting where dispensation is withheld⁵⁰. Should a conference fail toconfirm， within a period specified in the loyalty arrangement， sufficientspace to accommodate a shipper's cargo， within a period also specified inthe loyalty arrangement， the shipper shall have the right， without beingpenalized， to utilize⁵¹ any vessel for the cargo in question.

　　2. In ports where conference services are arranged subject to theavailability of a specified minimum of cargo （i.e. on inducement）， buteither the shipping line does not call， despite due notice given byshippers， or the shipping line does not reply within an agreed time to thenotice given by shippers， shippers shall automatically have the right，without prejudicing their loyalty status， to use any available vessel forthe carriage of their cargo.

　　Article 9 Availability of Tariffs⁵³ and Related Conditions and/orRegulations

　　Tariffs， related conditions， regulations， and any amendments theretoshall be made available on request to shippers， shippers' organizationsand other parties concerned at reasonable cost， and they shall be madeavailable for examination at offices of shipping lines and their agents.They shall spell out all conditions concerning the application of freightrates and the carriage of any cargo covered by them.

　　Article 10 Annual Reports

　　Conferences shall provide annually⁵⁴ to shippers' organizations， or torepresentatives of shippers， reports on their activities designed toprovide general information of interest to them， including relevantinformation about consultations held with shippers and shippers'organizations， action taken regarding complaints， changes in membership，and significant changes in service， tariffs and conditions of carriage.Such annual reports shall be submitted， on request， to the appropriateauthorities of the countries whose trade is served by the conferenceconcerned.

　　Article 11 Consultation Machinery

　　1. There shall be consultations on matters of common interest betweena conference， shippers' organizations， representatives of shippers and，where practicable， shippers， which may be designated for that purpose bythe appropriate authority if it so desires. These consultations shall takeplace whenever requested by any of the above-mentioned parties.Appropriate authorities shall have the right， upon request， to participatefully in the consultations， but this does not mean that they play adecision-making role.

　　2. The following matters， inter alia， may be the subject ofconsultation：

　　（a） Changes in general tariff⁵² conditions and related regulations；

　　（b） Changes in the general level of tariff rates and rates for majorcommodities；

　　（c） Promotional and/or special freight rates；

　　（d） Imposition of， and related changes in， surcharges；

　　（e） Loyalty arrangements， their establishment or changes in their formand general conditions；

　　（f） Changes in the tariff classification of ports；

　　（g） Procedure for the supply of necessary information by shippersconcerning the expected volume and nature of their cargoes⁵⁵； and

　　（h） Presentation of cargo for shipment and the requirements regardingnotice of cargo availability.

　　3. To the extent that they fall within the scope of activity of aconference， the following matters may also be the subject of consultation：

　　（a） Operation of cargo inspection⁵⁶ services；

　　（b） Changes in the pattern of services；

　　（c） Effects of the introduction of new technology in the carriage ofcargo， in particular unitization， with consequent reduction ofconventional service or loss of direct services； and

　　（d） Adequacy and quality of shipping services， including the impact ofpooling， berthing or sailing arrangements on the availability of shippingservices and freight rates at which shipping services are provided；changes in the areas served and in the regularity⁵⁷ of calls by conferencevessels.

　　4. Consultations shall be held before final decisions are taken，unless otherwise provided in this Code. Advance notice shall be given ofthe intention to take decisions on matters referred to in Article 11，paragraphs 2 and 3. Where this is impossible， urgent decisions may betaken pending⁵⁸ the holding of consultations.

　　5. Consultations shall begin without undue⁵⁹ delay and in any eventwithin a maximum period specified in the conference agreement or， in theabsence of such a provision in the agreement， not later than 30 daysafter receipt of the proposal for consultation， unless different periodsof time are provided in this Code.

　　6. When holding consultations， the parties shall use their bestefforts to provide relevant information， to hold timely discussions and toclarify matters for the purpose of seeking solutions of the issuesconcerned. The parties involved shall take account of each other's viewsand problems and strive to reach agreement consistent with theircommercial viability⁶⁰.

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