1986年联合国船舶登记条件公约
UNITED NATIONS CONVENTION ON CONDITIONS FOR REGISTRATION¹ OF SHIPS，1986
颁布日期：19860207 　实施日期：19860207 　颁布单位：日内瓦

　　The States Parties to this Convention，

　　Recognising the need to promote the orderly expansion of worldshipping as a whole，

　　Recalling General Assembly resolution 35/56 of 5 December 1980， theannex to which contains the International Development Strategy for theThird United Nations Development Decade， which called， inter⁴ alia， inparagraph 128， for an increase in the participation⁵ by developingcountries in world transport of international trade，

　　Recalling also that according to the 1958 Geneva Convention on theHigh Seas and the 1982 United Nations Convention on the Law of the Seathere must exist a genuine link between a ship and a flag State andconscious of the duties of the flag State to exercise effectively itsjurisdiction and control over ships flying its flag in accordance with theprinciple of the genuine link，

　　Believing that to this end a flag State should have a competent andadequate national maritime⁷ administration，

　　Believing also that in order to exercise its control functioneffectively a flag State should ensure that those who are responsible forthe management and operation of a ship on its register are readilyidentifiable and accountable，

　　Believing further that measures to make persons responsible for shipsmore readily identifiable and accountable could assist in the task ofcombating maritime fraud，

　　Reaffirming， without prejudice to this Convention， that each Stateshall fix the conditions for the grant of its nationality to ships， forthe registration of ships in its territory and for the right to fly itsflag，

　　Prompted by the desire among sovereign States to resolve in a spiritof mutual⁸ understanding and co-operation all issues relating to theconditions for the grant of nationality to， and for the registration of，ships，

　　Considering that nothing in this Convention shall be deemed toprejudice any provisions in the national laws and regulations of theContracting Parties to this Convention， which exceed the provisionscontained herein，

　　Recognizing the competences⁹ of the specialized¹⁰ agencies and otherinstitutions of the United Nations system as contained in their respectiveconstitutional instruments， taking into account arrangements which mayhave been concluded between the United Nations and the agencies， andbetween individual agencies and institutions in specific fields，

　　Have agreed as follows：Article 1 Objectives

　　For the purpose of ensuring or， as the case may be， strengthening thegenuine link between a State and ships flying its flag， and in order toexercise effectively its jurisdiction⁶ and control over such ships withregard to identification and accountability of shipowners and operators aswell as with regard to administrative¹¹， technical， economic and socialmatters， a flag State shall apply the provisions contained in thisConvention.Article 2 Definitions

　　For the purposes of this Convention：

　　“Ship” means any self-propelled sea-going vessel¹² used in internationalseaborne trade for the transport of goods， passengers， or both with theexception of vessels¹³ of less than 500 gross registered tons；

　　“Flag State” means a State whose flag a ship flies and is entitled tofly；

　　“Owner” or “shipowner” means， unless clearly indicated otherwise， anynatural or juridical person recorded in the register of ships of the Stateof registration as an owner of a ship；

　　“Operator” means the owner or bareboat charterer， or any other naturalor juridical person to whom the responsibilities of the owner or bareboatcharterer have been formally assigned；

　　“State of registration” means the State in whose register of ships aship has been entered；

　　“Register of ships” means the official register or registers in whichparticulars referred to in Article 11 of this Convention are recorded；

　　“National maritime administration” means any State authority or agencywhich is established by the State of registration in accordance with itslegislation and which， pursuant to that legislation， is responsible， interalia， for the implementation¹⁵ of international agreements concerningmaritime transport and for the application of rules and standardsconcerning ships under its jurisdiction and control；

　　“Bareboat charter” means a contract for the lease of a ship， for astipulated period of time， by virtue¹⁷ of which the lessee¹⁸ has completepossession and control of the ship， including the right to appoint themaster and crew of the ship， for the duration of the lease；

　　“Labour-supplying country” means a country which provides seafarersfor service on a ship flying the flag of another country.Article 3 Scope of Application

　　This Convention shall apply to all ships as defined in Article 2.Article 4 General Provisions

　　1. Every State， whether coastal¹⁹ or land-locked， has the right to sailships flying its flag on the high seas.

　　2. Ships have the nationality of the State whose flag they areentitled to fly.

　　3. Ships shall sail under the flag of one State only.

　　4. No ships shall be entered in the registers of ships of two or moreStates at a time， subject to the provisions of paragraphs 4 and 5 ofArticle 11 and to Article 12.

　　5. A ship may not change its flag during a voyage or while in a portof call， save in the case of a real transfer of ownership or change ofregistry.Article 5 National Maritime Administration

　　1. The flag State shall have a competent and adequate nationalmaritime administration， which shall be subject to its jurisdiction andcontrol.

　　2. The flag State shall implement¹⁴ applicable international rules andstandards concerning， in particular， the safety of ships and persons onboard and the prevention of pollution of the marine²⁰ environment.

　　3. The maritime administration of the flag State shall ensure：

　　（a） That ships flying the flag of such State comply with its laws andregulations concerning registration of ships and with applicableinternational rules and standards concerning， in particular， the safety ofships and persons on board and the prevention of pollution of the marineenvironment；

　　（b） That ships flying the flag of such State are periodically surveyedby its authorized²¹ surveyors in order to ensure compliance²² with applicableinternational rules and standards；

　　（c） That ships flying the flag of such State carry on board documents，in particular， those evidencing the right to fly its flag and other validrelevant documents， including those required by international conventionsto which the State of registration is a Party；

　　（d） That the owners of ships flying the flag of such State comply withthe principles of registration of ships in accordance with the law andregulations of such State and the provisions of this Convention.

　　4. The State of registration shall require all the appropriateinformation necessary for full identification and accountabilityconcerning ships flying its flag.Article 6 Identification and Accountability

　　1. The State of registrations²⁴ shall enter in its register of ships，inter alia， information concerning the ship and its owner or owners.Information concerning the operator， when the operator is not the owner，should be included in the register of ships or in the official record ofoperators to be maintained in the office of the Registrar²⁵ or be readilyaccessible to him， in accordance with the laws and regulations of theState of registration. The State of registration shall issue documentationas evidence of the registration of the ship.

　　2. The State of registration shall take such measures as are necessaryto ensure that the owner or owners， the operator or operators， or anyother person or persons who can be held accountable for the management andoperation of ships flying its flag can be easily identified by personshaving a legitimate²⁶ interest in obtaining such information.

　　3. Registers of ships should be available to those with a legitimateinterest in obtaining information contained therein， in accordance withthe laws and regulations of the flag State.

　　4. A State should ensure that ships flying its flag carrydocumentation including information about the identity of the owner orowners， the operator or operators or the person or persons accountable forthe operation of such ships， and make available such information to portState authorities.

　　5. Log-books should be kept on all ships and retained for a reasonableperiod after the date of the last entry， notwithstanding any change in aship's name， and should be available for inspection²⁷ and copying by personshaving a legitimate interest in obtaining such information， in accordancewith the laws and regulations of the flag State. In the event of a shipbeing sold and its registration being changed to another State， log-booksrelating to the period before such sale should be retained and should beavailable for inspection and copying by persons having a legitimateinterest in obtaining such information， in accordance with the laws andregulations of the former flag State.

　　6. A State shall take necessary measures to ensure that ships itenters in its register of ships have owners or operators who areadequately identifiable for the purpose of ensuring their fullaccountability.

　　7. A State should ensure that direct contact between owners of shipsflying its flag and its government authorities is not restricted.Article 7 Participation by Nationals in the Ownership and/or Manning ofShips

　　With respect to the provisions concerning manning and ownership ofships as contained in paragraphs 1 and 2 of Article 8 and paragraphs 1 to3 of Article 9， respectively， and without prejudice to the application ofany other provisions of this Convention， a State of registration has tocomply either with the provisions of paragraphs 1 and 2 of Article 8 orwith the provisions of paragraphs 1 to 3 of Article 9， but may comply withboth.Article 8 Ownership of Ships

　　1. Subject to the provisions of Article 7， the flag state shallprovide in its laws and regulations for the ownership of ships flying itsflag.

　　2. Subject to the provisions of Article 7， in such laws andregulations the flag State shall include appropriate provisions forparticipation by that State or its nationals as owners of ships flying itsflag or in the ownership of such ships and for the level of suchparticipation. These laws and regulations should be sufficient to permitthe flag State to exercise effectively its jurisdiction and control overships flying its flag.Article 9 Manning of Ships

　　1. Subject to the provisions of Article 7， a State of registration，when implementing²⁸ this Convention， shall observe the principle that asatisfactory part of the complement²⁹ consisting of officers and crew ofships flying its flag be nationals or persons domiciled or lawfully³⁰ inpermanent residence in that State.

　　2. Subject to the provisions of Article 7 and in pursuance of the goalset out in paragraph 1 of this Article， and in taking necessary measuresto this end， the State of registration shall have regard to the following：

　　（a） the availability of qualified³² seafarers within the State ofregistration；

　　（b） multilateral or bilateral³³ agreements or other types ofarrangements valid²³ and enforceable pursuant to the legislation of theState of registration；

　　（c） the sound and economically viable³⁴ operation of its ships.

　　3. The State of registration should implement the provision ofparagraph 1 of this Article on a ship， company or fleet basis.

　　4. The State of registration， in accordance with its laws andregulations， may allow persons of other nationalities to serve on boardships flying its flag in accordance with the relevant provisions of thisConvention.

　　5. In pursuance of the goal set out in paragraph 1 of this Article，the State of registration should， in co-operation with shipowners， promotethe education and training of its nationals or persons domiciled orlawfully in permanent residence within its territory.

　　6. The State of registration shall ensure：

　　（a） that the manning of ships flying its flag is of such a level andcompetence as to ensure compliance with applicable international rules andstandards， in particular those regarding safety at sea；

　　（b） that the terms and conditions of employment on board ships flyingits flag are in conformity³⁵ with applicable international rules andstandards；

　　（c） that adequate legal procedures exist for the settlement of civildisputes between seafarers employed on ships flying its flag and theiremployers；

　　（d） that nationals and foreign seafarers have equal access toappropriate legal processes to secure their contractual rights in theirrelations with their employers.Article 10 Role of Flag States in Respect of the Management of ShipowningCompanies and Ships

　　1. The State of registration， before entering a ship in its registerof ships， shall ensure that the shipowning company or a subsidiaryshipowning company is established and/or has its principal place ofbusiness within its territory in accordance with its laws and regulations.

　　2. Where the shipowning company or a subsidiary shipowning company orthe principal place of business of the shipowning company is notestablished in the flag State， the latter shall ensure， before entering aship in its register of ships， that there is a representative ormanagement person who shall be a national of the flag State， or bedomiciled therein. Such a representative or management person may be anatural or juridical person who is duly established or incorporated in theflag State， as the case may be， in accordance with its laws andregulations， and duly empowered to act on the shipowner's behalf andaccount. In particular， this representative or management person should beavailable for any legal process and to meet the shipowner'sresponsibilities in accordance with the laws and regulations of the Stateof registration.

　　3. The State of registration should ensure that the person or personsaccountable for the management and operation of a ship flying its flag arein a position to meet the financial obligations that may arise from theoperation of such a ship to cover risks which are normally insured ininternational maritime transportation in respect of damage to thirdparties. To this end the State of registration should ensure that shipsflying its flag are in a position to provide at all times documentsevidencing that an adequate guarantee， such as appropriate insurance orany other equivalent means， has been arranged. Furthermore， the State ofregistration should ensure that an appropriate mechanism³⁶， such as amaritime lien³⁷， mutual fund， wage insurance， social security scheme， orany governmental guarantee provided by an appropriate agency of the Stateof the accountable person， whether that person is an owner or operator，exists to cover wages and related moneys owed to seafarers employed onships flying its flag in the event of default of payment by theiremployers. The State of registration may also provide for any otherappropriate mechanism to that effect in its laws and regulations.Article 11 Register of Ships

　　1. A State of registration shall establish a register of ships flyingits flag， which register shall be maintained in a manner determined³⁸ bythat State and in conformity with the relevant provisions of thisConvention. Ships entitled by the laws and regulations of a State to flyits flag shall be entered in this register in the name of the owner orowners or， where national laws and regulations so provide， the bareboatcharterer.

　　2. Such register shall， inter alia， record the following：

　　（a） the name of the ship and the previous name and registry if any；

　　（b） the place or port of registration or home port and the officialnumber or mark of identification of the ship；

　　（c） the international call sign of the ship， if assigned；

　　（d） the name of the builders， place of build and year of building ofthe ship；

　　（e） the description of the main technical characteristics of the ship；

　　（f） the name， address and， as appropriate， the nationality of theowner or of each of the owners；

　　and， unless recorded in another public document readily accessible tothe Registrar in the flag State：

　　（g） the date of deletion or suspension of the previous registration ofthe ship；

　　（h） the name， address and， as appropriate， the nationality of thebareboat charterer， where national laws and regulations provide for theregistration of ships bareboat chartered-in.

　　（i） the particulars of any mortgages or other similar charges upon theship as stipulated¹⁶ by national laws and regulations.

　　3. Furthermore， such register should also record：

　　（a） if there is more than one owner， the proportion of the ship ownedby each；

　　（b） the name， address and， as appropriate， the nationality of theoperator， when the operator is not the owner or the bareboat charterer.

　　4. Before entering a ship in its register of ships a State shouldassure itself that the previous registration， if any， is deleted.

　　5. In the case of a ship bareboat chartered-in a State should assureitself that right to fly the flag of the former flag State is suspended.Such registration shall be effected on production of evidence， indicatingsuspension of previous registration as regards the nationality of the shipunder the former flag State and indicating particulars of any registeredencumbrances.Article 12 Bareboat Charter

　　1. Subject to the provisions of Article 11 and in accordance with itslaws and regulations a State may grant registration and the right to flyits flag to a ship bareboat chartered-in by a charterer in that State， forthe period of that charter.

　　2. When shipowners or charterers in States Parties to this Conventionenter into such bareboat charter activities， the conditions ofregistration contained in this Convention should be fully³¹ complied with.

　　3. To achieve the goal of compliance and for the purpose of applyingthe requirements of this agreement in the case of a ship so bareboatchartered-in the charterer will be considered to be the owner. ThisConvention， however， does not have the effect of providing for anyownership rights in the chartered ship other than those stipulated in theparticular bareboat charter contract.

　　4. A State should ensure that a ship bareboat chartered-in and flyingits flag， pursuant to paragraphs 1 to 3 of this Article， will be subjectto its full jurisdiction and control.

　　5. The State where the bareboat chartered-in ship is registered shallensure that the former flag State is notified of the deletion of theregistration of the bareboat chartered ship.

　　6. All terms and conditions， other than those specified³⁹ in thisArticle， relating to the relationship of the parties to a bareboat charterare left to the contractual disposal of those parties.Article 13 Joint⁴⁰ Ventures

　　1. Contracting Parties to this Convention， in conformity with theirnational policies， legislation and the conditions for registration ofships contained in this Convention， should promote joint ventures betweenshipowners of different countries， and should， to this end， adoptappropriate arrangements， inter alia， by safeguarding the contractualrights of the parties to joint ventures， to further the establishment ofsuch joint ventures in order to develop the national shipping² industry.

　　2. Regional and international financial institutions and aid agenciesshould be invited to contribute， as appropriate， to the establishmentand/or strengthening of joint ventures in the shipping industry ofdeveloping countries， particularly in the least developed among them.Article 14 Measures to Protect the Interests of Labour-supplying Countries

　　1. For the purpose of safeguarding the interests of labour-supplyingcountries and of minimizing labour displacement⁴¹ and consequent economicdislocation， if any， within these countries， particularly developingcountries， as a result of the adoption⁴² of this Convention， urgency shouldbe given to the implementation， inter alia， of the measures as containedin Resolution 1 annexed⁴³ to this Convention.

　　2. In order to create favourable⁴⁴ conditions for any contract orarrangement that may be entered into by shipowners or operators and thetrade unions of seamen⁴⁵ or other representative seamen bodies， bilateralagreements may be concluded between flag States and labour-supplyingcountries concerning the employment of seafarers of those labour-supplyingcountries.Article 15 Measures to Minimize Adverse⁴⁶ Economic Effects

　　For the purpose of minimizing adverse economic effects that mightoccur within developing countries， in the process of adapting andimplementing conditions to meet the requirements established by thisConvention， urgency should be given， inter alia， to the measures ascontained in Resolution 2 annexed to this Convention.Article 16 Depositary

　　The Secretary-General of the United Nations shall be the depositary ofthis Convention.Article 17 Implementation

　　1. Contracting Parties shall take any legislative⁴⁷ or other measuresnecessary to implement this Convention.

　　2. Each Contracting Party shall， at appropriate times， communicate tothe depositary the texts of any legislative or other measures which it hastaken in order to implement this Convention.

　　3. The depositary shall transmit upon request to Contracting Partiesthe texts of the legislative or other measures which have beencommunicated to him pursuant to paragraph 2 of this Article.Article 18 Signature， Ratification⁴⁸， Acceptance， Approval and Accession

　　1. All States are entitled to become Contracting Parties to thisConvention by：

　　（a） signature not subject to ratification， acceptance or approval； or

　　（b） signature subject to and followed by ratification， acceptance orapproval； or

　　（c） accession.

　　2. This Convention shall be open for signature from 1 May 1986 to andincluding 30 April 1987， at the headquarters of United Nations in New Yorkand shall thereafter remain open for accession.

　　3. Instruments of ratification， acceptance， approval or accessionshall be deposited with the depositary.Article 19 Entry into force

　　1. This Convention shall enter into force 12 months after the date onwhich not less than 40 States， the combined tonnage of which amounts to atleast 25 per cent of world tonnage， have become Contracting Parties to itin accordance with Article 18. For the purpose of this Article the tonnageshall be deemed to be that contained in annex³ III to this Convention.

　　2. For each State which becomes a Contracting Party to this Conventionafter the conditions for entry into force under paragraph 1 of thisArticle have been met， the Convention shall enter into force for thatState twelve months after that State has become a Contracting Party.Article 20 Review and Amendments⁵⁰

　　1. After the expiry of a period of eight years from the date of entryinto force of this Convention， a Contracting Party may， by writtencommunication addressed to the Secretary-General of the United Nations，propose specific amendments to this Convention and request the conveningof a review conference to consider such proposed amendments. TheSecretary-General shall circulate such communication to all ContractingParties. If， within 12 months from the date of the circulation of thecommunication， not less than two-fifths of the Contracting Parties replyfavourably to the request， the Secretary-General shall convene⁵¹ the ReviewConference.

　　2. The Secretary-General of the United Nations shall circulate to allContracting Parties the texts of any proposals for， or views regardingamendments， at least six months before the opening date of the ReviewConference.Article 21 Effect of Amendments

　　1. The decisions of a review conference regarding amendments shall betaken by consensus⁵² or， upon request， by a vote of a two-thirds majority ofthe Contracting Parties present and voting. Amendments adopted by such aconference shall be communicated by the Secretary General of the UnitedNations to all the Contracting parties for ratification， acceptance， orapproval and to all the States signatories of the Convention forinformation.

　　2. Ratification， acceptance or approval of amendments adopted by areview conference shall be effected by the deposit of a formal instrumentto that effect with the depositary.

　　3. Any amendment⁴⁹ adopted by a review conference shall enter into forceonly for those Contracting Parties which have ratified⁵³， accepted orapproved it， on the first day of the month following one year after itsratification， acceptance or approval by two-thirds of the ContractingParties. For any State ratifying⁵⁴， accepting or approving an amendmentafter it has been ratified， accepted or approved by two-thirds of theContracting Parties， the amendment shall enter into force one year afterits ratification， acceptance or approval by that State.

　　4. Any State which becomes a Contracting Party to this Conventionafter the entry into force of an amendment shall， failing an expression ofa different intention by that State：

　　（a） Be considered as a Party to this Convention as amended⁵⁵； and

　　（b） Be considered as a Party to the unamended Convention in relationto any Contracting Party not bound by the amendment.Article 22 Denunciation

　　1. Any Contracting Party may denounce this Convention at any time bymeans of a notification in writing to this effect addressed to thedepositary.

　　2. Such denunciation shall take effect on the expiration⁵⁶ of one yearafter the notification is received by the depositary， unless a longerperiod has been specified in the notification.

　　IN WITNESS WHEREOF the under signed， being duly authorized thereto，have affixed⁵⁷ their signatures hereunder on the dates indicated.

　　DONE at Geneva on 7 February 1986 in one original in the Arabic，Chinese， English， French， Russian and Spanish languages， all texts beingequally authentic⁵⁸.

　　Annex I： Resolution 1

　　Measures to protect the interests of labour-supplying countries

　　The United Nations Conference on Conditions for Registration of Ships，

　　Having adopted the United Nations Convention on Conditions forRegistration of Ships，

　　Recommends as follows：

　　1. Labour-supplying countries should regulate the activities of theagencies within their jurisdiction that supply seafarers for ships flyingthe flag of another country in order to ensure that the contractual termsoffered by those agencies will prevent abuses and contribute to thewelfare of seafarers. For the protection of their seafarers，labour-supplying countries may require， inter alia， suitable security ofthe type mentioned in Article 10 from the owners or operators of shipsemploying such seafarers or from other appropriate bodies；

　　2. Labour-supplying developing countries may consult each other inorder to harmonize as much as possible their policies concerning theconditions upon which they will supply labour in accordance with theseprinciples and may， if necessary， harmonize their legislation in thisrespect；

　　3. UNCTAD， UNDP and other appropriate international bodies should uponrequest provide assistance to labour-supplying developing countries forestablishing appropriate legislation for registration of ships andattracting ships to their registers， taking into account this Convention；

　　4. The ILO should upon request provide assistance to labour-supplyingcountries for the adoption of measures in order to minimize labourdisplacement and consequent economic dislocation， if any， withinlabour-supplying countries which might result from the adoption of thisConvention；

　　5. Appropriate international organizations within the United Nationssystem should upon request provide assistance to labour-supplyingcountries for the education and training of their seafarers， including theprovision of training and equipment facilities.

　　Annex II： Resolution 2

　　Measures to minimize adverse economic effects

　　The United Nations Conference on Conditions for Registration of Ships，

　　Having adopted the United Nations Convention on Conditions forRegistration of Ships，

　　Recommends as follows：

　　1. UNCTAD， UNDP， IMO and other appropriate international bodies shouldprovide， upon request， technical and financial assistance to thosecountries which may be affected⁵⁹ by this Convention in order to formulateand implement modern and effective legislation for the development oftheir fleet in accordance with the provisions of this Convention；

　　2. ILO and other appropriate international organizations should alsoprovide， upon request， assistance to those countries for the preparationand implementation of educational and training programmes for theirseafarers as may be necessary；

　　3. UNDP， the World Bank and other appropriate internationalorganizations should provide to those countries， upon request， technicaland financial assistance for the implementation of alternative nationaldevelopment plans， programmes and projects to overcome economicdislocation which might result from the adoption of this Convention

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