United Nations
General Assembly
Sixty-third session
Agenda item 74
Resolution adopted by the General Assembly
[on the report of the Sixth Committee (A/63/438)]
63/122. United Nations Convention on Contracts for the
International Carriage of Goods Wholly or Partly
by Sea
The General Assembly,
A/RES/63/122
Distr.: General
2 February 2009
08-47811
Recalling its resolution 2205 (XXI) of 17 December 1966, by which it
established the United Nations Commission on International Trade Law with a
mandate to further the progressive harmonization and unification of the law of
international trade and in that respect to bear in mind the interests of all peoples, in
particular those of developing countries, in the extensive development of
international trade,
Concerned that the current legal regime governing the international carriage of
goods by sea lacks uniformity and fails to adequately take into account modern
transport practices, including containerization, door-to-door transport contracts and
the use of electronic transport documents,
Noting that the development of international trade on the basis of equality and
mutual benefit is an important element in promoting friendly relations among States,
Convinced that the adoption of uniform rules to modernize and harmonize the
rules that govern the international carriage of goods involving a sea leg would
enhance legal certainty, improve efficiency and commercial predictability in the
international carriage of goods and reduce legal obstacles to the flow of
international trade among all States,
Believing that the adoption of uniform rules to govern international contracts
of carriage wholly or partly by sea will promote legal certainty, improve the
efficiency of international carriage of goods and facilitate new access opportunities
for previously remote parties and markets, thus playing a fundamental role in
promoting trade and economic development, both domestically and internationally,
Noting that shippers and carriers do not have the benefit of a binding and
balanced universal regime to support the operation of contracts of carriage involving
various modes of transport,
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Recalling that, at its thirty-fourth and thirty-fifth sessions, in 2001 and 2002,
the Commission decided to prepare an international legislative instrument governing
door-to-door transport operations that involve a sea leg,1
Recognizing that all States and interested international organizations were
invited to participate in the preparation of the draft Convention on Contracts for the
International Carriage of Goods Wholly or Partly by Sea and in the forty-first
session of the Commission, either as members or as observers, with a full
opportunity to speak and make proposals,
Noting with satisfaction that the text of the draft Convention was circulated for
comment to all States Members of the United Nations and intergovernmental
organizations invited to attend the meetings of the Commission as observers, and
that the comments received were before the Commission at its forty-first session,2
Taking note with satisfaction of the decision of the Commission at its forty-
first session to submit the draft Convention to the General Assembly for its
consideration,3
Taking note of the draft Convention approved by the Commission,4
Expressing its appreciation to the Government of the Netherlands for its offer
to host a signing ceremony for the Convention in Rotterdam,
1. Commends the United Nations Commission on International Trade Law
for preparing the draft Convention on Contracts for the International Carriage of
Goods Wholly or Partly by Sea;
2. Adopts the United Nations Convention on Contracts for the International
Carriage of Goods Wholly or Partly by Sea, contained in the annex to the present
resolution;
3. Authorizes a ceremony for the opening for signature to be held on
23 September 2009 in Rotterdam, the Netherlands, and recommends that the rules
embodied in the Convention be known as the “Rotterdam Rules”;
4. Calls upon all Governments to consider becoming party to the Convention.
67th plenary meeting
11 December 2008
Annex
United Nations Convention on Contracts for the International
Carriage of Goods Wholly or Partly by Sea
The States Parties to this Convention,
Reaffirming their belief that international trade on the basis of equality and
mutual benefit is an important element in promoting friendly relations among States,
_______________
1 Official Records of the General Assembly, Fifty-sixth Session, Supplement No. 17 and corrigendum
(A/56/17 and Corr.3), paras. 319–345; and ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17),
paras. 210–224.
2 A/CN.9/658 and Add.1–14 and Add.14/Corr.1.
3 Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum
(A/63/17 and Corr.1), para. 298.
4 Ibid., annex I.
Convinced that the progressive harmonization and unification of international
trade law, in reducing or removing legal obstacles to the flow of international trade,
significantly contributes to universal economic cooperation among all States on a
basis of equality, equity and common interest, and to the well-being of all peoples,
Recognizing the significant contribution of the International Convention for
the Unification of Certain Rules of Law relating to Bills of Lading, signed in
Brussels on 25 August 1924, and its Protocols, and of the United Nations
Convention on the Carriage of Goods by Sea, signed in Hamburg on 31 March 1978,
to the harmonization of the law governing the carriage of goods by sea,
Mindful of the technological and commercial developments that have taken
place since the adoption of those conventions and of the need to consolidate and
modernize them,
Noting that shippers and carriers do not have the benefit of a binding universal
regime to support the operation of contracts of maritime carriage involving other
modes of transport,
Believing that the adoption of uniform rules to govern international contracts
of carriage wholly or partly by sea will promote legal certainty, improve the
efficiency of international carriage of goods and facilitate new access opportunities
for previously remote parties and markets, thus playing a fundamental role in
promoting trade and economic development, both domestically and internationally,
Have agreed as follows:
Chapter 1
General provisions
Article 1
Definitions
For the purposes of this Convention:
1. “Contract of carriage” means a contract in which a carrier, against the payment
of freight, undertakes to carry goods from one place to another. The contract shall
provide for carriage by sea and may provide for carriage by other modes of transport
in addition to the sea carriage.
2. “Volume contract” means a contract of carriage that provides for the carriage
of a specified quantity of goods in a series of shipments during an agreed period of
time. The specification of the quantity may include a minimum, a maximum or a
certain range.
3. “Liner transportation” means a transportation service that is offered to the
public through publication or similar means and includes transportation by ships
operating on a regular schedule between specified ports in accordance with publicly
available timetables of sailing dates.
4. “Non-liner transportation” means any transportation that is not liner
transportation.
5. “Carrier” means a person that enters into a contract of carriage with a shipper.
6. (a) “Performing party” means a person other than the carrier that performs or
undertakes to perform any of the carrier’s obligations under a contract of carriage
with respect to the receipt, loading, handling, stowage, carriage, care, unloading or
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delivery of the goods, to the extent that such person acts, either directly or
indirectly, at the carrier’s request or under the carrier’s supervision or control.
(b) “Performing party” does not include any person that is retained, directly
or indirectly, by a shipper, by a documentary shipper, by the controlling party or by
the consignee instead of by the carrier.
7. “Maritime performing party” means a performing party to the extent that it
performs or undertakes to perform any of the carrier’s obligations during the period
between the arrival of the goods at the port of loading of a ship and their departure
from the port of discharge of a ship. An inland carrier is a maritime performing
party only if it performs or undertakes to perform its services exclusively within a
port area.
8. “Shipper” means a person that enters into a contract of carriage with a carrier.
9. “Documentary shipper” means a person, other than the shipper, that accepts to
be named as “shipper” in the transport document or electronic transport record.
10. “Holder” means:
(a) A person that is in possession of a negotiable transport document; and
(i) if the document is an order document, is identified in it as the shipper or the
consignee, or is the person to which the document is duly endorsed; or (ii) if the
document is a blank endorsed order document or bearer document, is the bearer
thereof; or
(b) The person to which a negotiable electronic transport record has been
issued or transferred in accordance with the procedures referred to in article 9,
paragraph 1.
11. “Consignee” means a person entitled to delivery of the goods under a contract
of carriage or a transport document or electronic transport record.
12. “Right of control” of the goods means the right under the contract of carriage
to give the carrier instructions in respect of the goods in accordance with chapter 10.
13. “Controlling party” means the person that pursuant to article 51 is entitled to
exercise the right of control.
14. “Transport document” means a document issued under a contract of carriage
by the carrier that:
(a) Evidences the carrier’s or a performing party’s receipt of goods under a
contract of carriage; and
(b) Evidences or contains a contract of carriage.
15. “Negotiable transport document” means a transport document that indicates,
by wording such as “to order” or “negotiable” or other appropriate wording
recognized as having the same effect by the law applicable to the document, that the
goods have been consigned to the order of the shipper, to the order of the consignee,
or to bearer, and is not explicitly stated as being “non-negotiable” or “not
negotiable”.
16. “Non-negotiable transport document” means a transport document that is not a
negotiable transport document.
17. “Electronic communication” means information generated, sent, received or
stored by electronic, optical, digital or similar means with the result that the
information communicated is accessible so as to be usable for subsequent reference.
18. “Electronic transport record” means information in one or more messages
issued by electronic communication under a contract of carriage by a carrier,
including information logically associated with the electronic transport record by
attachments or otherwise linked to the electronic transport record contemporaneously
with or subsequent to its issue by the carrier, so as to become part of the electronic
transport record, that:
(a) Evidences the carrier’s or a performing party’s receipt of goods under a
contract of carriage; and
(b) Evidences or contains a contract of carriage.
19. “Negotiable electronic transport record” means an electronic transport record:
(a) That indicates, by wording such as “to order”, or “negotiable”, or other
appropriate wording recognized as having the same effect by the law applicable to
the record, that the goods have been consigned to the order of the shipper or to the
order of the consignee, and is not explicitly stated as being “non-negotiable” or “not
negotiable”; and
(b) The use of which meets the requirements of article 9, paragraph 1.
20. “Non-negotiable electronic transport record” means an electronic transport
record that is not a negotiable electronic transport record.
21. The “issuance” of a negotiable electronic transport record means the issuance
of the record in accordance with procedures that ensure that the record is subject to
exclusive control from its creation until it ceases to have any effect or validity.
22. The “transfer” of a negotiable electronic transport record means the transfer of
exclusive control over the record.
23. “Contract particulars” means any information relating to the contract of
carriage or to the goods (including terms, notations, signatures and endorsements)
that is in a transport document or an electronic transport record.
24. “Goods” means the wares, merchandise, and articles of every kind whatsoever
that a carrier undertakes to carry under a contract of carriage and includes the
packing and any equipment and container not supplied by or on behalf of the carrier.
25. “Ship” means any vessel used to carry goods by sea.
26. “Container” means any type of container, transportable tank or flat, swapbody,
or any similar unit load used to consolidate goods, and any equipment ancillary to
such unit load.
27. “Vehicle” means a road or railroad cargo vehicle.
28. “Freight” means the remuneration payable to the carrier for the carriage of
goods under a contract of carriage.
29. “Domicile” means (a) a place where a company or other legal person or
association of natural or legal persons has its (i) statutory seat or place of
incorporation or central registered office, whichever is applicable, (ii) central
administration or (iii) principal place of business, and (b) the habitual residence of a
natural person.
30. “Competent court” means a court in a Contracting State that, according to the
rules on the internal allocation of jurisdiction among the courts of that State, may
exercise jurisdiction over the dispute.
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Article 2
Interpretation of this Convention
In the interpretation of this Convention, regard is to be had to its international
character and to the need to promote uniformity in its application and the
observance of good faith in international trade.
Article 3
Form requirements
The notices, confirmation, consent, agreement, declaration and other
communications referred to in articles 19, paragraph 2; 23, paragraphs 1 to 4; 36,
subparagraphs 1 (b), (c) and (d); 40, subparagraph 4 (b); 44; 48, paragraph 3; 51,
subparagraph 1 (b); 59, paragraph 1; 63; 66; 67, paragraph 2; 75, paragraph 4; and
80, paragraphs 2 and 5, shall be in writing. Electronic communications may be used
for these purposes, provided that the use of such means is with the consent of the
person by which it is communicated and of the person to which it is communicated.
Article 4
Applicability of defences and limits of liability
1. Any provision of this Convention that may provide a defence for, or limit the
liability of, the carrier applies in any judicial or arbitral proceeding, whether
founded in contract, in tort, or otherwise, that is instituted in respect of loss of,
damage to, or delay in delivery of goods covered by a contract of carriage or for the
breach of any other obligation under this Convention against:
(a) The carrier or a maritime performing party;
(b) The master, crew or any other person that performs services on board the
ship; or
(c) Employees of the carrier or a maritime performing party.
2. Any provision of this Convention that may provide a defence for the shipper or
the documentary shipper applies in any judicial or arbitral proceeding, whether
founded in contract, in tort, or otherwise, that is instituted against the shipper, the
documentary shipper, or their subcontractors, agents or employees.
Chapter 2
Scope of application
Article 5
General scope of application
1. Subject to article 6, this Convention applies to contracts of carriage in which
the place of receipt and the place of delivery are in different States, and the port of
loading of a sea carriage and the port of discharge of the same sea carriage are in
different States, if, according to the contract of carriage, any one of the following
places is located in a Contracting State:
(a) The place of receipt;
(b) The port of loading;
(c) The place of delivery; or
(d) The port of discharge.
2. This Convention applies without regard to the nationality of the vessel, the
carrier, the performing parties, the shipper, the consignee, or any other interested
parties.
Article 6
Specific exclusions
1. This Convention does not apply to the following contracts in liner
transportation:
(a) Charter parties; and
(b) Other contracts for the use of a ship or of any space thereon.
2. This Convention does not apply to contracts of carriage in non-liner
transportation except when:
(a) There is no charter party or other contract between the parties for the use
of a ship or of any space thereon; and
(b) A transport document or an electronic transport record is issued.
Article 7
Application to certain parties
Notwithstanding article 6, this Convention applies as between the carrier and
the consignee, controlling party or holder that is not an original party to the charter
party or other contract of carriage excluded from the application of this Convention.
However, this Convention does not apply as between the original parties to a
contract of carriage excluded pursuant to article 6.
Chapter 3
Electronic transport records
Article 8
Use and effect of electronic transport records
Subject to the requirements set out in this Convention:
(a) Anything that is to be in or on a transport document under this
Convention may be recorded in an electronic transport record, provided the issuance
and subsequent use of an electronic transport record is with the consent of the
carrier and the shipper; and
(b) The issuance, exclusive control, or transfer of an electronic transport
record has the same effect as the issuance, possession, or transfer of a transport
document.
Article 9
Procedures for use of negotiable electronic transport records
1. The use of a negotiable electronic transport record shall be subject to
procedures that provide for:
(a) The method for the issuance and the transfer of that record to an intended
holder;
(b) An assurance that the negotiable electronic transport record retains its
integrity;
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(c) The manner in which the holder is able to demonstrate that it is the
holder; and
(d) The manner of providing confirmation that delivery to the holder has been
effected, or that, pursuant to articles 10, paragraph 2, or 47, subparagraphs 1 (a) (ii)
and (c), the electronic transport record has ceased to have any effect or validity.
2. The procedures in paragraph 1 of this article shall be referred to in the contract
particulars and be readily ascertainable.
Article 10
Replacement of negotiable transport document or negotiable electronic transport
record
1. If a negotiable transport document has been issued and the carrier and the
holder agree to replace that document by a negotiable electronic transport record:
(a) The holder shall surrender the negotiable transport document, or all of
them if more than one has been issued, to the carrier;
(b) The carrier shall issue to the holder a negotiable electronic transport
record that includes a statement that it replaces the negotiable transport document;
and
(c) The negotiable transport document ceases thereafter to have any effect or
validi