The Uniform Rules for a Combined Transport Document were first issued as ICC Publication degree 273 in November 1973.

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UNIFORM RULES FOR A COMBINED TRANSPORT DOCUMENT
(Effective Date:--Ineffective Date:)


UNIFORM RULES FOR A COMBINED TRANSPORT DOCUMENT

The Uniform Rules for a Combined Transport Document were first issued as ICC Publication degree 273 in November 1973.

This revised version incorporates modifications designed to overcome practical difficultes of application concerning the combined transport operator's liability for delay. It was adopted by the ICC Executive Committee in June 1975.

First published October 1975 as ICC Publication 298.

This English language edition of Publication 293 gives the original text of the Rules. A French language edition is also available.

Published by

International Chamber of Commerce 38 Cours Albert 1er, 75008 Paris

Copyright @ 1975 reserved by ICC Headquarters in all languages.

The single mode tradition

The traditional carriage of goods by a single mode of transport developed an appropriate transport document for each mode. This document applies only to carriage by that mode. It is issued at the point of departure by that mode by the actual provider of the trans- port, and it establishes his liability for loss or damage to the goods whilst in his charge by reference to an international Convention, or to a national law, applying only to that mode of transport.

Each of these << single mode >> transport documents has served to pass the information necessary for the movement of the goods, and also met commercial and financial needs by acting as a receipt for identified goods, as a contract of carriage, and also, when issued in negotiable form, as a document of title to the goods.

Combined transport operators

The transport developments of the past decade have led to a greatly increased through movement of goods, often in << unit load >> form, from a point of departure to a point of final destination by the successive use of more than one mode of transport.

Such << combined transport >> (also referred to in the USA as << inter-modal transport >> and in other parts of the world as << multi-modal transport >>) means either the issue of a series of separate single mode transport documents - which is inefficient from the international trade viewpoint - or their replacement by a new, through, << start-to-finish >> transport document. Such new transport document, a << CT document >> (combined transport document), would of necessity be issued by someone who might be the actual provider of the transport - or at least of part of it - or who might merely be an arranger for the provision of all, or part of, the transport by others.

But whether as provider or as arranger of the transport, such person issuing the CT document (the CTO - Combined Transport Operator) would be acting as principal vis-a-vis the shipper and would be responsible, as a principal, for the transport being properly carried out, and liable, as a principal, for loss or damage wherever it occurred during the course of the whole combined transport.

Uniform Rules for CT Documents

In the absence of a new international Convention specially applicable to multi-modal transport in the way that existing conventions apply to the different single modes of transport, and as an essential measure to avoid the commercially retrograde step of the development of a multiplicity of differing documents for combined transport operations, the ICC has drafted a set of minimum uniform rules to govern an acceptable - and easily recognisable - CT document. The Rules may be given legal effect by their incorporation into a private contract, the combined transport contract evidenced by the CT document.

Application

The ICC Rules are applied by the issue of the CT document, and by the issue of this document the CTO accepts full responsibility for the performance of the combined transport, as well as liability, throughout the entire combined transport.

Because, however, the Rules are applied by private contract,

a. The liability for loss or damage has to be governed:

i by the appropriate single mode rules when the loss or damage can be attributed to a particular stage of transport (cf. Rule 13), or

ii by the ICC Rules when the loss or damage is << concealed >>, i. e. cannot be attributed to a particular stage of transport (cf. Rules 11 and 12).

b. The liability for delay has to be governed in all cases by the single mode rules degarding delay, where such single mode rules exist, applying to the stage of transport where the delay occurred (cf. Rule 14).

Nevertheless, the Rules do not preclude the voluntary acceptance by the CTO of a greater responsibility or obligation than that outlined above.

Forward looking

The Rules are also forward looking, in that they take note of the increasing tendency to replace negotiable documents of title, which must be surrendered at destination before the goods may be delivered, by non-negotiable documents, whereby delivery is made to a consignee named in the document without the need to surrender any document, and provide for the issue of the CT document in either negotiable form, or in non-negotiable form.

They do not, however - and, indeed, they cannot - legislate for the commercial and financial standing of the CTO. This will be resolved by commercial willingness - or by commercial unwillingness - to regard a CT document issued by any particular CTO as a worthwile document.

In this revised form the Rules represent a major contribution towards the simplification of international trade procedures as a means of facilitating international trade and its finance.

[Rule 1]

a. These Rules apply to every contract concluded for the performance and/or procurement of performance of combined transport of goods which is evidenced by a combined transport document as defined herein.

These Rules shall nevertheless apply even if the goods are carried by a single mode of transport contrary to the original intentions of the contracting parties that there should be a combined transport of the goods as defined hereafter.

b. The issuance of such combined transport document confers and imposes on all parties having or thereafter acquiring an interest in it the rights, obligations and defences set out in these Rules.

c. Except to the extent that it increases the responsibility or obligation of the combined transport operator, any stipulation or any part of any stipulation contained in a contract of combined transport or in a combined transport document evidencing such contract, which would directly or indirectly derogate from these Rules shall be null and void to the extent of the conflict between such stipulation, or part thereof, and these Rules. The nullity of such stipulation or part thereof shall not affect the validity of the other provisions of the contract of combined transport or combined transport document of which it forms a part.

[Rule 2] For the purpose of these Rules:

a. Combined transport means the carriage of goods by at least two different modes of transport, from a place at which the goods are taken in charge situated in one country to a place designated for delivery situated in a different country.

b. Combined transport operator (CTO) means a person (including any corporation, company or legal entity) issuing a combined transport document.

Where a national law requires a person to be authorised or licenced before being entitled to issue a combined transport document, then combined transport operator can only refer to a person so authorised or licenced.

c. Combined transport document (CT Document) means a document evidencing a contract for the performance and/or procurement of performance of combined transport of goods and bearing on its face either the heading << Negotiable combined transport document issued subject to Uniform Rules for a Combined Transport Document (ICC Publication degree 298) >> or the heading << Non-negotiable combined transport document issued subject to Uniform Rules for a Combined Transport Document (ICC Publication degree 298)>>.

d. Different modes of transport means the transport of goods by two or more modes of transport, such as transport by sea, inland waterway, air, rail or road.

e. Delivery means delivering the goods to or placing the goods at the disposal of the party entitled to receive them.

f. Franc means a unit consisting of 65.5 milligrammes of gold of millesimal fineness 900.

[Rule 3} Where a CT document is issued in negotiable form:

a. it shall be made out to order or to bearer;

b. if made out to order it shall be transferable by endorsement;

c. if made out to bearer it shall be transferable without endorsement;

d. if issued in a set of more than one original it shall indicate the number of originals in the set;

e. if any copies are issued each copy shall be marked <>;

f. delivery of the goods may be demanded only from the CTO or his representative, and against surrender of the CT document duly endorsed where necessary;

g. the CTO shall be discharged of his obligation to deliver the goods if, where a CT document has been issued in a set of more than one original, he, or his representative, has in good faith delivered the goods against surrender of one of such originals.



[Rule 4] Where a CT document is issued in non-negotiable form:

a. it shall indicate a named consignee;

b. the CTO shall be discharged of his obligation to deliver the goods if he makes delivery thereof to the consignee named in such non-negotiable document, or to the party advised to the CTO by such consignee as authorised by him to accept delivery.

[Rule 5] By the issuance of a CT document the CTO:

a. undertakes to perform and/or in his own name to procure performance of the combined transport - including all services which are necessary to such transport - from the time of taking the goods in charge to the time of delivery, and accepts responsibility for such transport and such services to the extent set out in these Rules;

b. accepts responsibility for the acts and omissions of his agents or servants, when such agents or servants are acting within the scope of their employment, as if such acts and omissions were his own;

c. accepts responsibility for the acts and omissions of any other person whose services he uses for the performance of the contract evidenced by the CT document;

d. undertakes to perform or to procure performance of all acts necessary to ensure delivery;

e. assumes liability to the extent set out in these Rules for loss of or damage to the goods occurring between the time of taking them into his charge and the time of delivery, and undertakes to pay compensation as set out in these Rules in respect of such loss or damage;

f. assumes liability to the extent set out in Rule 14 for delay in delivery of the goods and undertakes to pay compensation as set out in that Rule.

[Rule 6] In addition to the information specifically required by these Rules, the parties shall insert in a CT document such particulars as they may agree to be commercially desirable.

[Rule 7] The consignor shall be deemed to have guaranteed to the CTO the accuracy, at the time the goods were taken in charge by the Cto, of the description, marks, number, quantity, weight and/or volume of the goods as furnished him, and the consignor shall indemni- fy the CTO against all loss, damage and expense arising or resulting from inaccuracies in or inadequacy of such particulars.

The right of the CTO to such indemnity shall in no way limit his responsibility and liability under the CT Document to any person other than the consignor.

[Rule 8] The consignor shall comply with rules which are mandator accordint to the national law or by reason of international Conven- tion, releating to the carriage of goods of a dangerous nature, and shall in any case inform the CTO in writing of the exact nature of the danger before goods of a dangerous nature are taken in charge by the CTO and indicate to him, if need be, the precautions to be taken.

If the consignor fails to provide such information and the CTO is unaware of the dangerous nature of the goods and the necessary precautions to be taken and if, at any time, they are deemed to be a hazard to life or property, they may at any place be unloaded, destroyed or rendered harmless, as circumstances may require, without compensation, and the consignor shall be liable for all loss, damage, delay or expenses arising out of their being taken in charge, or their carriage, or of any service incidental thereto.

The burden of proving the CTO knew the exact nature of the danger constituted by the carriage of the said goods shall rest upon the person entitled to the goods.

[Rule 9] The CTO shall clearly indicate in the CT document, at least by quantity and/or weight and/or volume and/or marks, the goods he has taken in charge and for which he accepts responsibility.

Subject to paragraph 1 of this Rule, if the CTO has reasonable grounds for suspecting that the CT document contains particulars concerning the descripton, marks, number, quantity, weight and/or volume of the goods which do not represent accurately the goods actually taken in charge, or if he has no reasonable means of checking such particulars, the CTO shall be entitled to enter his reservations in the CT document, provided he indicates the particular information to which such reservations apply.

The CT document shall be prima facie evidence of the taking in charge by the CTO of the goods as therein described. Proof to the contrary shall not be admissible when the CT document is issued in negotiable form and has been transferred to a third party acting in good faith.

[Rule 10] Except in respect of goods treated as lost in accordance with Rule 15 with hereof, the CTO shall be deemed prima facie to have delivered the goods as described in the CT document unless notice of loss of, or damage to, the goods, indicating the general nature of such loss or damage, shall have been given 1 writing to the CTO or to his representative at the place of delivery before or at the time of removal of the goods into the custody of the person entitled to delivery thereof under the CT document, or, if the loss or damage is not apparent, within seven consecutive days thereafter.



A. Rules applicable when the stage of transport where the loss or damage occurred is not known

[Rule 11] When in accordance with Rule 5 (e) hereof the CTO is liable to pay compensation in respect of loss of, or damage to, the goods and the stage of transport where the loss or damage occurred is not known:

a. such compensation shall be calculated by reference to the value of such goods at the place and time they are delivered to the consignee or at the place and time when, in accordance with the contract of combined transport, they should have been so delivered;

b. the value of the goods shall be determined according to the current commodity exchange price or, if there is no such price, according to the current market price, or, if there is no commodity exchange price or current market price, by reference to the normal value of goods of the same kind and quality.

c. compensation shall not exceed 30 francs per kilo of gross weight of the goods lost or damaged, unless, with the consent of the CTO, the consignor has declared a higher value for the goods and such higher value has been stated in the CT document, in which case such higher value shall be the limit.

However, the CTO shall not, in any case, be liable for an amount greater than the actual loss to the person entitled to make the claim.

[Rule 12] When the stage of transport where the loss or damage occurred is not known the CTO shall not be liable to pay compensa- tion in accordance with Rule 5 (e) hereof if the loss or damage was caused by:

a. an act or omission of the consignor or consignee, or person other than the CTO acting on behalf of the consignor or consignee, or from whom the CTO took the goods in charge;

b. insufficiency or defective condition of the packing or marks;

c. handling, loading, stowage or unloading of the goods by the consignor or the consignee or any parson acting on behalf of the consignor or the consignee;

d. inherent vice of the goods;

e. strike, lockout, stoppage or restraint of labour, the consequences of which the CTO could not avoid by the exercise of reasonable diligence;

f. any cause or event which the CTO could not avoid and the consequences of which he could not prevent by the exercise of reasonable diligence;

g. a nuclear incident if the operator of a nuclear installation or a person acting for him is liable for this damage under an applicable international Convention or national law governing liability in respect of nuclear energy.

The burden of proving that the loss or damage was due to one or more of the above causes or events shall rest upon the CTO.

When the CTO establishes that, in the circumstances of the case, the loss or damage could be attributed to one or more of the causes or events specified in (b) to (d) above, it shall be presumed that it was so caused. The claimant shall, however, be entitled to prove that the loss or damage was not, in fact, caused wholly or partly by one or more of these causes or events.

B. Rules applicable when the stage of transport where the loss or damage occurred is known

[Rule 13] When in accordance with Rule 5 (e) hereof the CTO is liable to pay compensation in respect of loss or damage to the goods and the stage of transport where the loss or damage occurred is known, the liability of the CTO in respect of such loss or damage shall be determined:

a. by the provisions contained in any inter national Convention or national law, which provisions:

i cannot be departed from by private contract, to the detriment of the claimant, and

ii would have applied if the claimant had made a separate and direct contract with the CTO in respect of the particular stage of transport where the loss or damage occurred and received as evidence thereof any particular document which must be issued in order to make such international Convention or national law applicable; or

b. by the provisions contained in any international Convention relating to the carriage of goods by the mode of transport used to carry the goods at the time when the loss or damage occurred, provided that:

no other international Convention or national law would apply by virtue of the provisions contained in sub-paragraph (a) of this Rule, and that

ii it is expressly stated in the CT Document that all the provisions contained in such Convention shall govern the carriage of goods by such mode of transport; where such mode of transport is by sea, suc provisions shall apply to all goods whether carried on deck or under deck; or

c. by the provisions contained in any contract of carriage by inland waterways entered into between the CTO and any sub-contractor, provided that:

i no international Convention or national law is applicable under sub-paragraph (a) of this Rule, or is applicable, or could have been made applicable, by express provision in accordance with sub-para- graph (b) of this Rule and that

ii it is expressly stated in the CT Document that such contract provisions shall apply; or

d. by the provisions of Rules 11 and 12 in cases where the provisions of sub-paragraphs (a), (b) and (c) above do not apply.

Without prejudice to the provisions of Rule 5 (b) and (c), when, under the provisions of the preceding paragraph, the liability of the CTO shall be determined by the provisions of any international Convention or national law, this liability shall be determined as though the CTO were the carrier referred to in any such Convention or national law. However, the CTO shall not be exonerated from liability where the loss or damage is caused or contributed to by the acts or omissions of the CTO in his capacity as such, or his servants or agents when acting in such capacity and not in the performance of the carriage.

[Rule 14] The CTO is liable to pay compensation for delay only when the stage of transport where a delay occurred is known, and to the extent that there is liability under any international Convention or national law, the provisions of which:

i cannot be departed from by private contract to the detriment of the claimant;

ii would have applied if the claimant had made a separate and direct contract with the CTO as operator of that stage of transport and received as evidence thereof any particular document which must be issued in order to make such international Convention or national law applicable.

However, the amount of such compensation shall not exceed the amount of the freight for that stage of transport, provided that this limitation is not contrary to any applicable international Convention or national law.



[Rule 15] Failure to effect delivery within 90 days after the expiry of a time limit agreed and expressed in a CT Document or, where no time limit is agreed and so expressed, failure to effect delivery withe 90 days after the time it would be reasonable to allow for diligent completion of the combined transport operation shall, in the absence of evidence to the contrary, give to the party entitled to receive delivery the right to treat the goods as lost.

[Rule 16] The defences and limits of liability provided for in these Rules shall apply in any action against the CTO for loss of damage, or delay to the goods whether the action be founded in contract or in tort.

[Rule 17] The CTO shall not be entitled to the benefit of the limitation of liability provided for in Rule 11 hereof if it is proved that the loss or damage resulted from an act or omission of the CTO done with intent to cause damage or recklessly and with knowledge that damage would probably result.

[Rule 18] Nothing in these Rules shall prevent the CTO from includ- ing in the CTO document provisions for protection of his agents or servants or any other person whose services he uses for the perfor- mance of the contract evidenced by the CT document, provided such protection does not extend beyond that granted to the CTO himself.



[Rule 19] The CTO shall be discharged of all liability under these Rules unless suit is brought within nine months after,

i the delivery of the goods, or,

ii the date when the goods should have been delivered, or

iii the date, when in accordance with Rule 15, failure to deliver the goods would, in the absence of evidence to the contrary, give to the party entitled to receive delivery the right to treat the goods as lost.

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If an importer or exporter cannot transport the goods himself he must enter into a contract of carriage with a transport operator.

A separate contract has traditionally been required for each mode of transport used (rail, road, sea, air). However, widespread use of con- tainers in international trade means that transport operators are increasingly using several modes in complete door-to-door operations. They have thus become combined transport operators.

These ICC Rules lay down minimum standard conditions for contracts of carriage offered by such operators. Their use provides an alternative to establishing a series of separate, non-uniform contracts for each stage of a combined (multimodal) transport journey.

The Rules are designed to facilitate relations between operators and clients, and to ensure clear understanding by bankers and insurers when they service a combined transport operation. They constitute a key element of ICC work to facilitate international trade through up-dating legal and documentary requirements to match advances in technology.

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