联合国可转让货物单证公约的解释性说明
Explanatory note to the United Nations Convention on Negotiable Cargo Documents
概述/Overview of the Convention
A. 目标/Objective
1. 《联合国可转让货物单证公约》（《公约》）确立了代表无论运输方式如何的在途货物可转让物权凭证的法律框架。称作“可转让货物单证”的这些单证可以以纸质或电子形式签发，并且可用于单式运输和多式联运。《公约》的主要目标是，确保凡是根据运输经营人和托运人之间的约定签发的可转让货物单证，都能得到《公约》缔约国的跨国界承认。
The United Nations Convention on Negotiable Cargo Documents (the “Convention”) establishes a legal framework for negotiable documents of title that represent goods in transit, regardless of the mode of transport. These documents, referred to as “negotiable cargo documents” (“NCDs”), can be issued in either paper or electronic form and are intended for use in both unimodal and multimodal transport.
The Convention’s primary objective is to ensure that NCDs, whenever issued upon agreement between the transport operator and the consignor, are recognized across borders by States Parties to the Convention.
2. 关于铁路、公路和航空运输的运输法公约传统上只是对签发不可转让的运输单证做了规定。《公约》将“可转让”物权凭证的概念从海运扩展至其他运输方式。它确立了关于可转让货物单证签发和使用（包括其法律效力）以及可转让货物单证持单人的权利和赔偿责任的统一规则。这些规则旨在鼓励银行和其他金融机构认可可转让货物单证是信用增强工具，从而增加企业（特别是微型、小型和中型企业和内陆地区企业）的流动性，并加速贸易流动。它们还旨在促进尤其事关商品贸易的在途货物的销售。该公约还力图实现整个运程统一使用一份可转让货物单证，从而推动门到门运输的发展。虽然纸质可转让货物单证和电子可转让货物单证均可有助于文件的准备、提高运营效率并便利清关，但电子可转让货物单证还提供了支持全球贸易数字化转型的额外惠益。
Traditionally, transport law conventions for rail, road and air transport only envisaged the issuance of “non-negotiable” transport documents. The Convention extends the concept of “negotiable” documents of title beyond maritime transport to other modes of transport. It establishes uniform rules on the issuance and use of NCDs, including their legal effect, as well as on the rights and liability of NCD holders.
These rules are designed to encourage the acceptance of NCDs by banks and other financial institutions as a credit enhancement tool, thereby increasing liquidity for businesses – especially micro-, small and medium-sized enterprises and those businesses in landlocked regions – and accelerating trade flows. They are also designed to facilitate the sale of goods in transit, which is particularly relevant for commodity trade. The Convention further aims to promote the development of door-to-door transportation by enabling the use of a single NCD covering the entire journey.
While both paper NCDs and electronic NCDs (referred to as “eNCDs”) could help streamline documentation, improve operational efficiency and facilitate customs clearance, eNCDs offer the added benefit of supporting the digital transformation of global trade.
3. 《公约》侧重于可转让货物单证的签发和使用，而不是基础运输合同当事人的权利和义务。这种做法有助于确保公约不干预可适用运输法公约和国内法律下管辖承运人赔偿责任的现有法律制度，而是对这些既有框架进行补充并与之并行适用。
The Convention focuses on the issuance and use of NCDs rather than on the rights and obligations of the parties to the underlying transport contract. This approach helps ensure that the Convention does not interfere with existing legal regimes governing carrier liability under applicable transport law conventions and national laws but instead complements and operates alongside these established frameworks.
4. 为了促进其统一适用，应当根据文书的国际性质而不是参考国内法的概念对《公约》的条文进行自主解释。
To promote uniformity in its application, the provisions of the Convention should be interpreted autonomously in light of the international character of the instrument rather than by reference to national law concepts.
B. 概要/Outline
5. 根据《公约》，就确立可转让货物单证的“可转让性”所做的规定是，可转让货物单证规定的权利只能由持单人行使（第七条第1款），并将在转让可转让货物单证的同时一并转让（第十一条）。在这方面，《公约》具体规定，可转让货物单证可以通过背书和转让占有的方式转让，也可以在最后一次背书为空白背书的情况下通过仅转让占有的方式转让（第十一条）。
Under the Convention, the negotiability of an NCD is established by providing that the rights provided for in the NCD can be exercised only by the holder (art. 7(1)) and are transferred together with the transfer of the NCD (art. 11). In this context, the Convention specifies that an NCD may be transferred either by endorsement and transfer of possession or by mere transfer of possession, if the last endorsement is in blank (art. 11).
6. 《公约》还确立了可转让货物单证物权凭证的功能。就对货物权利的取得而言，可转让货物单证的签发和向持单人的初始转让以及任何后续转让应当与货物的实际移交具有同等效力（第七条第4款）。
The Convention also establishes the document of title function of NCDs. The issuance and initial transfer of possession of an NCD, as well as any subsequent transfers, to the holder shall have the same effect, for the purpose of acquisition of rights to the goods, as the physical handing over of the goods (art. 7(4)).
7. 为了提升可转让货物单证的“可接受性”，《公约》载有关于持单人权利的必要规则，其中包括要求在目的地交付货物的权利（第七条和第十条）。此外，它还规定了对依赖可转让货物单证中信息的第三人的保护（第六条第3款）
To enhance the acceptability of NCDs, the Convention provides the necessary rules on the rights of the holder, which include the right to demand delivery of the goods at destination (arts. 7 and 10). In addition, it provides for the protection of a third party relying on information in the NCD (art. 6(3)).
8. 基于当事人意思自治原则，《公约》设想只有在运输经营人和托运人同意的情况下才可签发可转让货物单证（第三条第1款）。虽然《公约》允许当事人确定其是否适用，但却不允许当事人如果没有得到明确允准而确定其如何适用。为指导缔约人如何签发可转让货物单证，《公约》列举了两种方法作为例子：(a)将现有运输单证（例如运单）转换为可转让货物单证；及(b)在运输单证尚未签发或签发后取消的情况下签发独立的可转让货物单证（第三条第二款）。此外，《公约》载述了关于可转让货物单证内容要求的规则（第四条）并规定了解决因信息缺失导致可转让货物单证存在缺陷的规则（第五条）。
Based on the principle of party autonomy, the Convention envisages the issuance of an NCD only where agreed by the transport operator and the consignor (art. 3(1)). While the Convention allows the parties to determine whether it applies, it does not allow them to determine how it applies, except where this is expressly permitted.
To guide the parties on how to issue NCDs, the Convention lists two methods as examples: (a) converting an existing transport document – such as a consignment note – into an NCD; and (b) issuing a stand-alone NCD where a transport document has not been issued or has been cancelled after issuance (art. 3(2)). In addition, the Convention sets out rules on content requirements for an NCD (art. 4) and prescribes rules to address deficiencies in the NCD as a result of missing information (art. 5).
9. 《公约》含有给电子可转让货物单证的使用提供支持的详细规则（第十二至十八条）。这些规则的草拟参考了《贸易法委员会电子可转让记录示范法》和贸易法委员会编写的包括2005年《联合国国际合同使用电子通信公约》（《电子通信公约》）等电子商务其他立法文本。
The Convention contains detailed rules to support the use of eNCDs (arts. 12–18). These rules have been drafted with reference to the UNCITRAL Model Law on Electronic Transferable Records and other legislative texts on electronic commerce prepared by UNCITRAL, including the United Nations Convention on the Use of Electronic Communications in International Contracts (2005) (the “Electronic Communications Convention”).
C. 起草历史/Drafting history
10. 《公约》由联合国国际贸易法委员会（“贸易法委员会”或“贸法会”）编写，《公约》的条文受到海事法公约和实践以及其他运输法公约的启发。
The Convention was prepared by the United Nations Commission on International Trade Law (“UNCITRAL” or the “Commission”) and the provisions therein were inspired by maritime law conventions and practice, as well as other transport law conventions.
11. 关于可转让货物单证的工作源于中国政府在贸法会第五十二届会议（2019年7月8日至19日，维也纳）上提出的一项提案（A/CN.9/998）。该提案强调铁路运单的法律和金融功能有限，特别是与海运提单相比，并强调需要有一个统一的法律文书以支持在多式联运中使用可转让单证。它指出，此种文书将便利贸易融资并降低出口商和进口商的风险，特别是在欧亚运输走廊。在该届会议上，贸法会商定将该议题列入其工作方案，并请秘书处进行探索性工作，就在国际贸易中使用铁路运单或其他运单的相关法律问题展开研究。
The work on NCDs originated in a proposal by the Government of China at the fifty-second session of the Commission (Vienna, 8–19 July 2019) (A/CN.9/998). The proposal highlighted the limited legal and financial function of railway consignment notes, especially when compared with maritime bills of lading, and emphasized the need for a uniform legal instrument to support the use of negotiable documents in multimodal transport.
It noted that such an instrument would facilitate trade finance and reduce risks for exporters and importers, particularly in the Euro-Asian transport corridor. At that session, the Commission agreed to include the topic in its work programme and requested the secretariat to conduct exploratory work by researching legal issues related to the use of railway or other consignment notes in international trade.
12. 贸法会第五十三届会议（2020年9月14日至18日，维也纳/在线）请其秘书处着手开展制定一项新的可转让多式联运单证国际文书的准备工作。贸法会随即在其第五十四届会议（2021年6月28日至7月16日，维也纳）上对秘书处的准备工作表示欢迎，并商定优先考虑将该项目分配给下一个未排定审议项目的工作组。
At its fifty-third session (Vienna/online, 14–18 September 2020), the Commission requested its secretariat to start preparatory work towards the development of a new international instrument on negotiable multimodal transport documents. Subsequently, at its fifty-fourth session (Vienna, 28 June–16 July 2021), the Commission welcomed the preparatory work done by the secretariat and agreed to give high priority to the project for assignment to the next available working group.
13. 贸法会第五十五届会议（2022年6月27日至7月15日，纽约）商定将可转让多式联运单证专题分配给第六工作组。贸法会商定，限制工作组的任务授权或就其应采取的做法提供详细指示是不可取的，而工作组的审议应当避免对国际货物运输现有赔偿责任制度构成干扰。与会者指出，除了对贸易和金融便利化的预期影响外，还有一个好处是，它可以激励实现运输单证的数字化。
At its fifty-fifth session (New York, 27 June–15 July 2022), the Commission assigned the topic of negotiable multimodal transport documents to Working Group VI. The Commission agreed that it was not advisable to limit the mandate of the Working Group or provide detailed instructions on the approach it should adopt, while the deliberations of the Working Group should avoid interference with existing liability regimes for the international carriage of goods.
Beyond the expected impact on trade and finance facilitation, it was noted that an additional benefit would be the incentive it provided for the digitalization of transport documents.
14. 工作组第四十一届会议（2022年11月28日至12月2日，维也纳）基于载有可转让多式联运单证条文草案初稿的A/CN.9/WG.VI/WP.96号文件着手审议该议题。它商定侧重于有关可转让性的条文草案（“可转让性条文”）（A/CN.9/1127，第9段）。工作组第四十二届会议（2023年5月8日至12日，纽约）继续基于A/CN.9/WG.VI/WP.98号文件开展其工作，并完成了对可转让性条文的一读。贸法会第五十六届会议（2023年7月3日至21日，维也纳）欣见第六工作组取得的进展，并将其更名为“可转让货物单证”工作组，以反映其工作范围的拓展，从多式联运扩大至涵盖单式运输。
At its forty-first session (Vienna, 28 November–2 December 2022), the Working Group commenced its consideration of the topic on the basis of document A/CN.9/WG.VI/WP.96, containing preliminary draft provisions on negotiable multimodal transport documents. It agreed to focus on draft provisions concerning negotiability (the “negotiability provisions”) (A/CN.9/1127, para. 9).
At its forty-second session (New York, 8–12 May 2023), the Working Group continued its work on the basis of document A/CN.9/WG.VI/WP.98 and completed the first reading of the negotiability provisions. At its fifty-sixth session (Vienna, 3–21 July 2023), the Commission welcomed the progress made by Working Group VI and renamed it “Negotiable Cargo Documents” to reflect the expanded scope of its work beyond multimodal transport to cover unimodal transport.
15. 工作组第四十三届会议（2023年11月27日至12月1日，维也纳）基于A/CN.9/WG.VI/WP.100号文件继续开展其工作。它审查了关于适用范围的第一条草案，并着手对可转让性条文进行二读（A/CN.9/1164）。工作组第四十四届会议（2024年5月6日至10日，纽约）基于A/CN.9/WG.VI/WP.103号文件和新加坡政府提交的材料（A/CN.9/WG.VI/WP.104）继续开展其工作。它完成了对关于电子可转让货物单证特殊条件的条文（“电子条文”）的一读和对可转让性条文（A/CN.9/1170）的二读。贸法会第五十七届会议（2024年6月24日至7月12日，纽约）欣见工作组取得的进展。
At its forty-third session (Vienna, 27 November–1 December 2023), the Working Group continued its work on the basis of document A/CN.9/WG.VI/WP.100. It reviewed draft article 1 on the scope of application and began the second reading of the negotiability provisions (A/CN.9/1164). At its forty-fourth session (New York, 6–10 May 2024), the Working Group continued its work on the basis of document A/CN.9/WG.VI/WP.103 and a submission from the Government of Singapore (A/CN.9/WG.VI/WP.104).
It completed the first reading of the provisions on special conditions for eNCDs (the “electronic provisions”) and the second reading of the negotiability provisions (A/CN.9/1170). At its fifty-seventh session (New York, 24 June–12 July 2024), the Commission welcomed the progress made by the Working Group.
16. 工作组第四十五届会议（2024年12月9日至13日，维也纳）基于A/CN.9/WG.VI/WP.107号文件和国际组织提交的材料（A/CN.9/WG.VI/WP.108、A/CN.9/WG.VI/WP.109、A/CN.9/WG.VI/WP.110和A/CN.9/WG.VI/WP.111）继续开展其工作。它完成了对电子条文的二读和对可转让性条文的三读（A/CN.9/1199）。与会者普遍支持在最后文书采取公约形式的基础上推进这一工作（A/CN.9/1199，第106段）。
At its forty-fifth session (Vienna, 9–13 December 2024), the Working Group continued its work on the basis of document A/CN.9/WG.VI/WP.107 and submissions from international organizations (A/CN.9/WG.VI/WP.108, A/CN.9/WG.VI/WP.109, A/CN.9/WG.VI/WP.110 and A/CN.9/WG.VI/WP.111). It completed the second reading of the electronic provisions and the third reading of the negotiability provisions (A/CN.9/1199). Broad support was expressed for proceeding on the basis that the final instrument would take the form of a convention (A/CN.9/1199, para. 106).
17. 工作组第四十六届会议（2025年3月17日至21日，纽约）基于A/CN.9/WG.VI/WP.114号文件继续开展其工作。它还审议了可转让货物单证公约草案与现行国际运输法公约之间的相互影响的说明（A/CN.9/WG.VI/WP.115）和国际组织提交的评论意见汇编（A/CN.9/WG.VI/WP.116/Rev.1）。工作组完成了其对最终条款的审查、对电子条文的三读和对可转让性条文的四读（A/CN.9/1205）。工作组请秘书处修订该公约草案并将其转交贸法会第五十八届会议核准。它还请秘书处将经修订的草案分发给各国政府和相关国际组织征求意见，并将所收到的意见汇总以供贸法会审议（A/CN.9/1205，第107段）。
At its forty-sixth session (New York, 17–21 March 2025), the Working Group continued its work on the basis of document A/CN.9/WG.VI/WP.114. It also considered a note on the interaction between the draft convention on negotiable cargo documents and existing international transport law conventions (A/CN.9/WG.VI/WP.115) and a compilation of comments submitted by international organizations (A/CN.9/WG.VI/WP.116/Rev.1). The Working Group completed its review of the final clauses, the third reading of the electronic provisions and the fourth reading of the negotiability provisions (A/CN.9/1205).
It requested the secretariat to revise and transmit the draft convention to the Commission for approval at its fiftyeighth session. It also requested the secretariat to circulate the revised draft to all Governments and relevant international organizations for comments, and to compile the comments received for consideration by the Commission (A/CN.9/1205, para. 107).
18. 贸法会第五十八届会议（2025年7月7日至23日，维也纳）审议了A/CN.9/1213号文件所载公约草案以及各国和国际组织提交的评论意见汇编（A/CN.9/1214和A/CN.9/1214/Add.1）。贸法会最终审定了该案文，并于2025年7月11日建议将公约草案提交大会予以通过。大会于2025年12月15日以第80/162号决议通过了《公约》。
At its fifty-eighth session (Vienna, 7–23 July 2025), the Commission considered the draft convention contained in document A/CN.9/1213 and a compilation of comments submitted by States and international organizations (A/CN.9/1214 and A/CN.9/1214/Add.1). The Commission finalized the text and, on 11 July 2025, recommended that the draft convention be submitted to the General Assembly for adoption. The General Assembly adopted the Convention on 15 December 2025 by its resolution 80/162.
19. 工作组第四十七届会议（2025年12月15日至19日，维也纳）应贸法会的请求审查了A/CN.9/WG.VI/WP.118号文件所载由秘书处编写的解释性说明草案（A/CN.9/1245）。
At its forty-seventh session (Vienna, 15–19 December 2025), upon request by the Commission the Working Group reviewed the draft explanatory note prepared by the secretariat contained in document A/CN.9/WG.VI/WP.118 (A/CN.9/1245).
