联合国可转让货物单证公约解释性说明
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》（以下简称“《公约》”）确立了代表在途货物（无论运输方式如何）的可转让物权凭证法律框架。此类“可转让货物单证”（NCDs）可签发为纸质或电子形式，适用于单式及多式联运。《公约》的核心目标是确保经运输经营人与托运人约定签发的可转让货物单证，在所有缔约国境内获得跨国界承认。
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. 传统上，铁路、公路和航空运输领域的公约仅规定签发不可转让的运输单证。《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，确立了关于可转让货物单证签发、使用（含法律效力）以及持单人权利与赔偿责任的统一规则。这些规则旨在推动银行及其他金融机构将可转让货物单证认可为信用增强工具，从而提升企业（尤其是中小微企业及内陆地区企业）的流动性并加速贸易流转。此外，《公约》有助于促进在途货物销售（特别是商品贸易），并通过支持全程使用一份单证推动门到门运输发展。虽然纸质与电子单证均能优化文件准备、提升运营效率并便利清关，但电子可转让货物单证（eNCDs）更能为全球贸易数字化转型提供额外助力。
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》聚焦于可转让货物单证的签发与使用，而非基础运输合同当事人的权利义务。此举旨在确保《公约》不干预现有运输法公约及国内法下管辖承运人赔偿责任的法律制度，而是作为补充与之并行适用。
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. 为促进统一适用，《公约》条文应依据其国际性质进行自主解释，而非参照国内法概念。
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》，可转让货物单证的“可转让性”体现为：单证所载权利仅可由持单人行使（第七条第 1 款），且随单证转让而一并转移（第十一条）。具体而言，单证可通过背书加交付占有方式转让；若最后一次背书为空白背书，亦可仅通过交付占有方式转让（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》确立了可转让货物单证的物权凭证功能。就货物权利取得而言，单证的签发、向持单人的初始转让及任何后续转让，均与实际交付货物具有同等效力（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. 为提升可转让货物单证的“可接受性”，《公约》规定了持单人的核心权利，包括在目的地要求交付货物的权利（第七条和第十条），并为依赖单证信息的第三人提供保护（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》规定仅在运输经营人与托运人达成一致时方可签发可转让货物单证（第三条第 1 款）。虽然允许当事人决定是否适用《公约》，但除明确准许外，不得自行决定其适用方式。为指导实践，《公约》列举了两种签发方法：(a) 将现有运输单证（如运单）转换为可转让货物单证；(b) 在未签发或已取消原运输单证的情况下签发独立的可转让货物单证（第三条第 2 款）。此外，《公约》明确了单证内容要求（第四条）及信息缺失导致缺陷的补救规则（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》包含支持电子可转让货物单证（eNCDs）使用的详细规则（第十二至十八条）。这些规则参考了《贸易法委员会电子可转让记录示范法》及贸法会编写的其他电子商务立法文本，包括 2005 年《联合国国际合同使用电子通信公约》。
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（以下简称“贸法会”）编写，其条文灵感源自海事法公约、相关实践以及其他运输法公约。
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. 可转让货物单证相关工作源于中国政府在贸法会第五十二届会议（2019 年 7 月，维也纳）提出的提案（A/CN.9/998）。该提案指出铁路运单在法律和金融功能上较海运提单存在局限，强调需制定统一法律文书以支持多式联运中可转让单证的使用，从而便利贸易融资并降低欧亚运输走廊进出口商风险。会议商定将该议题列入工作方案，并请秘书处开展相关法律问题研究。
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，维也纳/在线）请秘书处启动制定新的可转让多式联运单证国际文书的准备工作。第五十四届会议（2021 年 6 月至 7 月，维也纳）对秘书处工作表示欢迎，并同意将该项目的优先级提高，分配给下一个可用工作组。
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 月至 7 月，纽约）决定将可转让多式联运单证专题分配给第六工作组。会议认为不宜限制工作组任务授权或提供过细指示，但要求其审议避免干扰现有的国际货物运输赔偿责任制度。与会者指出，除促进贸易和金融便利化外，该项目还能激励运输单证数字化。
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 月至 12 月，维也纳）基于文件 A/CN.9/WG.VI/WP.96 开始审议，商定重点关注关于可转让性的条文草案（A/CN.9/1127，第 9 段）。第四十二届会议（2023 年 5 月，纽约）基于文件 A/CN.9/WG.VI/WP.98 继续工作，完成了可转让性条文的一读。贸法会第五十六届会议（2023 年 7 月，维也纳）欣见进展，并将工作组更名为“可转让货物单证”工作组，以反映其工作范围从多式联运扩展至单式运输。
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 月至 12 月，维也纳）基于文件 A/CN.9/WG.VI/WP.100 审查了适用范围第一条草案，并启动可转让性条文二读（A/CN.9/1164）。第四十四届会议（2024 年 5 月，纽约）基于文件 A/CN.9/WG.VI/WP.103 及新加坡政府提交的材料（A/CN.9/WG.VI/WP.104），完成了电子可转让货物单证特殊条件条文（“电子条文”）的一读及可转让性条文的二读（A/CN.9/1170）。贸法会第五十七届会议（2024 年 6 月至 7 月，纽约）对此进展表示欢迎。
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，维也纳）基于文件 A/CN.9/WG.VI/WP.107 及多个国际组织提交的材料（A/CN.9/WG.VI/WP.108 至 WP.111），完成了电子条文的二读和可转让性条文的三读（A/CN.9/1199）。与会者普遍支持最终文书采取公约形式（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，纽约）基于文件 A/CN.9/WG.VI/WP.114 继续工作，审议了公约草案与现行国际运输法公约相互作用的说明（A/CN.9/WG.VI/WP.115）及国际组织评论意见汇编（A/CN.9/WG.VI/WP.116/Rev.1）。会议完成了最终条款审查、电子条文三读及可转让性条文四读（A/CN.9/1205）。工作组请秘书处修订草案并提交贸法会第五十八届会议核准，同时分发草案征求各国政府和国际组织意见以便汇总审议（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，维也纳）审议了文件 A/CN.9/1213 所载公约草案及各方评论意见汇编（A/CN.9/1214 及 Add.1）。会议最终审定案文，并于 2025 年 7 月 11 日建议将公约草案提交大会通过。2025 年 12 月 15 日，大会通过第 80/162 号决议正式通过《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. 应贸法会请求，工作组第四十七届会议（2025 年 12 月，维也纳）审查了秘书处编写的解释性说明草案（文件 A/CN.9/WG.VI/WP.118，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).