国际集装箱班轮运输运价报备制度实施办法.doc

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1、1Guidance on NVOCC Freight Filing OperationI. General Provisionsi. For the purpose of regulating the pricing activities of international container transport market in China, promoting fair competition and protecting the legitimate rights and interests of all parties concerned, the operational guidan

2、ce is formulated according to the Regulations of the Peoples s Republic of China on International Maritime Transportation and the Implementing Rules for NVOCC Freight Filing of the Ministry of Transport (hereinafter referred to as the MOT). ii. All operators holding the NVOCC Operation Qualification

3、 Certificate issued by the MOT and engaged in NVOCC business shall file their freight rates. NVOCC operators holding the NVOCC Operation Qualification Certificate but with no qualification as the independent legal entity may have their freight rates filed by the parent companies, or file the freight

4、 rates by themselves under authorization of their parent companies. Overseas NVOCC operators may file freight rates at Shanghai Shipping Exchange (abbreviated as SSE) or via their agents. iii. Freight rates to be filed must be the tariff rates (range).Tariff rates (range) refer to the freight rates

5、stated on freight tariff by NVOCC operators. The range to be filed means the upper limit and lower limit of quotations in form of tariff rates. The ranges to be filed should be normal and reasonable and higher than the negotiated rates in service contracts signed with liner companies. iv. For freigh

6、t filing, the uniform filing tables (electronic version) are to be used (available at SSEs websites and ).2v. Tariff rates are to be filed as per CY/CY term and in case of failure to do so, explanation shall be given in the column of “Remarks” in the freight filing tables.vi. The contents of freigh

7、t filing by obligators shall be consistent with the freight rates in actual business operations. vii. The changed freight ranges must be filed once more. After the filed rates are accepted, NVOCC operators shall not propose new freight rates unless the filed rates have entered into force. viii. NVOC

8、C operators shall, in case of withdrawal the operating routes (ports), notify SSE ten days in advance and SSE is to cancel the filed rates on the same day when such withdrawal happens. ix. The filed rates accepted by SSE are to take effect since the following time:1. 30 days after acceptance of file

9、d freight rates (ranges);2. 24 hours after acceptance of filed surcharges;3. filing for the first time shall immediately enter into force.x. NVOCC operators shall clearly list ocean freights and all surcharges in their freight manifests. xi. NVOCC operators shall implement the filed and valid freigh

10、t rates. xii. The filed freight rates to enter into force are publicized at SSEs websites and . 3xiii. The freight rates to be filed shall be the rates to base ports. The base ports are defined by the MOT. II. Freight Filing Proceduresi. Before initial filing, NVOCC operators are to download the NV

11、OCC Freight Filing Application Form at SSEs websites and , fill it up and mail or fax to SSE with stamp of NVOCC operators. ii. NVOCC operators are to download the Freight Filing Form (electronic version) at SSEs websites and , fill it up as per the requirements of the Guidance (also available at

12、these two websites) and file at SSE via the designated email address. iii. SSE is to check the filing format within 24 hours after receiving freight filings and send email receipt for accepted freight rates. The time of receiving email of freight filing is deemed as the time of filing acceptance. SS

13、E is to notify the filing staff of NVOCC of any failure to pass checking or invalid filing and require filing of freight rates once more. iv. NVOCC operators are to confirm the email receipts sent by SSE within 24 hours after freight filing to testify the validity of filing. III. Explanation of Fili

14、ng Application Form i. At the same time of tendering the application form of freight filing, NVOCC operators shall tender the copy of the original Certificates of Registration of NVOCC Operation Qualification;ii. The contents in the application form such as “Full Name of Company (Chinese)”, “Full Na

15、me of Company (English)”, “No. of Qualification License of NVOCC”, “Registration 4Business Place of NVOCC”, etc. shall be consistent with those of the Qualification License of NVOCC; the name information in a stamp of NVOCC company shall be consistent with the “Full Name of Company”. The signature o

16、f the person in charge of NVOCC company shall be marked with his/her names and titles in print.iii. The overseas NVOCC business operator shall, in case of entrusting its agent filing freight rates, issue the authorization letter of freight filing (see the appendix for the sample).The “Company Addres

17、s” column of application form is to be filled with the overseas business address of NVOCC. The name, address, telephone No., Fax No., etc. of the agent are to be filled in the corresponding spaces of contact in the application form. iv. A NVOCC that holds the qualification license but has no indepen

18、dent legal entity may have its freight rates filed by the head office or file the rates upon authorization of the head office.If the NVOCC subsidiary has its freight rates filed by the head office, the head office shall file all freight rates of its subsidiaries that hold the Qualification License o

19、f NVOCC and fill up all the required application forms; the contents such as “Full Name of Company (Chinese)”, “Full Name of Company (English)”, “No. of Qualification License of NVOCC”, “Registration Place of NVOCC”, etc. shall be consistent with those of the Qualification License of NVOCC; “Company

20、 Address” is to be filled with the address of NVOCC subsidiary; the name, address, telephone No., Fax No., etc. of the head office are to be filled in the corresponding spaces of contact in the application form; the form is to include the stamp of head office that assumes the relevant duties and res

21、ponsibilities.If the NVOCC subsidiary files the freight rates by itself, it shall fill up the application form; 5the contents such as “Full Name of Company (Chinese)”, “Full Name of Company (English)”, “No. of Qualification License of NVOCC”, “Registration Place of NVOCC”, etc. shall be consistent w

22、ith those of the Certificate of Qualification License of NVOCC; “Company Address” is the address of the NVOCCs subsidiary; the name, address, telephone No., Fax No., etc. of the subsidiary are to be filled in the corresponding spaces of contact in the application form; the authorization letter of fr

23、eight filing of the NVOCC head office is required (see the appendix for the sample), which is to include the stamp of the head office that assumes the relevant duties and responsibilities.IV. Regulations on Filing of Public Freight Rates (Ranges)i. Regulations on Filing Code1. The code of a NVOCC is

24、 no longer than eight digits, which is the abbreviation of English name. A NVOCC may decide code at its own discretion, which is to be confirmed by SSE in freight filing. 2. The code of shipping route is of two digits, including fifteen major routes (see appendix).For inter-Asia services like Japan

25、that may have several freight quotations within a week, NVOCCs are to add number 1 to 7 representing Monday to Sunday. The filed freight rates are to be consistent with the freight rates levels and structure in actual operation. If the individual charges are not separately collected in the companys

26、quotations or freight manifests, invoice and freight rate management system, all-in tariffs are to be filed to reflect the actual freight structure. In freight filing, letters are added to routes to differentiate: where the lower limits of freight rates are not applicable to the corresponding commis

27、sions, rebates and surcharges (All In 6rates) of filing forms of tariff freight rates (ranges), add “A” to the code of route; where the upper limits of freight rates are not applicable to the corresponding commissions, rebates and surcharges (All In rates) of filing forms of tariff freight rates (ra

28、nges), add “B” to the code of route; where both upper and lower limits are not applicable to the corresponding commissions, rebates and surcharges (All In rates) of filing forms of tariff freight rates (ranges), add “C” to the code of route;3. Both the ports of departure and ports of destination are

29、 of five-digit code by reference to the United Nations Port Codes (URL: http:/www.unece.org/cefact/locode/). The attached page lists the five-digit codes of general ports of main shipping routes in the freight filing system. SSE has classified the ports as per the UN port codes, which are to be cate

30、gorized into these fifteen routes automatically. NVOCCs may categorize their calling ports into these fifteen routes according to their actual businesses. If the ports to be filed are not listed in the attached page, NVOCCs may check the UN port codes by themselves or contact SSEs department in char

31、ge of freight filing, which helps provide port codes and categorize the ports into the major routes. 4. The codes of container type and cargo type are of two digits. NVOCCs categorize their cargo into the designated types and file the freight rates at SSE with the rules of cargo categorization and e

32、xplanations as appendixes. Levels of cargo types are to be shown on the freight manifests provided by NVOCCs.The sizes of open top containers and flat rack containers are not to exceed the standards (other container and cargo types must be stated in the column of “Remarks” in freight filing forms).7

33、Container TypeDry Van ContainerRefrigerated ContainerRefrigerated High CubeOpen TopFlat Rack ContainerHigh CubeCodeDVRFRHOTFRHQContainer TypeShipper Owner Shipper Owner High CubeShipper Owner Refrigerated ContainerGarment On HangerTankerOthersCodeSOSQSRHTTKXXCargo TypeGeneral CargoChemicalsSemi- Haz

34、ardousHazardousEmpty ContainerLevelOtherCodeGCCHSHHZEM01-20XX5. Codes of container size are of two digits, namely 2020, 4040 and 4545.6. Example:08CNSHADEHAMDVGC20COSCO LogisticsEuropean Routes Shanghai PortHamburg PortDry Van ContainerGeneral CargoTwenty-feet ii. Specifies on Filling Forms1. NVOCCs

35、 must strictly use the filing codes to fill up the forms of tariff freight rates (ranges).2. Default setting of the filing system is that “freight rate” equals “upper limit of freight rate”; if the freight rates are different to the upper limits, the NVOCCs are to fill in both data; if these two fig

36、ures are the same, the column “freight rate” may be left blank. 83. Any information where the result of “freight rate freight rate * commission container rebate” is no higher than “zero” will be rejected by the filing system. Likewise All-in freight rate no higher than sum of surcharges will also be

37、 rejected. 4. “Effective date” in NVOCC freight filing form is to be filled according to actual conditions; if the column is left blank, the default setting of filing system is the filed rates will take effect after thirty days since the date of filing. 5. “Freight”, “BAF”, “CAF” and “OTHERS” are of

38、 numeric type and the currency unit is “USD”; “Commission” is percentage (in decimal form); “OTHC” is of numeric type with default currency of “CNY”; “DTHC” is of numeric type with default currency unit of the currency at place of destination while using other currencies are to be stated in the colu

39、mn of “Remarks”. Where the column of “Surcharges” is left blank, the default setting of system is “no such surcharge”.6. “Other Surcharges” refer to ocean surcharges incurred during NVOCC business, e.g. fuel surcharges (BAF, EBS, IFA, EBA, etc.), currency adjustment surcharges (CAF, YAS, etc.), rout

40、e surcharges (SCS, PTF/PCS), GRI, PSS, CIC, ISPS, etc.Charges collected against some particular situation or special type of container, e.g. high cube surcharge, heavy weight surcharge or other related charging rules may be stated in the column of “Remarks”.7. Terminal handling charges in “OTHC” and

41、 “DTHC” columns mean such actual charges, if any, must be started in corresponding columns of freight filing forms. 9Other costs relating to port operation and documentation, e.g. documentation fee, B/L exchange service, booking fee, seal fee, etc. may be filed in the column of “Remarks” but must no

42、t be calculated or filed in “Other surcharges”.8. Where foreign exchange rates are involved in freight filing, they are to be stated in the column of “Remarks”.9. In case of transshipment export by barge or inland feeder service via base ports, the filing requirement is to be decided by the way a B/

43、L issued by NVOCCs. If the B/L shows the loading port is a base port, the NVOCC is to file the freight rates of the loading port. For transshipment export by barge or inland feeder service from the base ports in South China (e.g. Guangzhou, Shenzhen) via Hong Kong waters, if the B/L shows the loadin

44、g port is a base port in South China, the NVOCC is to file the freight rates of the loading ports (base ports in South China such as Guangzhou and Shenzhen).10. The format of filing forms (electronic version) must not be modified. NVOCCs may only increase/decrease entries of freight rates or change

45、the contents thereof. Any surcharge not included in the list or other matters of clarification are to be listed in the column of “Remarks”. Modified format of filing forms (electronic version) will be rejected by the system. 11. Filing forms of tariff freight rates (ranges) of different effective da

46、tes must be reported individually and separately. V. Contact InformationFreight Filing Acceptance Organ:Shanghai Shipping Exchange10RM1806，18 YangShuPu RD, Shanghai 200082, PRCContact persons: Mr. Zhao Jun, Mr. Chen LebinTel: +86 21 65451137, 65151166-1816/1819 (ext.)Fax: +86 21 65015883E-mail：nvo_；