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TABLE OF CONTENTS CHAPTER I GENERAL PROVISIONS CHAPTER II OPERATIONS OF INTERNATIONAL OCEAN SHIPPING AND THE AUXILIARY BUSINESSES THEREOF CHAPTER III INTERNATIONAL OCEAN SHIPPING AND THE AUXILIARY BUSINESS OPERATIONS THEREOF CHAPTER IV FOREIGN-FUNDED INTERNATIONAL OCEAN SHIPPING AND THE AUXILIARY BUSINESSES THEREOF CHAPTER V INVESTIGATION AND TREATMENT CHAPTER VI LEGAL RESPONSIBILITIES CHAPTER VII SUPPLEMENTARY PROVISIONS CHAPTER I GENERAL PROVISIONS Article 1. These Implementation Rules are enacted in accordance with the Regulations of the People's Republic of China on International Ocean Shipping (hereinafter referred to Shipping Regulations). Article 2. The Ministry of Communications and the communications authorities of the relevant local people's governments shall, according to the provisions of the Shipping Regulations and these implementation rules and in line with the principles of fairness, high efficiency and convenience, administer the business activities of international ocean shipping, and the business activities affiliated to international ocean shipping, and encourage fair competition and prohibit unfair competition. Article 3. The meaning of the following terms used in the Shipping Regulations and these implementation rules are as follows: (1) International shipping business refers to the services of international marine cargo and passenger transportation that the international shipping operator provides by using the ships and shipping space it owns or operates, as well as the relevant activities carried out for the completion of these services around its ships, passengers or goods carried, including signing the relevant agreements, accepting bookings, negotiating on and taking charges, issuing bills of lading and other relevant transport documents, arranging for loading and unloading of goods, arranging for storage, handing over the goods, and arranging for transshipment and ship's entry and exit of the port.; (2) International shipping operators include Chinese international shipping operators and foreign international shipping operators. Among which, Chinese international shipping operators refer to the Chinese business corporations operating international shipping business that have obtained the International Shipping License pursuant to the Shipping Regulations and these implementation rules; foreign international shipping operators refer to the foreign enterprises established according to foreign laws and operating international shipping business through Chinese ports; (3) International liner shipping business refers to providing regular international ocean cargo or passenger transportation between fixed ports by using the ships self-owned or operated, or by the method provided in Paragraph 3 of Article 16 of the Shipping Regulations; (4) Non-vessel shipping refers to the business provided in Paragraph 2 of Article 7 of the Shipping Regulations, including the following activities conducted around the goods for the completion of that business: 1. Signing international cargo transportation contract with the consignor as the carrier; 2. Accepting and delivering the goods as the carrier; 3. Issuing the bills of lading or other transportation documents; 4. Taking freight and other remunerations for the service; 5. Booking shipping space and handling consignment for the goods carried with the international shipping operators or operators of other transportation means; 6. Paying port charges or other transportation fees; 7. Devanning and consolidating containers; and 8. Other relevant businesses; (5) Non-vessel shipping operators include Chinese non-vessel shipping operators and foreign non-vessel shipping operators. Among which, Chinese non-vessel shipping operators refer to the Chinese business corporations that have obtained the qualification for non-vessel shipping business according to the Shipping Regulations and these implementation rules; foreign non-vessel shipping operators refer to the foreign enterprises that were established according to foreign laws and that have obtained the qualification for non-vessel shipping business through Chinese ports according to the relevant provisions of the Shipping Regulations and these implementation rules; (6) International ship agency operators refer to the Chinese business corporations that were established according to the law of China and that undertake the businesses provided in Article 29 of the Shipping Regulations; (7) International ship management operators refer to the Chinese business corporations that were established according to the law of China and that undertake the businesses provided in Article 30 of the Shipping Regulations; (8) International shipping storage operators refer to the Chinese business corporations that were established according to the law of China and that provide the services of storage of shipped goods, management of stored goods, as well as the arrangement, packing, packaging and grouping of goods; (9) International ocean shipping container station and stacking operators refer to the Chinese business corporations that were established according to the law of China and that provide the services of piling, keeping, cleaning and repairing of containers of shipped goods, as well as the services of storage, consolidation and grouping of the goods in containers; (10) Foreign-funded enterprises refer to the Chinese-foreign equity-joint ventures, Chinese-foreign contractual joint ventures and solely foreign-funded enterprises that were established according to the law of China; (11) Resident representative offices of foreign merchants refer to the non-business agencies established by foreign enterprises or other economic organizations within China to carry out activities like publicity, introduction, consultation and contact; (12) Enterprise business registration documents refer to the business licenses or establishment certificate of the enterprise issued by the enterprise registration department or the relevant authority of the country where the enterprise is located. In case the enterprise business registration documents are photocopies, they must be accompanied by the confirmation of the enterprise registration department or the notarization certifying that the photocopies and the originals are consistent; (13) Special invoice refers to the voucher uniformly printed by the State Administration of Taxation, which is the evidence proving that the payer has paid the freight or the other relevant charges to the international shipping operator or the agent thereof, the non-vessel shipping operator or the agent thereof, including International Ocean Shipping Special Invoice and International Ship Agency Special Invoice; (14) Liner conference agreements refer to the various kinds of agreements that are concluded by and between the members of the liner conference and between the liner conferences themselves and that are in conformity with the definition of the Convention On a Code of Conduct for Liner Conference, 1974; (15) Operation agreements refer to the agreements concluded by and between two or more international liner shipping operators on the increase or reduction of ships on one or more sea routes for the purpose of stabilizing or controlling the freight rates, as well as other agreements coordinating the joint conducts of the international liner shipping operators, including the conference minutes containing the aforesaid contents, and the agreements and the various kinds of union agreements, association agreements concluded by and between two or more international liner shipping operators on the joint use of ships, joint use of port facilities and other cooperation for the purpose of promoting efficiency; (16) Freight rate agreements refer to the agreements concluded by and between two or more international linter shipping operators on charging items and the rates thereof, freight rates or additional fees, including the conference minutes containing the aforesaid contents; (17) Publicized freight rates refer to the freight rates stated on the freight rate book of the international liner shipping operator and non-vessel shipping operator. The freight rate book is composed of the freight rates, the rules for freight rate, and the provisions that the carrier and consignor shall observe; (18) Negotiated freight rates refer to the freight rates agreed upon by the international liner shipping operator and the cargo owner and non-vessel shipping operator, including the freight rates and the relevant factors. Negotiated freight rates shall be established in the form of written contract or agreement; (19) Practice qualification certificate refers to the personal resume proving that the person has more than 3 years of experience in international ocean shipping or auxiliary business activities thereof. The personal resume must be notarized by a notary organization. CHAPTER II OPERATIONS OF INTERNATIONAL OCEAN SHIPPING AND THE AUXILIARY BUSINESSES THEREOF Article 4. The establishment of enterprise within China to undertake international shipping, or the application for international shipping business by Chinese business corporations shall meet the conditions provided in Article 5 of the Shipping Regulations, taking into consideration the competition on the international ocean shipping market and the policies of the state on the development of international ocean transportation promulgated by the Ministry of Communications. The Ministry of Communications shall, in a timely manner, promulgate on its government website and other appropriate media the competition on the international ocean shipping market and the policies of the state on the development of international ocean transportation. Without being promulgated, the aforesaid competition and policies may not be taken as the basis for rejecting applications. Article 5. For the establishment of enterprise within China to undertake international shipping, or for the application for international shipping business by a Chinese business corporation, the applicant shall file the application with the Ministry of Communications and submit the relevant materials, and shall, at the same time, send copies of the application materials to the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the enterprise is located. The application materials shall include: (1) Application form; (2) Feasibility study report, and investment agreement; (3) Enterprise business registration documents of the applicant (where an enterprise is to be established, the business registration documents or identification certificates of the major investors); (4) Duplicates or copies of the ship ownership certificate, nationality certificate and statutory inspection certificate; (5) Samples of the bills of lading, passenger tickets or multimode transport documents; and (6) Practice qualification certificates of the senior managerial personnel in conformity with the provisions of the Ministry of Communications. The communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government shall, after receiving the aforesaid materials sent, examine the relevant materials and give opinions, and the relevant opinions shall be submitted to the Ministry of Communications within 10 workdays from the receipt of the relevant materials. The Ministry of Communications shall, after receiving the application materials of the applicant, examine those materials according to Articles 5 and 6 of the Shipping Regulations and decide to approve the application or not within 30 days from the day on which the complete set of application materials are received. If the application is approved, the International Shipping License shall be issued to the applicant. If not, the applicant shall be notified by written form and be informed of the reasons. Article 6. The establishment of branches within China by a Chinese international shipping operator shall be governed by the procedures provided in Article 5 of these implementation rules. The application materials shall include: (1) Application form; (2) Feasibility study report; (3) Business registration documents of the parent company; (4) Duplicate of the International Shipping License of the parent company; (5) Confirmation documents of the parent company on the business scope of the branch to be established; and (6) Practice qualification certificates of the senior managerial personnel in conformity with the provisions of the Ministry of Communications. The branch of a Chinese international shipping operator may provide services to the ships owned or operated by its parent company, such as handling the formalities for the ship's entry and exit of port, arranging for the port operations, accepting bookings, issuing bills of lading and taking the freight. Article 7. For the establishment of enterprise within China to undertake international ship agency, or for the application for international ship agency by Chinese business corporations, the applicant shall file the application with the Ministry of Communications and submit the relevant materials, and shall, at the same time, send copies of the application materials to the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the enterprise is located. The application materials shall include: (1) Application form; (2) Feasibility study report, and investment agreement; (3) Business registration documents of the applicant (where an enterprise is to be established, the business registration documents or identification certificates of the major investors); (4) Certificate of the fixed business site; (5) Practice qualification certificates of the senior managerial personnel provided in Item (1) of Article 9 of the Shipping Regulations; and (6) Agreements on the exchange of electric data with the ports, customs and other port authorities. If there is no condition for the exchange of electric data, the corresponding certificates of the relevant ports or customs shall be supplied. The communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government shall, after receiving the aforesaid materials sent, examine the relevant materials and give opinions, the opinions shall be submitted to the Ministry of Communications within 7 workdays from the receipt of the relevant materials. The Ministry of Communications shall, after receiving the application materials of the applicant, examine those materials according to Article 9 of the Shipping Regulations within 15 workdays from the day on which the complete set of application materials is received. If the application passes the examination, registration shall be made and the International Ship Agency Qualification Registration Certificate shall be issued. If not, the party concerned shall be notified by written form and be informed of the reasons. The applicant shall, by taking the International Ship Agency Qualification Registration Certificate issued by the Ministry of Communications, make the enterprise registration or alteration registration with the enterprise registration department and go through the relevant procedures with the customs, taxation and foreign exchange departments. Article 8. Where a Chinese business corporation applies for international ship management business or establishing an enterprise within China to undertake international ship management business, it shall file the application with the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the business is to be undertaken, the application materials shall include: (1) Application form; (2) Feasibility study report, and investment agreement; (3) Business registration documents of the applicant (where an enterprise is to be established, the business registration documents or identity certificates of the major investors); (4) Certificate of the fixed business site; (5) Practice certificates of the senior managerial personnel provided for in Item (1) of Article 11 of the Shipping Regulations; and (6) Copies of the competency certificates of the captain, chief engineer of the personnel provided for in Item (2) of Article 11 of the Shipping Regulations. The communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government shall, after receiving the aforesaid materials sent, examine the relevant materials within 10 workdays from the day on which the complete set of application materials is received. If the materials are true and meet the conditions provided in Article 11 of the Shipping Regulations, the qualification registration shall be made and the International Shipping Auxiliary Business Qualification Registration Certificate shall be issued. If the materials are untrue or fail to meet the conditions provided in Article 11 of the Shipping Regulations, no registration shall be made and the applicant shall be notified by written form and be informed of the reasons. The applicant shall, by taking the International Shipping Auxiliary Business Qualification Registration Certificate, make the enterprise registration with the enterprise registration department and go through the relevant procedures with the taxation department and the bank designated by the foreign exchange department. Article 9. Where the branch established within China by an international ship agency operator or international ship management operator undertakes the relevant businesses, it shall meet the provisions of Articles 9 and 10 of the Shipping Regulations, and shall make registration in accordance with Articles 10 and 12 of the Shipping Regulations and Articles 7 and 8 of these implementation rules. The application materials shall include: (1) Application form; (2) Feasibility study report; (3) Business registration documents of the parent company; (4) Duplicate of the International Ship Agency Qualification Registration Certificate or International Shipping Auxiliary Business Qualification Registration Certificate of the parent company; (5) Confirmation documents of the parent company on the business scope of the said branch; (6) Certificate of the business site; (7) Practice experience or qualification certificates of the personnel provided for in Articles 9 and 11 of the Shipping Regulations; and (8) If the branch established by an international ship agency operator has concluded an agreement on the exchange of electric data between the said branch and the ports, customs and other port authorities, and it is difficult for the branch to exchange the electric data, the corresponding certificates of the relevant ports or customs shall be supplied. Article 10. An international shipping operator applying for undertaking international liner shipping business through Chinese ports shall file the application with the Ministry of Communications and submit the materials provided for in Article 17 of the Shipping Regulations. The Ministry of Communications shall make the examination pursuant to Article 17 of the Shipping Regulations. If the registration is to be made, the International Liner Shipping Qualification Registration Certificate shall be issued. If the application materials are untrue or incomplete, no registration shall be made, and the applicant shall be notified by written form and be informed of the reasons. After the international shipping operator obtains the qualification for operating international liner shipping through Chinese ports, the Ministry of Communications shall promulgate on its government website the name of that international liner shipping operator and the sample of its bill of lading. Article 11. To apply for the registration of bill of lading of non-vessel shipping operator, the applicant shall file the application with the Ministry of Communications and submit the relevant materials, and at the same time, send copies of the application materials to the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the enterprise is located or where the contact agency designated by the foreign non-vessel shipping operator is located. The application materials shall include: (1) Application form; (2) Feasibility study report; (3) Enterprise business registration documents; (4) Sample of the bill of lading form; and (5) Copy of the bank proof certifying the deposition of security bond. If the applicant is a foreign non-vessel shipping operator, it shall also submit the relevant materials of the contact agency it designates as provided in Article 25 of these implementation rules. The communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government shall, after receiving the aforesaid copies of materials, examine the relevant materials and give opinions, which shall be submitted to the Ministry of Communications within 7 workdays from the day of receipt of the copies of the application materials. The Ministry of Communications shall examine the materials upon the receipt thereof pursuant to Articles 7 and 8 of the Shipping Regulations within 15 workdays from the day on which the full set of application materials is received. If the application passes the examination, the registration of bill of lading shall be made, and the Non-vessel Shipping Qualification Registration Certificate shall be issued. If not, the party concerned shall be notified by written form and be informed of the reasons. A Chinese applicant may not undertake non-vessel shipping business before it obtains the Non-vessel Shipping Qualification Registration Certificate and goes through the corresponding enterprise registration procedures with the department that made the registration of the enterprise. Article 12. Where a foreign non-vessel shipping operator has obtained the operation qualification according to foreign law and has legal guarantee for financial liability, it need not deposit security bond with a bank within China when it applies for undertaking non-vessel shipping business through Chinese ports according to the Shipping Regulations and these implementation rules. However, in order to guarantee that the foreign non-vessel shipping operator pays off the debts and fines arising from its non-performance or improper performance of the obligations of carrier and to meet the conditions in Paragraph 3 of Article 8 of the Shipping Regulations, the government authority of that foreign non-vessel shipping operator and the communications authority of Chinese government shall sign an agreement on the method of realization of the guarantee for financial liabilities. Article 13. One shall obtain the qualification for non-vessel shipping business pursuant to the relevant provisions of these implementation rules if it, without undertaking international liner shipping business at Chinese ports, contracts goods, issues bills of lading or other transport documents, takes freight within China, or provides international cargo transportation services through Chinese ports by renting shipping space from international liner shipping operators. If it contracts goods at Chinese ports and ships them to foreign ports for transshipment by using the lateral services provided by international liner shipping operators. But the situation provided for in Paragraph 3 of Article 16 of the Shipping Regulations shall be exceptional. Article 14. A branch established within China by a Chinese non-vessel shipping operator shall pay the security deposit pursuant to Paragraph 2 of Article 8 of the Shipping Regulations, and make registration pursuant to Article 11 of these implementation rules to get the Non-vessel Shipping Business Qualification Registration Certificate. The following materials shall be submitted for the registration application: (1) Application form; (2) Enterprise business registration documents of the parent company; (3) Duplicate of the Non-vessel Shipping Business Qualification Registration Certificate of the parent company; (4) Confirmation documents of the parent company on the business scope of that branch; and (5) Copy of the bank proof on the payment of the security deposit. Article 15. When a non-vessel shipping operator applies for the registration of bill of lading, the name shown in the bill of lading title shall be the same as that of the applicant. Where the name shown in the bill of lading is not the same as that of the applicant, the applicant shall provide certificates proving that the bill of lading is made and used by the applicant, and shall enclose the written statement of the applicant on bearing the responsibilities of the carrier for the bill of lading to be registered. Article 16. If a non-vessel shipping operator uses two or more kinds of bills of lading, all those bills of lading shall be registered. In case of any alteration to the registered bill of lading of an international liner shipping operator or non-vessel shipping operator, the new form of bill of lading shall be submitted to the Ministry of Communications for record 15 days prior to the day when the new bill of lading is to be used. Article 17. After the applicant for non-vessel shipping business pays the security deposit, makes the registration of bill of lading, and acquires the qualification for non-vessel shipping business, the Ministry of Communications shall promulgate on its government website the name of the non-vessel shipping operator and the sample of its bill of lading form. Article 18. A non-vessel shipping operator shall deposit its security bond on the special account for non-vessel shipping operators opened by the commercial bank designated by the Ministry of Communications, interest of the security bond shall be calculated at the rate of current deposit promulgated by the People's Bank of China. Article 19. The security bond deposited by a non-vessel shipping operator is under the protection of the state law, and shall not be used except under the following circumstances: (1) The non-vessel shipping operator has been held liable for compensation for non-performance or improper performance of the obligations of the carrier, according to the effective judgment of judicial department or the decision of arbitration body to be executed as ruled by the judicial department; (2) The operator has been fined by the communications authorities. The security bond shall be allocated according to law if necessary under the circumstances provided in Items (1) and (2) of the preceding paragraph. If the security bond paid by the non-vessel shipping operator is not in conformity with the amount provided for by the Shipping Regulations, the Ministry of Communications shall notify in written form the operator to make up the lacking amount. If the operator fails to do so within 30 days from receiving the written notice of the Ministry of Communications, the Ministry of Communications shall cancel its qualification according to Article 15 of the Shipping Regulations. Article 20. If a non-vessel shipping operator is disqualified by the Ministry of Communications according to law, applies for termination of operation or terminates the operation due to other reasons, it may apply to the Ministry of Communications for returning of the security bond. The Ministry of Communications shall make a 30-day public summon of the matters applied for on its government website. Within the period of public summon, if any relevant party regards that the non-vessel shipping operator is involved in the circumstance provided for in Item (1) of Paragraph 1 of Article 19 of these implementation rules and it is necessary to take protective measures against the security bond, the party shall get a ruling from the judicial department on property protection. The supervisory procedures on the security account by the Ministry of Communications according to the Shipping Regulations shall end from the day of protection of the security bond. The parties concerned shall settle the relevant disputes through judicial procedures. If no such situation prescribed in the preceding paragraph happens after the public summon expires, the Ministry of Communications shall notify the bank opening the security account to return the security bond and the interest thereof to the non-vessel shipping operator, and shall withdraw the Non-vessel Shipping Qualification Registration Certificate of that operator. Article 21. In case of any of the following alterations, a Chinese international shipping operator, Chinese non-vessel shipping operator, international ship agency operator or international ship management operator shall put the alteration on record with the departments that granted the approval and that made the registration: (1) Alteration of the enterprise name; (2) Enterprise movement; (3) Alteration of contributor; or (4) Close or termination of business. In case of alteration of enterprise name, the departments that granted the approval and that made the registration shall replace the relevant operation license or qualification registration certificate; in case of termination of business, the relevant license and registration certificate shall be returned to the departments that granted the approval and that made the registration. Article 22. With the exception of the foreign-funded enterprises provided in Chapter 4 of the Shipping Regulations and these implementation rules, an operator undertaking international shipping storage, or international shipping container station and stacking shall put on record the relevant information with the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the enterprise is located, within 30 days from the start of the aforesaid business activities. CHAPTER III INTERNATIONAL OCEAN SHIPPING AND THE AUXILIARY BUSINESS OPERATIONS THEREOF Article 23. Where an international liner shipping operator starts or stops an international liner route, or changes the ship or schedule for international liner shipping, it shall proclaim that on the media designated by the Ministry of Communications pursuant to Article 19 of the Shipping Regulations, and put it on record pursuant to the provisions. Article 24. Where a Chinese international shipping operator increases ships, including increasing ships by chartering bare boats, it shall put that on record with the Ministry of Communications and acquire a record certificate 15 days before such a ship is put into operation. The record materials shall indicate the company name, place of registration, ship name, nationality of the ship, type of the ship, tonnage of the ship and the sea route to be operated. The Ministry of Communications shall issue a certificate for record within 3 workdays from the receipt of the record materials. Article 25. A foreign international shipping operator undertaking international liner shipping business at Chinese ports, or a foreign non-vessel shipping operator providing international shipping services through Chinese ports by entrusting agents in China, shall entrust a contact agency within China to, on behalf of the foreign enterprise, contact with Chinese Government in respect of the relevant managerial and legal matters provided in the Shipping Regulations and these implementation rules. The contact agency may be the foreign-funded enterprise or resident representative agency established within China by that foreign enterprise, or other Chinese business corporations or other economic organizations with fixed domiciles within China. The contact agency entrusted shall be put on record with the Ministry of Communications, and submit the following documents: (1) Specifications of the contact agency, indicating its name, domicile, contact method and contact person; (2) Duplicate or copy of the trust deed; (3) Duplicate of the agreement between the trustor and the contact agency; and (4) Duplicate of the industrial and commercial registration certificate of the contact agency. Where the contact agency is a foreign-funded enterprise or resident representative agency within China set up by the foreign enterprise, it need not provide the documents specified in Items (2) and (3) of Paragraph 1. Any alteration of the contact agency or the matters indicated on the specifications of the contact agency shall be put on record with the Ministry of Communications within 15 days from its occurrence. Article 26. No entity or individual may, without authorization, use the registered bills of lading of international liner shipping operators and non-vessel shipping operators. Article 27. Where a non-vessel shipping operator needs to entrust agents to issue bills of lading or the relevant documents, it shall entrust the aforesaid matters to international shipping operators, non-vessel shipping operators and operators of international shipping auxiliary business with the qualification for operation. The operators provided in the preceding paragraph may not accept the entrustment for issuing bills of lading of a non-vessel shipping operator that hasn't registered its bills of lading and hasn't deposited the security bond. Article 28. The negotiated freight between the international liner shipping operator and the consignor and non-vessel shipping operator shall be in written form. The number of the negotiated freight shall be shown on the bills of lading or the relevant documents. Article 29. An international shipping operator may not accept the goods or containers provided by a non-vessel shipping operator that hasn't registered its bills of lading and hasn't deposited the security bond. Article 30. Where an international liner shipping operator entrusts agents to accept bookings, issue bills of lading or take the freight, the agents entrusted shall be international shipping agency operators having obtained the qualification for operation according to law. Article 31. International liner shipping operators and non-vessel shipping operators shall promulgate on the media designated by the Ministry of Communications their ship agents or agents for issuing bills of lading within China. The matters promulgated shall include the name, place of registration, domicile and contact method of the agent. In case of alteration of the agent, the aforesaid matters shall be promulgated 7 days before the relevant agency agreement becomes effective. The international shipping operator or non-vessel shipping operator shall put on record with the Ministry of Communications the name of the media on which the agency matters are promulgated. Article 32. The liner conference agreements, operation agreements and freight agreements, which involve Chinese ports, established between international shipping operators shall be put on record with the Ministry of Communications within 15 days from the day of conclusion thereof: (1) Liner conference agreements shall be put on record by the liner conference on behalf of all of its members that undertake shipping through Chinese ports. When doing so, the liner conference shall furnish a list of its members at the same time; (2) Operation agreements or freight agreements between international shipping operators shall be put on record respectively by the international shipping operators that concluded the agreements. Article 33. As to the agreements on annexation or purchase between Chinese international shipping operators or between Chinese international shipping operators and foreign international shipping operators, the annexing or purchasing party shall submit the agreement on annexation or purchase to the Ministry of Communications for examination pursuant to Article 24 of the Shipping Regulations. Article 34. Where the following operators take freight charges, or take freight charges or other relevant charges upon entrustment within China, they shall issue the special invoices to the payer: (1) Chinese international shipping operators and the branches thereof; (2) Chinese non-vessel shipping operators and the branches thereof; (3) International ship agency operators and the branches thereof; (4) Enterprises provided in Article 33 of the Shipping Regulations. The operators specified in the preceding paragraph shall apply for special invoices with the tax authority of the place where the company is located after getting certificates for use of special invoices from the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the company is located. If the State Administration of Taxation has otherwise provisions, such provisions shall be observed. Article 35. International ship management operators shall perform the obligations on ship safety and prevention of pollution pursuant to the terms of contract and the relevant provisions of the state. Article 36. Operators undertaking international liner shipping business through Chinese ports shall fill in the International Ocean Shipping Information Form of the People's Republic of China (Basic Information of Shipping Companies), the International Ocean Shipping Information Form of the People's Republic of China (Quantities of Export Containers of Shipping Companies) and the International Ocean Shipping Information Form of the People's Republic of China (Quantities of Import Containers of Shipping Companies), and submit those forms to the Ministry of Communications before March 31 of the current year. The aforesaid forms of foreign international shipping operators shall be submitted by the contact agencies entrusted. Article 37. Chinese international shipping operators, international ship agency operators and operators of international container transportation ports shall respectively fill in the International Ocean Shipping Information Form of the People's Republic of China (Basic Information of Shipping Companies), the International Ocean Shipping Information Form of the People's Republic of China (International Ship Agency) and the International Ocean Shipping Information Form of the People's Republic of China (Ports' Containers Handling Capability), and submit those forms to the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the company is located. The communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government shall submit the aforesaid information forms and the gathered information to the Ministry of Communications before March 31 of the current year. Article 38. International ship agency operators, international ship management operators, international shipping storage operators and international container and stacking operators may not conduct any of the following acts: (1) Providing services at abnormal and unreasonable charging rates and thus impairing fair competition; (2) Giving off-book discounts to the clients secretly to seek business; (3) Abusing superior positions to restrict dealing parties from freely choosing the operators of international shipping auxiliary business, or inducing the dealing parties by using its monopoly position in relevant industries to exclude horizontal competition; or (4) Other acts of unfair competition. Article 39. Resident representative agencies of foreign international shipping operators and foreign international shipping auxiliary operators may not engage in business activities, including: (1) Accepting bookings, issuing bills of lading or relevant documents of its parent company on behalf of its overseas parent company; (2) Handling settlement or taking freight and other charges for its parent company; (3) Issuing instruments of its overseas parent company or the enterprises established within China by its parent company provided in Article 33 of the Shipping Regulations; (4) Consigning goods to international liner shipping operators as the consignor; (5) Signing business contracts with the clients in the name of resident representative agency of foreign merchant. CHAPTER IV FOREIGN-FUNDED INTERNATIONAL OCEAN SHIPPING AND THE AUXILIARY BUSINESSES THEREOF Article 40. For the establishment of Chinese-foreign equity joint or contractual joint enterprise to undertake international shipping business, a party shall file an application with the Ministry of Communications through the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the enterprise to be established is located. The application materials shall include: (1) Application form; (2) Feasibility study report; (3) Agreement on equity or contractual joint venture; (4) Enterprise business registration documents or identity certificates of the investors; and (5) Practice qualification certificates of the senior managerial personnel in conformity with the provisions of the Ministry of Communications. The communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government shall transmit the application materials and opinions thereon to the Ministry of Communications within 10 workdays from receiving the complete set of application materials. The Ministry of Communications shall, within 30 workdays from receiving the aforesaid materials and opinions transmitted, make the examination according to Paragraphs 2, 3, 4 of Article 32 of the Shipping Regulations, as well as the competition situation on the international shipping market it promulgated and the policies of the state on the development of international shipping industry, and make the decision to approve the application or not. If the application is approved, the document of approval shall be issued. If not, the applicant shall be notified in written form and be informed of the reasons. The approved applicant shall, by taking the document of approval of the Ministry of Communications, go through the formalities for examination and approval for the establishment of foreign-funded enterprise with the corresponding departments pursuant to the laws and regulations of the state on foreign-funded enterprises. After getting the corresponding approval, the applicant shall, by taking the documents of approval for the establishment of enterprise issued by the relevant departments and the relevant materials provided in Items 4) to 6) of Paragraph 1 of Article 5 of these implementation rules, draw the International Shipping License with the Ministry of Communications pursuant to the procedures provided in Article 5 of these implementation rules. Article 41. For the establishment of foreign-funded enterprises provided in Article 33 of the Shipping Regulations, the relevant provisions of the Ministry of Communications and of the Ministry of Foreign Trade and Economic Cooperation shall be followed. Article 42. For the establishment of foreign-funded enterprise to undertake international ship agency business, a party shall submit to the Ministry of Communications the application materials provided in Article 7 of these implementation rules through the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the enterprise to be established is located. The communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government shall transmit the relevant materials and opinions thereon to the Ministry of Communications within 10 workdays from receiving the complete set of the application materials. The Ministry of Communications shall, within 30 workdays from receiving the aforesaid materials and opinions transmitted, make the examination according to Article 9 of the Shipping Regulations and make the decision to approve the application or not. If the application is approved, the document of approval shall be issued. If not, the applicant shall be notified in written form and be informed of the reasons. The approved applicant shall, by taking the document of approval of the Ministry of Communications, go through the formalities for examination and approval for the establishment of foreign-funded enterprise with the corresponding departments pursuant to the laws and regulations of the state on foreign-funded enterprises. After getting the corresponding documents of approval, the applicant shall, by taking the documents of approval for the establishment of enterprise issued by the relevant departments, make registration with the Ministry of Communications pursuant to Article 7 of these implementation rules and draw the International Ship Agency Qualification Registration Certificate with the Ministry of Communications pursuant to the procedures provided in Article 7 of these implementation rules. Article 43. For the establishment of foreign-funded enterprise to undertake international ship management business, a party shall submit to the Ministry of Communications the application materials provided in Article 8 of these implementation rules through the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the enterprise to be established is located. The communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government shall transmit the relevant materials and opinions thereon to the Ministry of Communications within 10 workdays from receiving the complete set of the application materials. The Ministry of Communications shall, within 30 workdays from receiving the aforesaid materials and opinions transmitted, make the examination according to Article 11 of the Shipping Regulations and make the decision to approve the application or not. If the application is approved, the document of approval shall be issued. If not, the applicant shall be notified in written form and be informed of the reasons. The approved applicant shall, by taking the document of approval of the Ministry of Communications, go through the formalities for examination and approval for the establishment of foreign-funded enterprise with the corresponding departments pursuant to the laws and regulations of the state on foreign-funded enterprises. After getting the corresponding documents of approval, the applicant shall, by taking the documents of approval of the relevant departments, make registration with the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the enterprise is located pursuant to Article 8 of these implementation rules and draw the International Shipping Auxiliary Business Qualification Registration Certificate. Article 44. A party shall meet the following conditions for undertaking international shipping storage business: (1) Having fixed business site; (2) Having warehouse facilities fit for the business scope; (3) At least 2 of the senior managerial personnel have 3 years or more of experience in the relevant business; and (4) Other conditions provided by laws and regulations. Article 45. A party shall meet the following conditions for undertaking international shipping container and stacking business: (1) Having fixed business site; (2) Having vehicles, loading machines, stacking, container inspection equipment and facilities fit for the business scope; (3) At least 2 of the senior managerial personnel have 3 years or more of experience in the relevant business; and (4) Other conditions provided by laws and regulations. Article 46. For the establishment of foreign-funded enterprise to undertake international shipping storage business or for the establishment of Chinese-foreign equity joint or contractual joint enterprise to undertake international container station and stacking business, a party shall file an application with the Ministry of Communications through the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the enterprise to be established is located. The application materials shall include: (1) Application form; (2) Feasibility study report; (3) Agreement on equity or contractual joint venture; and (4) Enterprise business registration documents or identity certificates of the investors. The communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government shall transmit the application materials and opinions thereon to the Ministry of Communications within 10 workdays from receiving the complete set of application materials. The Ministry of Communications shall, within 30 workdays from receiving the aforesaid materials and opinions transmitted, make the examination according to Article 44 or 45 of these implementation rules, and make the decision to approve the application or not. If the application is approved, the registration shall be made and the corresponding document of approval shall be issued. If not, the applicant shall be notified in written form and be informed of the reasons. The approved applicant shall, by taking the document of approval of the Ministry of Communications, go through the formalities for examination and approval for the establishment of foreign-funded enterprise with the corresponding departments pursuant to the laws and regulations of the state on foreign-funded enterprises. After getting the corresponding approval, the applicant shall make the registration with the Ministry of Communications and draw a new International Shipping Auxiliary Business Qualification Certificate. Article 47. International shipping storage operators and international container station and stacking operators must, by taking the qualification registration certificates issued by the Ministry of Communications, make registration with the customs of the place of control before storing goods or containers under the control of customs. Article 48. For the establishment of resident representative agency within China, a foreign international shipping operator or a foreign international shipping auxiliary enterprise shall submit the following materials to the Ministry of Communications through the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government where the resident representative agency to be set up is located: (1) Application form, indicating the name of the agency to be established, the place of establishment, the period of station and the major business scope; (2) Enterprise business registration documents; (3) Introduction of the enterprise, including the time of establishment of the enterprise, major business scope, business achievements in the latest years, number of employees, and overseas agencies; (4) Letter of authorization to the chief representative signed by the board chairman or general manager of the enterprise; and (5) Name, nationality, resume and identity certificate of the chief representative. The communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government shall transmit the relevant materials and opinions thereon to the Ministry of Communications within 7 workdays from receiving the complete set of application materials. The Ministry of Communications shall, within 15 workdays from receiving the aforesaid materials and opinions transmitted, make the decision to approve or not. If the application is approved, the Ministry shall issue the Document of Approval for Establishment of Resident Representative Agency within China by Foreign (Overseas) Water Transportation Enterprise. If the application materials are false, the application shall not be approved, and the applicant shall be notified in written form and be informed of the reasons. The approved applicant shall, by taking the document of approval, make registration with the department of enterprise registration within 30 days from the day of approval. The document of approval will lose effect automatically if the relevant formalities haven't been gone through within the fixed time limit. The approved period of station of a resident representative agency is 3 years. Article 49. In case of alteration of the name or chief representative, a resident representative agency shall put that on record with the Ministry of Communications within 15 days after the alteration. In case of alteration of the chief representative, the resume and duplication of the identity certificate of the new chief representative, and the letter of authorization to the chief representative signed by the board chairman or general manager of the enterprise shall be submitted together with the materials to be put on record. In case of alteration of the name of the resident representative agency, explanation on the relationship between the former name and the new name shall be submitted together with the materials to be put on record; in case of alteration of the name of foreign enterprise or alteration of the name of resident representative agency due to merger or splitting of the enterprise, the relevant legal certificates shall also be submitted. The Ministry of Communications shall, in a timely manner, make registration of the relevant alteration after receiving the materials to be put on record. Article 50. If a resident representative agency needs to extend the period of station, it shall file an application with the Ministry of Communications 60 days prior to the expiry. The application materials shall include: (1) Application form; (2) Duplicate of the document of approval issued by the Ministry of Communications; and (3) Duplicate of the industrial and commercial registration document of the resident representative agency. A resident representative agency's period of station to be extended each time is 3 years. The Ministry of Communications shall, within 15 workdays from receiving the complete set of valid materials from the applicant, make the registration of alteration and issue the relevant certificate of registration. Article 51. The termination of a resident representative agency shall be reported to the Ministry of Communications 10 days prior to the day of termination, and the Ministry of Communications will nullify that resident representative agency. If a resident representative agency fails to make the registration of extension upon the expiry of the period of station, it will automatically lose its qualification of station. In case of termination, automatic loss of qualification or nullification of a resident representative agency, the Ministry of Communications shall issue the Notice on Nullification of Resident Representative Agency in China Established by Foreign (Overseas) Water Transportation Enterprise, and shall notify the communications authority and enterprise registration department of the people's government of the relevant province, autonomous region or municipality directly under the Central Government. CHAPTER V INVESTIGATION AND TREATMENT Article 52. Where an interested party who believes that any international shipping operator or international shipping auxiliary operator is involved in the circumstances provided in Article 35 of the Shipping Regulations and Article 38 of these implementation rules, he may request the Ministry of Communications to make an investigation pursuant to Article 35 of the Shipping Regulations. When requesting for investigation, the interested party shall file a written application, state the reasons and provide the necessary evidence. The Ministry of Communications shall assess the application for investigation, and make the decision to investigate or not within 60 workdays from the day of receiving the application for investigation: (1) If the Ministry of Communications regards that the reasons for application for investigation are inadequate and the evidence is insufficient, it shall decide not to investigate and notify the applicant. The applicant may make up his reasons or evidence before filing the application for investigation again; (2) If the Ministry of Communications regards that an investigation is necessary or decides by itself to investigate according to Article 35 of the Shipping Regulations, it shall circulate to the department of industry and commerce administration and the department of price under the State Council the relevant materials and the conclusion of the assessment. Article 53. The investigation shall be carried out by the investigation group formed by the Ministry of Communications in conjunction with the department of industry and commerce administration and the department of price under the State Council (hereinafter referred to investigating departments). The investigating departments shall notify the party under investigation of the members of the investigation group, the reasons for investigation and the period of investigation. The party under investigation shall present the pleadings within 30 days from the day on which the notice on investigation is served to it. If the party under investigation believes that any member of the investigation group has an interested relationship with the applicant for investigation, with the party under investigation or with the matters under investigation, it shall have the right to request for the withdrawal of that member. If the investigating departments regard that the request for withdrawal is sustainable, they shall adjust the composition of the investigation group. Article 54. The party under investigation shall provide the relevant data, materials and documents at the request of the investigation group during the investigation. The party shall present the issue to the investigation group where there is any business secret involved, and the investigation group shall record the issue in written form for reference. The investigating departments and personnel shall keep confidential of the business secret of the party under investigation. Where the party under investigation finds that the investigating personnel disclose its business secret and has adequate evidence to prove that, it shall have the right to file complaint with the investigating departments. Article 55. In the determination of "freight lower than normal and reasonable level" of the party under investigation, the investigating departments shall take into consideration the following factors: (1) The freight level of most of the operators in the same industry, and the freight level of the operators of the same size as that of the party under investigation; (2) Reasons of the party under investigation for applying that freight level, including the composition of cost, management level, and profit and loss; and (3) Whether the freight level is against specific competitor and for the purpose of excluding the competitors. Article 56. In the determination of "impairing fair competition" or "damaging the other dealing party", the investigating departments shall take into consideration the following factors: (1) Hindering the consignor from freely choosing the carrier; (2) Affecting normal dispatch of the goods; and (3) Contracting goods by giving off-book discount, and thus distorting the market competition rules. Article 57. Before making the investigation conclusion, the investigating departments may hold an expert meeting to assess the degree of "impairing fair competition" or "damaging the other dealing party". The experts retained to make consultation may not have any interested relationship with the applicant for investigation or the party under investigation. Article 58. When the investigation is ended, the investigating departments shall make a conclusion, and notify the applicant for investigation and the party under investigation by written form: (1) Where the basic facts are untenable, the investing departments shall decide to terminate the investigation; (2) Where the basic facts exist but there isn't substantial damage to the fair competition on the market, the investigating departments may decide not to take prohibitive or restrictive measures against the party under investigation; (3) The basic facts are clear and there is substantial damage to the fair competition on the market, the investigating departments shall take prohibitive or restrictive measures against the party under investigation according to the provisions of the Shipping Regulations. Article 59. Before taking prohibitive or restrictive measures, the investigating departments shall inform the parties concerned of the right to hearings; where a party requests for a hearing, it shall present the request to the investing departments by written form within 10 days from the day on which the notice from the investigating departments is served to it. If no request for hearing is filed within that period, the right to have hearings is regarded as being abandoned automatically. Article 60. In case of investigation in respect of the circumstances provided in Article 38 of these implementation rules, the members of the investigation group shall include the personnel from the communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government that registered the qualification of the party under investigation. For the party that committed any of the illegal acts provided in Subparagraph 3) of Article 38 of these implementation rules and that substantially damaged the dealing party or competitors of the same industry, the investigating departments may take restrictive measures against it to restrict its business from expanding within a period of time. CHAPTER VI LEGAL RESPONSIBILITIES Article 61. For a party that violated the Shipping Regulations and these implementation rules and shall be punished, the Ministry of Communications or the communications authority of the people's government of the province, autonomous region or municipality directly under the Central Government authorized thereby shall punish it according to Chapter 6 of the Shipping Regulations and these implementation rules. Article 62. Where a resident representative agency of foreign merchant is involved in the circumstances provided in Article 39 of these implementation rules, the Ministry of Communications or the communications authority of the people's government of the relevant province, autonomous region or municipality directly under the Central Government may notify the relevant circumstances to the relevant department of industry and commerce administration, which shall punish the offender according to Paragraph 2 of Article 52 of the Shipping Regulations. Article 63. If the liner conference agreement, operation agreement or freight agreement hasn't been put on record with the Ministry of Communications, the Ministry of Communications shall punish the party provided in Article 32 of these implementation rules according to Article 48 of the Shipping Regulations. If the liner conference fails to put on record the agreement pursuant to the provisions, its members may be punished. Article 64. If any investigating personnel, in violation of the provisions, discloses the confidential information of the party under investigation, he shall be given administrative sanctions. If he caused serious consequence and violated the criminal law, criminal responsibilities shall be prosecuted for. CHAPTER VII SUPPLEMENTARY PROVISIONS Article 65. An applicant may entrust others to handle the matters of approval and registration provided in the Shipping Regulations and these implementation rules. The agent shall provide the trust deed when handling the entrusted matters. The notary documents submitted by a foreign applicant or investor shall be issued by the notary department or practicing lawyer of the country where the applicant or investor is located. The various kinds of written materials required by these implementation rules shall be written in Chinese, if other languages are used, Chinese versions shall be attached. Article 66. In respect of the matters of record provided in the Shipping Regulations and these implementation rules, the specific requirements, means and methods for putting on record shall conform to the provisions of the Ministry of Communications. Article 67. Where investors from Hong Kong Special Administrative Region, Macao Special Administrative Region and Taiwan area invest to undertake international ocean shipping and auxiliary businesses relating to international ocean shipping in the mainland of China, the relevant provisions of Chapter 4 of the Shipping Regulations and Chapter 4 of these implementation rules shall be applied by analogy. Article 68. The specific measures for putting on record the publicized freight and negotiated freight provided in Article 20 of the Shipping Regulations shall be separately provided for by the Ministry of Communications. Article 69. Operations of loading of international shipping goods at ports, of storage of international shipping goods in ports and of international shipping container docks and stacking shall be governed by the relevant laws and administrative regulations of the state on port administration. Article 70. These implementation rules shall come into force on March 1, 2003. The Interim Measures of the Ministry of Communications for the Administration of Ship Companies Engaging in International Ocean Shipping promulgated on April 11, 1985, the Provisions on the Administration of International Ship Agency promulgated on March 2, 1990, the Provisions on the Administration of International Liner Shipping promulgated on June 20, 1990, the Implementation Rules for the Provisions of the People's Republic of China on the Administration of International Ocean Container Transportation promulgated on June 9, 1992 and the Measures for the Administration of Resident Representative Agencies of Foreign Water Transportation Enterprises promulgated on October 17, 1997 by the Ministry of Communications shall be repealed at the same time. |
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