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中华人民共和国内河交通安全管理条例(附英文)

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中华人民共和国内河交通安全管理条例(附英文)

国务院


中华人民共和国内河交通安全管理条例(附英文)

1986年12月16日,国务院

第一章 总 则
第一条 为加强内河交通安全管理,保障船舶、排筏、设施以及人身和财产的安全,以利社会主义建设事业的发展,特制定本条例。
第二条 本条例适用于在中华人民共和国内河通航水域航行、停泊、作业的一切船舶、排筏、设施和人员,以及船舶、排筏、设施的所有人和经营人(以下简称所有人和经营人)。前款内河通航水域,适用于国境河流中国管辖水域;但是,中国政府同其他国家政府签有协议或者协定的,按照协议或者协定执行。
第三条 各级交通管理部门设置的港航监督机构是对内河交通安全实施统一监督管理的主管机关。

第二章 船舶、排筏、设施和人员
第四条 船舶必须具备下列条件,方准航行:一、经船舶检验部门检验,持有合格的技术证书或者文件;二、经登记持有船舶国籍证书或者船舶登记证书或者船舶执照;三、按国家规定必须投保船舶险的船舶,应当持有保险文书或者证明文件;四、按国家规定配备持有合格职务证书的技术船员、驾长、渡工和其他船员。
第五条 机动船舶的船长、轮机长、驾驶员、轮机员、无线电报务员或者话务员,应当经过考试,持有合格职务证书。非机动船舶的驾长、渡工,应当经过考核,持有合格证件。其他船员应当经过安全教育和专业训练。
第六条 竹木排筏应当配备必要的安全航行设备、救生设备和足以保障安全航行的排工。排工配备标准由林业主管部门规定。排关工应当经过林业部门培训,持有合格证件。游览排筏驾驶人员的管理,由主管机关会同有关部门规定。
第七条 设施应当按国家规定配备安全设备和人员。
第八条 船舶应当按国家规定,向主管机关缴纳船舶港务费。

第三章 所有人和经营人
第九条 所有人和经营人必须遵守本条例和国家有关交通安全的规定。
第十条 所有人或者经营人必须对其所有的或者所经营的船舶、排筏、设施的安全负责,并且应当做到下列各项:一、加强对船舶、排筏、设施的安全技术管理,使之处于适航状态或者保持良好技术状况;二、配备的船员、排工或者人员必须符合国家有关规定,不得任用无合格职务证书或者合格证件的人员担任船长、轮机长、驾驶员、轮机员、报务员、话务员、驾长、渡工和排头工;三、加强对船员、排工和其他人员的技术培训和安全教育,不得强令所属人员违章操作;四、根据船舶的技术性能、船员条件、限定航区和水文气象条件,合理调度船舶;五、接受主管机关的监督检查和管理。

第四章 航行、停泊和作业
第十一条 船舶、排筏、设施在内河航行、停泊和作业,必须遵守中华人民共和国的法律、法规和港航规章。
第十二条 外国籍船舶进出中华人民共和国对外国籍船舶开放的内河港口,必须事先经主管机关批准,并申请指派引航员引航。进出港口和在内河航行期间,必须接受主管机关的检查和监护。
第十三条 中国籍船舶进出内河港口,应当办理船舶进出港签证或者接受检查。
第十四条 船舶进出港口和通过交通管制区、通航密 集区或者航行条件受到限制的区域,必须遵守中华人民共和国交通部或者主管机关公布的特别规定。
第十五条 除主管机关特别许可外,禁止船舶、排筏进入或者穿越禁航区。
第十六条 船舶不得超载运输。严禁不具备载客条件的船舶私自搭客。
第十七条 船舶从事拖带航行,应当遵守拖航的有关规定。
第十八条 船舶应当在核定的航区内航行,所采用的航速应当足以保障自身的安全和不危及其它船舶、排筏、设施的安全。在限制航速的区域内和在汛期高水位期间,应当按照规定的航速行驶。
第十九条 船舶和排筏停泊,不得妨碍其它船舶、排筏的正常航行和危及设施、堤防的安全。除无人驳船外,停泊船舶必须留有足以保证船舶安全的船员值班。
第二十条 在通航河流中人放或者拖运竹木排,应当遵守人放或者拖运竹木排的规定。规定由主管机关会同林业主管部门制定。
第二十一条 船舶、排筏、设施有下列情况之一者,主管机关有权禁止其离港,或者令其停航、停止作业、驶向指定地点:一、违反中华人民共和国的有关法律、法规或者港航规章;二、不适航或者不适拖;三、发生交通事故后手续未清;四、未向主管机关或者有关部门交付应承担的
费用,也未提供适当的担保;五、有妨碍交通安全的情况。
第二十二条 船舶、排筏、设施发生事故,对交通安全造成或者可能造成危害时,主管机关有权采取强制性处置措施。

第五章 危险货物管理
第二十三条 船舶、排筏、设施储存、装卸、运输危险货物,必须遵守国家有关危险货物管理和运输的规定。
第二十四条 船舶在港口装卸危险货物或者载运危险货物进出港口,应当按国家有关规定事先报经当地主管机关核准。

第六章 渡口管理
第二十五条 城市渡口的设置或者迁移,由当地人民政府指定的机关批准,其它渡口的设置或者迁移,由县或者县以上人民政府批准。未经批准,不得擅自设置或者迁移渡口,也不得渡客。
第二十六条 渡口管理部门应当加强对渡口的安全管理,主管机关应当加强对渡口安全管理的监督和指导。

第七章 安全保障
第二十七条 航道管理部门和助航标志管理部门,应当加强对航道和助航标志的管理和养护,保持航道畅通和助航标志明显、有效。
第二十八条 助航标志周围不得建造影响其效能的物体。航道两岸有碍航行安全的强灯光和与助航标志相混淆的灯光,应当妥善遮蔽。
第二十九条 未经主管机关或者航道管理部门批准,任何单位和个人不得擅自移动助航标志。如移动或者损坏助航标志,必须立即报告主管机关或者航道管理部门。
第三十条 使用港区岸线,应当事先附图报港口管理部门批准。在港区岸线构筑设施,应当事先经主管机关审核。
第三十一条 设置禁航区、进行水上水下施工或者体育竞赛,以及其它有碍交通安全的活动,应当事先经主管机关核准并发布航行警告或者航行通告。设置军事禁航区,应当事先与主管机关商定,由主管机关发布航行警告或者航行通告。
第三十二条 交通管制区、锚地和停泊区的划定与调整,必须征得当地人民政府同意后,由主管机关报上级机关批准。
第三十三条 在习惯航道内,禁止设置固定网具和拦河捕捞网具,不得种植水生物。擅自设置网具或者种植水生物的,主管机关应当责令所有人限期清除,或者强制清除。
第三十四条 禁止向航道倾倒砂石和废弃物。
第三十五条 沉没在通航水域的船舶、设施或者有碍航行安全的物体,其所有人或者经营人必须按规定设置标志,并报告主管机关。
第三十六条 对影响航行安全和有潜在危险的沉没物、漂流物,其所有人或者经营人应当在主管机关限定的时间内打捞清除。期不清除的,主管机关有权采取措施强制打捞清除,其全部费用由沉没物、漂流物的所有人或者经营人承担。本条前款的规定不影响沉没物、漂流物的所有人、
经营人向第三方索赔的权利。
第三十七条 未经主管机关批准,不得擅自打捞或者拆除通航水域内的沉船、沉物。
第三十八条 设施的搬迁或者拆除,沉船、沉物的打捞或者清除,水上水下施工的善后处理,均不得留有妨碍航行、停泊和作业安全的物体。
第三十九条 船舶、排筏、设施和人员发现下列情况,应当迅速向主管机关报告:一、航道变迁;二、有碍航行安全的物体;三、航行标志的损坏、失常、移位或者灭失;四、有碍航行安全的其它情况。
第四十条 内河航行警告和航行通告,由主管机关统一发布和管理。

第八章 救 助
第四十一条 船舶、排筏、设施遇险,应当采取一切有效措施组织自救,并迅速将发生事故的时间、地点、受损情况、救助要求、事故原因向就近主管机关及其所有人、经营人报告。
第四十二条 事故现场附近的船舶、排筏、设施或者人员,收到求救信号后,应当全力救助遇险人员,并将救助情况及时报告就近主管机关。
第四十三条 船舶、排筏或设施发生碰撞事故,在不危及自身安全的情况下,应当全力救助,不得擅自离开事故现场。
第四十四条 主管机关接到求救报告后,必须立即组织救助,有关部门和事故现场附近的船舶、排筏、设施和人员,应当服从主管机关的统一指挥。

第九章 交通事故的调查处理
第四十五条 船舶、排筏、设施发生交通事故,应当向主管机关提交事故报告书和有关资料,接受调查处理。竹木排筏的交通事故,由主管机关会同林业主管部门调查处理。
第四十六条 主管机关接到事故报告后,应当组织调查。事故当事人和有关人员在接受主管机关调查时,必须如实提供与事故有关的情况。
第四十七条 交通事故引起的民事纠纷,当事人可以申请主管机关调解,不申请调解或者调解不成的,可以向人民法院起诉。涉外民事案件的当事人,还可以书面协议提交涉外仲裁机构仲裁。

第十章 奖励与处罚
第四十八条 对交通安全作出显著成绩,使人员免遭伤亡或者减少伤亡、财产免遭损失或者减少损失的单位或者个人,由主管机关或者本单位给予表彰或者奖励。
第四十九条 对违反本条例或者对交通事故负有责任者,主管机关可给予下列一种或者几种处罚:一、警告;二、扣留或者吊销证书、证件;三、罚款。
第五十条 当事人对主管机关的处罚不服时,可以在接到处罚通知之日起十五日内向人民法院起诉;期满不起诉又不履行的,由主管机关申请人民法院强制执行。
第五十一条 违反本条例应当受治安管理处罚的,由公安机关处理;构成刑事犯罪的,由司法机关依法追究刑事责任。

第十一章 附 则
第五十二条 本条例下列用语的含义是:“内河通航水域”是指中华人民共和国境内的江、河、湖泊、水库、运河内船舶可以航行的水域及其港口。“船舶”是指各类排水或者非排水的船艇和移动式平台。“设施”是指水上、水下各种浮动或者固定的建筑、装置、管道、电缆和固定平台。“作业”是指在通航水域及其岸线进行装卸、勘探、开采、测量、建筑、疏浚、爆破、打捞、救助、捕捞、养殖、潜水以及科学实验和其他水上、水下施工。“交通事故”是指船舶、排筏、设施的碰撞、搁浅、触礁、触损、浪损、风灾、火灾及其它事故。
第五十三条 外国籍船舶进出内河,除遵守本条例外,还应当遵守中华人民共和国对外国籍船舶管理的有关规定。
第五十四条 军事管辖区及军用船舶和公安船舶的内部管理,由国家有关部门依据本条例另行规定。
第五十五条 渔业船舶的登记、检验,渔业船舶船员的考试、发证,渔业船舶之间交通事故的调查处理等内部管理,由国家渔政渔港监督管理部门会同主管机关依据本条例另行规定。
第五十六条 城市风景园林水域和经省、自治区、直辖市人民政府批准的厂矿企业专用水域的交通安全管理,由其所属主管部门或者厂矿企业依据本条例另行规定。
第五十七条 本条例由交通部负责解释,施行细则由交通部制定。
第五十八条 本条例自一九八七年一月一日起施行。

REGULATIONS OF THE PEOPLE'S REPUBLIC OF CHINA CONCERNING THE AD-MINISTRATION OF TRAFFIC SAFETY ON INLAND WATERS

Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.

Whole Document (法规全文)
REGULATIONS OF THE PEOPLE'S REPUBLIC OF CHINA CONCERNING THE AD-
MINISTRATION OF TRAFFIC SAFETY ON INLAND WATERS
(Promulgated by the State Council on December 16, 1986)

Chapter I General Provisions
Article 1
These Regulations are formulated to improve the administration of traffic
safety on inland waters, ensure the safety of vessels, rafts,
installations, human lives and property and thus facilitate the
development of socialist construction.
Article 2
These Regulations shall apply to all vessels, rafts, installations and
personnel, and to the owners and operators of vessels, rafts and
installations (hereafter shortened to "owners" and "operators") that
navigate, berth, or operate on the inland navigable waters of the People's
Republic of China.
The inland navigable waters mentioned in the previous paragraph shall also
cover the waters under Chinese jurisdiction in border rivers. However, if
agreements have been concluded between the Chinese government and the
governments of other countries, the agreements shall prevail.
Article 3
The harbour superintendencies set up by the communications departments at
various levels shall be the competent authorities responsible for
exercising the unified supervision and control of traffic safety on inland
waters.

Chapter II Vessels, Rafts, Installations and Personnel
Article 4
Vessels must meet the following requirements before they are allowed to
navigate:
(1) holding technical certificates or documents verified as qualified by
the vessel inspection departments after the inspection whereon;
(2) holding vessel nationality certificates, or vessel registration
certificates or vessel licences;
(3) holding insurance policies or insurance certificates as is required of
vessels which must take out vessel insurance according to the relevant
stipulations of the State;
(4) being manned with, according to the relevant State stipulations, crew
members in charge of technical work, chief crewmen, ferrymen and other
crew members who are holding valid certificates of job qualification.
Article 5
The captains, chief engineers, pilots, engineers and radio and telephone
operators of power-driven vessels shall pass examinations and hold valid
certificates of job qualification.
The chief crewmen and ferrymen of non-motorized vessels shall pass
examinations and hold qualification documents.
All other crew members must go through safety instructions and specialized
technical training.
Article 6
Bamboo and wooden rafts shall be fitted out with necessary equipment for
safe navigation, lifesaving appliance and rafters qualified for safe
navigation. The fixed number of rafters to be provided shall be stipulated
by the competent department in charge of forestry. Chief rafters shall
have received special training by the department in charge of forestry and
hold qualification documents.
The administration of rafters for tourist rafts shall be stipulated by the
competent authorities in conjunction with relevant departments.
Article 7
Installations shall be fitted out with safety equipment and personnel
according to stipulations of the State.
Article 8
Vessels shall, in accordance with stipulations of the State, pay harbour
dues to the competent authorities.

Chapter III Owners and Operators
Article 9
Owners and operators must abide by these Regulations and the stipulations
of the State concerning traffic safety.
Article 10
Owners and operators must be responsible for the safety of the vessels,
rafts and installations they own or operate and shall perform the
following obligations:
(1) administration of vessels, rafts and installations shall be
strengthened in terms of safety and technology to keep them in good shape
for navigation or good technical conditions;
(2) the relevant State stipulations must be accorded with in employing
crew members, rafters or other personnel. It is forbidden to employ
captains, chief engineers, pilots, engineers, radio operators, telephone
operators, chief crewmen, ferrymen and rafters who do not hold valid
certificates of job qualification or qualification documents;
(3) technical training and safety instructions shall be strengthened for
crew members, rafters and other personnel; the employees may not be forced
to operate against regulations;
(4) vessels shall be properly dispatched according to the technical
functions of vessels, the qualifications of crew members, the conditions
of the assigned navigation areas and also the hydrological and
meteorological conditions;
(5) they shall be subject to the supervision, examination and
administration of the competent organs.

Chapter IV Navigation, Berthing and Operations
Article 11
In navigation, berthing and operations, vessels, rafts and installations
must abide by the relevant laws, regulations and other rules and
regulations concerning harbour navigation of the People's Republic of
China.
Article 12
Vessels of foreign nationality entering and leaving the inland harbours of
the People's Republic of China that are open to foreign vessels must
obtain the approval of the competent authorities and apply to be navigated
by a Chinese pilot in advance. While they are entering and leaving the
harbours or navigating in inland rivers, foreign vessels must be subject
to the examination and supervision of the competent authorities.
Article 13
Vessels of Chinese nationality entering and leaving inland harbours shall
get port entry and departure visas or accept inspection.
Article 14
When entering or leaving the harbours or passing through traffic control
areas, crowded navigable areas and regions with limited navigational
capacities, vessels must observe the special provisions promulgated by the
Ministry of Communications of the People's Republic of China or the
competent authorities.
Article 15
Except as specially permitted by the competent authorities, vessels and
rafts are prohibited from entering or cutting across restricted navigation
zones.
Article 16
Vessels shall not engage in transportation with overload. Vessels not
equipped for carrying passengers are prohibited from taking on passengers
without permission.
Article 17
Vessels engaged in towing navigation shall observe the relevant
stipulations.
Article 18
Vessels shall navigate in the approved navigation areas at a speed which
is fast enough to ensure their own safety but not so fast as to endanger
the safety of other vessels, rafts and installations. Vessels shall
navigate at the prescribed speed in the areas where speed is restricted
and during periods of high water levels in flood seasons.
Article 19
The berthing of vessels and rafts shall not obstruct other vessels and
rafts from navigating normally or endanger the safety of installations and
dykes. Except for unmanned tug boats, there must be adequate number of
crew members on duty on board the vessels lying at anchor to ensure the
vessels' safety.
Article 20
Manned or towed bamboo and wooden rafts in navigable rivers shall observe
the relevant stipulations formulated by the competent authorities in
conjunction with the competent department in charge of forestry.
Article 21
The competent authorities shall have the right to forbid a vessel, raft or
installation from leaving the harbour, or order it to stop navigation,
cease operations or sail to the designated spot, under any one of the
following circumstances:
(1) it has violated relevant laws, regulations or other rules and
regulations of the People's Republic of China;
(2) it is in a condition not suitable for navigation or towing;
(3) it is involved in a traffic accident and the formalities have not been
completed;
(4) it has not paid the fees that are due, nor has it submitted a suitable
guarantee therefor, to the competent authorities or relevant department;
or
(5) it will in any way jeopardize traffic safety.
Article 22
When vessels, rafts and installations are involved in accidents that
jeopardize or may jeopardize traffic safety, the competent authorities has
the right to handle the matter by adopting compulsory measures.

Chapter V Control of Dangerous Goods
Article 23
When vessels, rafts and installations store, load, unload and transport
dangerous goods, they must abide by the provisions of the State concerning
the control of dangerous goods and their transport.
Article 24
When vessels load and unload dangerous goods at harbours or carry them
into or out of harbours, they shall report to the local competent
authorities for approval in advance according to the relevant provisions
of the State.

Chapter VI Administration of Ferries
Article 25
The setting-up or removal of urban ferries shall be approved by the organs
designated by local people's governments. The setting-up or removal of
other ferries shall be approved by the people's governments at the county
level or above. It is forbidden to set up or remove ferries or ferry
passengers before the approval is obtained.
Article 26
Departments of ferry administration shall strengthen safety control of
ferries. The competent authorities shall strengthen supervision and
direction for this purpose.

Chapter VII Guarantee for Safety
Article 27
Administrative departments for navigation channels and navigational aids
shall strengthen administration and maintenance of navigational channels
and navigational aids, keep channels unblocked and navigational aids
distinct and effective.
Article 28
No objects adversely affecting the efficacy of navigational aids may be
erected around them. Strong lights that hinder navigational safety or any
lights that may mix up with navigational aids on both sides of
navigational lanes, shall be properly screened.
Article 29
Without the approval of the competent authorities or administrative
departments for navigation lanes, no units or individuals may remove
navigational aids. If navigational aids have been removed or damaged, it
must be immediately reported to the competent authorities or
administrative departments for navigational lanes.
Article 30
Applications annexed by illustrations shall be made to the harbour
superintendencies for approval before the coastlines of the harbour areas
may be used. Without the examination and approval of the competent
authorities, no installations may be constructed on the coastlines of the
harbour areas.
Article 31
Approval shall be sought from the competent authorities and navigational
warnings or notices be issued before restricted navigation-zones may be
set up and surface or underwater construction, sports competitions and
other activities affecting traffic safety may be carried out.
Before a restricted military navigation zone is designated, agreement
shall be reached through consultation with the competent authorities,
which shall then issue navigational warnings or notices.
Article 32
The designation and adjustment of traffic control zones, anchorages and
berthing areas must be submitted, with the consent of the local people's
governments, by the competent authorities, to organs at higher levels for
approval.
Article 33
It is forbidden to set up fixed fishing nets and fishing nets cutting
across rivers or to grow water plants in habitual navigational lanes. The
competent authorities shall order the owners of these unauthorized fishing
nets and water plants to eliminate them or have them eliminated by
coercion.
Article 34
It is forbidden to dump gravel and trash into navigational lanes.
Article 35
If vessels, installations or objects which obstruct safe navigation sink
in navigable waters, the owners or operators must set up marks according
to the relevant provisions and report to the competent authorities.
Article 36
Sunken and drifting objects that may affect the safety of navigation and
constitute potential threats shall be gotten away with by the owners or
operators before a deadline set by the competent authorities. If these
objects are not duly cleared away, the competent authorities shall have
the right to take coercive measures to that end, and all the costs thereof
shall be borne by the owners or operators of the sunken or drifting
objects. The provisions of the previous paragraph of this Article shall
not affect the rights of owners and operators of sunken or drifting
objects to demand compensation from third parties.
Article 37
Without the approval of the competent authorities, sunken ships and
objects in the navigable waters may not be salvaged or dismantled.
Article 38
After installations are moved or scrapped, sunken ships and objects
salvaged or cleared away, and the rounding-off work of the surface or
underwater construction handled, no objects may be left to hinder the
safety of navigation, berthing and operations.
Article 39
Vessels, rafts, installations and personnel shall promptly report to the
competent authorities if they discover any of the following situations:
(1) if navigational lanes change;
(2) if there are objects hindering safe navigation;
(3) if navigational aids are damaged or abnormal, moved or lost;
(4) if there is any other situation hindering safe navigation.
Article 40
The competent authorities shall be responsible for uniformly issuing and
administering inland water navigational warnings and navigational notices.

Chapter VIII Assistance and Rescue
Article 41
Vessels, rafts and installations that are in distress shall adopt all
effective measures to organize self-help and promptly report to the
nearest competent authorities as well as their owners or operators the
time and scene of the accident, the extent of damage, the assistance
required and the cause of the accident.
Article 42
Vessels, rafts, installations or personnel in the vicinity of the scene of
an accident that have received distress signals, shall do their best to
rescue the personnel and report promptly to the nearest competent
authorities the situation at the scene.
Article 43
The vessels, rafts and installations involved in a collision shall, under
circumstances where there is no danger to their own safety, do their best
to offer assistance and may not leave the scene of the accident without
authorization.
Article 44
Upon receipt of a report calling for rescue, the competent authorities
must immediately organize a rescue operation. Departments concerned and
vessels, rafts, installations and personnel in the vicinity of the scene
of the accident shall follow the unified directions of the competent
authorities.

Chapter IX Investigation and Handling of Traffic Accidents
Article 45
Vessels, rafts and installations involved in traffic accidents shall
present accident reports and related materials to the competent
authorities and subject themselves to investigations and handling of the
matter.
Traffic accidents involving bamboo and wooden rafts shall be investigated
and handled by the competent authorities in conjunction with the
departments in charge of forestry.
Article 46
The competent authorities shall, upon receipt of accident reports,
organize investigations. The parties involved in the accidents and persons
concerned must, during investigation by the competent authorities, provide
truthful information relating to the accidents.
Article 47
If a traffic accident gives rise to a civil dispute, the parties involved
may apply to the competent authorities for conciliation. If the parties do
not apply for conciliation or conciliation is not successful, they may
bring a suit before the people's court. Parties to a case involving
foreign interests may also, based on a written agreement, submit the case
to an arbitration institution concerning foreign related matters for
arbitration.

Chapter X Awards and Penalties
Article 48
Those units or individuals that have done remarkably in ensuring traffic
safety by preventing or reducing personnel casualties and by preventing or
reducing property losses shall be commended or awarded by the competent
authorities or by their units.
Article 49
With respect to the persons who have violated the provisions of these
Regulations or who are held liable for traffic accidents, the competent
authorities may impose one or a number of the following penalties:
(1) a warning;
(2) withholding or revoking the licences or certificates;
(3) a fine.
Article 50
If a party does not accept the penalty (penalties) imposed by the
competent authorities, he may within 15 days from the date of receiving
the notice of the penalty (penalties), bring a suit before the people's
court; failure to bring a suit or comply with the penalty (penalties)
within this period shall lead to petition by the competent authorities to
the people's court for compulsory enforcement.
Article 51
Those punishable according to the relevant provisions concerning public
security administration for violations of these Regulations shall be dealt
with by public security organs; as for those criminally liable, the
judicial organs shall in accordance with the law pursue their criminal
liabilities.

Chapter XI Supplementary Provisions
Article 52
The following terms as used in these Regulations are defined as follows:
"Inland navigable waters" refers to the navigable waters in the rivers,
lakes, reservoirs and canals as well as harbours within the People's
Republic of China. "Vessels" refers to all types of displacement or non-
displacement ships, boats and mobile platforms.
"Installations" refers to all types of structures, installations,
pipelines and electric cables, on the surface or underwater, fixed or
floating, and fixed platforms as well. "Operations" refers to loading and
unloading, exploration, exploitation, survey, construction, dredging,
demolition, salvage, rescue, fishing, aquatic breeding, diving, scientific
experimentation and other surface or underwater construction carried out
in navigable waters and their shorelines.
"Traffic accidents" refers to collision, running aground, running on
rocks, damage through contact, damage by waves, windstorm, fire and other
accidents happening to vessels, rafts and installations.
Article 53
Vessels of foreign nationality entering and leaving the inland rivers
shall observe, in addition to these Regulations, the relevant provisions
of the People's Republic of China concerning administration of vessels of
foreign nationality.
Article 54
The internal administration of zones under military control and military
vessels as well as public security vessels shall be separately prescribed
by the relevant departments of the State according to these Regulations.
Article 55
The internal administration such as registration and inspection of fishing
vessels, examination and issuing of certificates for crew members of
fishing vessels and investigation and handling of traffic accidents among
fishing vessels shall be separately prescribed according to these
Regulations by the State fisheries administration and fishing ports
superintendency departments in conjunction with the competent authorities.
Article 56
The traffic safety control of the waters at urban scenic spots and gardens
and of the waters exclusively used by factories, mines and other
enterprises as approved by the people's governments of the provinces,
autonomous regions and municipalities directly under the Central
Government shall be separately prescribed according to these Regulations
by the competent departments or the factories, mines and enterprises
concerned.
Article 57
These Regulations shall be interpreted by the Ministry of Communications,
which shall also formulate the rules for the implementation.
Article 58
These Regulations shall become effective as of January 1, 1987.


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常州市人民政府关于转发市发改委市国土局《常州市区2009年度经营性用地出让计划》的通知

江苏省常州市人民政府


市政府关于转发市发改委市国土局《常州市区2009年度经营性用地出让计划》的通知

常政发〔2009〕32号


各辖区人民政府,市各有关单位:

  为积极贯彻落实科学发展观,落实市委、市政府《关于促进房地产市场稳定健康发展的若干意见》精神,加强政府对土地市场的调控,发挥经营性用地对房地产市场的引导作用,根据我市国民经济和社会发展规划、城市总体规划和城市建设纲要,结合住房保障规划,市发展和改革委员会、市国土资源局会同相关部门联合编制了《常州市区2009年度经营性用地出让计划》,现予以转发,请认真贯彻执行。

二〇〇九年四月二日

常州市区2009年度经营性用地出让计划

  一、指导思想
  以科学发展观为指导,坚持土地供应服务于我市经济和社会全面协调发展的需要,根据“统一计划、总量控制、区域平衡、以销定供”的原则,积极化解我市房地产业发展过程中的突出矛盾,促进我市房地产市场稳定健康发展。
  二、适用范围
  本计划适用于常州市区(天宁区、钟楼区、戚墅堰区、武进区、新北区)的商业、办公、金融、旅游、娱乐和商品住宅开发(不含以划拨方式供地的经济适用住房项目)等经营性用地使用权的出让。
  三、编制依据
  1. 依据我市国民经济和社会发展第十一个五年规划纲要、城市总体规划和城市建设三年纲要。
  2. 市委、市政府《关于促进房地产市场稳定健康发展的若干意见》。
  3. 依据近几年我市经营性用地供应、建设、存量商品房情况及对今后几年房地产市场需求的基本判断。
  四、编制原则
  1. 积极落实国家调控政策。在供地结构上,向中低价位、中小套型普通商品住房用地倾斜;在供地项目上,向城市基础设施建设、重点项目建设配套用地倾斜,向污染企业搬迁、旧城改造用地倾斜;在供地时序上,向已经完成土地收储和前期开发工作的地块倾斜。
  2. 总量适度、从严控制。充分发挥土地出让计划的引导和调控作用,根据我市房地产市场供需实际和存量土地情况,结合城市基础设施建设和拆迁规模情况,合理确定供应总量。严格控制各区域土地供应总量,超计划供地必须报市政府研究批准。
  3. 统筹兼顾、区域平衡。统筹考虑城建资金需求与土地经营的实际,兼顾各投融资主体承担项目的情况和运作需要;统筹考虑城建刚性需求和“控制总量、消化存量”原则的落实;统筹考虑各区域经营性用地供需实际情况,兼顾各区域用地供需平衡。
  五、经营性用地出让总量
  根据各区域前三年商品房实际销售量和平均容积率情况,综合考虑各因素,确定2009年度常州市区经营性用地出让总量不超过185公顷(独立招商的大型市场物流用地及城市重要功能区域发展建设用地除外)。其中:中心城区80公顷,武进区65公顷,新北区40公顷。具体备选地块见附表。
  六、计划的执行和落实
  1. 加强计划的刚性管理。土地出让年度计划要体现严肃性,增强透明度和公信力,各区域应按照出让总量控制要求和备选地块范围开展工作。对确有必要计划外供地的特殊情况,须报市政府批准后执行,但调整总量原则上不得超过计划的20%。
  2. 加强地块前期开发工作力度。各土地收储中心和各前期开发单位应切实发挥土地运作中的主体作用,充分调动各方面的积极性,创新机制,充实力量,加强土地的整理,力争实现全净地供应。进一步科学编制地块规划,确定土地出让要求,落实各项配套条件,并做好地块出让的各项前期准备工作,提高土地的开发价值。
  3. 加强地块出让的招商工作。加强对拟出让地块出让前的招商工作,是提高土地出让成功率、实现土地价值的重要手段。各级政府、国土部门和各投融资主体须加强土地招商工作,力争完成全年土地出让计划。
  4. 加强地块出让后的管理和服务工作。已出让地块必须严格按照土地出让条件和开发时间要求进行开发建设,确保城市建设按期按规划推进。相关部门也须积极协调地块开发过程中的矛盾,落实好配套条件,做好服务工作。要加强出让金的收缴,做好到期预告和书面催缴工作,减少出让金的拖欠。

  附件:常州市2009年度经营性用地出让计划备选地块表。

附件:

常州市2009年度经营性用地出让计划备选地块表

单位:公顷

序号
地块名称
区位
规划用途
面积
前期工作单位

1
普济街地块
城区
商办
1.0
收储中心

2
飞机制造厂及周边地块
城区
商住
20.0
收储中心

3
凯旋城南侧地块
城区
住宅
3.8
收储中心

4
竹林北路南侧地块
城区
商办住
1.0
收储中心

5
常澄路N16号地块
城区
住宅
3.4
两路指挥部

6
日升公司及周边地块
城区
商办
1.3
两路指挥部

7
大湾浜东侧地块
城区
住宅
1.2
两路指挥部

8
大观楼片区改造地块
城区
商住
19.3
城投

9
常化厂
城区
商办住
56.3
城投

10
元件二厂及周边地块
城区
医疗
0.7
城投

城区
住宅
1.8
城投

11
南汽随车厂及周边地块
城区
商住
4.0
城投

12
世纪园城南侧地块
城区
住宅
6.8
城投

13
兰和化工厂地块
城区
住宅
2.0
城投

14
无线电厂南侧地块
城区
加油站商办
0.5
城投

15
开关厂及周边地块
城区
住宅
2.6
城投

16
湾城路西北侧、龙城大道南侧地块
城区
住宅
16.3
城投

17
金狮集团A地块
城区
住宅
3.9
城西公司

18
西林职高及周边地块
城区
住宅
9.3
城西公司

19
印科所及周边地块
城区
商住
2.5
交投

20
丽华机械厂地块
城区
商住
1.2
交投

21
茶山齿轮厂地块
城区
商住
2.0
交投

22
纺站仓库及周边地块
城区
商住
3.3
民投

23
大成纺织厂及周边地块
城区
商住
8.2
三大项目指挥部

24
菜市场改造及配套地块
城区
商住
5.0


25
武进电大地块
武进区
商住
17.4


26
武进红旗布厂地块
武进区
商住
15.4


27
武进湖塘实验小学地块
武进区
商住
12.0


28
武进何留地块
武进区
商住
16.7


29
武进高新区前黄高级中学东侧地块
武进区
商住
22.0


30
武进高新区中天名苑北侧地块
武进区
商住
10.0


31
西太湖中钢宾馆地块
武进区
商住
13.4


32
西太湖西北临湖地块
武进区
商住
6.7


33
西太湖环湖北路中段北侧地块
武进区
商住
3.4


34
太湖湾老鸦山东南部地块
武进区
商住
8.0


35
太湖湾城湾西湾里东北侧地块
武进区
商住
2.7


36
太湖湾与宜兴交界处东侧地块
武进区
商住
2.7


37
武进14个乡镇零星地块
武进区
商住
46.7


38
飞龙居住区地块
新北区
住宅
20.0


39
东经120路东侧地块
新北区
住宅
20.0


40
国际学校地块
新北区
住宅
6.0


41
龙江路西侧地块
新北区
住宅
6.0


42
新北区乡镇零星地块
新北区
住宅
8.0




  注:1. 本计划中规划住宅用地地块均为普通住宅用地,禁止建设别墅类等高档住宅。
  2. 本计划住宅用地地块的套型面积90平方米以下户型比例要求,由规划部门在地块控规编制阶段总体平衡确定。
  3. 本计划住宅用地地块的廉租住房和公共租屋配建指标按照《常州市市区廉租住房公共租屋配建办法》执行。
  4. 本计划表中地块规划用途最终以经法定程序批准的规划为准,地块面积以国土部门最终核定的出让用地范围为准。


中美两国反垄断起诉资格比较研究
陈承堂



关键词: 反垄断法/反垄断起诉资格/直接损害规则/反垄断损害
内容提要: 反垄断起诉资格作为反垄断民事诉讼的门槛性要件,是反垄断法私人实施机制的关键所在。通过对美国《克莱顿法》第4条与《中华人民共和国反垄断法》第50条的考察,我们发现这两个条文的文本结构是相同的。然而,在具有相同文本结构的背后是迥异的实务规则,即经过直接损害规则与反垄断损害理论层层过滤的反垄断起诉资格并不像最高人民法院所设想的那样——遭受“损失”并且与“本案有直接利害关系的公民、法人和其他组织”都享有反垄断起诉资格。而《中华人民共和国反垄断法》第50条单倍损害赔偿的制度设计使得中国反垄断起诉资格的完善面临一个两难选择。


一、问题的提出

反垄断民事诉讼又称反垄断私人诉讼,是指公民、法人和其他组织等垄断行为利害关系人依据反垄断法直接向法院提起诉讼,以追究垄断行为人的民事责任尤其是损害赔偿责任的诉讼。[1]《中华人民共和国反垄断法》(以下简称《反垄断法》)第50条规定:“经营者实施垄断行为,给他人造成损失的,依法承担民事责任。”也就是说,我国法律明确了民事诉讼为《反垄断法》的一种实施方式。但是,就反垄断起诉资格[2]而言,“该条规定仅是一个宣示性的规定,要真正发挥作用有待于一些具体的制度性规定加以补充”。[3]为此,2008年7月28日发布并实施的《最高人民法院关于认真学习和贯彻〈中华人民共和国反垄断法〉的通知》(以下简称《通知》)规定:“当事人因垄断行为提起民事诉讼的,只要符合民事诉讼法第108条和反垄断法规定的受理条件,人民法院应当依法受理,并依法审判”。可见,只要符合《中华人民共和国民事诉讼法》(以下简称《民事诉讼法》)第108条和《反垄断法》第50条的规定,“人民法院可以直接受理受害人提起的反垄断民事诉讼”。[4]正如有学者指出的,“只要是因垄断行为受有损失的主体,不管其是竞争者、中间商、零售商,还是消费者,均可成为求偿权利人”。[5]

《通知》作出如是规定似乎并不是中国的独创,而是借鉴了其他国家的相关做法。因为,“纵观各国的反垄断立法,无论是以德国、日本、韩国为代表的统一立法模式,还是以美国为代表的分散立法模式,大多设有民事救济条款,明确规定了非法垄断行为侵犯他人利益时所应承担的民事赔偿法律责任”。[6]然而,根据美国的反垄断民事诉讼实践,联邦法院早就认为并不是产生于反垄断法违法行为的每一个损害都是《克莱顿法》第4条项下可补偿的。[7]“虽然联邦法院的起诉资格一直是接受传统的宪法学分析,但是反垄断法有其特有的起诉资格要件。”[8]易言之,反垄断起诉资格除了满足传统的宪法性要件之外,“反垄断原告必须满足额外的标准”。[9]

由此引发的问题是:根据这一表面相同的民事责任条款,遭受“损失”并且与“本案有直接利害关系的公民、法人和其他组织”是否都可以享有反垄断起诉资格呢?由于“反垄断私人诉讼制度源于美国”,[10]笔者将以美国反垄断起诉资格理论为参照,反观中国反垄断起诉资格相关要件的缺陷,探讨其完善路径。

二、反垄断起诉资格的初步框架

(一)相同的文本结构

1.《克莱顿法》第4条

在美国,反垄断民事诉讼制度的确立已有一个多世纪。它最早规定于1890年《谢尔曼法》的第7条——“任何由于反垄断法所禁止的事项而遭受营业或财产损害的人,可在被告居住的、被发现或有代理机构的地区向美国地区法院提起诉讼,不论损害大小,一律给予其损害额的三倍赔偿及诉讼费和合理的律师费”。随后,“该条款被有效地‘搬到’24年之后制定的《克莱顿法》的第4条”。[11]根据《克莱顿法》第4条的规定,构成反垄断起诉资格要件的关键词包括:“人”、“损害”、“营业或财产”以及“由于”这一因果关系。[12]具体而言,“有资格提起《克莱顿法》第4条项下民事诉讼的‘人’包括自然人和法人,其中法人包括公司和社团”;[13]“为了符合第4条,原告的损害必须是一个法律上的损害——对法律权利的侵犯——有别于他作为公众的一员所遭受的损害”;[14]“原告必须证明他的‘损害’与被告的非法行为之间的某种因果联系”;[15]“所起诉的损害必须是原告的‘营业或财产’所遭受的,并且这些术语要按照它们一贯和通常的含义进行理解”。[16]

上述《克莱顿法》第4条的4个关键词形成了反垄断起诉资格两方面的限制:第一,原告必须是其“营业或财产”遭受损害的“人”;第二,违法行为与损害之间必须存在某种因果关系,也就是说,原告的损害必须是“由于”反垄断法所禁止的事项而出现的。上述第一个限制近年来已相当微弱。美国联邦最高法院认为,应赋予“任何人”和“营业或财产”术语以其“自然的广泛而又独特的意义”。因此,这一表达很少对私人原告依据反垄断法提起诉讼的权利形成障碍。[17]第二个限制“由于”术语只不过是一个原告证明他所遭受的“营业或财产”损害与被告的反垄断违法行为具有因果关系的通常要件,即他要证明事实上的因果关系。为了满足这一要件,原告只需要表明,该违法行为是他遭受损害的实质上的或重要的原因,而不在于它是唯一的原因。[18]

2.《反垄断法》第50条

根据《反垄断法》第50条的规定,经营者实施垄断行为,对他人造成损害的,学界一般认为其在性质上应属于侵权。[19]对此,我国台湾地区的学者也认为:“公平法违法之效果虽涉及刑事、行政、民事赔偿责任,如单就民事赔偿责任而言,其内容应属民事纠纷,基本上应以现代之损害赔偿法论为前提,但公平交易法应属特别法,故除公平法如有特别规定者外,方适用民法一般损害赔偿之规定”。[20]

虽然各国侵权行为的构成要件有不同的模式,但“侵权行为之构成要件,基本上应有‘行为’、‘损害’及‘因果关系’三者”。[21]国内学者确实也是从这三个要件阐述经营者实施垄断行为的民事责任的。[22]具体而言,经营者所实施的“垄断行为”是侵权责任的违法行为要件,给他人造成的“损失”是损害要件,此外,“垄断行为”与“损失”之间还须存在因果关系。

综上,通过对《克莱顿法》第4条与《反垄断法》第50条的考察,我们发现这两个条文的文本结构是相同的。因为在美国,最初的反垄断民事诉讼也被界定为侵权救济。[23]但是,文本结构的相同并不表明两者实务上的起诉资格规则就是一致的。对于采行判例法规则的美国,或许更应该考察的是其反垄断法判例中的起诉资格规则。

(二)迥异的实务规则

因为典型的反垄断违法行为将通过经济活动的“涟漪效应(ripple effect)”损害无数潜在的原告成员,联邦法院已通过对第4条嫁接一个起诉资格要件来限制获得三倍损害赔偿的救济,[24]所以,自从美国反垄断民事诉讼实施以来,“反垄断起诉资格分析的基本手段——抑或可能成为明显的障碍——是‘直接损害’规则”。[25]也就是说,“原告证明他‘由于’反垄断违法行为而遭受‘营业或财产’的‘损害’是不够的;他还必须证明该损害是直接对他造成的。为满足这一司法上建立的要件,原告必须表明他的损害不是其他人遭受损害的后果”。[26]该规则又被称为损害的直接性规则。直接损害规则仅允许那些被认为遭受了被禁止的反竞争活动的“直接的”或“最接近的”损害的人提起私人诉讼。那些宣称的损害被认为是反垄断违法行为的“间接的”、“遥远的”、“附属的”、“偶然的”或“派生的”结果的原告则被拒之门外。[27]在某种意义上,美国反垄断起诉资格法的发展主要来自于对直接损害规则的阐述。

1.直接损害规则的演化

反垄断起诉资格的直接损害规则是早期两个私人反垄断案件——“艾姆斯诉美国电报电话公司案”和“罗卜诉伊斯门柯达公司案”(以下简称“罗卜案”)的非正式产物。[28]该规则实际上产生于这两个案件所提出的公司法问题。两个案件的原告都是由于被告被指控的反垄断违法行为而破产的公司的股东。根据传统公司法理论,只有公司——而不是它的股东——可以提出诉讼以主张该公司所遭受的损害,法院在两个案件中都认为股东没有提起诉讼以主张他们的股票价值降低的起诉资格。[29]该理论在这里的运用应该是无可指责的。当然,随着公司法理论的发展,尤其是股东派生诉讼的兴起使得股东得以公司的名义提起诉讼。然而,在反垄断法语境下,当股东提起诉讼以主张实际上包含于公司的诉讼请求之内的赔偿时,则有必要防止可能产生的双重救济和多重诉讼。

尽管传统的公司法处理《克莱顿法》第4条项下的股东起诉资格问题绰绰有余,但在“罗卜案”中,法院为该裁决提供了一个可供选择的理由。法院认为,原告不能获得救济是因为他作为股东的损害是“间接的、遥远的,并且是附属的”,违法行为“针对的是该公司,而不是股东个人”。[30]有意思的是,由于“罗卜案”经常被援引,在本可以适用公司法理论而无需援引直接损害规则的案件中,这一规则却逐步演变为反垄断起诉资格的标准。并且自彼时起,该规则的运用几乎不存在例外。根据这一规则,法院否定了遭受损害的消费者的供应商、被许可人的许可方、经销商的特许人、雇员的雇主以及承租人的出租人的起诉资格。[31]此外,联邦最高法院甚至采用直接损害规则来排除分销链中间接购买者的三倍损害赔偿救济,从而形成了著名的间接购买者规则。例如,在“伊利诺斯砖公司诉伊利诺斯州案”中,法院认为,虽然直接购买者已经转嫁了违法者的过高要价,但间接购买者不能对反垄断违法者提出三倍损害赔偿诉讼。[32]其理由是,双重救济的风险太大,以致不能让直接和间接购买者都能根据其对被转嫁的过高要价的消化多少而对同一个过高要价行为主张损害赔偿。[33]同样,在“夏威夷诉标准石油公司案”中,法院运用直接损害规则否认了一个认为反垄断违法行为对其经济造成损害的州以政府监护人的身份提出的三倍损害赔偿主张,因为这种损害仅仅反应了该州公民的可以寻求救济的营业或财产的损害。[34]

作为判例,直接损害规则的诞生尽管是偶然的,地位也不是很清晰,但下级联邦法院在20世纪50年代开始将损害的直接性视为反垄断起诉资格的必要条件。[35]例如,联邦第二巡回法院1955年曾明确宣称:“那些只是偶然为反垄断违法行为损害的人没有要求三倍损害赔偿的起诉资格;只有那些为反垄断违法行为直接针对的对象,或者直接损害的人,才可以要求救济”。[36]尽管法院后来不得不用一系列新的事实情况来解释起诉资格问题,但自从20世纪50年代以来,起诉资格问题的分析一直按照直接损害规则或其某些变形进行。具体而言,“下级联邦法院制定的直接损害规则的各种变形包括:‘目标区域’标准,利益范围标准和权衡标准”。[37]

2.直接损害规则的实质

正如前文所述,反垄断违法行为可能具有某种损害各种经济活动主体的涟漪效应的性质,但并非所有这些主体都有主张反垄断诉讼请求的起诉资格。从历史的角度考察,《克莱顿法》第4条的“理由”(或因果关系)要件在法庭上得到了最多的关注。法院强调:“尽管第4条措辞宽泛,但是违法者只要超出了某一点就不应该承担责任。”[38]法院是通过近因(legal cause)理论来确定这一点的。[39]也就是说,反垄断民事诉讼的原告一旦满足了上文所述的《克莱顿法》第4条项下两方面的限制条件之后,还必须表明近因。正如联邦第四巡回法院所指出的:“目前该决定的支点是,被告被指控的行为是否是原告所主张的损害的近因。如果损害仅仅是偶然的或附属的,或者如果被告的反垄断违法行为离该损害是如此之远以致只是一个遥远的原因,原告就没有‘由于反垄断法所禁止的事项’而遭受《克莱顿法》所设想的损害。”[40]