Essential Reading for Shippers and Freight Forwarders! Practical Guide: 5 Core Responsibilities and Risk Boundaries of Freight Forwarders 货主与货代必看！实操指南：货运代理的5大核心职责与风险边界

Complex international trade chains involve sophisticated operations that span national borders and connect various modes of transportation, which are much more than just a bill of lading. Freight forwarders are the core organizers and coordinators of this process, and their role extends far beyond simply "a booking agents". Their responsibilities directly impact the safety, timeliness, and compliance of goods, and any oversight can lead to huge losses.

Disputes in the shipping industry often stem from errors of the scope of services and understanding of responsibilities. Today, we will delve into the five core responsibilities that freight forwarders must fulfill, based on international shipping practices, and clarify their legal and operational risk boundaries. This will provide direct guidance for both consignors (cargo owners) and industry peers.

在国际贸易的复杂链条中，一纸提单的背后，是跨越国境、衔接多式联运的精密操作。货运代理（freight forwarder）正是这一过程的核心组织者与协调者，其角色远不止于“订舱中介”。他们承担的职责直接关系到货物的安全、时效与合规，任何一环的疏漏都可能导致巨额损失。

航运业的纠纷往往源于对服务范围和责任理解的偏差。今天，我们结合国际海运实践，深入剖析货运代理必须履行的5大核心职责，明确其法律与操作上的风险边界。无论是发货人（货主）还是同行，都能从中获得直接参考。

1.Planning and Coordination Responsibilities

Risk Assessment and Dynamic Planning

Effective transportation planning is far more than simple booking; its core lies in proactive risk assessment and dynamic management throughout the entire process. This requires freight forwarders to constantly monitor port congestion, geopolitical events, and sudden regulatory changes in various countries. A resilient logistics plan should include backup plans. When the main transportation route is blocked, freight forwarders must be able to quickly activate alternative routes or switch to multimodal transport solutions to ensure the stability of the client's supply chain. Neglecting risk assessment and passively reacting to changes is a major cause of cargo delays and customer losses.

Cost Control and Efficiency Balance

Another key aspect of planning is to balance accurately among cost, timeliness, and service reliability. Essentially, choosing the appropriate mode of transportation and carrier is to match the most economical "space-time shuttle scheme" for the client's goods. For example, for high-value, time-sensitive electronic products, paying a premium for direct express ship or air freight can avoid soaring inventory costs and lost market opportunities; for bulk general cargo, choosing regular shipping schedules and allowing for longer buffer times can control basic freight costs. Therefore, excellent planning minimizes total costs (freight + time costs + risk costs) through professional analysis. Blindly pursuing the lowest quoted price may conceal risks such as unstable shipping schedules, high container rejection rates, and hidden surcharges, ultimately leading to an increase in total costs.

一、规划与协调职责

风险预判与动态规划

有效的运输规划远非简单的订舱，其核心在于对全程风险的前瞻性预判与动态管理。这要求货代必须实时监控港口拥堵、地缘政治事件、以及各国突发的法规变化。一个具备弹性的物流计划必须包含备用方案。当主运输路径受阻时，能迅速启动替代路线或切换多式联运方案，以保障客户供应链的稳定。疏于风险预判，被动应对变化，是导致货物延误和客户损失的重要原因。

成本控制与效率平衡

规划的另一关键是在成本、时效与服务可靠性之间进行精准权衡。选择合适的运输方式和承运人，本质上是为客户的货物匹配最经济的“时空穿梭方案”。例如，对高价值、时效强的电子产品，支付溢价选择直达快船或空运，能避免库存成本飙升和市场机会损失；对大宗普货，则可选择普通船期并预留更长的缓冲时间以控制基础运费。因此，优秀的规划是通过专业分析实现总成本（运费+时间成本+风险成本）的最小化，一味追求表面最低报价，可能隐藏了船期不稳、甩柜率高或隐性附加费的风险，最终导致总成本（运费+时间成本+风险成本）上升。

2.Negotiating Freight Rates, Transportation Terms, and Selecting Carrier

Duty of Care in Carrier Selection

Legal Basis: According to the Civil Code of the People’s Republic of China and relevant judicial interpretations, freight forwarders, as agents, have an obligation to handle affairs for their principals with reasonable diligence. When selecting actual carriers or non-vessel operating common carriers (NVOCCs), this obligation specifically entails necessary scrutiny of the carrier's creditworthiness, operational record, and service capabilities.

Risk Consequences: If a freight forwarder fails to exercise duty of care in selecting a carrier and engages a carrier with poor financial health, irregular operation, or on a blacklist, resulting in loss, damage, or indefinite delay of goods, he may be liable to the principal for compensation within the scope of their fault. In practice, cases of goods being seized at transshipment ports due to carrier bankruptcy, leaving the cargo owner without both goods and money, are not uncommon.

Clarity and Interpretation of Transportation Terms

Application of Trade Terms: Clearly understanding and applying the International Commercial Terms (Incoterms® 2020) is fundamental to allocating risks, costs, and responsibilities between buyers and sellers. For example, under FCA (Free Carrier) terms, the seller's (cargo owner's) risk transfers when the goods are delivered to the carrier designated by the buyer, and subsequent transportation is arranged by the buyer. Freight forwarders need to clarify their service scope and the starting point of their responsibility based on different terms.

Points to Note Regarding Term Updates: Incoterms® 2020 includes an important update to the FCA term: in container shipping, it allows the carrier to issue an On Board Bill of Lading to the seller at the buyer's request, addressing potential documentation issues under letter of credit payment methods. Freight forwarders need to be aware of such updates to provide professional advice to their clients.

二、谈判运费、运输条款与选择承运人

承运人选择的审慎义务

法律基础：根据《民法典》及相关司法解释，货运代理作为受托人，负有以合理审慎的标准为委托人处理事务的义务。在选择实际承运人或无船承运人（NVOCC）时，这一义务具体体现为对承运人资信、运营记录和服务能力的必要审查。

风险后果：若因货代未尽审慎选择义务，委托了财务不健康、运营不规范或已被列入失信名单的承运人，并因此导致货物灭失、损坏或无限期延误，货代可能需在其过错范围内向委托人承担赔偿责任。实践中，因承运人破产导致货物在转运港被扣押、货主钱货两空的案例并不少见。

运输条款的明确与解读

贸易术语的应用：清晰理解并应用《国际贸易术语解释通则》（Incoterms® 2020）是划分买卖双方风险、成本和责任的基础。例如，在 FCA（货交承运人） 条款下，卖方（货主）的风险在将货物交给买方指定的承运人时即告转移，后续运输由买方安排。货代需根据不同的术语，明确自身的服务范围和责任起点。

条款更新的注意点：Incoterms® 2020对FCA术语有一项重要更新：在集装箱运输中，允许应买方要求，由承运人向卖方签发船上提单（On Board Bill of Lading），这解决了以往在信用证支付方式下可能产生的单证问题。货代需掌握此类更新，为客户提供专业建议。

3.Legal Obligations for Prudent Document Management

Documents are at the heart of international trade, and freight forwarders play a crucial role in preparing and managing important shipping documents. This includes bills of lading, customs declarations, certificates of origin, and regulatory filings. Accuracy is paramount. Document errors can lead to customs seizures, fines, and even cargo confiscation. Agents must exercise due diligence to ensure that the information provided complies with commercial arrangements and regulatory requirements.

Acting as a professional document hub in international trade is one of the core roles of a freight forwarder. Their responsibility extends far beyond simply "passing on documents," encompassing the prudent handling of documents such as bills of lading, customs declarations, and certificates of origin, including preparation, verification, and ensuring their legality and compliance. China's Supreme People's Court's "Provisions on Several Issues Concerning the Trial of Maritime Freight Forwarding Dispute Cases clearly states that freight forwarding companies shall be liable for compensation if they cause losses to the client due to negligence in handling entrusted matters. This applies to all business activities, including booking, customs declaration, inspection, and preparation and delivery of documents.

In practice, the accuracy of documents directly determines the fate of the goods; any minor error can trigger a chain reaction. In a case disclosed on the Yinchuan Municipal Government platform, a company entrusted a freight forwarder to misdeclare cosmetics that required inspection as "soap," which was discovered by customs. Ultimately, both the company and the freight forwarder were found to be at fault and were ordered by the court to each bear nearly 50% of the fines and additional costs. It demonstrates that freight forwarders cannot be completely exempted from liability on the grounds of "operating according to the consignor's instructions"; they have an independent professional obligation to verify cargo information.

三、审慎管理文件的法定义务

文件是国际贸易的核心，货运代理在准备和管理重要的运输文件中发挥着关键作用。这包括提单、海关申报、原产地证明和监管备案。准确性至关重要。文件错误可能导致海关扣押、罚款，甚至货物扣押。代理应尽职调查，确保所提供的信息符合商业安排和监管要求。

在国际贸易中担任专业的文件中枢，是货运代理的核心角色之一。其责任远不止于“传递文件”，而是包含了对提单、报关单、原产地证书等单证进行准备、核对、确保其合法合规的审慎处理义务。我国《最高人民法院关于审理海上货运代理纠纷案件若干问题的规定》明确指出，货运代理企业处理委托事务时，因过错造成委托人损失的，应当承担赔偿责任。这适用于包括订舱、报关、报检、缮制交付单证在内的各项业务。

在实操里，文件的准确性直接决定货物的命运，任何微小差错都可能引发连锁反应。在银川市政府平台披露的一起案例中，某企业因委托货代将应报检的美妆品伪报为“肥皂”，被海关查获，最终企业与货代因均有过错，被法院判决各自承担近50%的罚款和额外费用。这表明，货代不能以“按货主指示操作”为由完全免责，其负有独立审核货物信息的专业义务。

4.Compliance with Customs Clearance and Red Lines for Risky Goods

Compliance Operations Avoid Claim Risks

Ensuring that goods comply with customs laws is a core legal obligation of freight forwarders, not merely a service option. According to China’s Article 10 of the Provisions on Several Issues Concerning the Trial of Maritime Freight Forwarding Dispute Cases issued by the Supreme People's Court, if a freight forwarding company causes losses to the client while handling entrusted matters, it shall be liable for compensation unless it can prove that it was not at fault. This means that freight forwarders face direct claim risks if their negligence (such as incorrect declaration information or improper parties) leads to cargo seizure or additional costs. Clearly, compliant operations are crucial in defining the boundaries of legal responsibility.

Adhering to the Red Lines of Dangerous Goods Regulations and Export Controls

Misdeclaration of Dangerous Goods: Misdeclaring dangerous goods as ordinary cargo is a serious violation that endangers ships and human lives. Maritime and customs authorities worldwide have a "zero tolerance" policy for this, and the companies involved will face maximum penalties, be blacklisted, and even face criminal liability.

Export Controls: Violating export control regulations regarding sanctions and dual-use items of the United Nations, the United States, and the European Union may lead to global business bans, huge fines, and criminal liability for executives.

四、履行合规清关与风险货物红线

合规操作避免索赔风险

确保货物符合海关法律是货运代理的核心法定义务，而不仅仅是服务选项。根据《最高人民法院关于审理海上货运代理纠纷案件若干问题的规定》第十条，货运代理企业处理委托事务时若给委托人造成损失，除非能证明自身无过错，否则应承担赔偿责任。这意味着，货代因疏忽（如申报信息错误、主体不当）导致货物被扣押、产生额外费用）时，将面临直接的索赔风险。可见，合规操作是划分法律责任边界的关键。

遵守危险货物规则和出口管制的红线

危险品瞒报：将危险货物瞒报为普通货物，是危及船舶和人身安全的严重违法行为。各国海事和海关部门对此实行“零容忍”，涉事企业将面临顶格处罚、列入黑名单，甚至刑事责任。

出口管制：违反联合国、美国、欧盟等关于制裁、军民两用物项的出口管制规定，可能导致全球性的业务禁令、巨额罚款及高管刑事责任。

5.Supervisory Responsibilities in Cargo Handling

"Reasonable Diligence" is a Legal Obligation

Even if not physically handling the cargo themselves, freight forwarders have a legal responsibility to supervise with "reasonable skill and care." This is not a moral requirement, but a legal obligation. According to China’s Article 10 of the Provisions of the Supreme People's Court on Several Issues Concerning the Trial of Cases of Maritime Freight Forwarding Disputes, freight forwarders who cause losses to the client due to their handling of affairs shall bear liability for compensation, unless they can prove that they were not at fault. This means that the law applies the principle of "presumption of fault" to freight forwarders; once an incident occurs, the freight forwarder needs to prove their innocence. Supervisory obligations specifically include selecting qualified carriers and monitoring the transportation process. Negligence in supervision and selection will directly lead to legal liability.

Emergency Response is an Extension of Supervisory Responsibility

Low Proactivity and Inaction: "Rapid response" to unexpected situations such as delays and route changes is a natural extension and core requirement of "reasonable supervision." This obligation aims to prevent further losses. Freight forwarders must promptly notify clients, actively coordinate, and take reasonable measures. If there is a delayed response or inaction after a problem occurs, leading to additional losses (such as soaring demurrage and storage fees), the freight forwarder will likely be responsible for these increased losses.

Not Attributable to the Freight Forwarder: According to Articles 921 and 930 of the Civil Code of the People’s Republic of China, the expenses for handling entrusted matters should, in principle, be prepaid or reimbursed by the client. If the trustee (freight forwarder) suffers losses due to handling entrusted matters for reasons not attributable to themselves, they have the right to claim compensation from the client.

五、货物处理中的监督职责

“合理审慎”是法律义务

货运代理即使不亲自搬运货物，也负有以“合理技能和细致”进行监督的法定责任。这并非道德要求，而是法律义务。根据《最高人民法院关于审理海上货运代理纠纷案件若干问题的规定》第十条，货运代理因处理事务给委托人造成损失的，应承担赔偿责任，除非能证明自己没有过错。这意味着法律对货代适用“过错推定”原则，一旦出事，货代需要自证清白。监督义务具体包括选择合格承运人、监控运输过程等，疏于监督和选任将直接导致法律责任。

应急响应是监督职责的延伸

积极性低、不作为：对延误、路线变更等突发状况的“迅速响应”，是“合理监督”的自然延伸和核心要求。这项义务旨在防止损失扩大。货运代理必须及时通知客户、积极协调并采取合理措施。若发生问题后响应迟缓或不作为，导致额外损失（如滞箱费、堆存费暴涨），货代很可能需要对这部分扩大的损失负责。

不可归责于自身：根据《民法典》第921条和第930条，处理委托事务的费用原则上应由委托人预付或偿还。受托人（货代）因处理委托事务且不可归责于自身的原因受到损失的，有权向委托人请求赔偿。

6.Summary of Practical Tips to Avoid Pitfalls

For freight forwarders: Before signing a contract, be sure to verify the qualifications of the Non-Vessel Operating Common Carrier (NVOCC); establish a document verification mechanism to ensure consistency of information; proactively identify domestic and international mandatory regulations (such as dangerous goods regulations and export controls) applicable to the goods, and clearly inform clients of the risks; respond quickly to abnormal situations to fulfill the duty of reasonable and prudent supervision.

For cargo owners (shippers): When choosing an agent, prioritize their professional capabilities and risk control record over freight rates. It is crucial to provide accurate and complete cargo information, as this is the foundation of all compliance. When entrusting an agent, clearly define the responsibilities at key stages through a contract.

六、实操避坑要点总结

给货运代理：签约前务必核实无船承运人（NVOCC）资质；建立文件核对机制，确保信息一致；必须主动识别货物涉及的国内外强制性法规（如危规、出口管制），并清晰告知客户风险；对异常情况需迅速响应，以履行合理审慎的监督义务。

给货主（托运人）：选择代理时，应将其专业能力和风控记录置于运价之上。务必提供准确、完整的货物信息，这是所有合规的基础。在委托时，应通过合同明确关键节点的责任划分。