论“无单放货”的新发展及对中国的启示

发布时间：2018-06-11 13:00

本文选题：鹿特丹规则 + 无单放货　；参考：《华东政法大学》2012年硕士论文

【摘要】：国际贸易环境的变化和海上运输业的不断发展，提单制度受到了无单放货现象的冲击。无单放货的大量存在，使得卖方合法权益受到损害，而承运人一直以来承担无单放货责任的做法，已不再符合现实情况。因此，如何对无单放货加以有效规制，一直是各国法律和国际公约所关注的热点。针对无单放货的现状，联合国国际贸易法委员会于2008年出台了《联合国全程或者部分海上货物贸易运输合同公约》，简称《鹿特丹规则》。公约允许了一定条件下的无单放货，当事人可以按照自己的意思加以选择，从而在一定程度上平衡了承运人和托运人之间关于无单放货责任的分配，使承运人能够从无单放货责任的束缚中解脱出来。因此，公约从一出台，即在国际海事商事领域掀起了研究和讨论的狂潮，，其创造性和影响力不言而喻。然而，《鹿特丹规则》作为一个由众多国家参与制定的国际公约，实际上是不同利益代表在立法上彼此妥协的产物，因而其内容并不能周全的保护所有参与方的利益，这也使公约在国际社会上的接受度和实践中的可操作性受到了限制。就我国而言，中国在立法上允许记名提单下有条件的无单放货，也是对以往一贯坚持各种类提单凭单放货原则的重大进步，是对公约精神的一大体现。对于不记名提单，仍然坚持凭单放货原则。这样的立法规定一方面可以维持我国立法的稳定性，更重要的维护海上货物运输制度的基础，有效减小《鹿特丹规则》无单放货新创设对我国航运业、金融业、贸易产业造成的冲击。本文在对无单放货基础问题加以描述的基础上，评析公约无单放货新规定，并结合中国当前的立法和司法现状，提出一些对公约的学习和借鉴之处，为我国提单立法和《海商法》的修改提出了建议，进一步阐明中国对待公约的态度。本文正文部分有四章：第一章主要对无单放货的基本问题进行叙述，介绍其产生的原因和性质。第二章涉及各主要国家在此问题上的立法司法实践。第三章重点关注《鹿特丹规则》第九章无单放货的新变化，并进行评价。第四章叙述我国无单放货的立法司法现状，以及中国应对公约的态度以及如何改进本国立法。
[Abstract]:With the change of international trade environment and the continuous development of marine transportation, bill of lading system is impacted by the phenomenon of delivery without bill of lading. Due to the large number of undocumented goods, the seller's legal rights and interests have been damaged, and the carrier has been taking the responsibility of delivery without bill of lading, which is no longer in line with the reality. Therefore, how to effectively regulate the delivery of goods without documents has always been the focus of attention of national laws and international conventions. The United Nations Commission on International Trade Law (UNCITRAL) issued the United Nations Convention on contracts for the Carriage of goods wholly or partly by Sea in 2008. The Convention allows for the delivery of goods without documents under certain conditions, and the parties may choose according to their own wishes, thus balancing to a certain extent the distribution between the carrier and the shipper of the liability for the delivery of goods without documentary evidence, Enable the carrier to free himself from the undocumented release of goods. Therefore, since the Convention was issued, it has raised a tide of research and discussion in the field of international maritime commerce, and its creativity and influence speak for itself. However, the Rotterdam rules, as an international convention developed with the participation of a large number of countries, are in fact the product of legislative compromises among representatives of different interests, and therefore their content does not adequately protect the interests of all participants, This also limits the acceptability of the Convention in the international community and its operability in practice. As far as our country is concerned, China has legislatively allowed the conditional delivery of goods without a bill of lading under a registered bill of lading. It is also an important progress to adhere to the principle of delivery of bills of lading in the past, and to embody the spirit of the Convention. For bearer bills of lading, we still adhere to the principle of delivery of goods by voucher. Such legislative provisions can, on the one hand, maintain the stability of our country's legislation, more importantly, safeguard the basis of the maritime cargo transport system, and effectively reduce the new establishment of the Rotterdam rules for the shipping industry and the financial industry of our country. The impact of the trade industry. On the basis of describing the basic problem of the delivery of goods without bill, this paper comments on the new provisions of the Convention on the delivery of goods without bill of lading, and puts forward some points for study and reference of the Convention in the light of the current legislative and judicial situation in China. This paper puts forward some suggestions for the legislation of bill of lading and the amendment of Maritime Law, and further clarifies China's attitude towards the Convention. There are four chapters in the main body of this paper: the first chapter mainly describes the basic problems of the delivery of goods without bills of lading. The causes and properties of its emergence are introduced. The second chapter deals with the legislative and judicial practice of major countries on this issue. Chapter 3 focuses on the new changes in chapter 9 of the Rotterdam rules and evaluates them. The fourth chapter describes the current situation of legislation and judicature in China, as well as China's attitude to the Convention and how to improve its legislation.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.19;D922.294

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