论并入提单的租约仲裁条款的效力

发布时间：2018-11-21 21:19

【摘要】：并入提单的租约仲裁条款的效力问题一直是我国海商法理论界和司法界的一大难题，我国目前并未达成统一的做法。一般是由最高人民法院以复函的形式对司法实践中出现的疑难问题进行解答，以指导司法实践。我国法院承认并入提单的租约仲裁条款的效力，但是在具体审查时又以种种理由做限制。对如何判定这种并入条款的生效要件，相关法律对此仅做了原则性规定，导致司法实践中法院对相似案例可能做出不同的裁决结果。这不仅损害我国的司法权威，也不利于当事人合法权益的维护。在本文中，首先，笔者对租约的仲裁条款并入提单的原因及潜在的法律后果进行论述：即承运人为使其对承租人和提单持有人承担相同的义务和责任，会在自己签发的提单上增加一个并入条款，载明将航次租船合同中的仲裁条款并入该提单，由此引发租约的仲裁条款并入提单的效力问题。从争端解决方式上看，若并入提单的租约仲裁条款有效，则仲裁机构取得仲裁权，排除法院的管辖权。若并入提单的租约仲裁条款无效或失效，则由有管辖权的法院审理；从争端解决后果看，则会导致仲裁裁决的承认与执行问题。其次，笔者对租约的仲裁条款并入提单的条件进行了论述，主要包括形式要件和实质要件。根据我国目前司法实践中承认租约中的仲裁条款可以并入提单的态度，可推知在提单中订立一条并入条款援引航次租船合同的仲裁条款是符合书面形式的，并不要求必须经过当事人签署。对于其实质要件则是要审查提单上面关于并入条款的记载内容。国际海商审判界主要有两种观点，我国司法界倾向于适用严格的特别条款并入原则。我国现行法律对上述问题规定的过于笼统与模糊，而法院在审查租约仲裁条款是否并入提单时的要求却非常严格。下级法院在审查出现问题时，只能寻求最高人民法院出具复函意见，这会使得下级法院在审查时出现标准不一，比较混乱的情形。因此，笔者建议在修订法律或出台司法解释时对此予以明确,对租约的仲裁条款和提单持有人予以界定，对于租约仲裁条款并入提单的形式要件予以立法化，对于实质要件无需区分记载于提单正面或背面，只要该仲裁条款内容无不当地减损承运人的义务和责任即可，以更加明确、规范的调整承运人与提单持有人之间的权利、义务关系。最后，笔者对租约的仲裁条款并入提单的效力进行了充分论述。有效并入提单的租约仲裁条款是否当然约束提单持有人；当提单中本身就立有仲裁条款，且与租约中的仲裁条款存在冲突时该如何选择；判断仲裁条款效力的准据法该如何确定；仲裁条款的可仲裁性，这些问题在我国法律中都未有明确规定，因此笔者建议明确并入提单的租约仲裁条款能够约束提单持有人，当并入提单的租约仲裁条款与提单中的仲裁条款相冲突时，优先适用提单中的仲裁条款。租约的仲裁条款有效并入提单后还需审查仲裁条款的效力，有效的仲裁条款方能排除司法管辖。对于判断租约仲裁条款效力的准据法，首先适用当事人选择的准据法，若租约中约定的法律是解决实体性问题的法律，则在审查租约仲裁条款的效力时应由承租人与提单持有人另行约定，无约定则适用仲裁地法，若当事人既未约定准据法又未约定仲裁地，则适用最密切联系地法，以提单签发地为最密切联系地，，然后根据准据法来审查仲裁条款是否有效、可以执行。本文采用比较分析的研究方法，根据我国及国际司法实践中的类似案例，同时结合各国不同立法及司法实践进行比较研究，分析我国法律规定的不足并提出完善建议；运用实证的研究方法，对典型的司法案例进行分析，总结我国司法实践对于相关问题采取的倾向性意见；运用注释的方法，对并入提单的租约仲裁条款涉及相关法律的重点条文予以分析。
[Abstract]:The validity of the lease arbitration clause, which is incorporated in the bill of lading, has been a difficult problem in the theoretical and judicial circles of China's maritime commercial law. In general, the Supreme People's Court has solved the difficult problems in the judicial practice in the form of a letter of reply to guide the judicial practice. Our courts recognize the effect of the arbitration clause incorporated into the Bill of Lading, but at the time of the specific review, there are grounds for limiting. As to how to determine the elements of the entry into force of such a merge clause, the relevant law has only made a principle provision, leading to a different outcome of the court's decision on similar cases in the practice of the administration of justice. This is not only to the judicial authority of our country, but also to the maintenance of the legitimate rights and interests of the parties. In this paper, first, the author discusses the reason and potential legal consequence of the arbitration clause of the lease on the bill of lading: that is, the carrier shall have the same obligations and responsibilities for the charterer and the holder of the bill of lading, The terms and conditions set forth the incorporation of the arbitration clause in the voyage charter into the bill of lading, thereby giving rise to the effect of the arbitration clause of the lease on the bill of lading In the case of a dispute settlement, if the arbitration clause incorporated into the bill of lading is valid, the arbitration body obtains the right to arbitration and excludes the court's tube. The right to jurisdiction. If the arbitration clause incorporated into a bill of lading is invalid or invalid, it shall be tried by a competent court; and the recognition and enforcement of the arbitral award may result from the consequences of the settlement of the dispute. Secondly, the author discusses the conditions of the arbitration clause of the lease into the bill of lading, mainly including the form of form. On the basis of the fact that the arbitration clause in the lease can be incorporated into the bill of lading in the current judicial practice of our country, it can be inferred that the arbitration clause in the Bill of Lading is in writing and does not require it to pass through The essence of the bill of lading is to review the above terms of the bill of lading. There are two main points in the international maritime business trial world, and the judicial circles of our country are inclined to apply the strict special strip The current law of our country is too general and vague for the above-mentioned problems, and the court's request to examine whether the arbitration clause of the lease is incorporated into the bill of lading But it is very strict. The lower court can only seek the reply from the Supreme People's Court when examining the appearance of the problem, which will make the lower court have the standard not one, the comparison at the time of the examination. As a result, the author suggests that, in the revision of the law or the introduction of the judicial explanation, it is clear that the arbitration clause of the lease and the holder of the bill of lading should be defined, and the form elements incorporated into the bill of lading for the lease arbitration clause should be legislative, and the essential elements need not be distinguished from the bill of lading. The right or the back of the carrier, provided that the content of the arbitration clause does not unduly impair the obligations and responsibilities of the carrier, to make a clearer and standardized adjustment of the rights of the carrier and the holder of the bill of lading In the end, the author's effect on the arbitration clause of the lease on the bill of lading The force is fully discussed. Whether the arbitration clause that is effectively incorporated into the bill of lading is of course bound to the holder of the bill of lading, and when the bill of lading itself has an arbitration clause and is in conflict with the arbitration clause in the lease, how to choose it; how to determine the validity of the arbitration clause; and The author suggests that the arbitration clause which is incorporated into the bill of lading can bind the holder of the bill of lading, and when the arbitration clause incorporated into the bill of lading conflicts with the arbitration clause in the bill of lading, it is preferred to apply. The arbitration clause in the bill of lading. The arbitration clause of the lease is effectively incorporated into the bill of lading and the validity of the arbitration clause is to be reviewed and the arbitration clause is valid The law governing the validity of the arbitration clause of the lease shall first apply to the law applicable to the choice of the parties. In the event that the law agreed in the lease is the law for the settlement of the substantive issue, the lessee and the lessee shall, in the examination of the validity of the arbitration clause of the lease, be determined by the lessee and the lessee. Unless otherwise agreed by the single holder, there is no agreement to apply the method of arbitration. If the parties have neither agreed to the law nor the place of the arbitration, the most closely connected method shall be applied to the most closely connected place in the case of the bill of lading, and then the arbitration clause shall be reviewed in accordance with the applicable law. No, it can be carried out. The method of comparative analysis is used in this paper. According to the similar cases in our country and the international judicial practice, the author makes a comparative study on the different legislation and the judicial practice in our country, and analyses the deficiency in our country's law and puts forward the perfect construction. On the basis of the empirical research method, the typical judicial cases are analyzed, and the tendentiousness of the judicial practice on the related problems is summarized. The method of applying the annotation is related to the arbitration clause of the lease of the bill of lading.
【学位授予单位】：吉林大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D922.294;D925.7

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