无船承运人倒签提单法律责任研究

发布时间：2018-03-20 04:22

本文选题：无船承运人　切入点：倒签提单　出处：《西南财经大学》2011年硕士论文　论文类型：学位论文

【摘要】：随着国际货物多式联运和集装箱运输的发展,无船承运业务从传统的货运代理业务中分离出来,成为活跃在国际航运业中的生力军。无船承运人提单在流转过程中,涉及两份提单,流转程序繁杂,所涉法律主体犬牙交错,形成了复杂的提单法律关系。无船承运人倒签提单为了使提单上注明的装船日期符合信用证的要求,而对签发日期进行虚假的记载,以达到顺利结汇的目的。美国《1961年航运法》中首次在法律上认可了无船承运人制度,中国于2002年1月1日生效的《中华人民共和国国际海运条例》(以下简称《海运条例》)中也首次确立了无船承运人法律制度,但在无船承运人倒签提单法律责任上还存在缺陷。加之,理论上对无船承运人倒签提单法律责任问题的研究还不够,因此有必要进一步研究无船承运人倒签提单法律责任问题。本文由引言、正文和结语三部分组成,正文共由五个部分组成。第一部分：无船承运人倒签提单法律责任的界定。从责任主体,行为性质和法律渊源方面展开无船承运人倒签提单法律责任特殊性的论述,阐述了无船承运人倒签提单法律责任的内涵和特殊性,从而厘清无船承运人倒签提单法律责任的基本问题。第二部分：无船承运人倒签提单法律责任的理论基础。本部分主要运用法学和经济学相关分析方法和解释工具从多维的角度阐释无船承运人倒签提单的相关理论问题。法学上的研究主要从两个方面展开：一是从倒签提单效力的主流学说入手,以国际条约、司法判例、商业习惯和商事法基本精神为分析要素,重点剖析无船承运人倒签提单的一般效力、未取得无船承运人资格的提单倒签的法律效力和未登记提单倒签的法律效力。二是在剖析倒签提单法律责任各观点理论学说的基础上,借鉴发达国家的内国法和国际条约的相关规定,主张具体问题具体分析,认为无船承运人倒签提单负有违约,或侵权违约竞合的法律责任。经济学方面的研究则主要运用了成本效益理论、公平效率理论和需求供给理论来分析无船承运人倒签提单的可能性。根据成本效益理论,无船承运人倒签提单是在近乎零成本的情况下获得的最大效益。根据公平效率理论,无船承运人倒签提单处于囚徒困境中的两难选择,在追求效率的同时与公平兼顾的矛盾。从需求供给理论的分析得知,无船承运人倒签提单会受到市场对资源配置的左右。第三部分：无船承运人倒签提单法律责任的比较研究。本部分主要从无船承运人倒签提单法律责任能力、赔偿范围以及海事赔偿责任限制三方面展开,结合国际条约、英美国家法律、司法判例和商业习惯等进行讨论。在剖析总结相关法律规定的基础上,为我国制定相关规定提供借鉴和参考。第四部分：我国无船承运人倒签提单法律责任制度的现状、问题及原因分析。本部分主要分析我国有关无船承运人倒签提单法律责任的立法现状和存在的问题,以及这些问题产生的原因。重点分析了无船承运人倒签提单法律性质、无船承运人倒签提单与实际承运人之间的连带责任和无船承运人法律责任能力等方面的问题,从而为完善我国无船承运人倒签提单所涉法律问题做一铺垫。第五部分：完善无船承运人倒签提单法律责任制度的建议。在比较研究和实证分析的基础上,对我国完善无船承运人倒签提单法律责任问题提出可能的建议。本文的主要贡献在于：一是明确了无船承运人提单的法律性质和无船承运人倒签提单的法律责任性质。在无船承运人提单性质上,主张物权债权合并说。在无船承运人倒签提单法律责任性质上,则主张具体情况具体分析,无船承运人倒签提单法律责任具有违约或者是侵权违约责任竞合的法律性质。二是采用了经济学理论分析方法。从无船承运人倒签提单的成本效益分析中得知,无船承运人倒签提单几乎是在零成本的情况下获得利益,并可能通过保函等方式进行转嫁可能产生的风险,因此无船承运人倒签提单可以在低成本的情况下获得较大利益,这成为其倒签提单的强大动力。在公平效率交替理论的框架下,公平与效率两个决策目标同等重要,必须兼顾,而无船承运人倒签提单追求了效率,造成了对收货人/第三人不公平的结果,因而需要在公平与效率、结果均等与机会均等之间达成妥协。通过需求供给角度分析,可以得知在无船承运人提供的运输服务供大于求的情况下,无船承运人之间的业务竞争加剧,此时尽力满足客户需求无疑成为最大的驱动力,因而倒签提单的可能性增加；在供小于求的情况下,无船承运人提供的运输服务就更加稀缺,这种稀缺本身就能获得更多的客户,而不需要其他的特定服务来助其完成,因而倒签提单的可能性减小。三是建议提高无船承运人的法律责任能力。在考察和借鉴国际条约和发达国家国内立法的基础上,建议我国应建立保证金与责任保险并行制度,提高无船承运人的责任能力,并在附录部分提出了具体的立法建议。四是明确无船承运人倒签提单的赔偿范围。有关无船承运人倒签提单的赔偿范围,其争论点在于间接损失是否赔偿。本文从保护交易安全,预防海事欺诈的角度,认为无船承运人应当承担实际承运人的责任,无船承运人倒签提单的赔偿范围应该包括间接损失。五是明确无船承运人倒签提单法律责任的海事赔偿责任限制。在该问题上,主要有享有、不享有和相对享有三种观点。本文通过比较研究、法律解释,阐述了无船承运人倒签提单是海事欺诈行为,认为无船承运人在倒签提单法律责任限制问题上既不享有单位赔偿责任限制,也不享有海事赔偿责任限制,并在附录部分提出了具体的立法建议。
[Abstract]:With the development of international multimodal transport of goods and the development of container transportation, no separated NVOCC from traditional freight forwarding business, to become an active force in the international shipping industry. NVOCC bill of lading in the transfer process, involving two bills of lading, transfer procedures complicated legal subjects zigzag form legal relation of the bill of lading. Complex. NVOCC antedated bill of lading bill of lading to make the shipment date in accordance with the requirements of the letter of credit, and false records on the date of issue, in order to achieve smoothly. The United States <1961 Shipping Law > for the first time in the legal recognition of the NVOCC, China regulations went into effect on January 1, 2002. People's Republic of China international shipping (hereinafter referred to as the "Regulations > >) is first established the legal system of NVOCC, but in NVOCC antedated bill of lading legal liability There are still some defects. In addition, the research on the legal liability of the NVOCC bill of lading is not enough. Therefore, it is necessary to further study the legal liability of the NLC back signed bill of lading.
This article is composed of three parts, the introduction, the text and the conclusion, and the body consists of five parts.
The first part: the definition of NVOCC antedated bill of lading legal liability. From the main responsibility, the nature and behavior of legal aspects of NVOCC antedated the particularity of the legal liability of the bill of lading is discussed, expounds the connotation of NVOCC antedated bill of lading legal liability and the particularity, so as to clarify the basic issues of NVOCC antedated bill of lading legal liability.
The second part: the theoretical basis of NVOCC antedated bill of lading legal liability. Related theoretical problems of NVOCC Daoqiantidan some of the major use of the law and economic analysis and interpretation tools from the perspective of multi-dimensional interpretation. Research on law mainly from two aspects: one is starting from the mainstream theory Daoqiantidan the effectiveness of the international treaty, judicial precedents, business practices and basic spirit of commercial law elements, focusing on general effectiveness of NVOCC antedated bill of lading, without obtaining NVOCC bill of lading backdating law and unregistered backdating the bill of lading legal effect. Two is the basis of legal responsibility to sign it the bill of lading theory in the analysis on the related provisions from other nations and international treaties, advocate the concrete analysis of concrete problems, think of NVOCC antedated bill of lading negative A breach of contract, tort or breach of legal responsibility. The study of economics mainly use the cost-benefit theory, efficiency theory and demand theory to analyze the possibility of NVOCC Daoqiantidan. According to the theory of cost efficiency, NVOCC antedated B / L is the biggest benefit in the case of near zero cost according to the theory of fairness and efficiency, NVOCC antedated B / L in a dilemma in the prisoner's dilemma, contradictions in the pursuit of efficiency and fairness. At the same time, learned from the analysis of demand supply theory, NVOCC antedated bill of lading will be affected by the market allocation of resources.
The third part: a comparative study of NVOCC antedated bill of lading legal liability. The main part of NVOCC antedated bill of lading legal responsibility, compensation scope and limitation of liability for maritime claims in three aspects, combined with the international treaty, Anglo American law, judicial precedents and business practices. In the basis of analyzing and summarizing the relevant laws and regulations and provide references for China to formulate relevant regulations.
The fourth part: the status of NVOCC antedated bill of lading legal liability system, analysis of the problems and the reasons. This part mainly analyzes China's NVOCC Daoqiantidan the legal responsibility of the legislative status and problems, and the causes of these problems. The key point is the analysis of NVOCC antedated bill of lading legal nature. NVOCC antedated bill of lading and joint liability between the actual carrier and the NVOCC legal responsibility and other issues, so as to improve our NVOCC Daoqiantidan legal issues involved in doing a foreshadowing.
The fifth part: suggestions for improving NVOCC's legal liability system of reverse signed bill of lading. Based on the comparative analysis and empirical analysis, we put forward some suggestions for improving the legal liability of NVOCC in our country.
The main contributions of this article are as follows:
One is to clear the legal liability nature of the legal nature of NVOCC bill of lading and NVOCC Daoqiantidan. In NVOCC bill of lading nature, advocates said. But with the real right of bill of lading in nature sign legal liability of NVOCC, advocates of specific conditions, legal liability of NVOCC antedated bill of lading is a breach of contract or tort liability for breach of the legal nature of coopetition.
Two is the use of the theory of economics analysis method. That cost benefit analysis of NVOCC from Daoqiantidan, NVOCC antedated bill of lading is almost zero cost benefit in the case, and may be possible through the risk guarantee, so the NVOCC Daoqiantidan can obtain greater interest in low cost, which has become the powerful motive force of Daoqiantidan. In alternation theory under the framework of fairness and efficiency, fairness and efficiency of the two objectives are equally important and must be taken into account, and NVOCC Daoqiantidan the pursuit of efficiency, resulting in the consignee / third people unfair result, so in need fairness and efficiency, equality and opportunity equality between the demand and supply of compromise. Through the analysis, can be learned in the NVOCC provide transportation service supply, no ship The carrier between the business competition, this time to meet customer demand will undoubtedly become the biggest driving force, and increase the possibility of Daoqiantidan; in less demand for the case of NVOCC services is more scarce, this scarcity itself will be able to get more customers, without the need for specific services to help others complete, thus reducing the possibility of Daoqiantidan.
Three is a suggestion to improve the ability of legal liability of NVOCC. The investigation and reference of domestic legislation in developed countries and international treaties, China should establish the deposit liability insurance and parallel system, improve the capability of NVOCC, and put forward specific legislative proposals in the appendix.
Four is a clear scope of compensation of NVOCC antedated bill of lading. The scope of compensation on NVOCC antedated B / L, the argument is the indirect loss compensation. The protection of the transaction security, prevention of maritime fraud, that NVOCC shall bear the responsibility of the actual carrier, the scope of compensation of NVOCC antedated bill of lading should include indirect losses.
The five is the limitation of maritime liability clear NVOCC antedated bill of lading legal liability. In this problem, there are not enjoy, enjoy and enjoy the relative three views. Through the comparative study, the interpretation of the law, expounds the NVOCC Daoqiantidan maritime fraud, think of NVOCC in Daoqiantidan limitation of liability for legal issues which do not enjoy the liability unit limit is not entitled to limitation of liability for maritime claims, and puts forward specific legislative proposals in the appendix.

【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.294;D996.19

【参考文献】