试论《鹿特丹规则》在国际多式联运中的适用

发布时间：2018-07-04 06:53

本文选题：国际多式联运 + “海运+其他”运输模式　；参考：《吉林大学》2011年硕士论文

【摘要】：随着世界经济的全球化,日趋统一的国际市场迫切需要构筑高效的物流管理体系。这使得运用两种以上运输方式将货物从最初生产地直运到最终消费地的多式联运变得越来越重要。多式联运,作为在时间与成本上均较单一运输更高效的运输体系,迅速且顺畅的运输不仅有利于改善客服,而且可以降低仓储成本及运输成本等物流成本。尽管运输技术及信息通讯技术的进步、国际贸易的活跃使进出口贸易中低成本高效率的国际多式联运的比重迅速增加,但因多式联运合同缺乏统一法基础,每个运输区段都各自适用不同的法律规范,给多式联运合同当事人增加了法律适用的不确定性,以致运输保险、损害赔偿程序以及法律咨询等相关交易费用也随之增加,这阻碍了多式联运的发展。国际社会为统一多式联运法制,曾制定《1980年联合国国际多式联运合同公约》,但是因承运人与货主的利害关系和各国政治立场的分歧,至今未能生效。然而,国际货物运输立法的统一是大趋势。从《海牙规则》、《海牙-维斯比规则》,到《汉堡规则》及国际多式联运公约的发展,正体现这一趋势。直到2008年12月,联合国国际贸易法委员会(UNCITRAL)经过10余年的努力,通过了《联合国全程或部分海上国际货物运输合同公约》(简称《鹿特丹规则》)。该规则扩大了既有海上运输公约的适用范围,使其同样适用于包含海上运输的多式联运。面对《鹿特丹规则》这一新产生的试图统一国际多式联运法律的国际公约,国际社会均认识到其生效可能给各国运输界和贸易界带来重大影响,因此有关专家学者都纷纷加入到研究该公约的行列中。仅就本人所见到的国内外文献来看,学界对新公约的态度并不统一,甚至截然相反。一方面有人指出《鹿特丹规则》正符合现代国际运输业和贸易业的需求,其先进的规定代表未来发展的趋势,另一方面又有人指出该规则脱离实际,过于理想化,再加上用语模糊、逻辑结构复杂等原因,可能不能实现其最初统一国际运输法的宗旨。本文主要围绕《鹿特丹规则》的适用范围,拟分五个部分对其在国际多式联运中的适用展开论述：第一部分交代了《鹿特丹规则》的制定背景与经过,主要内容为《鹿特丹规则》是应国际贸易与航运实践发展的需要而出现,并阐述国际社会尤其是国际组织具体如何经过多年的努力制定出该规则。第二部分又分为“海运+其他”运输模式、第26条的“网状责任体系”以及起冲突规范作用的第82条等三部分,全面分析了规则的适用范围。该部分指出《鹿特丹规则》将适用范围扩大到包含海上运输区段的多式联运,即“海运+其他”模式,在相当一部分程度上起到了统一国际多式联运立法的作用。然而,《鹿特丹规则》适用于非海上运输区段有一定的条件限制,如果《鹿特丹规则》的缔约国又为《国际公路货物运输合同公约》(CMR)、《铁路货运公约——统一规则》(COTIF-CIM)、《蒙特利尔公约》(The Montreal Convention)的缔约国,两个公约均可适用于同一运输合同的情况下,适用范围扩大至“门到门”运输的《鹿特丹规则》可能会与其他公约发生冲突。为此,《鹿特丹规则》准备了适用上的例外条款——第26条,对于海上运输前和运输后发生的损害优先适用可适用于该区段的其他国际运输公约,即对此采用了“网状责任体系”。另外,规则还设置了第82条——这一解决《鹿特丹规则》与其他国际运输公约发生的冲突时适用的冲突规范。第三部分详细分析了在国际多式联运中适用《鹿特丹规则》的可能性,具体又分为三部分,即有关国际多式联运的现行国际法律体系、《鹿特丹规则》与其他运输公约间的关系、设例分析规则中的冲突协调机制。接下来的第四部分围绕“海运+其他”运输模式、第26条的“网状责任体系”和第82条冲突规范各自在适用中的局限三个方面,论述了《鹿特丹规则》在使用中可能会存在的问题。这一部分指出该几项条款可能不仅不能达到解决国际多式联运中法律不统一的目的,反而会使法律适用更加不确定和不可预测。第五部分主要提出我国应对《鹿特丹规则》生效的对策。这一部分首先梳理了国内法中有关国际多式联运法律适用原则的规定,然后指出公约一旦生效,很有可能会适用于中国,最后提出中国对该规则应积极研究公约条款,借《鹿特丹规则》积极修改《海商法》,同时各相关运输业和贸易业提前做好风险控制措施,为迎接《鹿特丹规则》的生效做好充分准备。第六部分,也就是结论部分,总结前五部分的内容得出因《鹿特丹规则》体系庞杂、用语模糊,能否实现统一多式联运法制的宗旨还是未知数,然而面对“鹿特丹时代”的到来,我们必须认真研究公约,以减少其给我国运输界和贸易界带来的冲击。
[Abstract]:With the globalization of the world economy, the increasingly unified international market is urgently needed to build an efficient logistics management system. This makes it becoming more and more important to use more than two modes of transportation to transport goods from the original production to the final consumption. Multimodal transport is more efficient as a single transport in time and cost. The transport system, rapid and smooth transportation not only helps to improve customer service, but also reduces logistics costs, such as warehousing costs and transportation costs. Despite the progress of transport technology and information and communication technology, the active international trade makes the proportion of low cost and efficient international multimodal transport in import and export trade increasing rapidly, but the multimodal transport is due to multimodal transport. The contract lacks the basis of the unified law. The different legal norms are applied to each section of the transport section, which increases the uncertainty of the application of the law to the parties to the multimodal transport contract, so that the transportation insurance, the damage compensation procedure and the legal consultation and other related transaction costs have also increased, which hinders the development of multimodal transport.
In order to unify the multimodal transport system, the international community has worked out the <1980 Convention on the United Nations international multimodal transport contract, but it has not come into effect because of the interests of the carrier and the owner and the political standpoint of various countries. However, the unification of the international transport legislation is a big trend. From the Hague rules, the Hague Weiss ratio rules to the Hamburg Rules. The development of International Convention on multimodal transport is a reflection of this trend.
Until December 2008, after more than 10 years of efforts, the United Nations Commission on International Trade Law (UNCITRAL) adopted the United Nations Convention on Contracts for the international carriage of goods at sea or part of the sea (hereinafter referred to as the Rotterdam rule). The rule expanded the scope of the Convention on the existing maritime transport and made it also applicable to multimodal transport including maritime transport. The international community, the newly created International Convention on the unification of international multimodal transport law, which is a newly created law of the Rotterdam rules, recognizes that its entry into force may have a significant impact on the transport and trade circles of all countries, so experts and scholars have joined in the study of the Convention. On the one hand, it is pointed out that the Rotterdam rule is in line with the needs of modern international transportation and trade, and its advanced regulations represent the trend of future development. On the other hand, some people point out that the rule is out of reality, is too idealized, and the language is vague and the logical structure is complex. Other reasons may not be able to realize the purpose of its original unified international transport law.
This article mainly focuses on the scope of application of the "Rotterdam rules". It will be divided into five parts to discuss its application in international multimodal transport.
The first part explains the background and course of the formulation of the "Rotterdam rules". The main content is that the Rotterdam rule is the need for the development of international trade and shipping practice, and expounds how the international community, especially international organizations, has worked out the rules after years of specific efforts.
The second part is divided into "sea and other" transport mode, twenty-sixth "net responsibility system" and three parts, which play the role of conflict standard. The second part analyses the scope of application of the rules comprehensively. This part points out that the scope of the "Rotterdam rule" is extended to multimodal transport including maritime transport zone, that is, "sea and other" models. Formula, in a considerable part, plays a role in the unification of international multimodal transport legislation. However, the "Rotterdam rules" is applicable to non maritime transport areas with certain constraints, if the Contracting States of the Rotterdam rules are the Convention on the contract for the international transportation of goods (CMR), the railway freight Convention - the unified rule > (COTIF-CIM), < In the case of the States parties to the The Montreal Convention and the two conventions applicable to the same contract of transport, the application of the "Rotterdam rules" to the "door to door" transport may conflict with other conventions. To this end, the Rotterdam rules have prepared an applicable exception clause - twenty-sixth for maritime transport. The prior and post transport damage precedes the application of other international transport conventions applicable to the section, namely, the "network liability system". In addition, the rules set up eighty-second - this conflict specification applicable to the conflict in the conflict between the Rotterdam rules and other international transport conventions.
The third part analyzes in detail the possibility of applying the "Rotterdam rules" in international multimodal transport, which is specifically divided into three parts, namely, the current international legal system on international multimodal transport, the relationship between the Rotterdam rules and other transport conventions, and the punching coordination mechanism in the rules of the case analysis.
The next fourth parts around the "sea + other" transport model, the twenty-sixth "network responsibility system" and the eighty-second conflict norms in their respective limitations in the application of three aspects, discuss the problems that may exist in the use of the "Rotterdam rule >". This part points out that these clauses may not be able to not only solve international multimodal. The purpose of unconformity of laws in intermodal transportation will make the application of law more uncertain and unpredictable.
The fifth part mainly puts forward China's Countermeasures against the entry into force of the "Rotterdam rules". This part first combs the provisions on the principles of the application of international multimodal transport law in domestic law, and points out that once the Convention is effective, it is likely to apply to China. Finally, it is suggested that China should actively study the provisions of the Convention and borrow the Rotterdam rules. We should actively modify the maritime law, and at the same time, carry out risk control measures in advance in all relevant transportation and trade sectors, so as to make full preparations for the entry into force of the Rotterdam rules.
The sixth part, which is the conclusion part, summarizes the first five parts of the contents of the "Rotterdam rule >" and the vague language, the purpose of realizing the unified multimodal transport system is still unknowns. However, in the face of the arrival of the "Rotterdam era", we must seriously study the Convention in order to reduce its transportation and trade to our country. The shock.
【学位授予单位】：吉林大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.19

【参考文献】