倒签提单下承运人赔偿责任研究

发布时间：2018-07-12 17:26

本文选题：倒签提单 + 赔偿责任　；参考：《大连海事大学》2012年硕士论文

【摘要】：提单在国际贸易中占据着十分重要的地位,它不仅是海上货物运输合同的证明,也是国际贸易合同下必备单证。在采用信用证支付货款的国际贸易之中,提单至关重要,因为只有卖方提供符合信用证规定的提单,银行才能根据“单证一致”的原则向卖方支付货款。然而,在国际贸易及航运实践中却出现了倒签提单这一违法行为,损害了收货人的合法权益,严重影响了国际贸易和海上货物运输业务的健康发展。究其产生原因主要有两个:一是在货物装船日期与信用证规定的日期不一致时,卖方为了顺利结汇,通常会要求承运人签发倒签提单,以满足银行“单证一致”的要求；二是,在装货迟延时,承运人为了顺利获得运输合同下的运费,也会自行签发倒签提单。倒签提单问题由来已久,我国海商法学界和实务界对其十分重视,学者针对倒签提单进行了广泛研究探讨。但是这些探讨主要集中在倒签提单行为定性方面,对于承运人赔偿责任部分缺乏系统的研究。本文在总结前人研究成果的基础上,对倒签提单下承运人赔偿责任展开系统的研究。论文大致分为如下的几个部分：第一部分,倒签提单概述。此部分主要阐明倒签提单的含义及特征,指出提单日期的重要性,点明倒签提单存在的现实危害。第二部分,承运人赔偿责任的认定依据。该部分主要探讨倒签提单下,承运人承担赔偿责任的理论依据和规范依据。理论依据来源于对倒签提单行为责任的法律定性,定性之后才能据此要求承运人承担相应的赔偿责任。规范依据指的是现行法律对于倒签提单行为的规制,通过对其进行分析可以确定收货人损害赔偿的请求权基础。我国法律对于倒签提单下承运人赔偿责任缺乏明确的法律规范,但是我们仍然可以根据《海商法》《侵权责任法》以及《民法通则》等相关的法律进行判断。此外,笔者认为,承运人赔偿责任应当定性为侵权责任,这样才能更好地保护收货人的合法权益。第三部分,承运人赔偿责任的范围。该部分首先指出倒签提单下收货人可能存在的损失,然后确定承运人赔偿责任所应当遵循的基本原则,最后分析承运人赔偿责任的具体范围。笔者认为,确定承运人赔偿责任范围应当遵循因果关系原则、全部赔偿原则、减轻损失原则和遥远损失不赔原则。因而按照上述原则,承运人的赔偿责任范围主要包括货款及利息损失、特殊情况下的额外费用。第四部分,倒签提单下的抗辩与举证。该部分对承运人在面临诉讼之时可能存在抗辩理由进行简单地分析,同时明确收货人在倒签提单下可能承担的举证责任。笔者认为,在倒签提单之下承运人也是可以享受免责条款、赔偿责任限额等各种抗辩权,但是需要承运人进行举证。此外,收货人欲使承运人承担赔偿责任,需要就承运人主观上的过错以及承运人行为与损失之间存在因果关系进行举证。第五部分,倒签提单下承运人赔偿责任的制度完善。该部分首先指出承运人赔偿责任存在的一些具体问题,然后针对这些问题提出完善的建议。倒签提单下承运人赔偿责任存在很多的问题,其中最主要的问题体现在法律依据不够明确、责任定性模糊和赔偿范围过于狭小等三个方面。欲改变此种状况,笔者建议采取如下的两种措施：制定关于倒签提单若干问题的司法解释和筛选指导性案例。
[Abstract]:Bill of lading occupies a very important position in international trade. It is not only a proof of the contract of carriage of goods by sea, but also a necessary document under the contract of international trade. In the international trade of payment of goods by letter of credit, the bill of lading is of vital importance, because only the seller provides the bill of lading that meets the requirements of the letter of credit. The principle of "causing" is paid to the seller. However, in the practice of international trade and shipping, the illegal act of bill of lading has appeared, which has damaged the legitimate rights and interests of the consignee and seriously affected the healthy development of international trade and maritime transport business. The main reasons are two: one is the date of shipment and the letter of credit. When the specified date is inconsistent, the seller usually requires the carrier to issue a bill of lading to meet the requirements of the bank 's "unanimous documents" in order to make a smooth settlement. Two, the carrier will also issue the bill of lading on its own in order to obtain the freight under the contract of transportation.
The issue of bill of lading has a long history, and the legal and practical circles in our country attach great importance to it. Scholars have studied the bill of lading extensively. However, these discussions mainly focus on the qualitative aspects of the act of bill of lading and the lack of systematic research on the liability part of the carrier. This paper is based on the summary of the previous research results. A systematic study of the carrier's liability for compensation under the reverse signed bill of lading is made in this paper.
The first part is an overview of the bill of lading. This section mainly clarifies the meaning and characteristics of the bill of lading, points out the importance of the date of the bill of lading, and points out the actual hazards of the existence of the bill of lading.
The second part is the basis for the identification of the liability of the carrier. This part mainly discusses the theoretical basis and standard basis for the carrier to undertake the liability for compensation under the bill of lading. The theoretical basis is based on the legal nature of the act responsibility of the bill of lading, and then the carrier will be required to bear the corresponding liability accordingly. The current laws regulate the act of the bill of lading, and through the analysis of the bill of lading can determine the basis of the claim for the damages of the consignee. China's law lacks a clear legal norm on the liability of the carrier under the bill of lading, but we can still be based on the relevant laws, such as the maritime law > < the right of authority > and the general rules of the civil law. In addition, the author thinks that the liability of the carrier should be classified as tort liability, so as to better protect the legitimate rights and interests of the consignee.
The third part, the scope of the liability of the carrier. This part first points out the possible losses of the consignee under the bill of lading, and then determines the basic principles that the carrier should follow, and finally analyzes the specific scope of the liability of the carrier. As a result, the principle of compensation should be made to reduce the principle of loss and the principle of remote loss. Therefore, in accordance with the above principles, the liability of the carrier mainly includes the loss of money and interest, and the extra expenses in special circumstances.
The fourth part, the counterplea and proof under the bill of lading, the part of the carrier may have a simple analysis of the reasons for the defense in the face of the lawsuit, and at the same time clearly define the burden of proof that the consignee may bear under the bill of lading. The author thinks that the carrier can also enjoy the exemption clause and the liability limit under the bill of lading. The right of defense is required, but the carrier is required to give evidence. In addition, the consignee wants to make the carrier liable for the liability. It is necessary to give a proof of the causal relationship between the carrier's subjective fault and the carrier's behavior and loss.
The fifth part is to perfect the system of liability for the carrier under the bill of lading. This part first points out some specific problems in the liability of the carrier, and then puts forward a perfect suggestion on these problems. There are many problems in the liability of the carrier under the bill of lading. The most important problem is that the legal basis is not clear enough. The three aspects of the ambiguity of responsibility and the scope of compensation are too small. To change this situation, the author proposes to take the following two measures: to formulate judicial interpretations and screening guidance cases on a number of questions of the bill of lading.
【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.19;D922.294

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