提单的物权凭证功能之演变

发布时间：2018-08-21 10:57

【摘要】：提单，经过了几百年的演变发展，一直在国际海上货物运输中起着极其重要的作用。随着现代航运技术的发展和国际海上货物贸易的日益频繁，提单的基本功能也不断演变和细化，作为提单基本功能之一的物权凭证功能亦是如此。提单的物权凭证功能作为提单制度的基石，经历了几个世纪的发展，从最初的萌芽阶段，发展到海上货物运输统一法时代的固化阶段，再演变到《鹿特丹规则》体系下的减损与完善阶段。纵观这一过程，我们不难发现，提单的物权凭证功能的每一步演变既顺应了国际海上货物运输实践的要求，又推动了国际海上货物贸易的繁荣，同时使得提单一直饰演着国际海上货物运输贸易中的重要角色。关于提单的物权凭证功能，尽管学术界还存在其有或无的争论，但是根据主流观点和国际贸易运输的实践惯例与立法规范，提单具有物权凭证功能是毋庸置疑的。提单的物权凭证功能的演变与完善促进了提单制度的完善。在海上货物运输习惯法时期，，提单开始作为货物运输的证明；到三大统一国际海上货物公约《海牙规则》、《维斯比规则》和《汉堡规则》时期的提单的物权凭证功能的逐渐固化，船货双方的利益博弈对海上货物运输产生了深远的影响，提单的物权凭证功能随着船货双方的博弈而逐步固化，同时固化过程每前进一步船货双方的地位就更加趋于平等，海上货物运输发展也更向着健康的方向迈进。为达到介绍清晰连贯之目的，本文的写作围绕着三个主要脉络。第一，本文围绕着契约自由原则的萌芽、演进发展过程对国际海上货物运输的发展过程的影响进行概述。契约自由原则在民商事领域的萌芽阶段，也正是国际海上货物运输的起步阶段，提单只在当时是船货双方交易的习惯和惯例中存在。契约自由原则从兴起到受到限制，正迎接了国际海上货物运输统一法时代的到来，《海牙规则》与《维斯比规则》中对船方利益的偏袒是契约自由原则兴起并被广泛运用的时期。到了《汉堡规则》中对船货双方地位的均衡规定正是契约自由原则受到限制甚至被排除适用的时期。到了《鹿特丹规则》时代，契约自由原则被再次引入，适当承认无单放货的合法性正是契约自由原则被引入的体现。这一原则的引入是对提单的物权凭证功能之减损，也预示着提单的物权凭证功能要被重新定位。第二，本文围绕着海上货物运输统一法的进程阐述，从习惯法到三大海运公约的确立再到《鹿特丹规则》的出现，提单的物权凭证功能正是在这一过程中被逐步确立和完善的，这一过程也是国际海上货物运输逐步发展壮大进步的过程。第三，本文围绕着整个国际海上货物运输的船货双方展开叙述，经过几个世纪的博弈，船货双方的地位和利益发生了根本性变化，昔日处于绝对强势地位的船方已合理回归，昔日处于弱势地位的货方也逐渐将争取自己合理利益的呼声变为现实。船货双方利益的博弈也加速了提单的物权凭证功能的确立及完善。本文通过对提单的物权凭证功能的演变过程进行分析介绍，从横向对比与纵向对比的角度总结出提单的物权凭证功能在海上货物运输发展的各个阶段的不同地位与作用。同时着重结合《鹿特丹规则》体系下提单的物权凭证功能定位，得出自己的见解：即提单的物权凭证功能在新的海运规则体系下得到了隐性传承，并且更符合当今国际海上货物运输的发展潮流，同时提出了我国在应对《鹿特丹规则》体系时的应对策略。
[Abstract]:Bill of lading, after hundreds of years of evolution and development, has been playing an extremely important role in the international carriage of goods by sea. With the development of modern shipping technology and the increasing frequency of international trade in goods by sea, the basic functions of bills of lading are constantly evolving and refined, as one of the basic functions of bills of lading, the functions of documents of title are also the same. As the cornerstone of the bill of lading system, the function of the document of title has gone through several centuries of development, from the initial embryonic stage to the solidification stage of the era of the Uniform Law of Carriage of Goods by Sea, and then to the stage of derogation and perfection under the Rotterdam Rules. One-step evolution not only conforms to the requirements of international carriage of goods by sea, but also promotes the prosperity of international trade in goods by sea. At the same time, the bill of lading plays an important role in international carriage of goods by sea.
The function of bill of lading is undoubtedly a document of title according to the mainstream viewpoint and the practice and legislative norms of international trade and transportation. The evolution and perfection of the function of bill of lading promotes the perfection of bill of lading system. During the period of customary law of carriage of goods, the bill of lading began to be used as proof of carriage of goods. By the time of the Hague Rules, Visby Rules and Hamburg Rules, the functions of documents of title of bills of lading were gradually solidified, and the game of interests between shippers and cargo had a far-reaching impact on carriage of goods by sea. It can be gradually solidified with the game between ship and cargo. At the same time, the status of both ship and cargo becomes more equal and the development of marine cargo transportation is more healthy.
In order to achieve the goal of clarity and coherence, this paper focuses on three main contexts. Firstly, this paper outlines the germination of the principle of freedom of contract, the impact of its evolution on the development of international carriage of goods by sea. In the initial stage, the bill of lading existed only in the customs and practices of the trade between the ship and the cargo party at that time. The principle of freedom of contract, from its rise to its limitation, is welcoming the arrival of the era of unified international law for the carriage of goods by sea. The preference for the interests of the ship in the Hague Rules and Visby Rules is the time when the principle of freedom of contract arises and is widely used. By the time of the Rotterdam Rules, the principle of freedom of contract was reintroduced and the legitimacy of delivery without bill of lading was appropriately recognized, which was the embodiment of the principle of freedom of contract. The impairment of the function of the bill of lading's document of real right also indicates that the function of the bill of lading's document of real right will be re-positioned. Secondly, this paper expounds the process of the unified law of carriage of goods by sea, from the customary law to the establishment of the three major maritime conventions to the emergence of the Rotterdam Rules. It is in this process that the function of the bill of lading's document of real right is gradually re-positioned. Establishment and perfection of this process is also a gradual development and progress of international carriage of goods by sea. Thirdly, this paper focuses on the entire international carriage of goods by sea both sides of the ship and cargo described, after several centuries of game, the status and interests of both sides of the ship and cargo have undergone fundamental changes, formerly in an absolutely strong position of the ship. After a reasonable return, the cargo side which was in a weak position in the past gradually turned the call for their own reasonable interests into reality.
Through the analysis and introduction of the evolvement process of the bill of lading's real right certificate function, this paper summarizes the different status and function of the bill of lading's real right certificate function in various stages of the development of maritime cargo transportation from the angle of horizontal and vertical comparison. The author puts forward his own opinions: that the function of the bill of lading's document of title has been implicitly inherited under the new maritime transport rules system, and is more in line with the development trend of international maritime cargo transportation nowadays. At the same time, the author puts forward our country's Countermeasures in dealing with the Rotterdam Rules system.
【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】：D996.19

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