论《鹿特丹规则》下的货物控制权及其对我国的启示

发布时间：2019-03-03 12:00

【摘要】：联合国国际贸易法委员会经过长期研究制定地《联合国全程或部分海上国际货物运输合同公约》，已于2008年由联合国大会第63届会议审议通过。由于该公约的正式签署发布地为荷兰著名的港口城市鹿特丹，因此，也把该公约称为《鹿特丹规则》。与以往的海上货物运输领域的公约相比，《鹿特丹规则》创设了一些新的概念和制度，有关货物控制权制度的规定是其中最为新颖，也颇具争议的内容。货物控制权制度的建立，有助于运输合同与买卖合同的合理衔接和匹配，也是顺应现代国际贸易方式电子化发展趋势的客观要求，因此，对这一权利进行研究，颇具价值。本文共分为三部分：引言、正文、结语。正文部分分为四章，分层次对海上货物运输中的货物控制权制度进行研究和探讨：第一部分：货物控制权的基本理论。本章中，笔者首先从该制度在既有的部分国际公约与国内法中的立法现状入手，结合《鹿特丹规则》的相关规定，概括出货物控制权的概念。然后从理论出发，分析论证货物控制权的权利性质，得出结论：货物控制权是债权、形成权。该部分还对货物控制权与中途停运权进行比较，从二者的理论来源、主体、内容、行使条件、目的方面进行辨析。最后，论述货物控制权在买卖合同与运输合同的匹配上，以及推进国际贸易方式电子化的发展趋势上所具有的制度价值。第二部分：货物控制权的主体。结合《鹿特丹规则》，重点介绍货物控制权的权利主体，按照签发的运输单证的不同性质，分别阐述货物控制权主体的识别和转让规则。关于货物控制权的义务主体方面，重点讨论履约方是否可以成为货物控制权的义务主体的问题。第三部分：货物控制权的内容及其行使。在本部分，笔者从对货物下达和变更指示、变更目的港、变更收货人三个方面对货物控制权的内容进行剖析。同时，本部分还论述了货物控制权的行使条件和方式。第四部分：货物控制权制度对我国的启示。在本章，笔者首先分析了货物控制权制度在我国的立法缺失现状，进一步指出这种缺失在实践中导致的问题和造成的尴尬局面；其次，从理论上分析在我国建立完整的货物控制权制度的必要性和可行性；接着，笔者选取了英美法系与大陆法系中有关货物控制权的具有代表性的国家之立法，即美国《统一商法典》中的中途停运权、《德国商法典》中的货物处分权，，对其权利规则构造进行分析，并总结其值得借鉴之处；最后，以《鹿特丹规则》对于货物控制权的构建为基础，结合相关国家的先进立法，针对海上货物运输的特殊性，并着眼于我国现有立法及海运实践，为在我国建立货物控制权制度提出立法谏言。
[Abstract]:The United Nations Convention on contracts for the International Carriage of goods wholly or partly by Sea, formulated by the United Nations Commission on International Trade Law after long-term study, was considered and adopted by the United Nations General Assembly at its 63rd session in 2008. The Convention, also known as the Rotterdam rules, is officially signed and published in Rotterdam, the famous port city of the Netherlands. Compared with the previous conventions in the field of carriage of goods by sea, the Rotterdam rules have created some new concepts and systems, among which the regulation of the system of control of goods is the most novel and controversial content. The establishment of the system of control of goods is conducive to the reasonable connection and matching between the contract of carriage and the contract of sale, and is also the objective requirement of the trend of electronic development of modern international trade. Therefore, the study on this right is of great value. This article is divided into three parts: introduction, text, conclusion. The main body is divided into four chapters: the first part is the basic theory of the control right of goods, which is divided into four chapters: one is the research and discussion on the control system of goods in the carriage of goods by sea. In this chapter, firstly, the author generalizes the concept of control right of goods from the status quo of legislation in some of the existing international conventions and domestic laws, combining with the relevant provisions of the Rotterdam rules. Then starting from the theory, the right nature of the control right of goods is analyzed and proved, and the conclusion is that the control right of goods is the creditor's right and the right of formation. This part also compares the control right of goods with the right of stoppage in midway, and discriminates from the theoretical source, subject, content, exercise condition and purpose of the two. Finally, this paper discusses the institutional value of the right of control of goods in the match between the contract of sale and the contract of carriage, as well as the development trend of promoting the electronic mode of international trade. The second part: the subject of the control right of goods. Combined with the Rotterdam rules, this paper mainly introduces the subject of the right of control of goods, and expounds the identification and transfer rules of the subject of control of the goods according to the different nature of the transport documents issued. On the subject of the control of goods, this paper mainly discusses whether the performing party can be the subject of the right of control of the goods. The third part: the content and exercise of the control right of goods. In this part, the author analyzes the contents of the control right of the goods from three aspects: issuing and changing instructions to the goods, changing the port of destination and changing the consignee. At the same time, this part also discusses the conditions and ways of exercising the control right of goods. The fourth part: the enlightenment of the system of control of goods to our country. In this chapter, the author first analyzes the status quo of the lack of legislation of the system of control of goods in our country, and further points out the problems and embarrassing situation caused by this lack in practice; Secondly, the necessity and feasibility of establishing a complete control system of goods in our country is analyzed theoretically. Then, the author selects the legislation of the representative countries in the Anglo-American law system and the civil law system concerning the control of goods, that is, the right of stoppage in the United States uniform Commercial Code and the right of disposition of goods in the German Commercial Code. The structure of its rights rules is analyzed, and the reference points are summarized. Finally, on the basis of the construction of the Rotterdam rules for the control of goods, combined with the advanced legislation of the relevant countries, aiming at the particularity of the carriage of goods by sea, and focusing on the existing legislation and maritime transport practice in China, In order to establish the system of control of goods in our country put forward legislative advice.
【学位授予单位】：中国海洋大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.19;D922.294

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