无单放货项下提单持有人损害赔偿请求权基础探寻

发布时间：2018-01-21 06:18

本文关键词： 无单放货提单请求权基础违约侵权　出处：《华东政法大学》2015年硕士论文　论文类型：学位论文

【摘要】：提单虽是在运输过程中由承运人签发而成,但其在经济活动中的作用并不仅仅体现在运输阶段,其多栖活动状态决定了国际货物买卖、海上货物运输及信用证结算等经济活动均以之为连接因素,形成错综复杂的法律关系。其项下损害赔偿成为海运货物索赔领域的一大难题。偏偏无单放货是海上货物运输中常见的纠纷,据国际海事委员会(CMI)的2000年统计,班轮运输存在15%的无单放货现象,租船运输达到50%,而某些重要的商品如油、矿物的交易甚至高达100%。而随着航海技术的迅猛发展,大大加快了国际货物运输的速度,提单的流转速度很多情况下已经跟不上货物运输的速度,为减少仓储成本,港口疏散货物避免积压压力,解决收货人提货之急迫,时至今日,无正本提单放货的现象层出不穷,无单交付货物纠纷案件呈逐年上升趋势,对提单持有人的权利救济非常必要。但是,关于无单放货损害赔偿问题,我国《海商法》没有作出明确的规定,理论上虽然也多有探讨,但观点也并不统一,且多集中在对提单物权效力抑或债权效力等性质、功能方面进行研究,学术性比较强,很有参考价值,但由于现有研究多是对提单某一法律点的研究,在解决实际问题中难以直接加以适用。虽然为了解决无单放货损害赔偿定性问题,最高人民法院出台了《最高人民法院关于审理无正本提单交付货物案件适用法律若干问题的规定》,赋予了提单持有人违约或侵权损害赔偿请求权。但是《规定》并未进一步规定或解释违反的是何约定,侵犯的是何权利,以至于在实践中适用混乱。本文拟运用请求权基础的方法,探寻提单项下提单持有人对承运人有何请求权,进一步再探讨违反原给付请求权所生之次给付请求权,以期解说过程能够做到有理有据,降低结论的随意性。文章分为三部分,第一部分主要介绍无单放货的由来,并且梳理提单所涉及的商事交易,并在此基础上对提单相关的主要的法律关系进行分析,进一步提出纠纷解决过程中可能会遇到的难题。如同庖丁解牛,只有对牛之结构纹理了若指掌,方能游刃有余,法律之运用也是如此,尤其对于涉及多重交易关系的提单法律问题的法律适用更需如此,仅仅勤于修磨法律之刀剑是不够的,还必须掌握了商事交易的规律,找准交易法律症结之所在,才可能更有效的解决问题。落到实处,涉及到提单的法律关系主要有以下几种。第一,提单法律关系本身。即提单签发之承运人与提单合法持有之收货人之间的法律关系,该二当事人为提单法律关系的基本当事人。依据该法律关系,提单合法持有人得凭提单向承运人主张货物交付请求权及其次给付请求权,并且承担提单上记载的义务;承运人应履行提单记载的见单向提单持有人交付货物的义务,并且享有提单所记载的权利。第二,提单签发的原因关系,即海上货物运输合同。以CIF为例,海上货物运输合同即为托运人(货方)与承运人签订的合同关系。根据该合同,货方得请求承运人签发提单并按照提单记载将货物交付给提单合法持有人,并且承担合同义务;承运人负有履行合同义务将货物运输至目的港交付给提单持有人的义务,并且享有合同上权利。提单的介入,使得海上货物运输合同上承运人与托运人之间权利义务及责任的承担似乎发生了一些变化,具体会有怎样的影响?而海上货物运输合同作为原因关系,对提单法律关系有何影响,也对提单法律关系中权利义务的准确履行及对提单持有人权利是否被保障以及如何被保障,至关重要,也是本文研究之目的,分析之重心。第三,提单背书转让或者交付的基础关系,包括原始的国际货物买卖合同、海上运输在途货物的买卖、信用证结算等等。以CIF买卖为例,买卖双方当事人接受以提单的交付视为货物的交付,根据买卖合同,提单持有之前手有义务将提单背书转让或者交付给后手,并且享有向后手主张支付价金的权利;提单受让人享有向前手主张交付提单的请求权(后手接受提单如同接受货物一样),同时负有支付价金的义务。应探讨的是,依提单之交付,除了取得提单上的权利,是否对提单项下货物取得权利,取得何种权利?另外,还应注意的是,提单项下的基础法律关系,除了单证买卖之法律关系外,尚存在其它涉及单证移转的情形,在他种情形下,提单权利人对提单项下货物又取得怎样的权利呢?例如,在使用信用证结算的方式场合下,提单先转让给银行来议付信用证下的款项时,银行也会成为受让提单之提单合法持有人。如果不赋予作为提单合法持有人的银行对承运人的独立请求权,银行的合法利益就会难以得到保证,被喻为“国际贸易活动生命线”的信用证制度也将受到挑战。但是银行只是以之作为参与国际贸易结算的保证,本无意于提单项下的货物,那在这种情形下,提单权利人对提单项下的货物有怎样的权利呢?不同的基础关系,会否影响到提单后手持有人的权利?第四,提单与其所表彰的货物之间的关系。提单不同于金钱证券,为一种载货证券,其下货物的存在与否对提单效力会产生怎样的影响,从而间接影响提单合法持有人的权利?通过梳理提单及与其相关的法律关系,分析无单放货项下提单权利人对承运人主张损害赔偿请求权可能面临的障碍,可以归纳出在探寻损害赔偿请求权基础的路上,需要解决提单与运输合同之间的关系以及提单与货物之间的关系,即传统观念之提单债权效力与物权效力问题。第二部分探寻解决无单放货问题的请求权基础,主要围绕第一部分所提出的问题进行解决,以扫清寻找请求权道路上的障碍。首先,找寻与之相关的法律规范。我国《海商法》没有作出明确的规定,《规定》,赋予了提单持有人可以以违约或侵权为由,向承运人主张损害赔偿责任的权利。但是《规定》并未进一步规定或解释违反的是何约定,侵犯的是何权利。其次,对于损害赔偿定性之法律未说明的问题,区分违约与侵权,分别找出其争议点进行探讨。一方面,对于违约之定性,主要争议在于提单与运输合同之间的关系,借助于学说,进行分析反思,并试图与我国法律相结合,同时注重海商事交易习惯所赋予提单的各项功能,运用分析、综合等逻辑推理的方法,推演合乎法律逻辑及商事现实的结果。具体而言,我国传统学说主张合同转让说与第三人利益合同说,对之进行详细的论证并且讨论我国法上适用的可能;对于近期流行的提单独立法律关系说法,区分证权证券性与设权证券性进行利弊分析,从保障提单流通尊重海商事交易的角度,采设权证券性之观念,并且引用新债清偿理论使承运人免受双重赔偿风险的同时,对托运人的请求权也加以保护。另一方面,对于侵权之定性,主要争议在提单的物权效力上,我国学说上经历了从所有权凭证到占有凭证的进化,比较法学说上存在绝对说与代表说之争,拟制占有表征与依当事人主观意思等不同侧重面的论争,对纷繁之理论,进行深入分析其实质,并进行同异比较,综合得出与提单设权性吻合不悖的提单之拟制占有功能,同时,着重提单项下国际货物买卖法律关系,分析物权之变动与提单交付之联系。具体而言,对于提单物权效力,区分狭义的提单物权效力与提单项下物权变动效力,即提单合法持有人基于提单本身与货物之间的关系,以及提单持有人因提单基础关系在提单受让后取得的对货物之权利,次第分析。第三部分对无单放货情形下,提单合法持有人损害赔偿请求权进行罗列。在第二部分所得出的损害赔偿的定性的基础上,区分不同的原给付请求权,判断承运人无单放货的行为,分别侵犯了提单持有人的何种权利,并列出该类型权利受到侵犯时,提单合法持有人得向承运人主张损害赔偿的构成要件。具体而言,分为三种。第一,基于提单债权主张违约损害赔偿请求权。第二,基于提单之对货物的拟制占有,主张侵占之侵权损害赔偿请求权。第三,在买卖情形下,提单持有人因有效的买卖基础法律关系,取得货物所有权的,可基于所有权被侵害主张损害赔偿请求权。至此,对于无单放货类型的纠纷,运用损害赔偿请求权思维模式,解说完成。至于,承运人可能提出的抗辩,并为实践中错误得被肯定的一些具体问题,大都在前一部分理论运用构建的过程中进行了解说,本部分不再赘述。
[Abstract]:Bill of lading is in the process of transportation issued by the carrier form, but its role in the economic activities is not only reflected in the phase of transportation, its dwelling activity state determines the international sale of goods, carriage of goods by sea and the letter of credit and other economic activities are the connecting factor, legal relationship between the perplexing. Under the compensation for damage has become a major problem in the field of shipping goods claim. But the delivery of goods without dispute is common in the carriage of goods by sea, according to the International Maritime Committee (CMI) 2000 statistics, the delivery of goods without the phenomenon of liner 15%, the Charter reached 50%, and some important commodities such as oil, minerals and even trading up to 100%. with the rapid development of navigation technology, greatly accelerate the speed of the international transport of goods, bills of lading transfer rate in many cases has not complied with the cargo transportation speed, in order to reduce the storage The cost of goods, port evacuation to avoid the backlog of pressure, solve the urgent delivery of the consignee of today, emerge in an endless stream of delivery without original bill of lading phenomenon, no single delivery dispute cases increased year by year, the holder of the bill of rights relief is necessary. However, in the delivery of goods without damage, China's "maritime law" no definite provisions, although there are also many theoretical discussion, but the view is not uniform, and more concentrated in the nature of real right or creditor's bill of lading, studied the function of academic, relatively strong, great reference value, but because of the current research is to study the bill of lading a legal point. In solving practical problems is difficult to directly apply. Although the delivery of goods without damages in order to solve the qualitative problems, the Supreme People's Court promulgated the "Supreme People's Court on the trial of the goods without original bill of lading delivery The provisions on Several Issues concerning the application of laws in cases of things, gives the holder of the bill of lading breach of contract or tort claim for damages. "But did not further regulations or provisions on the interpretation of what is the breach of the agreement, is a violation of rights, so that the application of chaos. This paper intends to use the method of claim basis, explore under the bill of lading bill of lading what is the right holder of the carrier, and then discuss further violation of the original right to request payment of the first payment request to the right, in order to explain the process to be reasonable, reduce the randomness. The article is divided into three parts, the first part mainly introduces the origin of non delivery of goods, commercial transactions and combing the bill of lading involved. Analysis of the main legal relationship and on the basis of the bill of lading related, further put forward the problems may be encountered in the process of dispute resolution. Like Paodingjieniu, only on the structure of cattle The texture on top of, in order to cope with, so it is legal, especially for bill of lading legal issues related to multiple transaction relation law is even more so, only in grinding sword law is not enough, we must master the law of commercial transactions, the transaction legal identify the crux of, it may be more effective to solve the problem. Implement, involves the legal relationship of bill of lading are mainly the following: first, the legal relationship between the bill of lading itself. The legal relationship between the carrier and the consignee is the lawful possession of the bill of lading bill of lading issued, the two parties as the basic legal relationship between the parties of the bill of lading. On the basis of the legal relationship, legal bill of lading holders by one-way carrier cargo claim right to request delivery and the right to request payment, and pay the bill of lading on record carrier shall perform the obligation; see the bill of lading bill of lading holds a one-way People have the obligation to deliver the goods, and bill of lading recorded rights. Second, the relationship between the reason that the bill of lading, namely the contract of carriage of goods by sea. In the case of CIF, the contract of carriage of goods by sea is the shipper (goods) and contract signed by the carrier. According to the contract, the goods may request the carrier issuing the bill of lading and according to the bill of lading will deliver the goods to the lawful holder of bill of lading, and undertake the obligation of contract; the carrier has the obligation of contract to transport the goods to the port of destination delivered to holders of bill of lading, and enjoy contract rights. The bill of lading in the contract of carriage of goods by sea duty and responsibility between the carrier and the shipper seems to happen some specific changes, what impact will be? And the contract of carriage of goods by sea as the reason, the impact on the legal relation of the bill of lading, the bill of lading legal relationship Is the rights and obligations of the holder of the bill of lading to perform accurate and whether the rights be guaranteed and how to be protected, and is also the purpose of the study, analysis of the center of gravity. The third basic relations, bill of lading endorsement or delivery, including the original contract for the international sale of goods, the sale of maritime transport of goods in transit, the letter of credit to CIF and so on. Business as an example, the parties to accept the delivery of bill of lading as the delivery of goods, according to the contract, bill of lading is obliged to hand hold before the bill of lading endorsement or delivery to and have to hand hand, should pay the price of the transferee of bill of lading right; enjoy the right of claim of the forward hand delivery of the bill of lading (after acceptance the bill of lading as acceptance of goods, at the same time as) for payment obligations. It should explore is, according to the bill of lading delivery, in addition to access rights on the bill of lading, whether the bill of lading The goods under the right to obtain what, right? In addition, you should also note that under the bill of lading in addition to the basic legal relationship, legal documents trading relationship, there are other related documents transfer, in his case, bill of lading right of goods under the bill of lading has what rights? For example in the settlement, the use of credit mode occasions, bill of lading first transferred to the bank for negotiation under the letter of credit payment, the bank will become the lawful holder of bill of lading bill of lading. If you do not give the lawful holder of bill of lading as Bank of independent claim to the carrier, the bank's legal interests will be difficult to be guaranteed. Referred to as "the lifeline of international trade" credit system will be challenged. But just as banks involved in international trade settlement guarantee, this is not the goods under the bill of lading, that in this kind of situation Form, bill of lading right to the goods under the bill of lading has what rights? Based different relations, will affect the rights of the bill of lading with? Fourth, the relationship between bill of lading and the recognition of the goods. The bill of lading is different from the money stock, a bill of lading, the presence of the goods the effect of the bill of lading will produce what kind of impact, and thus indirectly affect the lawful holder of bill of lading right? By combing the bill of lading and related legal relationship analysis, no rights under the bill of lading delivery of goods to the carrier that the claim for damages may face obstacles, can be summed up in the way of right of claim for damages based on the needs of to solve the relationship between bill of lading and the transport contract, bill of lading and goods, namely the traditional concept of the bill of lading the obligation and the real effect. The second part is to explore the solution to the delivery of goods without asking The right of claim problems, mainly around the first part proposed to resolve the problems, to clear the obstacles on the road to find the claim. First of all, find legal norms relating to China's Maritime Law >. < < no definite provisions, provisions on, gives the holder of the bill of lading to breach of contract or tort. The carrier to claim damages liability rights. But the provisions did not further provisions or < > interpretation is a violation of any agreement, is a violation of any rights. Secondly, the law of compensation for damages of qualitative description of the problem, to distinguish between tort and breach respectively to find out the point of controversy is discussed. On the one hand, for breach of the qualitative the main argument is that, the relationship between bill of lading and the contract of carriage, by means of theory analysis, reflection, and tries to combine with the law of our country, various functions and focus on maritime trading habits with the use of bill of lading, Method of comprehensive analysis, such as logical reasoning, legal logic deduction and commercial reality results. In particular, China's traditional theory that the contract and the transfer of contracts for the benefit of the third person said, carried on the detailed demonstration and discussion for our country may be; for the recent popular independent legal relationship between the bill of lading, the rights of securities and power securities of the advantages and disadvantages, from the protection of maritime trade bill of lading circulation respect angle, mining power securities of ideas, and refer to the new debt settlement theory makes the carrier from Double Indemnity risks at the same time, the right to request the shipper is protected. On the other hand, for infringement the main qualitative controversy on the property validity of the bill of lading, the legal theory of our country has experienced from the ownership certificate to the certificate of possession of evolution, comparative law theory on the absolute and representative point, to share the table In accordance with the parties sign and the subjective meaning and different emphasis on the controversy of numerous theory, in-depth analysis of its essence, and gives a comprehensive comparison between, and bill of lading establishing rights agreement not contrary to the bill of lading to share function, at the same time, focus on the international sale of goods under the bill of lading legal relationship, contact analysis of real right change with the delivery of the bill of lading. Specifically, the bill of lading bill of lading to distinguish the effectiveness of real right, real right narrow and under the bill of lading bill of lading is the change of real right effect, the relationship between itself and the lawful holder of bill of lading of goods based on the basis of the bill of lading and the holder of the bill of lading relations in the bill of lading of goods after the transfer of rights, the third part of the sequence analysis. Delivery of goods without the bill of lading under the lawful holder of the claim for damages were listed. Based on the second part of the qualitative compensation for damage on the original to distinguish different Pay the right to request, determine the delivery of goods without bill of lading, respectively violated what rights holder of the bill of lading, and lists the types of rights are violated, the constitutive requirements of bill of lading legal holder claims compensation from the carrier damage. Specifically, divided into three types. First, based on the bill of lading claims for breach of contract claim for damages. Second, based on the preparation of the possession of the goods on bill of lading, the right of compensation for tort claims. On third, in the sales situation, the holder of the bill of lading is effectively the sale of basic legal relationship, obtain ownership of the goods, can claim ownership is against the right to claim damages. Based on this, for the delivery of goods without the types of disputes, use the right of compensation for the damage mode of thinking, interpretation. As for the carrier, may put forward defense, and some specific problems in practice is wrong for sure, mostly in the first part In the process of the construction of the theory, the explanation is carried out, and this part is no longer described.

【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.294

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