提单批注法律问题研究

发布时间：2018-03-30 04:37

本文选题：提单批注　切入点：表面状况　出处：《西南政法大学》2009年硕士论文

【摘要】： 随着经济全球化的不断深入,国际货物贸易三分之二以上都是通过海上运输实现的。提单作为海上运输最为重要的法律单证之一,直接关系到托运人、收货人、承运人等多方关系人的切身利益。提单产生之初,仅具有收据功能,它是对装船货物的质量、数量以及表面状况等事项的书面确认,是证明货物收受这一特定事实的书面凭证。随着提单进入贸易领域,它才衍生出了运输合同证明和物权凭证两大功能。而提单的收据功能是最具基石意义的功能,它的这一功能完全在运输领域中得以体现。提单上记载着托运人的名称、货物品名、数量、质量和规格等。如果货物在装船过程中出现损坏,则承运人需要在该收据上另行批注说明货物的外表真实情况,作为事后交货时免除责任的依据,这就构成了“提单批注”。提单批注指的是承运人或者代其签发提单的人,在提单正面就提单所记载的货物品名、标志、包数或件数、重量或体积的准确性以及货物表面状况所作的附注性记载,以客观如实的反映提单所记载货物的实际状况。在提单上就货物的实际状况加以记载,是国际贸易的必然要求,也是买卖合同以及结算汇兑对提单的要求在运输环节中的体现。一项合法有效的批注可以切实保障承运人和收货人的合法权益。正因为提单批注关系着托运人、承运人、收货人等多方利害关系人的利益,故在航运实务中,提单批注有着举足轻重的地位。承运人在制作提单时应谨慎处理,不可滥发清洁提单,一点点疏忽都会带来巨大的损失。提单批注是承运人一项重要的权利和义务,掌握和运用正确的观点和方法,对于在航运实务中承运人准确地表达意图,批注提单有着重要意义。本文以此为出发点,采用提单批注理论知识的探讨和实务操作结合的写作方式,以期对提单批注法律问题有更清晰的认识,有助于承运人正确行使该权利和履行该义务,进而促进我国航运业的健康发展。本文包括以下七个部分: 引言部分主要介绍了有关提单批注法律问题的研究现状和本文的写作目的。第一部分笔者分别从现实的合理性和法律的可行性两个角度谈到提单批注存在和适用的价值。第二部分阐述了提单批注的法律基本概况。首先,笔者从提单批注的法律属性入手,这一单方法律行为既是承运人的权利也是承运人的义务,承运人必须适时而不扩大的准确行使该项权利和履行该项义务。紧接着,笔者专门就以下几个相关概念做了比较研究:提单记载、清洁提单、不清洁提单、大副收据被批注,以期能更好的认识提单批注的作用。然后,笔者分别从理论的角度和航运实务的角度,介绍了提单批注的两种表现形式和几种常见的标准提单批注类别,并予以了解释说明。第三部分论证了提单批注权的行使。笔者首先谈到权利行使的主客体。然后,进一步阐述了提单批注权行使中产生的纠纷中利害关系人的权责划分。分别从纠纷产生原因和权责划分两方面来看待此问题。在本部分的最后,笔者对承运人在行使提单批注权时的两个特殊问题进行了探讨。第四部分以利害关系人为视角,论述了提单批注的效力。在托运人和承运人之间,当出现货物表面状况与提单记载事项不一致的情况时,托运人往往为了能顺利结汇促成买卖合同的完成,而出具保函以此向承运人要求换发清洁提单。善意的保函在航运惯例和法律规定中是被肯定和接受的。提单记载是承运人收到所述货物的初步证据,对提单受让人而言该记载属于绝对证据。如果提单经承运人正当批注,则这种批注将保护承运人,提单中关于货物状况的记载将不具有任何证据效力,承运人免责。在托运人和银行之间,银行仅有审核表面单据的义务,托运人要想顺利结汇就必须向银行提供清洁提单。银行审单完全是凭提单记载和提单批注,它不能一味的拒收含有批注的提单,必须严格认定哪些批注才真正的构成“不清洁”,从而不阻碍支付的顺利进行。第五部分探讨如何从立法上完善有关提单批注的法律规定,并从航运实务角度提出了对承运人如何行使提单批注权的建议。海商法是门实务性很强的法律学科,提单作为航运业中最重要的法律单据在整个海商法学科中占据着重要地位,而提单批注这一看似微不足道的法律和航运问题却关系着多方利害关系人的切身利益,对它的法律研究的根本出发点和最终落脚点就是希望能在实务操作中给予足够充分的指导与帮助,从而促进我国航运业的健康有序发展。笔者针对完善已有法律和专门立法两方面提出意见与建议。紧接着,从实务操作角度出发,笔者提出了五点关于如何正确恰当行使提单批注权的建议。结语部分总结了本文的主要观点并提出了展望。
[Abstract]:With the deepening of the globalization of the economy , more than two thirds of the international merchandise trade is realized by sea transport . The bill of lading is one of the most important legal documents of the sea transportation . The bill of lading has only the function of receipt .

The endorsement of bill of lading is an essential requirement of international trade , and it is an inevitable requirement of international trade . It is an inevitable requirement of international trade .

This article includes the following seven sections :

The introduction part mainly introduces the research status of the law problem of bill of lading , and the purpose of this paper .

In the first part , the author discusses the existence and application value of the endorsement of bill of lading from two aspects : the rationality of reality and the feasibility of law .

In the second part , the paper expounds the basic general situation of the endorsement of bill of lading . First , the author starts with the legal attribute of the bill of lading , which is both the carrier ' s right and the carrier ' s obligation . The carrier must exercise the right and fulfill the obligation in due time and not . Then , the author makes a comparative study on several related concepts : bill of lading , clean bill of lading , non - clean bill of lading , big and secondary receipts being endorsed , so as to better understand the effect of the bill of lading . Then , the author introduces two forms of the annotation of bill of lading and several common annotation categories of standard bill of lading from the angle of theory and shipping practice respectively .

The third part demonstrates the exercise of the right of lading ' s endorsement . First of all , the author talks about the main object of the exercise of the right of lading . Then , the author further expounds the division of the rights and responsibilities of the interested parties in the dispute arising from the exercise of the right of endorsement of the bill of lading . At the end of this part , the author discusses two special problems in the exercise of the right of endorsement of the bill of lading .

In the fourth part , the effect of the endorsement of the bill of lading is discussed in the view of the interested party . In the case of inconsistency between the shipper and the carrier , when the condition of the goods surface and the record of the bill of lading are inconsistent , the shipper will protect the carrier . If the bill of lading is endorsed by the carrier , such endorsement will protect the carrier . If the bill of lading is endorsed by the carrier , it is necessary to provide the bank with a clean bill of lading .

The fifth part discusses how to perfect the legal provisions on the annotation of bill of lading from the legislation , and puts forward the suggestion on how to exercise the right of endorsement of the bill of lading from the point of view of shipping practice .

The concluding part summarizes the main viewpoints of this paper and puts forward the prospect .

【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2009
【分类号】：D922.294

【引证文献】