论提单仲裁条款的法律效力

发布时间：2018-05-10 22:17

本文选题：提单 + 仲裁条款　；参考：《西南政法大学》2007年硕士论文

【摘要】： 提单是当今国际海上货物运输中应用最为广泛的单证之一，提单仲裁条款是提单背面的一条重要条款。提单仲裁条款与一般仲裁条款相比，其涉及的多重法律关系使得它的效力问题具有特殊性。提单仲裁条款从产生之日起其效力问题即充满争议，至今应如何认定提单仲裁条款的效力也仍然是当今国际海事司法界面临的普遍问题。然而国内仲裁法学界对提单仲裁条款并没有太多关注，海商实务界对此也并没有形成一个比较全面的认识。因此，对此问题的研究具有重要的理论意义和现实价值。本文在尽可能多地收集相关法律、法规以及案例的基础上，结合国际私法、海商法、仲裁法和诉讼法的基本理论，对提单仲裁条款的法律效力问题进行了系统深入的探讨，并对我国相关立法和司法提出了完善建议。本文的基本结构和内容如下：引言部分以提单仲裁条款的概念、种类和特点为铺垫，在简要介绍提单仲裁条款效力问题的司法实践和理论研究现状的基础上，论证了对该问题进行研究的必要性和迫切性，进而引出本文的观点。提单仲裁条款通常是提单制定人预先印制于提单背面，规定发生有关提单的任何争议时，通过仲裁的方式解决争议的标准条款。提单仲裁条款通常可分为班轮提单中的仲裁条款和租船合同下提单的仲裁条款两种形式，格式条款性、附属性和独立性以及多方当事人之间的流转性是它们的共同特点。第一章阐述了提单仲裁条款的有效要件。本章对提单仲裁条款的形式和实质要件作出具体分析。形式要件方面在分析国际公约对一般仲裁协议书面形式的规定的基础上指出提单仲裁条款符合书面形式的要求。实质要件主要包括当事人的行为能力、提交仲裁的意思表示真实、提单仲裁条款的内容合法性等方面。其中对涉及到提单仲裁条款的书面形式和内容合法性等重点问题作了较大篇幅的论述。第二章分析了确定提单仲裁条款法律效力的准据法。各国对提单仲裁条款效力的规定差异较大，因此确定提单仲裁条款法律效力的准据法具有重要的意义。虽然提单仲裁条款法律效力的准据法与一般仲裁协议准据法有相似之处，却也有自己独特的具体适用规则，故不能与其一概而论。本章主要对提单仲裁条款当事人行为能力的准据法、提单仲裁条款的形式有效性的准据法、实质有效性的准据法和可仲裁性问题的准据法分别进行论述。第三章论述提单仲裁条款效力的基本方面。提单仲裁条款的法律效力与一般的仲裁协议相比既有共性又有其自身的特殊性，主要涉及对提单相关当事人的效力、对仲裁机构的效力和对法院的效力等问题。其中，对提单相关当事人的效力具体包括对承运人、托运人和第三人——提单持有人的效力，这是本章论述的重点。第四章探讨了提单仲裁条款效力的特殊情形。根据提单及其仲裁条款自身的特性，分别对租约仲裁条款并入提单的效力认定、海运合同主体变更时提单仲裁条款的效力认定、提单欺诈及无单放货情况下仲裁条款的效力认定等实践中的常见问题作了介绍和分析。第五章以国际上关于提单仲裁条款效力问题的立法实践及对我国立法的完善建议为主要内容。关于提单仲裁条款的效力问题，至今尚无具有普遍约束力的国际公约对此作出明确的规定。而各国国内立法与司法实践主要可以总结为关于提单仲裁条款效力的“开放主义”、限制提单中的外国仲裁条款的效力、有条件的承认对提单持有人的约束力等三种情形。本章通过对国际条约、各国国内立法与司法实践进行比较分析，，并结合我国的现状，由提单仲裁条款的效力问题延伸涉及我国仲裁立法相关问题的不足与完善，提出了相应的立法建议。这也是本文写作的最终意义和目的所在。
[Abstract]:Bill of lading is one of the most widely used documents in the international carriage of goods at sea today. The arbitration clause of the bill of lading is an important clause on the back of the bill of lading. The multiple legal relations involved in the arbitration clause of the bill of lading make the issue of its effectiveness special. It is full of controversy that how to determine the validity of the arbitration clause of the bill of lading is still a common problem facing the international maritime judicial circle. However, the domestic arbitration law circle has not paid much attention to the arbitration clause of the bill of lading, and the maritime business practice circles have not formed a more comprehensive understanding. Therefore, the research on this problem is heavy. On the basis of collecting relevant laws, laws and cases as much as possible, based on the basic theories of international private law, maritime law, arbitration law and litigation law, this paper makes a systematic and thorough discussion on the legal effect of the bill of lading arbitration clause, and puts forward a perfect construction of relevant legislation and judicature in China. Argumentative.
The basic structure and content of this article are as follows:
The introduction is based on the concept, types and characteristics of the arbitration clause of the bill of lading. On the basis of the brief introduction of the judicial practice and the present situation of the validity of the bill of lading arbitration clause, the necessity and urgency of the study are demonstrated. The arbitration clause of the bill of lading is usually pre printed by the bill of lading maker. On the back of a bill of lading, in the case of any dispute over the bill of lading, the standard clauses of the dispute are settled by arbitration. The arbitration clause of the bill of lading usually can be divided into two forms, the arbitration clause in the liner bill of lading and the arbitration clause of the bill of lading under the charter party, the format, the property and independence of the bill of lading and the circulation between the multiparty parties. Sex is the common feature of them.
The first chapter expounds the effective elements of the arbitration clause of the bill of lading. This chapter makes a concrete analysis of the form and essential elements of the arbitration clause of the bill of lading. On the basis of the analysis of the provisions of the International Convention on the written form of the general arbitration agreement, the article points out that the arbitration clause of the bill of lading conforms to the requirement of the written form. The person's ability to act, the meaning of the submission of arbitration is true, the content legality of the arbitration clause of the bill of lading, and so on. The key issues relating to the written form and content legality of the arbitration clause of the bill of lading are discussed in a greater length.
The second chapter analyzes the applicable law of determining the legal effect of the arbitration clause of the bill of lading. There are great differences in the stipulations of the validity of the arbitration clause of the bill of lading. Therefore, it is of great significance to determine the applicable law of the legal effect of the arbitration clause of the bill of lading. This chapter mainly deals with the applicable law of the parties' ability to act in the arbitration clause of the bill of lading, the applicable law of the form validity of the arbitration clause of the bill of lading, the applicable law of the substantive validity and the applicable law of the question of arbitrability.
The third chapter discusses the basic aspects of the validity of the arbitration clause of the bill of lading. The legal effect of the bill of lading arbitration clause has both commonness and own particularity compared with the general arbitration agreement, mainly involving the effectiveness of the relevant party to the bill of lading, the effectiveness of the arbitration institution and the effectiveness of the court, among which the effectiveness of the bill of lading concerned parties Specifically, it includes the effect of the holder of the bill of lading on the carrier, the shipper and the third party, which is the focus of this chapter.
The fourth chapter discusses the special situation of the validity of the arbitration clause of the bill of lading. According to the characteristics of the bill of lading and its arbitration clause, the validity of the arbitration clause of the lease and the validity of the bill of lading, the validity of the arbitration clause of the bill of lading, the fraud of the bill of lading and the validity of the arbitration clause in the case of no single delivery of the bill of lading are carried out in practice. Common problems are introduced and analyzed.
The fifth chapter is based on the international legislative practice on the validity of the bill of lading arbitration clause and the suggestions for the perfection of our country's legislation. On the validity of the arbitration clause of the bill of lading, there is no clear regulation on the validity of the universal binding international convention. The validity of the arbitration clause of the bill of lading is "open", the validity of the foreign arbitration clause in the bill of lading, the conditional recognition of the binding force to the holder of the bill of lading, and so on. This chapter compares and analyses the domestic legislation and judicial practice of the international treaties, and combines the status of our country with the validity of the arbitration clause of the bill of lading. The extension of the title concerns the deficiency and perfection of the relevant problems in China's arbitration legislation, and puts forward corresponding legislative proposals.

【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2007
【分类号】：D997.4

【引证文献】