论多式联运经营人的法律地位

发布时间：2018-08-02 07:23

【摘要】：随着全球经济的发展，传统国际货物贸易运输方式发生了很大变化。其中集装箱运输和“门到门”运输的普及使得多式联运经营人的法律地位显得尤为重要。而至今无论是在理论上，还是在立法上，并没有成熟的、统一的体系来界定多式联运经营人的法律地位，从而使得多式联运经营人主体多样化，并且与其他当事人关系也变得模糊不清。这在一定程度上导致了多式联运经营人与货物利益方或单式运输承运人之间的风险利益分配难以平衡，从而造成实质的不公平，易产生纠纷。所以，研究多式联运经营人的法律地位极为必要。全文共分为五个部分。文章的第一个部分阐述了多式联运经营人法律地位的演变。这主要从两个侧面得以体现，一方面通过国际公约和国际规则对“多式联运经营人”所做的定义加以分析；另一方面通过比较多式联运经营人与其他当事人之间的关系得以体现。有关“多式联运经营人”的定义演变经历了从最初简单的“签发多式联运单证的人”到“履行合同义务的委托人”，再到“兼具承运人身份的合同当事人”一个发展变化过程。为了更好地体现多式联运经营人独立的法律地位，文章还进一步探讨了多式联运经营人与其他当事人之间的法律关系。多式联运经营人虽然可以被看作是承运人，但不同于承运人的是，他是负责几种不同运输方式的承运人，两者在很多方面存在差异。而多式联运经营人与国际货运代理人的关系更加微妙，由于当国际货运代理人以代理人和经营人身份参与多式联运时，业务范围有重合交叉，导致实务中客户经常被货运代理人身份所困扰。所以，本文对区分多式联运经营人和货运代理人提出了三个标准供参考：一是是否在合同条款中明确约定合同当事人的法律地位；二是依据货运代理人所实施的行为来判断其身份，包括是否与发货人订立国际多式联运合同、是否以自己名义签发多式联运单证或是否表明负责完成全程运输；三是从收费方式的角度来分析货运代理人是否是多式联运经营人。而相对来讲，，多式联运经营人与港站经营人的关系区分起来要容易的多，两者主要依据负责范围的不同加以区分，并且即使多式联运经营人也提供港站经营人相关服务时，其法律地位不依《港站经营人公约》予以确定，仍然是多式联运经营人。通过上述分析，可以归纳出多式联运经营人基本的法律特征：以本人名义与托运人或发货人订立多式联运合同，且对多式联运全程承担责任的合同主体。本文第二部分分析了影响多式联运经营人法律地位的原因所在。从经济角度看，首先经济全球化无疑使国际货运市场向着集装箱化和“门到门”运输方向发展，而与此同时，多式联运经营人的法律地位也随着全球化进度的加快和加深发生着变化；其次，国际货物运输业向信息化方向转变使得传统的多式联运经营人已不能满足现时要求。最后，物流业的兴起与发展为多式联运经营人今后的发展提出了更高层次的要求。从法律角度看，全球范围内法律规范也表现出趋同化和一体化的趋势。法律趋同化在多式联运中的体现就是近几十年来大量国际公约的制订，法律一体化表现为国际法与国内法之间的界限正在变得模糊。这种变化预示着多式联运经营人的法律地位也不可避免地趋同化和一体化。文中第三部分探讨了多式联运经营人的权利能力和行为能力问题。为了确保多式联运经营人签发单证的信用度，保证货运市场的正常运转，对于多式联运经营人的设立及其经营范围进行限制是非常必要的。而这种限制不是多式联运国际规则所需要和所能解决的，往往取决于各国国内法的规定。而多式联运经营人的经营范围决定了其责任范围。一般说来，多式联运经营人所承担的责任主要通过两种法律关系得以体现：一是多式联运经营人与货物利益方的对外赔偿关系，二是多式联运经营人与单式运输承运人或后勤第三方之间的内部求偿关系。其中，多式联运经营人与货物利益方建立的以多式联运合同为基础的多式联运法律关系是整个法律关系网络中的核心部分。第四部分是本文重点所在，主要通过对既有的约束和调整多式联运经营人责任制度的国际公约和国际规则的比较，阐述了有关多式联运经营人各种责任制度的利与弊。该部分中具体分析了国际货物多式联运经营人的责任制类型、赔偿责任基础、责任期间和赔偿责任限制问题。鉴于不同的运输方式已连贯一体，统一多式联运经营人的责任制度已经成为迫切需要了。然而无论是哪种责任制度都存在着优与劣，不能简单地说应该舍弃或推广哪种责任制度。但无论是哪个国际公约，哪种多式联运经营人的责任制度，其根本目的是希望找到一条多式联运方式下众多当事人之间“责任与利益均衡”的原则。文章的最后部分阐述了我国有关多式联运经营人的立法现状及完善建议。在我国以《海商法》、《合同法》、《国际集装箱多式联运管理规则》三部法律、规章为基本法律框架的立法模式中，存在着很多分歧与空白。尤其是《海商法》和《合同法》的不统一、立法价值取向的两极化不利于多式联运经营人法律地位的确定，也不利于我国多式联运这一运输形态的发展。只有尽快协调好两部法律的关系以及尽快完善我国各单式运输的规律法规，才能最大限度地降低由于法律规定所带来的风险分配的不一致性和不确定性，更
[Abstract]:With the development of the global economy, the transport mode of the traditional international trade of goods has changed greatly. The popularization of container transportation and the "door to door" transportation makes the legal status of multimodal transport operators become particularly important. The legal status of the modal transport operator has led to the diversification of the multimodal transport operator and the blurred relationship with other parties, which, to a certain extent, has led to the unbalance of the risk interest distribution between the multimodal transport operator and the goods benefit party or the single transport carrier, resulting in substantial unfairness, It is easy to produce disputes. Therefore, it is extremely necessary to study the legal status of multimodal transport operators.
The full text is divided into five parts.
The first part of the article describes the evolution of the legal status of the multimodal transport operator. This is mainly reflected in two aspects. On the one hand, the definition of "multimodal transport operator" is analyzed by international conventions and international rules. On the other hand, the relationship between multimodal transport operators and other parties can be compared. The evolution of the definition of the "multimodal transport operator" has gone through a process of development and change from the original simple "person who issued multimodal transport documents" to "the client performing the contractual obligations" and "the contract party with the identity of the carrier", in order to better take the legal status of the multimodal transport operator to be more independent. The article further explores the legal relationship between the multimodal transport operator and the other parties. Although the multimodal transport operator can be considered as a carrier, unlike the carrier, he is a carrier responsible for several different modes of transport. The two are different in many ways. The multimodal transport operator and the international freight forwarding agent are different. The relationship between people is more subtle, because when international freight forwarders participate in multimodal transport with agent and operator identity, the business scope is intersected and intersected, which causes the clients to be often plagued by the identity of the freight forwarders in practice. Therefore, this article puts forward three criteria for the differentiation of multimodal transport operators and cargo agents: one is The legal status of the parties to the contract is clearly defined in the terms of the contract; two is to judge its identity according to the acts carried out by the freight forwarder, including whether to enter into an international multimodal transport contract with the consignor, issue a multimodal transport document in its own name or whether it is responsible for the completion of the entire transportation; and three from the angle of the way of charge. In contrast, the relationship between the multimodal transport operator and the port operator is much easier to distinguish between the multimodal transport operator and the port station operator. The two are mainly based on the differences in the scope of responsibility, and the legal status of the multimodal transport operator is not dependent on the service of the port operator. The port operator convention is determined and still a multimodal transport operator. Through the above analysis, the basic legal characteristics of the multimodal transport operator can be summed up: the multimodal transport contract is concluded in my name with the shipper or consignor, and the contract subject to the multimodal transport is responsible for the multimodal transport.
The second part of this paper analyzes the reasons that affect the legal status of multimodal transport operators. From an economic perspective, the economic globalization will undoubtedly make the international freight market develop in the direction of containerization and door to door transportation. At the same time, the legal status of multimodal transport operators is also accelerated and deepened with the progress of globalization. Secondly, the transformation of international freight transport industry to the direction of information makes the traditional multimodal transport operators can not meet the requirements of the present. Finally, the rise and development of the logistics industry put forward a higher level of demand for the future development of multimodal transport operators. The trend of assimilation and integration. The embodiment of the assimilation of law in multimodal transport is the formulation of a large number of international conventions in recent decades. The integration of law shows that the boundary between international law and domestic law is becoming blurred. This change indicates that the legal position of multimodal transport operators is inevitably assimilated and integrated.
The third part of the article explores the rights and behavior capabilities of multimodal transport operators. In order to ensure the credit degree of the documents issued by the multimodal transport operators and to ensure the normal operation of the freight market, it is not necessary to limit the establishment of the multimodal transport operator and its scope of operation. The intermodal transport operator's scope of responsibility is determined by the scope of the operational scope of the multimodal transport operator. Generally speaking, the liability of the multimodal transport operator is embodied mainly through two legal relations: the first is the foreign compensation for the multimodal transport operator and the benefit Party of the goods. The relationship, two is the internal compensation relationship between the multimodal transport operator and the unilateral transport carrier or the third party of the logistics. Among them, the multimodal transport legal relationship based on multimodal transport contract by the multimodal transport operator and the goods benefit party is the core part of the whole legal relationship network.
The fourth part is the focus of this article. Through the comparison of the international conventions and international rules of the existing constraints and the adjustment of the multimodal transport operator's liability system, the advantages and disadvantages of the various liability systems of the multimodal transport operator are expounded. In this part, the type of liability system for the multimodal transport operator of international goods and goods is analyzed, and the compensation is made. The basis of responsibility, the period of responsibility and the limitation of liability. In view of the continuity of the different modes of transport, it is urgent to unify the liability system of the multimodal transport operator. However, no matter which liability system has the advantages and disadvantages, it is not simple to say which liability system should be abandoned or promoted. The fundamental purpose of the international convention, which is the liability system of multimodal transport operators, is to find a principle of "balance of responsibilities and interests" among the many parties under multimodal transport.
The last part of the article expounds the current legislation and suggestions for the multimodal transport operators in China. In China, there are many differences and gaps in the legislative model of the basic legal framework, including the maritime law, the contract law, the international container multimodal transport management rules and the three laws, and the rules and regulations as the basic legal framework. The polarization of the legislative value orientation is not conducive to the determination of the legal status of multimodal transport operators, nor is it conducive to the development of the transport form of multimodal transport in China. Only by coordinating the relationship between the two laws as soon as possible and perfecting the laws and regulations of the individual transport in China as soon as possible, can the maximum decrease due to the legal provisions The risk distribution is inconsistent and uncertain.
【学位授予单位】：吉林大学
【学位级别】：硕士
【学位授予年份】：2004
【分类号】：D996;D922.29

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