无单放货下各方的责任承担与防范无单放货的应对措施研究

发布时间：2018-10-31 12:20

【摘要】： 提单是指用以证明海上货物运输合同和货物已经由承运人接收或者装船，以及承运人保证据以交付货物的单证。提单作为一种重要的运输单据和贸易单据，自问世来一直发挥着重要的作用。在国际贸易活动中，为什么提单持有人总是能够信任提单所表彰的权利并心甘情愿地把成千上万的货款支付给银行或卖方来换取这几张书面文件呢?因为他相信自己凭着手中的书面文件(提单)就可以在目的港从该文件记载的承运人手中取得该文件上记载的货物。为了保障国际贸易体系的正常运转，保障善意的买方或持单人能够信赖提单所代表的权利，法律总是千方百计地保证这种信赖的有效，保障提单所具有的流通性。因此，海上货物运输的承运人签发了提单后就必须在目的港正确地将货物交给收货人，在没有收到自己签发的正本提单的情况下将货物交出的行为，被认为是无单放货的行为。如果这样的行为造成了提单合法持有人的损失，承运人将承担责任。可是由于种种原因，航运实践中在目的港承运人不凭正本提单交货的情况却屡见不鲜。当前我国法律界对无单放货后，提单合法持有人依据什么向承运人主张权利、承运人应当承担什么责任、如何承担责任以及实际承运人、船舶代理人、货运代理人承担如何承担责任等问题都存在不同的观点。为了澄清无单放货情况下各方的责任承担，，帮助统一理论界对此的理解和认识，本文从分析无单放货的涵义和产生无单放货的原因入手，通过对无单放货行为的定性的角度对上述问题加以分析研究，并在分析的基础上提出防范无单放货的若干措施。希望能对理解有关问题有所帮助以及能在航运实务中对各方防范无单放货风险有所裨益。本文分为三部分，第一部分在分析学者观点与阐述相关法律规定的基础上对无单放货的概念进行了澄清与界定，并在此基础上分析和介绍了无单放货产生的各种原因。第二部分从分析无单放货的定性入手，探讨了无单放货情况下承运人承担责任的责任基础、赔偿责任机制以及免责，对承运人依据什么承担无单放货责任，承担无单放货责任可否享受我国《海商法》规定的单位赔偿责任限制以及承运人无单放货是否一概要承担责任而不能免责等问题进行了深刻的剖析和研究。本部分还对实际承运人、船舶代理人、货运代理人的无单放货责任问题进行了深入的研究。本文第三部分在前两部分分析、研究的基础上提出了防范无单放货风险的应对措施，着重对国内出口方即国际贸易合同的卖方和承运人防范无单放货风险的措施进行讨论，同时对无单放货的其他相关方如银行、船舶代理人的风险防范措施进行探讨，并且对法律界对无单放货风险防范应当采取的态度与措施提出了殷切的要求与呼吁。
[Abstract]:Bill of lading is a document that proves that the contract of carriage of goods by sea and the goods have been received or loaded by the carrier, and the carrier guarantees delivery of the goods. Bill of lading, as an important transport document and trade document, has been playing an important role since it came into being. In international trade, why can the holder of the bill of lading always trust the rights recognized by the bill of lading and willingly pay thousands of loans to the bank or seller in exchange for these written documents? Because he believed that he could obtain the goods recorded in the document from the carrier in the port of destination with the written document (bill of lading) in his hand. In order to ensure the normal operation of the international trading system and the right of a bona fide buyer or holder to rely on the rights represented by the bill of lading, the law always makes every effort to ensure the validity of the trust and the circulation of the bill of lading. Therefore, the carrier of the carriage of goods by sea, after issuing the bill of lading, must give the goods to the consignee correctly at the port of destination, and the act of handing over the goods without receiving the original bill of lading issued by himself is regarded as the act of releasing the goods without documentary evidence. If such conduct results in loss to the lawful holder of the bill of lading, the carrier will be liable. However, for various reasons, it is common for the carrier in the port of destination not to deliver the goods by the original bill of lading in shipping practice. At present, the legal profession of our country claims the right of the legal holder of the bill of lading to the carrier on what basis after the delivery of the goods without documents, what responsibility should the carrier bear, how to bear the responsibility, and the actual carrier, the agent of the ship, There are different views on how freight forwarders bear responsibility. In order to clarify the responsibility of all parties in the case of non-bill delivery, and to help unify the understanding and understanding of this in the theoretical circle, this paper begins with the analysis of the meaning of non-bill delivery and the reasons for producing non-bill delivery. In this paper, the above problems are analyzed and studied from the qualitative point of view of the behavior of undocumented delivery, and on the basis of the analysis, some measures are put forward to prevent the delivery of goods without bill. It is hoped that it will be helpful to understand the related problems and to prevent the risk of undocumented delivery in shipping practice. This paper is divided into three parts. The first part clarifies and defines the concept of non-bill delivery on the basis of analyzing scholars' viewpoints and elaborating the relevant laws and regulations, and then analyzes and introduces the various reasons for the production of non-bill delivery. The second part starts with the qualitative analysis of the delivery of goods without bill of lading, and discusses the basis of the carrier's liability, the mechanism of compensation and the exemption of liability, and the basis on which the carrier bears the liability for the delivery of goods without the bill of lading. Whether we can enjoy the limitation of unit liability stipulated in Maritime Law of our country and whether the carrier should bear liability without bill of lading and whether there can be no exemption are deeply analyzed and studied. This part also carries on the thorough research to the actual carrier, the ship agent, the freight forwarder's non-bill delivery liability. In the third part of this paper, on the basis of the analysis of the first two parts, the author puts forward the countermeasures to prevent the risk of delivery of goods without bill of lading, and emphatically discusses the measures of domestic exporters, that is, the sellers and carriers of international trade contracts, to guard against the risk of delivery of goods without bill of lading. At the same time, it probes into the risk prevention measures of other related parties, such as banks and shipping agents, and puts forward the ardent request and appeal to the legal profession to take the attitude and measures that should be taken to prevent the risk of undocumented delivery.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2007
【分类号】：D996.19;D922.294

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